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CALL TO ORDER
PRAYER AND SALUTE TO THE FLAG
STATEMENT OF COMPLIANCE WITH THE OPEN PUBLIC MEETINGS ACT
APPROVAL OF COMMUNICATIONS
Note and File
1 Oath of Office Commission on the Status of Women Jane O'Hara, Nora Mislan and Cheryl Pantuna, Motion Picture & TV Advisory Board Sebastian D'Elia, Union County Air Traffic and Noise Advisory Board Thomas Dean, Union County Emergency Management Council Salena Carroll, Sebastian D'Elia, Alfred J Faella, Ralph Froehlich, Joseph Graziano, Daniel Vaniska and Gareth Williams, Union County Improvement Authority Advisory Board Joseph Miskiewicz
OFFICE OF THE UNION COUNTY CLERK
Joanne Rajoppi, County Clerk
1 Approving a pre-qualified list of vendors for the provision of Election mail fulfillment services (Chairman Linda Carter)
2 Authorizing the County Manager to enter into an agreement with Full Service Mailers, Hackensack, New Jersey, for the purpose of providing mail fulfillment services for the contract period January 1, 2013 through December 31, 2013 in an amount not to exceed $66,000 (Chairman Linda Carter)
3 Approving a list of pre-qualified vendors for the provision of Election Printing Services (Chairman Linda Carter)
4 Authorizing the County Manager to enter into an agreement with B&B Press, Lebanon, New Jersey for the purpose of printing the vote by mail and provisional ballots for both the Primary and General Elections for the year 2013 in an amount not to exceed $240,000 (Chairman Linda Carter).
5 Authorizing the County Clerk to make any and all purchases of goods and/or services required in the process of preparing and conducting an election to be provided by various vendors and to provide miscellaneous election services which might arise, in an amount not to exceed $30,000 for the 2013 elections (Chairman Linda Carter)
6 Authorizing the County Manager to enter into an agreement with Wisolmerski Associates, Inc., Pembroke Pines, Florida for the purposes of providing customized systems support for the computer system for the Office of the Union County Clerk for the contract period January 1, 2013 through December 31, 2013 in an amount not to exceed $41,350, using the exception to bidding for proprietary computer services NJSA 40A 11-5(1)(dd) (Chairman Linda Carter)
7 Authorizing the County Manager to enter into an agreement with Dominion Voting Systems, Denver, Colorado, for the purposes of providing licensing, maintenance and support for the WinEDS 4.0 voting system for the contract period April 1, 2013 through March 31, 2014 in the amount of $26,383.81 (Chairman Linda Carter)
OFFICE OF THE UNION COUNTY PROSECUTOR
Theodore J. Romankow, Prosecutor
1 Amending Resolution Number 2012-613, awarding a professional services contract to DNA Consultant, Cortney Boccardi, to include the reimbursement costs of attending a DNA Workshop in Washington, DC, in an amount not to exceed $2,500.00 for a total contract amount of $92,500.00 (Chairman Linda Carter)
OFFICE OF THE UNION COUNTY SHERIFF
Ralph Froehlich, Sheriff
1 Authorizing the County Manager to enter into an agreement with Dr. Stephen Parker, D.O., FACM, Roselle Park, New Jersey to provide medical examinations to Sheriff's Officer Candidates for the contract period January 1, 2013 through December 31, 2013 in the amount of $16,300.00 (Chairman Linda Carter)
2 Authorizing the County Manager to enter into an agreement with Kanen Psychological Associates, PA, Ridgewood, New Jersey to provide psychological examinations to Sheriff's Office candidates for the contract period of January 1, 2013 through December 31, 2013 in the amount of $17,500.00 (Chairman Linda Carter)
3 Authorizing the County Manager to enter into an agreement with Iselin Veterinary Hospital, Iselin, New Jersey to provide veterinary services and food to the Sheriff's K-9 Unit for the contract period of January 1, 2013 through December 31, 2013 in the amount of $17,500.00 (Chairman Linda Carter)
4 Authorizing the County Manager to enter into an agreement with Foster and Freeman USA Inc., Sterling, Virginia for the purchase of the Crime-Lite 82L and Crime-Lite 82S Forensic Light Source Kit for the Sheriff's Identification Unit in the amount of $27,394.71 (Chairman Linda Carter)
OFFICE OF THE BOARD OF ELECTIONS
Dennis Kobitz, Administrator
1. Authorizing the County Manager to enter into an agreement with Royal Printing, West New York, New Jersey for the purpose of printing voting authority books, Poll Books, and all other printing needed to run an election within the County for the contract period of February 1, 2013 through January 31, 2014 in the amount of $100,000 (Chairman Linda Carter)
2. Approving a prequalified list of vendors for the provision of transporting voting machines (Chairman Linda Carter)
3. Authorizing the County Manager to enter into an agreement with The Liberty Group, Union, New Jersey for the purpose of transporting Dominion Voting Machines to and from polling places throughout the County for the contract period of February 1, 2013 through January 31, 2014 in the amount of $70,000.00 (Chairman Linda Carter)
4. Authorizing the County Manager to enter into an agreement with Dominion Voting, Denver, Colorado for the purpose of an extended service program for ICC Scanners for a contract period of two (2) years beginning February 1, 2013 through January 31, 2015 in the amount of $3,762.00 (Chairman Linda Carter)
DEPARTMENT OF ADMINISTRATIVE SERVICES
Matthew N. DiRado, Esq., Director
1. Authorizing the County Manager to renew the Long Term and Short Term Disability Insurance for contractual employees with the Standard Insurance Company for the contract period of January 1, 2013 through December 31, 2013 in an amount not to exceed $263,054. The County's liability is $128,000 per year and the employee contributions total $135,054 (Chairman Linda Carter)
2. Amending Resolution Number 2012-525, increasing the cap for Arbitrator/Mediator and Fact Finder Services in the amount of $6,000.00 for a total contract amount not to exceed $30,000.00 (Chairman Linda Carter)
DEPARTMENT OF CORRECTIONS
Brian Riordan, Director
1. Amending Resolution Number 2012-96, an agreement with Luminosity Inc., St. Petersburg, Florida for an additional three months in order to extend the Jail Management Initiative for the contract period of January 30, 2012 through April 30, 2013 in an additional amount of $30,160.00 for a total amount not to exceed $188,464.00 (Chairman Linda Carter)
DEPARTMENT OF ENGINEERING, PUBLIC WORKS AND FACILITIES
Joseph Graziano, Director
1. Concurring with the City of Scotch Plain's Ordinance Nos 2012-13, Lowering Speed Limits from 40 MPH to 35 MPH and 2012-14, Lowering Speed Limits from 45 MPH to 40 MPH (Chairman Linda Carter)
2. Amending Resolution Number 2012-696, a contract with Smith-Sondy Asphalt Construction Company, Wallington, New Jersey, to reflect a change in the account numbers only (Chairman Linda Carter)
3. Authorizing the County Manager to exercise its option to extend a contract for a period of 24 months and to amend the same contract to add Waste Disposal Services for Runnells Specialized Hospital based on the unit prices provided in the public bid submitted and awarded to T Farce & Son, Newark, New Jersey, for the period of November 1, 2012 through October 31, 2014 in the amount of $251,435.16 (Chairman Linda Carter)
DEPARTMENT OF HUMAN SERVICES
Frank Guzzo, Director
1. Amending Resolution Number 2011-660, authorizing valid Work First New Jersey (WFNJ) Individual Training PY 2011 contracts to be re-set to a new account using New Jersey State Department of Labor and Workforce Development (NJDOL&WD) WIA Adult PY 2012 grant dollars in an amount not to exceed $35,000 (Freeholder Bette Jane Kowalski)
2. Amending Resolution Number 2011-961, decreasing the 2012 Personal Assistant Services Program (PASP) grant award from the New Jersey Department of Human Services, Division of Disability Services, from $869,811.00 to $623,364.55 for the same PASP grant period of January 1, 2012 through December 31, 2012 (Freeholder Bette Jane Kowalski)
3. Authorizing the County Manager to renew the Agreement of Understanding between the Union County Division of Social Services and Trinity Medical Center for the out-stationing of County Welfare Agency staff (three full-time employees) to process Medicaid applications for the period of January 1, 2013 through December 31, 2013 (Freeholder Bette Jane Kowalski)
4. Authorizing the County Manager to renew the Agreement of Understanding between the Union County Division of Social Services and Overlook Hospital for the out-stationing of County Welfare Agency staff (one part-time employee) to process Medicaid applications for the period of January 1, 2013 through December 31, 2013 (Freeholder Bette Jane Kowalski)
5. Authorizing the County Manager to renew the Agreement of Understanding between the Union County Division of Social Services and Robert Wood Johnson University Hospital at Rahway for the out-stationing of County Welfare Agency staff (one part-time employee) to process Medicaid applications for the period of January 1, 2013 through December 31, 2013 (Freeholder Bette Jane Kowalski)
6 Authorizing the County Manager to enter into agreements with various community based organizations to provide shelter night stays for TANF, GA, and/or emergency assistance recipients for the period of January 1, 2013 through December 31, 2013 (Freeholder Bette Jane Kowalski)
7 Authorizing the County Manager to enter into an agreement with the YMCA of Eastern Union County, Elizabeth, New Jersey, for the period of February 1, 2013 through December 31, 2013 for reimbursement in the amount of $3,200.00 per month to the County of Union for the provision of Transportation Service through the Union County Paratransit System for clients of the WISE Adult Day Care Program based upon scheduled trips provided by the County on Mondays through Fridays and the YMCA of Eastern Union County will provide one personal assistance aide on each vehicle to assist with passenger safety (Freeholder Bette Jane Kowalski)
8 Amending Resolution Number 2011-795 (BA #75), an agreement with Samuels Inc, (dba Buy Wise Auto Parts) Vauxhall, New Jersey, to reflect Change Order #1 increasing the award in an amount not to exceed $50,000.00 to supply Ford and General Motors parts for repairs to the Paratransit fleet of trucks and buses (Freeholder Bette Jane Kowalski)
9 Amending Resolution Number 2012-1025 to add an additional allocation in the amount of $43,290.00 in State grant funds for the contract period of January 1, 2013 through December 31, 2013 to Veolia Transportation, Inc., Oak Brook, Illinois for the continued provision of the Welfare to Work Shuttle service (Freeholder Bette Jane Kowalski)
10 Amending Resolution Number 2012-646 to extend the contract period only with Perselay Associates, Inc., Chatham, New Jersey for the additional three (3) month period of January 1, 2013 through March 31, 2013 at no additional cost (Freeholder Bette Jane Kowalski)
DEPARTMENT OF PARKS AND COMMUNITY RENEWAL
Ronald Zuber, Director
1 Authorizing the County Manager through the Office of Cultural & Heritage Affairs to apply for public and private funding for grants to be used for the purpose of the developing and implementing programs and services in the arts, education, history and preservation for the period of January 1, 2013 through December 31, 2013 (Freeholder Bette Jane Kowalski)
2 Designating the Office of Cultural & Heritage Affairs as the Official County Cultural & Heritage Agency (Freeholder Bette Jane Kowalski)
3 Authorizing the County Manager to execute a Cooperative Services Agreement with the United States Department of Agriculture, Animal and Plant Health Inspection Service, Wildlife Services in providing Union County with a two-year integrated wildlife damage management program aimed at reducing wildlife damage to human health and safety, property, and natural resources in Union County, New Jersey for the period of March 1, 2013 through February 28, 2015 in the amount not to exceed $228,983 (Freeholder Daniel P. Sullivan)
4 Authorizing the County Manager to award the proposed contract obtained through advertised public bidding in accordance with the Local Public Contracts Law, NJSA 40A 11-1 et seq Department of Parks and Community Renewal Storr Tractor Company of Branchburg, New Jersey, for the purpose of providing bed knife grinder (Lots A & B), in the amount of $54,474.00 (Freeholder Daniel P. Sullivan)
5 Amending Resolution Number 2012-458, adopting the 2012 Consolidated Plan to increase the CDBG funding to the Union County Economic Development Corp., for Year 38 from $113,000.00 to $140,000.00 (Freeholder Angel G. Estrada)
6 Authorizing payment of invoices and relevant documents as are necessary to effectuate the payment of monthly telecommunications bills from Verizon, Newark New Jersey as they become due and owing for the period of January 1, 2013 through December 31, 2013 in an amount not to exceed 1,430,000.00 (Freeholder Daniel P. Sullivan)
7 Authorizing the County Manager to award the proposed contract obtained through advertised public bidding in accordance with the Local Public Contracts Law, NJSA 40A 11-1 et seq Department of Parks and Community Renewal Business Furniture, Inc. for the purpose of providing outdoor furniture for the Galloping Hill Clubhouse, in the amount of $67,165.30 (Freeholder Daniel P. Sullivan)
RUNNELLS SPECIALIZED HOSPITAL
Joan Wheeler, Administrator
1 Amending Resolution Number 2012-928, a contract with SOS (Salina Office Systems), Pinehurst, North Carolina, for the license, maintenance and support of software for the period of January 1, 2013 through December 31, 2013 in an additional amount of $75.00 for a new total contract amount of $18,314.15 (Freeholder Vernell Wright)
OFFICE OF THE COUNTY COUNSEL
Robert E. Barry, Esq., County Counsel
1 Amending Resolution Number 2012-794, to increase the appropriation to Kologi Simutz of Linden, New Jersey in the matter entitled Rose Bravo v UC, et als., in the amount of $10,000.00 for a total sum not to exceed $30,000.00 (Chairman Linda Carter)
2 Approving the settlement in the matter entitled Otto Czulak v UC, et als., Docket No UNN-L-1920-11 in the amount of $84,000.00 (Chairman Linda Carter)
3 Awarding a contract to James Jude Plaia, Esq., Verona, New Jersey, to provide Worker's Compensation Defense Counsel services for a period commencing January 1, 2013 through March 31, 2013 in an amount not to exceed $17,500.00 (Chairman Linda Carter)
FREEHOLDER SPONSORED RESOLUTIONS
1 Appointing Pamela Egan to the Mental Health Advisory Board for a term commencing January 1, 2013 and expiring December 31, 2015 (Vice Chairman Christopher Hudak)
2. Appointing Edward Jackus, Delegate Commissioner to the Union County Utilities Authority for a term commencing February 1, 2013 to January 31, 2018 (Vice Chairman Christopher Hudak)
3. Congratulating Frederick R Bostel on the occasion of his retirement from the Union Vicinage Probation Division after 41 years of outstanding service (Freeholder Bette Jane Kowalski)
4. Supporting New Jersey Assembly Bill A-3443 which would require compensation from water utilities to cover costs related to flood damage caused by a water main break (Freeholder Alexander Mirabella)
5. Appointing Roger Strveski as a Delegate member and Thomas Dean, Esq and Mark Kirkconnell as Alternate members to represent the Borough of Roselle and Tony Hall as a Delegate member to represent the City of Rahway to the Union County Transportation Advisory Board with terms commencing January 1, 2013 and ending December 31, 2013 (Freeholder Daniel P. Sullivan)
6. Appointing Stephen E Thorpe and reappointing Rosemary Coppola and Sandra M Shelton to the Senior Citizen Disabled Resident Transportation Assistance Program Advisory Board for a term commencing January 1, 2013 and ending December 31, 2015, and Arleen Borden to an unexpired term ending December 31, 2013 (Freeholder Vernell Wright)
7. Appointing Mohamed S Jalloh as the Freeholder Liaison to the Union County Homelessness Trust Fund Advisory Board for a term commencing January 1, 2013 and ending December 31, 2013 (Chairman Linda Carter)
8. Amending Resolution 2013-41 to reflect a change to the Delegate Member, Engineer for the City of Linden as George Vurck for a term commencing January 1, 2013 and ending December 31, 2015 (Chairman Linda Carter)
9. Recognizing the volunteer members Union County Medical Reserve Corps for their 15 days of service to Union County residents before, during and after Hurricane Sandy (Chairman Linda Carter)
10. Congratulating Ella Shavkevich on being honored by the New Jersey Association of Public Health Nurse Administrators as Public Health Nurse of the Year (Chairman Linda Carter)
EXECUTIVE SESSION
To the extent known, the following items will be discussed in Executive Session
1) Discussions relative to pending contract negotiations with the collective bargaining units for the FMBA and PBA Local 203
2) Attorney-Client privileged communication relative to the potential settlement in the matter of Otto Czulak v County of Union
3) Discussions and attorney-client privileged communications relative to potential acquisition of real property
4) Discussions and attorney-client privileged communications relative to anticipated contract negotiations relative to Runnells Specialized Hospital
ADJOURNMENT
Please note that meetings are regularly held on Thursday evenings. Agenda Setting Sessions and Regular Meetings are held at 7:00 pm in the Freeholders' Meeting Room, Administration Building, 10 Elizabethtown Plaza, 6th Floor, Elizabeth, New Jersey, unless otherwise specified. In the event an Agenda Setting Session and Regular Meeting are held on the same night, the Agenda Setting Session will commence at 7:00 pm and the Regular Meeting will commence as soon as possible after the Agenda Setting Session.
Persons requiring a sign language interpreter should contact the Office of the Clerk of the Board at 908-327-4140.
REORGANIZATION MEETING - SUNDAY, JANUARY 6, 2013 at 12:00 pm
Assignment Judge Karen M. Cassidy's Courtroom, 2 Broad Street, Elizabeth, NJ
AGENDA SETTING MEETINGS
January 17, 2013
February 7, 2013
February 28, 2013
March 7, 2013
March 21, 2013
April 4, 2013
April 18, 2013
May 2, 2013
May 30, 2013
June 13, 2013
June 27, 2013
July 18, 2013
August 8, 2013
September 12, 2013
September 26, 2013
October 3, 2013
October 17, 2013
November 7, 2013
Tuesday November 26, 2013
December 5, 2013
December 19, 2013
REGULAR MEETINGS
January 24, 2013
February 21, 2013
February 28, 2013
March 14, 2013
March 28, 2013
April 11, 2013
April 25, 2013
May 16, 2013
May 30, 2013
June 13, 2013
June 27, 2013
July 25, 2013
August 22, 2013
September 19, 2013
September 26, 2013
October 10, 2013
October 17, 2013
November 14, 2013
Tuesday November 26, 2013
December 5, 2013
December 19, 2013 |
On behalf of the Native American Heritage Commission (NAHC)\(^1\), I wish to comment on the Bay Delta Conservation Plan/California WaterFix Recirculated Draft Environmental Impact Report (RDEIR)/Supplemental Environmental Impact Statement (SDEIS). The NAHC’s comments are based on the following legal, axiomatic and factual premises.
The legal premise is Public Resources Code section 5097.991, which states, “It is the policy of the State of California that Native American remains and associated grave artifacts shall be repatriated.” The axiomatic premise is that no agency can ever know more about a tribe’s cultural resources than the tribe itself. The factual premise is that the Feather River West Levee Project was an abject failure in addressing tribal concerns regarding tribal cultural resources, in particular Native American burial sites, and that we should learn from that failure. It is with these premises in mind that the NAHC requests that the following be incorporated as conditions of approval of the final environmental documents and included in the cultural resources mitigation measures.
1. **Require Tribal Monitors for All Ground-Disturbing Activities**
Despite the acknowledged high sensitivity of the project footprint for Native American human remains, the extensive list of tribes which tribal consultation was held, and the admission that many areas within the project footprint have not been assessed for cultural resources, there is no provision for the required use of tribal monitors for all ground-disturbing activities. Given the breadth of the project and numerous tribes affected, the tribal knowledge of all culturally affiliated tribes as to the presence and
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\(^1\) The Native American Heritage Commission is considered a trustee agency for Native American cultural resources. See *Environmental Protection Information Center (EPIC) v. Johnson* (1985) 170 Cal.App.3d 604; see generally Kostka and Zischke, *Practice under the California Environmental Quality Act* (2015) (CEB) § 20.101 (“If a project is located on a site containing an archaeological site, the Native American Heritage Commission is a trustee agency that must be consulted by the lead agency in connection with the preparation of an EIR or negative declaration.”)
identification of their cultural resources will be as indispensable, if not more so, than the knowledge of archaeologists. Tribal monitors, preferably those from tribes that are culturally affiliated to the project footprint, should be required for all ground-disturbing activities, and the pace, depth and location of any controlled grading protocols should be with the consent of tribal monitors.
2. **Most Likely Descendants Should Determine What Are or Are Not Burials and Associated Grave Artifacts**
One of several problems of the Feather River West Levee Project was the role that archaeologists were allowed to play in unilaterally determining what were or were not grave artifacts. Public Resources Code section 5097.98 provides that associated grave artifacts must be repatriated along with Native American human remains and treated with the same appropriate dignity. The appropriation of associated grave goods by the U.S. Army Corps of Engineers on that project under the sole determination of its archaeologists as to what constituted burials and associated grave artifacts on non-federal and non-tribal land caused a great deal of emotional turmoil for the United Auburn Indian Community, one of the Most Likely Descendants for that project. The NAHC submits that Native Americans know their own burial practices best and should be determine, in their sole discretion in their role as Most Likely Descendants, what are or are not Native American burials and associated grave goods.
3. **Reinterment of Native American Remains by the Department of Water Resources. If Required, Must Be Done On the Property Where the Remains Are Found With Appropriate Dignity and In A Location Not Subject to Further and Future Subsurface Disturbance**
Appendix A, Chapter 18, Page 18-8 provides:
If the NAHC fails to identify the MLD or if the parties cannot reach agreement as to how to reinter the remains as described in California PRC Section 5097.98 (e), the landowner will reinter the remains at a location not subject to further disturbance.
This is a slightly incorrect recitation of the requirements of Public Resources Code section 5097.98 (e) that should be corrected. Public Resources Code section 5097.98 (e) provides in relevant part:
Whenever the commission is unable to identify a descendant, or the descendants identified fail to make a recommendation, or the landowner or his or her authorized representative rejects the recommendation of the descendants and the mediation provided for in subdivision (k) of Section 5097.94, if invoked, fails to provide measures acceptable to the landowner, the landowner or his or her authorized representative shall reinter the human remains and items associated with Native American human remains with appropriate dignity on the property in a location not subject to further and future subsurface disturbance.
Therefore, reinterment of Native American remains subject to the provisions of Public Resources Code section 5097.98 (e) requires reinterment specifically “with appropriate dignity on the property in a location not subject to further and future subsurface disturbance.” Determinations as to what is “appropriate dignity” should be determined by the Most Likely Descendant if the Most Likely Descendant is involved. If not, “appropriate dignity” should comport with socially accepted norms for the treatment and disposition of human remains in general. Moreover, reinterment by the landowner must be on the property where the remains are discovered, not any location of the landowner’s choosing. Finally, the reinterment site must not be subject to further and future disturbance so that the Most Likely Descendant will not be required to reinter the remains more than once. The location of future subsurface disturbance must be taken into account when determining where to reinter Native American remains.
4. **Treatment of Multiple Burials in Accordance with Public Resources Code section 5097.98 (f)**
Appendix A, Chapter 18, Page 18-8 states that DWR will ensure that the protections prescribed in Public Resources Code section 5097.98 (e) will be performed should Native American remains be discovered. Mitigation Measure CUL-4 states that state and federal law governing human remains will be followed if human remains are discovered. It should be clarified in the Appendix A, Chapter 18 and Mitigation Measure CUL-4 that Public Resources Code section 5097.98 (f) must also be followed in the event that multiple Native American burials are discovered. Public Resources Code section 5097.98 (f) provides:
Upon the discovery of multiple Native American human remains during a ground disturbing land development activity, the landowner may agree that additional conferral with the descendants is necessary to consider culturally appropriate treatment of the multiple Native American human remains. Culturally appropriate treatment of the discovery may be ascertained from a review of the site utilizing cultural and archaeological standards. Where the parties are unable to agree on the appropriate treatment measures the human remains and items associated and buried with the Native American human remains shall be reinterred with appropriate dignity, pursuant to subdivision (e).
This clarification should be made to both Appendix A, Chapter 18 and the Mitigation Measure CUL-4.
5. **Burial Treatment Agreements with Culturally Affiliated Tribes**
Given the large number of tribes that are culturally affiliated with the project area footprint, it would be in the best interest of all involved for the Department of Water Resources (DWR) to at least attempt to enter into burial treatment agreements, as opposed to burial treatment plans, with those tribes. A lesson learned from the Feather River West Levee Project was that the prototypical Section 106 burial treatment plan did not equal a burial treatment agreement under Public Resources Code section 5097.98 because the burial treatment plan did not require the assent of the tribe and was therefore not an agreement. By entering into burial treatment agreements with all of the tribes that could potentially be named Most Likely Descendants for any Native American human remains discovered during the project, DWR will be able to expeditiously and respectfully commence the process of treatment and disposition of inadvertently discovered Native American human remains should one of the culturally affiliated tribes be named Most Likely Descendant. The NAHC does not make advance determinations of Most Likely Descendants for yet-to-be discovered Native American human remains.
6. **No Data Recovery for Native American Remains Without the Most Likely Descendant’s Permission**
Under Public Resources Code section 5097.98 (e), only the landowner or his agent and the Most Likely Descendant can reach an agreement on treatment and disposition of ancient Native American human remains. In the absence of any agreement, the default is reinterment on the property where the remains were found. There is no provision for the landowner, or his agent, to unilaterally perform data recovery on ancient Native American human remains and, as the Advisory Council on Historic Preservation noted in its letter regarding the Feather River West Levee Project, under certain circumstances, data recovery is not the sole means of mitigation for purposes of Section 106. The NAHC submits that no data recovery should be performed on Native American human remains that are subject to Public Resources Code section 5097.98 without the Most Likely Descendant’s consent, and that data recovery should not be considered the sole means of mitigation for damage to Native American human remains pursuant to Section 106. We incorporate by reference the Advisory Council on Historic Preservation’s letter on this issue with respect to the Feather River West Levee Project.
7. **Tribal Assent to Programmatic Agreements and Historic Property Treatment Plans**
One of the many failures of the Feather River West Levee Project was the failure to adequately address tribal concerns in the Programmatic Agreements and Historic Property Treatment Plans. DWR should seek the assent of culturally affiliated tribes as concurring parties to any Programmatic Agreements or Historic Property Treatment Plans.
In conclusion, the NAHC is more than willing to be of assistance in DWR’s anticipated efforts to protect Native American cultural resources within this project’s footprint.
Yours very truly,
[Signature]
Terrie L. Robinson, General Counsel
Native American Heritage Commission
cc: Cynthia Gomez, Executive Secretary, Native American Heritage Commission
March 31, 2015
Ms. Alicia E. Kirchner
Chief, Planning Division
U.S. Army Corps of Engineers
Sacramento District
1325 J Street
Sacramento, CA 95814-2922
Ref.: Resolution of Adverse Effects for Eight Prehistoric Archaeological Sites
Feather River West Levee Project, Contract C
Sutter and Butte Counties, California
Dear Ms. Kirchner:
The Advisory Council on Historic Preservation (ACHP) has been contacted by the United Auburn Indian Community (UAIC) regarding the resolution of adverse effects from the Feather River West Levee Project (FRWLP) to a number of archaeological sites encountered as post-review discoveries during a phase of the undertaking implemented in 2014. UAIC has objected to the archaeological data recovery being carried out and has proposed that the entire archaeological assemblage recovered from the sites be considered human remains and associated grave goods. The tribe has requested that the archaeological assemblage not be subject to further analysis of any kind and should be turned over to the tribe for appropriate reburial. In response, the Corps has indicated that it is obliged, in order to comply with Section 106 of the National Historic Preservation Act (NHPA) and its implementing regulations, “Protection of Historic Properties” (36 CFR 800), to accomplish some aspects of the analysis associated with the data recovery agreed to for resolution of adverse effects to these archaeological sites. In considering this disagreement, the ACHP would like to offer a number of observations regarding the requirements of Section 106 as they relate to this undertaking, the importance of tribal concerns regarding the presence, significance, and treatment of human remains in archaeological sites, and the potential to use alternative mitigation to resolve adverse effects in cases like this.
A central issue in the dispute is the Corps’ belief that it is obligated to carry out data recovery in order to resolve the adverse effect of the undertaking because the archaeological sites have been determined eligible under Criterion D for inclusion in the National Register of Historic Places (National Register). As part of the Section 106 review, it is important that federal agencies consider carefully the criteria of eligibility that are applicable for each of the historic properties identified in the Area of Potential Effects (APE) of the undertaking. The significance and characteristics that make a historic property eligible under each criterion of eligibility should inform the federal agency’s assessment of effects and the consultation to develop appropriate resolution of adverse effects. A federal agency, however, is not required to ensure that the resolution of adverse effects specifically addresses each criterion of eligibility applicable for an historic property that is adversely affected; nor that it even specifically addresses each historic property adversely affected.
Rather, the appropriate resolution of adverse effects is that set of measures which consulting parties agree upon. Further, the ACHP’s Section 106 Archaeology Guidance (available online at www.achp.gov/archguide) clarifies that human remains, associated funerary objects, and the sites where they are found possess values beyond their importance as sources of information about the past. Thus, federal agencies should be aware that even when a property has been determined eligible for the National Register only under Criterion D, the special nature of burials, which are widely recognized in law and practice as having special qualities, may also possess a value to living groups that extends beyond the interests of archaeological research. Burial sites may be considered properties of traditional religious and cultural significance to Indian tribes or Native Hawaiian Organizations, which could make such sites eligible for the National Register under other criteria of eligibility in addition to Criterion D. Further, data recovery is not the only option to resolve adverse effects to an archaeological site found eligible under Criterion D. The ACHP is supportive of the use of reasonable alternative mitigation strategies that may not include archaeological data recovery and may not even focus directly on the historic properties that are affected or the locations or time periods represented by historic properties affected by an undertaking. This is particularly the case when alternative mitigation strategies are found to be appropriate by the consulting parties.
The UAIC, determined to be “Most Likely Descendent” (MLD) associated with the human remains by the California Native American Heritage Commission (NAHC), has concluded, based on oral history and ethno-historical information, that the burial practices of their ancestors often included cremation of the deceased with items of material culture that resulted in dispersal of fragmentary human remains and associated funerary objects throughout middens associated with their ancestral village sites. From the UAIC’s perspective, the entire archaeological assemblage from each archaeological site and the soil matrix should be considered burial related and the archaeological sites should be considered cemeteries. Accordingly, the UAIC have requested that the Corps return all human remains and the entire archaeological assemblage to the tribes without any analysis or further disturbance. The Corps has turned over approximately one-half of the archaeological assemblage, prior to analysis, from the excavated sites, consisting of the portion not found in excavation unit levels in which human remains have been identified as well as excavation unit levels above and below such levels. The Corps, however, believes that it is obligated to follow through on some level of analysis for the remaining portion of the archaeological assemblages from the data recovery excavations in order to resolve the adverse effects of the undertaking to those sites because they were determined eligible under Criterion D.
The ACHP’s “Policy Statement Regarding Treatment of Burial Sites, Human Remains, and Funerary Objects,” states that human remains should not be knowingly disturbed unless absolutely necessary. If circumstances require that they must be disturbed, the remains should be removed carefully, respectfully, and in a manner developed in consultation with the consulting parties, including those who ascribe significance to the remains. In a case such as this, when human remains and associated funerary objects are dispersed throughout midden remains, the recovery can become extremely difficult. In reaching decisions about appropriate treatment measures, federal agencies should weigh a variety of factors, including the significance of the historic property, its value and to whom, and associated costs and project schedules. Since mitigation decisions are reached through consultation and represent the broader public interest, they should be considered appropriate so long as they are legal, feasible, and practical. By considering alternatives to data recovery, the federal agencies can address how the community or the general public will benefit from the expenditure of public funds for preservation treatments.
At the request of UAIC, and as provided for by state law, following the issuance of an investigative report on March 19, 2015, and a public hearing on March 20, 2015, the NAHC has determined that a geographical area identified as the “Wollock Prehistoric Archaeological District and Cultural Landscape,” which includes the archaeological sites identified as post-review discoveries adversely affected by the FRWLP, constitutes a sanctified cemetery and associated resources as defined in Public Resources Code
(PRCC) Sections 5097.97, 5097.94(g), 5097.9. The NAHC has also determined that if an agreement regarding appropriate treatment and disposition of the human remains and associated funerary material pursuant to state law is not reached between the Corps, the project proponent, and the UAIC by April 6, 2015, the NAHC will proceed with seeking injunctive relief pursuant to PRCC 5097.94(g) and applicable statutes. It is apparent that the project proponent, the Sutter Butte Flood Control Agency (SBFCA), is a public agency carrying out a project on public land and thus subject to state law regarding treatment of human remains and the decisions of NAHC. The ACHP would like to remind the Corps that when human remains are encountered on non-federal or non-tribal land during review or implementation of projects subject to Section 106 review, the federal agencies involved should consider the obligations of project proponents under state law as well as their own obligations to comply with state law regarding the treatment and disposition of human remains.
It is clear that the FRWLP is a very important project intended to address public safety concerns, and its implementation should not be delayed unreasonably. We understand that the project proponent and the Corps do not believe that there are alternatives to the proposed methods for repairing and enhancing the levees that would enable avoidance of archaeological sites like the ones adversely affected in Contract C of the FRWLP. However, considering the significance of the sites to the UAIC and other tribes in the region, the Corps should reevaluate the alternatives for future phases of the project. Based on the information provided to us, a number of proposals for alternative mitigation in addition to or in place of data recovery have been considered including: (1) analysis of other archaeological site assemblages already in curation from nearby locations; (2) ethnohistoric/ethnographic study of these types of sites and their importance, to further clarify eligibility under other criteria; (3) development of future methods of identification and treatment for these types of sites that involve the tribes earlier and more directly in the review process. These are all reasonable proposals for resolving the adverse effect of the undertaking, which the Corps and consulting parties should give serious consideration to.
Finally, as the NAHC has suggested that all the archaeological sites determined to be adversely affected in Contract C of the FRWLP are part of a sanctified cemetery that extends throughout a proposed “Wollock Prehistoric Archaeological District and Cultural Landscape,” the ACHP encourages the Corps to consider focusing on a resolution of adverse effects that further explores the relationship of the archaeological sites in the APE for the undertaking to such a property, and the tribal beliefs and burial practices that are the foundation of such an extensive property. The Corps should consider the criteria of eligibility that may be applicable, and protocols that may be appropriate for treatment of archaeological sites containing human remains when they cannot be avoided during implementation of future phases of the undertaking.
Should you have any questions or wish to discuss this matter further, please contact John T. Eddins, PhD at 202-517-0211, or by e-mail at email@example.com.
Sincerely
Charlene Dwin Vaughn, AICP
Assistant Director
Federal Permitting, Licensing, and Assistance Section
Office of Federal Agency Programs
To Whom It May Concern,
Attached please find the Native American Heritage Commission's comments on the Bay Delta Conservation Plan/California WaterFix RDEIR/SDEIS in PDF form with an attachment that is incorporated by reference.
Yours very truly,
Terrie L. Robinson
Terrie L. Robinson
General Counsel
Native American Heritage Commission
1550 Harbor Blvd, Suite 100
West Sacramento, CA 95691
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Please accept this comment letter submitted on behalf of Friant Water Authority.
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October 30, 2015
Via Electronic and First Class Mail
BDCP/California WaterFix Comments
P.O. Box 1919
Sacramento, CA 95812
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Re: Friant Water Authority’s comments on the Recirculated Draft EIR/EIS for the Bay Delta Conservation Plan.
Dear Sir/Madam:
Friant Water Authority (“Friant”) appreciates the opportunity to comment, on behalf of itself and its 14 member agencies, on the Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement (“Current Draft” or “RDEIR/SDEIS”) for the proposed Bay Delta Conservation Plan (“BDCP” or “Project” or “Plan”).
I. Introduction
Friant recognizes the need for water supply stability in California, as well as a comprehensive plan to manage and restore the Delta ecosystem. Unfortunately, however, the Cal Water Fix Project as described in the environmental documents does not improve water supply reliability as this State so desperately needs. Friant previously commented on the draft EIR/EIS and outlined the serious flaws contained in the Plan itself as well as the environmental analysis.\(^1\) Friant recognizes the enormous task that the Department of Water Resources (“DWR”) and the Bureau of Reclamation (“Reclamation”) (collectively, the “Lead Agencies”) have undertaken in attempting the Project, and appreciates that the DWR recognized that the earlier EIR/EIS (“Prior Draft”) required significant revisions. However, the Current Draft does not address any of the issues on which Friant previously commented. Instead, the division of the Project into two separate efforts – the “California
\(^1\) See letter dated July 29, 2014, from Alston & Bird, LLP, on behalf of Friant.
WaterFix\(^2\) and the “EcoRestore”\(^3\) – introduces a set of new problems and issues that are not sufficiently analyzed in the Current Draft.
The BDCP is being prepared to allow Reclamation and the DWR to obtain incidental take permits under the California and Federal Endangered Species Acts (collectively, “C/ESA”). To implement the BDCP’s stated “coequal goals” of increasing water supply reliability and restoring the Delta ecosystem, the BDCP requires take coverage for its “covered activities.” (BDCP, Sec. 4.2.) The Prior Draft identified the preferred alternative as Alternative 4, a “conservation measure” that would have involved the construction of massive new water conveyances in the form of 35-mile long tunnels under the Delta and ancillary infrastructure. (BDCP, Sec. 22.214.171.124.) Now, however, the Current Draft identifies a new preferred alternative: Alternative 4A. Because 4A differs so significantly from the Prior Draft, the environmental review is essentially of an entirely different project. Accordingly, the Lead Agencies must undertake a full and thorough review of the environmental impacts of Alternative 4A, and should not limit themselves to recirculating only a portion of the Draft EIR/EIS.
As described in greater detail below, the Current Draft is legally infeasible because it violates applicable water laws. The newly segmented Project, consisting of the WaterFix tunnel construction on the one hand and the scaled down restoration project dubbed EcoRestore on the other, further confuses the project description and hinders the environmental analysis. Biological impacts are worsened by this project segmentation. Additionally, the alternatives analysis, which considers no alternatives to the tunnels, is inadequate under CEQA, NEPA and the Delta Reform Act.
Friant is optimistic that many of these issues can be remedied by the development of realistic Project description, further revisions to the DEIR/DEIS, and a willingness to look at a broader range of alternatives. Regrettably, however, Friant cannot support the Project as it is described and analyzed in the Current Draft.
II. **The Unstable Project Description Results in Piecemealing, Undermining of Project Objectives, and Vague Impacts Analysis.**
A. **The Project’s Two Components Hinder Analysis.**
Alternative 4A, the preferred alternative, splits the Project into two new components which separate the conveyance facility and habitat restoration measures into two separate efforts: California WaterFix and California EcoRestore. “California WaterFix” envisions a new intake scenario in the North Delta. An undefined group of water contractors supposedly would fund the new conveyance system and associated mitigation. While the Current Draft suggests that Alternative 4A reduces footprint and
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\(^2\) www.californiawaterfix.com
\(^3\) www.resources.ca.gov/ecorestore
construction issues related to the conveyance system significantly, it does nothing to improve water supply or reliability. The “EcoRestore” component results in much less habitat restoration than Prior Draft. It envisions a 5-year plan to purportedly restore more than 30,000 acres of Delta habitat, but in reality only commits to restoring approximately 15,600 acres.\(^4\)
The Current Draft considers a new regulatory approach to biological resource issues. Previously, under the BDCP, restoration was to have been undertaken pursuant to Section 10 of the Federal Endangered Species Act (ESA), with implementation of a NCCP under the state regulatory scheme. Now, however, the Project anticipates proceeding under Section 7 of the ESA and obtaining a section 2081 permit under the state permitting scheme. The effect of this change is that take assurances are less certain under the Current Draft. Considering the Lead Agencies’ statement that they are also no longer seeking 50-year coverage for potential take, there is significant uncertainty connected to take coverage required by the Project. The potential impacts of this uncertainty with respect to biological resources are discussed in greater detail below, but the uncertainty is a direct result of the unstable project description.
As with the Prior Draft, the Current Draft fails to accurately describe the Project. “An accurate, stable and finite project description is the *sine qua non* of an informative and legally sufficient EIR.”\(^5\) The project description purports to describe the entire Project. However, the approach to Delta restoration has changed so significantly between the Prior and Current Drafts, without appropriate revision of all sections of the Prior Draft despite the fact that the Project no longer proposes a conservation plan, that determining what is part of the Project and what is no longer part of the Project is nearly impossible. Portions of the prior document are incorporated by reference, but it is unclear to the reader which portions of the prior Project description have been superseded and which are still valid. Since the description of the Project’s features is so difficult to discern, the Project’s potential impacts likewise cannot be determined.
B. Separate Project Components Leads to Piecemealing.
Additionally, by splitting the Project into separate components and analyzing the impacts accordingly, the Current Draft improperly segments the environmental review. This is particularly true as the Water Fix and EcoRestore projects proceed down separate permitting paths. The Lead Agencies have already applied for a permit with the Army Corps Engineers (“Corps”) to begin construction of the California WaterFix component. In theory, the granting of that permit would rely for its environmental review on the certified EIR/EIS for the Waterfix. However, in reality, the analysis of the permit impacts
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\(^4\) See July 13, 2015 media call with DWR director Mark Cowin (unofficial transcript available at: http://mavensnotebook.com/2015/07/13/media-call-director-mark-cowin-on-the-revised-environmental-documents-for-california-water-fix/).
\(^5\) *County of Inyo v. City of Los Angeles*, 71 Cal. App. 3d 185, 192 (1977).
will not fully take into account all of the information that should be part of a final EIR/EIS, given the timing.
For example, the public comment period on the Corps permit ends less than two weeks after the comment period on this Current Draft. Because members of the public – including agencies and stakeholder groups – will not have the benefit of reviewing a final EIR/EIS, complete with responses to comments and other relevant information the Lead Agencies may provide, it will be exceedingly difficult to comment meaningfully on the Corps permitting process. By accelerating the WaterFix component of the Project, the Lead Agencies are not only acting prematurely, but they are foreclosing meaningful public participation in another arena. Under CEQA, the “whole of the project” includes subsequent permitting actions, like the Corps permit, and the Lead Agencies cannot improperly segment the Project in a way that prevents the public and decision-makers from fully understanding the impacts of the Project. Nonetheless, that is precisely what the Lead Agencies are doing by seeking the Corps permit.\(^6\)
C. Project Impacts are Obscured by a Vague Project Description.
The vague Project description also means that details necessary to understanding Project impacts are not provided. For instance, although the Project provides a general description of how the new intakes will operate, the level of specificity is inadequate to inform the public and decision-makers when, at what rates, and how, exactly, the water will flow through the tunnels. The modeling conducted for the Prior Draft, which was deeply flawed,\(^7\) has not been adequately updated to account for the new Project. Because an engineering undertaking of this magnitude has never been attempted, an accurate model is absolutely critical. Without an accurate model, it is not possible to determine and assess the impacts of an operating plan. Without an accurate operating plan, the environmental analysis cannot consider reasonable alternatives to the Project, analyze and allocate costs, or assess program or project-level impacts.
In addition to inaccurate or misleading modeling of the WaterFix, the new EcoRestore component drastically reduces the habitat restoration to be undertaken pursuant to the Project. In the Prior Draft, the Project proposed restoring approximately 100,000 acres. Now, however, the restoration component of the Project only encompasses 30,000 acres. Between the 40 percent increase in construction time and the two-thirds reduction of habitat restoration, the Project in the Current Draft is almost unrecognizable from that in the Prior Draft – except for the ever-present component of
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\(^6\) Similarly, although the Lead Agencies’ petition to the SWRCB for a change in water rights is currently proceeding under a longer timeframe, the danger of precluding meaningful public review exists there as well, depending on the completion and adequacy of the EIR/EIS.
\(^7\) See Friant’s comment letter on the Prior Draft; the same concerns are reiterated here for the record. Additionally, given that there has not been thorough or accurate modeling of Alternative 4A, similar flaws are likely to exist, including erroneous baseline conditions and flawed assumptions on which the model is based.
the tunnels, as discussed in greater detail in the alternatives section below. This reduced habitat restoration is inadequate to offset environmental harm from construction of the twin tunnels. And yet the Lead Agencies continue to accelerate the WaterFix component. The WaterFix permitting should proceed at a pace which allows for sufficient monitoring to assess the effectiveness of habitat restoration measures, which will need to extend beyond the initial permitting period. Without doing so, it is impossible to evaluate the effectiveness of the proposed conservation measures.
III. **The Current Draft is Legally Infeasible Because It Violates Water Rights.**
The Current Draft does not remedy, nor even address, the fundamental issue of whether the Project is even legally feasible in light of the infringement on water rights held by various stakeholders, including Friant. Friant’s member agencies have been determined to be legal users of the water the Central Valley Project delivers to the Friant Division. The priorities of these water rights have been interpreted by the courts and cannot merely be “readjusted” by the Lead Agencies without regard to the impact those actions would have on the existing legal users of that water. Nonetheless, that is what would happen if the California WaterFix proceeds as currently planned. The tunnels planned under both the Prior Draft and the Current Draft incorporate complex changes to water flow and diversions by making changes to the operations of the Central Valley Project (“CVP”) and State Water Project (“SWP”). Friant has raised this issue several times in the past,\(^8\) but the Project continues to proceed without regard to water rights and the injuries to legal users of water within the Friant Division.
In fact, the Lead Agencies have not only taken steps to accelerate the Project with its infringing components, but they have admitted through their actions that the Project and Current Draft would, at present, violate existing water rights. On August 25, 2015 the Lead Agencies jointly submitted to the State Water Resources Control Board (“SWRCB”) a petition “for a change to the water rights necessary to allow for the implementation of key components of the State's ‘California WaterFix’ program.”\(^9\) While the petition ostensibly concerns only those water rights held by the Lead Agencies, these changes implicate numerous water rights holders and legal users of water delivered by the CVP and the SWP. The proceedings to change water rights take time, and often invite litigation. Here, the SWRCB does not anticipate holding a hearing on the petition until approximately April 2016.\(^{10}\) (In fact, representatives of DWR have indicated that
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\(^8\) See Friant’s comment letter, Attachment B, Memorandum to Donald R. Glaser (Reclamation) from Jennifer Buckman, Esq. (Friant), re BDCP Issues and Concerns, dated November 30, 2012.
\(^9\) Available at http://www.waterboards.ca.gov/waterrights/water_issues/programs/bay_delta/california_waterfix/docs/ca_waterfix_petition.pdf (last accessed October 18, 2015).
\(^{10}\) See http://www.swrcb.ca.gov/waterrights/water_issues/programs/bay_delta/california_waterfix/change_petition_updates.shtml (last accessed October 18, 2015).
they expect the SWRCB will act on the petitions without even going through the protest procedure that is normally part of the application for a change in water rights.) The Current Draft, like the Prior Draft, makes bold assumptions about the Project’s ability to simply reallocate long-established water rights priorities, regardless of the impact on legal users of water. While the public may be better informed of the water rights issues by the conclusion of the SWRCB hearing, that hearing alone is not likely to resolve outstanding water rights infringements if the Project proceeds as written.
BDCP violates California water rights laws, and the priority of the Friant Division contractors in particular, as it has been adjudicated by the courts. In so doing, the BDCP not only undermines its stated purpose of improving water supply reliability, but it is simply illegal and cannot proceed as written. Friant reiterates all of the issues and concerns it previously brought to the Lead Agencies’ attention in its prior correspondence, and urges the Lead Agencies to substantially revise the Project so that it will not illegally infringe on established water rights.
IV. The Significant Changes to the DEIR/DEIS Require Complete Recirculation.
Given the significant changes made to the Project, partial recirculation of the document is improper here. If the revisions or additions triggering the need for recirculation are limited to a few chapters or portions of the EIR, the lead agency need not recirculate the entire final report. It may instead circulate only the chapters or portions of the EIR that have been modified. 14 Cal Code Regs §15088.5(c); Vineyard Area Citizens for Responsible Growth v City of Rancho Cordova (2007) 40 Cal.4th 412, 449. That is not the case here. As described below, the changes are so fundamental, and so extensive, that the entire document should have been revised and recirculated.
As discussed in greater detail above the Project Description, in the guise of Alternative 4A, has changed so fundamentally that it is likely to affect every chapter of the EIR/EIS. However, not every chapter was revised, suggesting that the Lead Agencies did not do a sufficiently thorough inquiry into the potential impacts of Alternative 4A. The Project also now anticipates a construction period of 14 years instead of the 10 years described in the Prior Draft. This is 40 percent longer, and the impacts are likely to increase in all areas accordingly.
While much of the scientific analysis that has gone into the Prior Draft is no doubt relevant to the analysis of Alternative 4A, the changes are significant enough that each chapter of the DEIR/DEIS should be revised and recirculated.
For example, Chapter 2 – Project Objectives – was not revised in light of the new preferred alternative – even though the preferred alternative splits the previously described BDCP Project into two and eliminates the conservation plan aspect entirely.
CEQA requires a “statement of the objectives sought by the proposed project.”\(^{11}\) Similarly, NEPA requires that an EIS include a statement of “purpose and need” to which the federal agency is responding in proposing the alternatives, including the proposed action.\(^{12}\) In the Current Draft, a fundamental component of Alternative 4A is that, under this alternative, the Lead Agencies do not seek a 50-year permit for a Habitat Conservation Plan (“HCP”)/Natural Communities Conservation Plan (“NCCP”). Considering that both the Project objectives, and the purpose and need, in Chapter 2 included furthering the coequal goals of increasing water supply reliability \textit{and} restoring the Delta ecosystem,\(^{13}\) the decision not to seek a 50-year permit either does not meet Project objectives, or the Project objectives have changed. The failure to update the Project objectives to reflect the very significant changes to the proposed Project suggests that the two components of Project do not, in fact, have independent utility and cannot proceed independently of each other – which means that the division of the Project is impermissible piecemealing. For all these reasons, the Project Objectives section of the document is vague and misleading and should be thoroughly revised to reflect the changes in the Project Description since the BDCP Draft.
Additionally, Chapter 29 – Climate Change – was not revised at all, despite the fact that construction under the Current Draft has increased by 40 percent. While climate change was addressed in other chapters of the Prior Draft, Chapter 29 specifically addressed the question of how BDCP alternatives would affect the resiliency and adaptability of the Plan Area (the area 37 covered by the BDCP) to the effects of climate change.\(^{14}\) The chapter specifically discussed the purported benefits of the Prior Draft’s alternatives in the face of expected climate change. Given that the Current Draft now includes three additional alternatives, one of which is the Project, the climate change analysis is now incomplete and misleading. While the climate change analysis is not required by CEQA or NEPA, where it is included, the analysis cannot be misleading.\(^{15}\)
Chapter 4 - Approach to the Environmental Analysis – should also have been revised and recirculated. This chapter discusses project versus program level analysis; alternatives; and tools and analytical methods, including modeling. Friant has commented extensively on the flaws in the Prior Draft’s modeling. An updated and revised Chapter 4 should be included in the Current Draft. Many of the other chapters that have, in fact, been revised, barely touch on the new alternatives, including the new Project. Section 2
\(^{11}\) 14 Cal. Code Regs. § 15124(b).
\(^{12}\) 40 CFR 1502.13.
\(^{13}\) DEIR/DEIS at 2-1 to 2-2.
\(^{14}\) DEIR/DEIS at 29-1.
\(^{15}\) Hughes River Watershed Conservancy v. Glickman (4th Cir. 1996) 81 F.3d 437, 446-48 (“it is essential that the EIS not be based on misleading economic assumptions”); Johnston v. Davis (10th Cir. 1983) 698 F.2d 1088, 1094-95 (disapproving of misleading statements resulting in “an unreasonable comparison of alternatives” in an EIS).
of the Current Draft purports to summarize the substantive changes to the EIR based on analysis of the new alternatives. However, by separating analysis of the new alternatives from the previously examined alternatives, the Current Draft hinders a clear comparison of the alternatives. Furthermore, since the EcoRestore portion of the Prior Project has been removed from the Project Description, it is no longer appropriate to rely on the unrevised project objectives of the Prior Draft to eliminate alternatives to the proposed Cal Water Fix Project. At minimum, all of these chapters should be revised to specifically address potential impacts of Alternative 4A.
Failure to adequately analyze each chapter of the DEIR/DEIS in light of the significant changes to the Project also results in impermissible piecemealing of the Project.\(^{16}\) For purposes of CEQA coverage, a “project” is defined as comprising “the whole of an action” that has the potential to result in a direct or reasonably foreseeable indirect physical change to the environment.\(^{17}\) Even where, as here, a project requires multiple approvals prior to implementation, a lead agency must evaluate the impacts of the ultimate development authorized by that approval. This prevents agencies from considering a larger project in only discrete individual portions, each with a minimal impact on the environment, to avoid full environmental disclosure.\(^{18}\) Here, failure to recognize the pervasive changes to the Project has the effect of piecemealing and segmenting the Project.
V. The Alternatives Analysis is Inadequate and Must be Revised.
Alternatives are crucially important in this Project. Indeed, even after years of environmental analysis (for which an outrageous $248 million supposedly has been charged to the Project proponents) and a recirculated DEIR/DEIS, new alternatives are emerging, and one of these new alternatives has been selected as the new Project. Friant has commented extensively on the Prior Draft’s alternatives analysis, and the Current Draft does not allay Friant’s earlier concerns. First, the project description has continued to shift, as evidenced by the selection of a new \textit{and significantly different} alternative as the Project. The shifting project description makes it difficult to select meaningful alternatives to the Project for analysis. Second, the alternatives evaluated in both the Prior and Current Drafts all include massive conveyance infrastructure in the form of the tunnels. Given the stated objectives and need for the Project, the analysis should have considered alternatives that could feasibly improve water supply reliability and the Delta ecosystem without undertaking a massive and expensive engineering project premised on an as-yet untested biological hypothesis and an uncertain regulatory framework.
\(^{16}\) As discussed in greater detail below, the potential for piecemealing is further compounded by dividing the project into two separately pursued components: the “California Waterfix” and the “EcoRestore.”
\(^{17}\) 14 Cal. Code Regs §15378(a).
\(^{18}\) See 14 Cal Code Regs §15003(h); \textit{Bozung v LAFCO} (1975) 13 C3d 263, 283, 118 CR 249, superseded in part by statute as stated in \textit{California Unions for Reliable Energy v Mojave Desert Air Quality Mgmt. Dist.} (2009) 178 CA4th 1225, 1243 n8.
The alternatives analysis provided in the Current Draft does not meet the robust inquiries required by CEQA and NEPA. The CEQA alternatives analysis has been described as “the core of an EIR.”\(^{19}\) Under CEQA, an EIR must describe a reasonable range of alternatives to the proposed project that would feasibly attain most of the Project's basic objectives while reducing or avoiding any of its significant effects, and must evaluate the comparative merits of those alternatives.\(^{20}\) An EIR’s analysis of alternatives and mitigation measures must focus on those alternatives with the potential to avoid or lessen a project's significant environmental effects.\(^{21}\) The alternatives discussed in an EIR should be ones that offer substantial environmental advantages over the proposed Project.\(^{22}\)
Similarly, the NEPA alternatives analysis has been identified as the “heart of the environmental impact statement.”\(^{23}\) An EIS must look to the core goals of the project to define reasonable alternatives and cannot exclude reasonable alternatives simply because an applicant desires a project to have certain features.\(^{24}\)
Like the Prior Draft, the Current Draft does not consider any true alternatives to the tunnel construction. Of the sixteen alternatives included, all (except the No Action Alternative) are variations on the construction of massive water conveyance infrastructure: a through-Delta alternative, a canal option, and alternatives for intakes anywhere from 0 up to 5, different operating capacity from 3000 to 15,000 cfs, and variations on acreage of habitat restoration. Not one alternative considers innovative water conservation, stormwater capture, or water recycling projects as suggested in prior comments, which seem to have simply been ignored. Nor does the Recirculated EIR/S include any alternative with significant habitat restoration, even though the Project objectives have not been revised and habitat restoration in the Delta is still one of the identified Project objectives. Clearly, the applicant desires a project that includes the massive tunnel infrastructure, and the segmentation of the Project into a large tunnel component and a smaller restoration component suggests that construction of the tunnels is a top priority. However, NEPA requires consideration of a reasonable range of alternatives, and that range cannot be dictated or limited by a desired component such as the tunnels.
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\(^{19}\) *Citizens of Goleta Valley v Board of Supervisors* (1990) 52 Cal.3d 553, 564.
\(^{20}\) 14 Cal. Code Regs. §15126.6(a).
\(^{21}\) Pub. Resources Code §21002; 14 Cal. Code Regs. §15126.6(a)-(b).
\(^{22}\) *Citizens of Goleta Valley v. Board of Supervisors*, supra, 52 Cal.3d at 566. See also Friant’s comment letter on the Prior Draft, which provides examples of how an alternatives analysis could have proceeded under CEQA.
\(^{23}\) 40 C.F.R. Part 1502.14.
\(^{24}\) *Sierra Club v. Marsh* (1989) 714 F. Supp. 539, 577-78.
The Delta Reform Act states that “The policy of the State of California is to reduce reliance on the Delta in meeting California’s future water supply needs through a statewide strategy of investing in improved regional supplies, conservation, and water use efficiency.”\(^{25}\) The Act specifically requires the BDCP to include a comprehensive review and analysis of “[a] reasonable range of flow criteria, rates of diversion, and other operational criteria . . . necessary for recovering the Delta ecosystem and restoring fisheries under a reasonable range of hydrologic conditions, which will identify the remaining water available for export and other beneficial uses,”\(^{26}\) as well as a “reasonable range of Delta conveyance alternatives, including through-Delta,” and both “dual conveyance” and “isolated conveyance alternatives.”\(^{27}\) As numerous CVP contractors have repeatedly noted to the Lead Agencies, the Current Draft does not even include an actual operations plan to explain how the SWP and CVP would be operated with the proposed Project’s features in place. Thus, the Current Draft has not included any of the “operational criteria” under which the Project would be operated; those are left to be developed at some future time, after the Project facilities are built. *This is exactly the sort of uninformed agency decisionmaking that CEQA and NEPA were intended to prevent.* The Current Draft does not provide the required of analysis, in violation of CEQA, NEPA, and the Delta Reform Act.
Where, as here, “the information in the . . . EIS was so incomplete or misleading that the decisionmaker and the public could not make an informed comparison of the alternatives, revision of an EIS may be necessary to provide ‘a reasonable, good faith, and objective presentation of the subjects required by NEPA.’”\(^{28}\) The Delta Plan mandates co-equal goals of enhanced water supply and ecosystem restoration. At an estimated construction cost of $60 billion dollars (this is the updated cost figure included in the Current Draft), it is imperative to consider actual alternatives, not “straw man” alternatives. The Current Draft should have included a range of reasonable alternatives “sharply” defining the issues and providing a clear basis for choice among options required by 40 C.F.R. § 1502.14 instead of just variations on the same type of conveyance project. (For an example of the type of alternatives analysis a proposed water supply project should provide, please see the Davis-Woodland Water Supply Project EIR.) The Current Draft lacks this clarity of choice in its range of alternatives, and it should be further revised and recirculated in order to provide the public and decision-makers a clear, hard look at the Project and alternatives.
VI. **Biological Resources Will Be Unacceptably Adversely Impacted.**
\(^{25}\) Cal. Water Code § 85021.
\(^{26}\) Cal. Water Code § 85320(b)(2)(A).
\(^{27}\) Cal. Water Code § 85320(b)(2)(B).
\(^{28}\) *Animal Def. Council v. Hodel* (1988) 840 F.2d 1432, 1439 (quoting Johnston v. Davis, 698 F.2d 1088, 1095 (10th Cir.1983)), amended by 867 F.2d 1244 (9th Cir.1989).
The new Project still has major biological impacts which are unacceptable given the lack of reasonable alternatives considered. The segmentation of the Project into the WaterFix and EcoRestore components already results in a significant reduction of restored habitat, which is now only one-third of what the Project in the Prior Draft proposed.
The effects of less water south of Delta in dry years are already being felt by the species that rely on water delivered south of Delta, and/or cropland and farmland in the San Joaquin Valley, for their habitat. Earlier in 2015, the San Joaquin River hatchery was evacuated because insufficient water deliveries south of Delta reduced available Friant water supplies and drove the water temperatures above 70 degrees, levels considered lethal for salmonids.\(^{29}\) Other fisheries and hatcheries are facing similar threats.\(^{30}\) Likewise, terrestrial species south of Delta faced significant impacts due to the loss of orchards and farmland that provide habitat for them. In the community of Terra Bella alone, one-half of the planted trees have been lost in the last two years due to the CVP operations in 2014 and 2015. Decisions such as these have foreseeable results on burrowing owls and other birds of prey and terrestrial species that rely on this habitat. These impacts are likely to worsen under the Project because the Project anticipates that, during dry years, *even less water will reach south of Delta areas*.\(^{31}\) This is a function, in part, of the Project’s impermissible proposal to short senior water rights – and injure existing users of water – in dry years, in order to increase supplies for the CVP and SWP in wet years.\(^{32}\) One simple and feasible mitigation measure that the Project proponents could adopt to avoid these impacts is: “In implementing this Project and any operations plan developed under it, DWR and Reclamation shall not modify, amend or impair the rights and obligations of the parties to any existing water service, repayment, settlement, purchase, or exchange contract with the United States, including but not limited to the
\(^{29}\) Angelo Moreno, *Trout in trucks: Drought forces evacuation of San Joaquin Hatchery*, Fresno Bee, August 12, 2015 (available at: http://www.fresnobee.com/sports/outdoors/article30944496.html, last accessed October 19, 2015).
\(^{30}\) Evacuation of American River and Nimbus Fish Hatcheries also took place earlier this summer. See Dan Bachus, *Draining of Folsom Lake forces evacuation of American River and Nimbus Fish Hatcheries*, June 25, 2015 (available at: http://www.dailykos.com/story/2015/06/26/1396676/-Draining-of-Folsom-forces-evacuation-of-American-River-and-Nimbus-Fish-Hatcheries, last accessed October 19, 2015).
\(^{31}\) See, e.g., RDEIR/SDEIS at 4.3.7-98, admitting adverse impacts to the federally threatened spring-run Chinook salmon: “Under Alternative 4A (including climate change effects), there are flow and storage reductions, as well as temperature increases in the Sacramento River that would lead to biologically meaningful increases in egg mortality rates and overall reduced habitat conditions for spawning spring-run and egg incubation.” See also 4.3.7-296, conceding adverse impacts to green sturgeon, a species of special concern: “In general, Alternative 4A would reduce the quantity and quality of rearing habitat for larval and juvenile green sturgeon relative to Existing Conditions.”
\(^{32}\) It is not clear to Friant how the Lead Agencies can conclude that taking water from water users operating under senior water rights in dry years to increase supplies of junior water rights holders in wet years meets the Project objective of “improving water supply reliability.” Rather, this feature of the Project merely seems to redistribute the regulatory pain in a way that does not comply with California’s long-established law of prior appropriation.
obligations and commitments of the United States to utilize the water available from the Sacramento River and its tributaries or the Sacramento-San Joaquin Delta to first satisfy the requirements of the San Joaquin River Exchange Contract so long as it is legally and reasonably physically possible to satisfy these requirements and to not voluntarily impair the delivery of water from the Sacramento River and its tributaries or the Sacramento-San Joaquin Delta required to satisfy those requirements.” However, the Current Draft contains no such mitigation measure and makes no effort to mitigate the known water supply and other impacts that will occur in the Friant Division as a result of the Project. If the Lead Agencies take the time to consider a range of alternatives, or at least some mitigation measures, which avoid disturbing the south of Delta water rights priorities, impacts on south of Delta biological resources would likely be lessened as well.
Aside from the foreseeable impacts to species, the Project is also in danger of procedural violations of the ESA and NEPA. Approval of the WaterFix project would violate the procedural requirements of the ESA because Reclamation has not evaluated its proposed action “at the earliest possible time” to determine whether its action may affect listed species or critical habitat and has not entered into formal consultation with the United States Fish and Wildlife Service (“USFWS”) and the National Marine Fisheries Service (“NMFS”). Likewise, approval of the Project would violate the procedural requirements of NEPA because the BDCP Draft EIR/EIS and Water Fix RDEIR/SDEIS have not been prepared “concurrently with and integrated with” Biological Assessments and Biological Opinions required by the ESA. Again, the Biological Assessments and Biological Opinions, though required, do not exist, as acknowledged in the Current Draft. These Biological Assessments and Biological Opinions, are essential to any meaningful public review and comment on a project that is supposed to be responsive to sensitive species in the Delta, including declining fish populations. Completion of these documents is likewise crucial as the WaterFix proceeds with its permitting application at the Corps and petition to the SWRCB.
VII. Summary considerations
A. Certification of the RDEIR/SDEIS Would Violate Due Process.
“Due process principles require reasonable notice and opportunity to be heard before governmental deprivation of a significant property interest.” Friant’s members, as the recognized legal users of water rights potentially affected by the Project, are concerned that certification of the Current Draft, and approval of the Project, would violate their due process rights. It is apparent from the prior modeling the Friant water
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33 50 C.F.R. § 402.14.
34 40 C.F.R. § 1502.25 (a).
35 RDEIR/SDEIS at 1-15.
36 Horn v. County of Ventura (1979) 24 Cal 3d 605, 612.
users’ rights would be injured by the Project’s operations in dry years. However, the project description and environmental analysis are so vague, with significant components deferred to the final document, that Friant has insufficient notice of how, exactly, its members’ property interests would be infringed upon by the Project. A realistic project description including an operations plan must be developed, then the modeling must be updated, the Current Draft significantly revised, and water rights and other applicable laws accorded appropriate respect, in order to avoid a potential due process violation upon approval of the Project.
B. The Comment Period Should Be Extended.
Finally, while Friant is grateful for the initial extension of the comment period to October 30, 2015, we join the group of California congressional representatives and other interested parties in requesting that the comment period be extended by 60 days until at least until January 2016.\(^{37}\) The current draft adds more than 8,000 pages of analysis, and thoroughly reviewing the new material requires revisiting much of the original 40,000 pages. Extending the comment period would allow the public to conduct a more informed review.
Friant appreciates the opportunity to comment on the RDEIR/SDEIS. However, given the continued potential for adverse impacts on the Friant water users, Friant is, regrettably, unable to support the Project. Friant respectfully requests that the Lead Agencies take the necessary time to reevaluate and significantly revise the both the Project description and this RDEIR/SDEIS so that we can continue to work productively and cooperatively towards improving water supplies for users who are dependent upon water diverted at the Delta.
Sincerely,
Maureen F. Gorsen
Alston & Bird LLP
\(^{37}\) See letter dated September 11, 2015 signed by various representatives of the California Congressional delegation. The California Natural Resources Agency responded on October 6, 2015 that the comment period would not be extended; nonetheless, we hope that the Lead Agencies will reconsider extending the comment period.
BDCP/California WaterFix Comments
October 30, 2015
Page 14 |
UNIT 12 EPIDEMICS
Structure
12.0 Objectives
12.1 Introduction
12.2 Meaning and Types
12.3 Characteristics and Causes
12.4 Vulnerability
12.5 Safety Measures
12.6 Effects
12.7 Let Us Sum Up
12.8 Key Words
12.9 References
12.0 OBJECTIVES
After studying this Unit, you should be able to:
- define epidemics
- explain an epidemic situation and describe the types of epidemics
- list the cause and characteristics of an epidemic
- outline the safety measures for control and management of epidemics.
12.1 INTRODUCTION
Epidemics of water and food borne diseases are common and occur from time to time. Measles and influenza are other diseases that generally show marked seasonal and annual variations in incidence. Even non-communicable diseases like cancer, goiter, blindness, heart diseases, and mental sickness are also acquiring epidemic proportions.
Epidemics often occur in the community. They happen in different ways but during disasters there are greater chances of their occurrence. It requires to follow a reasonably systematic approach in order to manage them. It is necessary to follow an orderly sequence for effective management and control of an epidemic. However, the approach has to be disease specific and procedures may vary according to local circumstances about the disease, previous levels of occurrence, and population at risk. It becomes essential to find the cause of the epidemic and plan to institute measures to control by attacking the source, interrupting transmission and protecting susceptible population. In this Unit, you would learn what constitutes an epidemic, types of epidemics, their causes and the safety measures required during epidemics.
12.2 MEANING & TYPES
Let us consider what constitutes an epidemic. Epidemic is a derivation of two Greek words epic (upon/among) and demos (people). It is the 'unusual' occurrence in a community or region of a disease specific health related events "clearly in excess" of the "expected occurrence". Thus, any disease, which occurs in numbers more than the expected occurrence, constitutes an epidemic. It includes heart diseases, or even psychosomatic disorders. Health affecting lifestyle like smoking, drug addiction and health related events like accidents also fall into the category of epidemics. But during disasters we are more concerned about the epidemics of communicable diseases.
Having learnt that epidemic is the occurrence of a particular disease in unexpected numbers, you must be thinking that how to define the 'expected occurrence'. There is no designated standard number for the expected occurrence of a disease. It varies from place to place, and region to region. A few hundred cases of a particular disease at one place can be called as the expected occurrence of the disease in that area, if this disease is common there. On the contrary where the disease is non-existent, the expected occurrence shall be zero and in this case even a single case of that disease will be termed as epidemic. So the basis of defining an epidemic is the defining of usual prevalence of the disease in that area and this usual prevalence is called endemicity.
Let us take the example of small pox. Twenty five years ago, small pox was quite common in our country. It was thus an endemic disease. Now it has been eradicated not only from the country but the world for that matter. It is no more an endemic disease. The expected occurrence of small pox is zero. A single case of smallpox will, therefore, be clearly in excess of the expected occurrence and hence would be now considered as an epidemic of smallpox. So a disease, which was endemic once, may cease to be so and a single case may be taken as an epidemic.
**How disease occurs?**
In order to understand the occurrence of diseases in more than the expected number and why there are greater chances of spread of an epidemic during a disaster we need to understand how diseases occur.
Diseases occur as a result of interaction between an agent, a host and the environment. Under normal conditions, there is a stage of equilibrium among these but in unfavourable conditions this equilibrium gets disturbed and diseases occur in human body.
Let us understand the terms host and environment before we learn about causes and characteristics of an epidemic.
**Agent**
A disease 'agent' is defined as a substance living or non-living the excessive presence or relative lack of which may initiate the disease process in man. Example of living agents are: bacteria, viruses, fungi and protozoan whereas nonliving agents are nutrients, chemical substances and physical forces such as heat, cold and pressure.
**Host**
Host is the organism in which diseases occur and for us man is considered as host for all practical purposes. A number of host factors such as age, sex, nutritional status and socio-economic factors are responsible for occurrence of diseases. In epidemiological terms, man is also defined as the 'soil' and disease agent as 'seed'.
**Environment**
Environment is a set of conditions under which human beings live and can be defined as "all that which is external to individual human host living or non-living and with which he is in constant interaction". This includes all of man's external surroundings such as, air, water and sanitation.
Types of Epidemics
As already mentioned, epidemics generally follow a pattern depending on the geographical and environmental conditions, the distribution and characteristics of the host population, and their socio-cultural behaviour. If there is no intervention or change in these conditions, those epidemics tend to repeat themselves. Therefore, knowledge about various types of epidemics and the conditions under which they occur can be of help in managing them.
The various types of epidemics that normally occur are described given below:
i) Common Source Epidemics
These epidemics originate from a single source of infection or the disease producing agent. There are two types of common source epidemics:
a) Point source or single exposure epidemics
In this type of epidemic the disease agent responsible for spread of diseases is exposed to susceptible population at one point of time and only once. A very good example of this type of epidemic is occurrence of food poisoning due to consumption of contaminated food in a feast. In this type of epidemic there is a sudden rise of cases which decline equally fast.
b) Continuous or multiple exposure epidemics
In this type of epidemic, the source of infection is continuous and such epidemics will not cease to exist unless the source is removed. A well with contaminated water becomes a regular source of infection to the people using it and the epidemic may continue until the water is treated and made safe. Similarly a cook who is a disease carrier may keep on infecting the diners in the restaurant till he is treated and made non-infectious.
ii) Propagated Epidemics
A propagated epidemic is generally of infectious origin and results from person to person transmission of disease agents. The epidemic shows a gradual rise and tapers down slowly over a period of time. Transmission continues until there are no susceptible individuals. Such epidemics are more likely where large number of susceptible individuals gather as in fairs and festivals.
iii) Seasonal Epidemics
Certain diseases such as influenza and pneumonia are more common during winter season where as diarrhoea diseases are more during summer and rainy seasons. The epidemics which occur in particular season are known as seasonal epidemics.
iv) Cyclical Epidemics
Some epidemics tend to occur in cycles which may repeat over a period of time which may be days, weeks, months or years. An example of this type of epidemic is measles epidemic which tends to occur in a cycle of 2-3 years.
(v) Epidemic of Non-communicable Diseases
With the advances in science and technology, the changing life styles have led to a living pattern which is sedentary and affluent with little physical activity. This has resulted in a marked rise in diseases like hypertension, heart diseases, diabetes and mental diseases. The non-communicable diseases have acquired epidemic proportions in recent times.
Check Your Progress Exercise 1
Note: i) Use the space below for your answer.
ii) Check your answer with those given at the end of the Unit.
1) Fill in the blanks.
a) Occurrence of a disease in numbers more than expected is called .......................
b) Usual occurrence of a disease in a community throughout is called .......................
c) Diseases occur as a result of interaction between ....................... and .....................
2) Tick the most suitable or correct answer.
i) Epidemic is defined as occurrence of a disease.
a) In large number
b) In small number
c) In unusually large number
ii) Which of the following diseases can cause epidemic
a) Communicable
b) Non-communicable
c) Both of the above
iii) A disease agent which is responsible for causing a disease is
a) micro-organism such as bacteria and viruses
b) chemical substance and physical forces
c) all of the above
12.3 CHARACTERISTICS AND CAUSES
Characteristics:
By now you know what is an epidemic and its various types. All epidemics have the following common features:
i) An unexpected number of cases of particular disease occur at a particular point of time affecting large segment of population.
ii) Generally confined to a definite population or geographical area and hence geographic patterns provide us important sources of clues about the causes of diseases.
iii) Usually have a common source of infection. For containment of epidemics, it is important to identify the source of infection so that the appropriate measures can be adopted to eliminate the common source of infection in order to prevent further spread of epidemic.
iv) Epidemics generally tend to follow a pattern and repeat periodically when the conditions are favourable again.
v) The way an epidemic presents itself in the community depends upon the distribution and characteristics of people living in that area, their social pattern, their cultural behaviour and the various environmental factors.
Causes:
Earlier you learnt that the agent, host and environment are in constant interaction and that a disease is caused by disturbance of equilibrium between agent, host and environment. The disease assumes epidemiological proportions when the environmental conditions are favourable for the disease agent and unfavourable conditions exist for man. You must have observed disasters like wars, famine, floods and earthquakes are followed by epidemics of infectious diseases. Why does this happen? It happens because after the disaster, the favourable conditions for occurrence of an epidemic sets in. There is no specific or a particular cause which is responsible for occurrence of epidemic but various factors complementing and supplementing each other are responsible for occurrence of epidemics. The following factors favour occurrence of epidemics after disasters.
i) Temporary Population Settlements
Rehabilitation operations that follow a disaster are usually set up in crowded temporary camps or settlements. Provision of safe drinking water, sanitation and other basic services often lack at these places. This results in a rise in the incidence of infectious diseases like dysentery, measles, whooping cough, tuberculosis, scabies and other skin diseases.
ii) Pre-existent Diseases in the Population
The diseases already occurring in the area are most likely to emerge as epidemics when the area is struck by a disaster. An epidemic of non-existent disease in that area is unlikely to be seen after such disasters.
iii) Ecological Changes
During natural disaster like floods and cyclones, ecological changes occur. It causes increase in the breeding sites for mosquitoes. This results in an increase in the cases of malaria. Open defecating and decay and decomposition of organic material increases insect breeding and thereby increases the transmission of diseases like conjunctivitis, diarrhoea, dysentery, enterovirus infections, and parasitic diseases.
iv) Resistance Potential of the Host
The nutritional and immunisation status of the host population determines to a large extent its susceptibility to communicable disease. Children with poor nutrition are more likely to get infected with communicable disease and the incidence of measles, whooping cough, diphtheria and tuberculosis is likely to be higher if they are not immunised earlier.
v) Damage to Public Utility and Interruption of Public Health Services
Public utility services like water supply and sewage if damaged may cause large scale contamination and subsequent introduction of diseases in the population. Interruption of ongoing health programmes in the area may also lead to resurgence of diseases.
Check Your Progress Exercise 2
Note: i) Use the space below for your answer.
ii) Check your answer with those given at the end of the Unit.
1) Which of the following is true or false:
a) Epidemics have usually common source of infection.
b) After the natural disasters the conditions are favourable for occurrence of an epidemic.
c) Occurrence of a disease in large number throughout the year in a community is called epidemic.
d) For every epidemic there is a definite cause.
e) Ecological changes during natural disasters can initiate are epidemic of communicable diseases.
2) Fill in the blanks
a) Epidemics are usually confined to a defined ..........................................
b) During disasters, .................... diseases are likely to present as epidemics.
c) Children with poor nutrition are more likely to get infected with ...................... such as ....................... if they are not immunized earlier.
12.4 VULNERABILITY
It is a common experience that some individuals have health problems or diseases more frequently than the others and that all individuals in a community do not have equal chance of acquiring a disease; some have more and some have less. Depending upon the probability of occurrence of diseases the population can be grouped into low risk, moderate risk and high risk groups. The same is also applicable during disasters and epidemics.
The infants, poorly nourished children and elderly people are more vulnerable to acquire infectious diseases during epidemics and disasters. Similarly, women in the reproductive age group, specially pregnant and lactating women, are more prone to get diseases. Persons living in rural areas and slums and those living in overcrowded situations are more vulnerable as compared to those living in cleaner houses in urban areas. Poor environmental sanitation, inaccessibility to safe drinking water and industrial pollution also contribute towards vulnerability to diseases. Various socio-cultural factors, such as, hygiene, literacy, income, social habits, customs, and lifestyles determine the vulnerability of population to disease. The susceptible individuals who are more prone to acquire the infections, constitute vulnerable groups in the communities.
12.5 SAFETY MEASURES
Epidemics affect large number of persons in a community when favourable conditions are present for the spread of an epidemic. If one understands the basic principles of epidemiology, these epidemics can be prevented by adopting certain safety measures.
Let us see what those precautions or safety measures are:
i) Predictability
By having a knowledge about the frequency and distribution of health problems, clues are obtained which promote understanding of diseases.
leading to timely and appropriate intervention for prevention. Early warning on the basis of the available data helps in reducing the severity of an epidemic. By improving the sanitary conditions, the spread of disease can be slowed or even halted. Proper cleanliness measures, proper disposal of solid waste and liquid waste will help in decreasing the breeding of flies and mosquitoes.
ii) Improvement of Immunity of Host
By improving the nutritional status and by mass vaccination programmes, the resistance of the individuals can be increased thereby checking the spread of an epidemic.
iii) Community Health Education
Community Health Education can help to halt epidemics by alerting individuals to the signs and symptoms of diseases and stressing the importance of reporting the cases to medical authorities. It is important to teach the methods that can be used to stop the spread of communicable diseases.
iv) Training
Training at different levels in emergency preparedness and response to epidemics can prove to be an effective safety measure. This should begin at the school and community levels. Non-government organization can play a very useful role in the effort.
12.6 EFFECTS
Direct Effects of Epidemics
Epidemics usually affect large number of individuals and can lead to complications including disabilities and death. There is always a possibility of existence of sufficient number of disease carriers who may favour the resurgence and spread of disease.
On seeing the sufferings and deaths especially within close relatives psychological effects are also common during epidemics.
Indirect Effects of Epidemics
i) Social and political disruption due to tension and law and order problems.
ii) Economic loss arising from lack of strength of cultivate.
iii) Scarcity of clean food and water leading to malnutrition and starvation.
Worsening of already poor sanitary conditions resulting in aggravation of epidemics.
Epidemic situations also worsen the already overburdened health services, as the scarce available resources have to be diverted for controlling and management of epidemics.
Check Your Progress Exercise 3
Note: i) Use the space below for your answer.
ii) Check your answer with those given at the end of the Unit.
1) List the factors which make individuals more vulnerable to infectious diseases.
2) List three safety measures for dealing with epidemics.
12.7 LET US SUM UP
In this Unit, you have learnt that a disease is caused by interaction of agent, host and environment. You also learnt what is an epidemic and what are the various types of epidemics. Subsequently, causes and characteristics of epidemics were described. Factors responsible for vulnerability of individuals to diseases and epidemics were explained. Finally you learnt about the various safety measures which can be adopted to avoid epidemics and the adverse effects which an epidemic will cause.
12.8 KEY WORDS
Communicable disease : A disease capable of passing on from one person to another thus spreading fast in the affected community
Endemicity : A condition or illness that is common among the people there.
Epidemiology : The study of the occurrence of diseases in human populations; the science of epidemics.
Psychosomatic : Physical disorder or illness caused or influenced by the persons emotional conditions.
12.9 REFERENCES AND FURTHER READINGS
Text Book of Preventive & Social Medicine, K. Park, M/s. Banarsidas Bhanot, Jabalpur.
Epidemiology: Principles & Methods, Macmohan B. and T.F. Pugh, Little Brown, Boston.
An Introduction to Epidemiology, Anderson M. Macmillan, London.
Manual of Epidemiology for District Health Management, WHO, Geneva.
12.10 ANSWERS TO CHECK YOUR PROGRESS EXERCISES
Check Your Progress 1
1) Your answers should include the following points:
- epidemic
- endemicity
- agent, a host environment
2) i) a
ii) c
iii) c
Check Your Progress Exercise 2
1) Your answer should include the following points
a) true
b) true
c) false
d) true
e) true
2) a) Population
b) Communicable
c) Communicable, diseases, tuberculosis
Check Your Progress Exercise 3
1) Your answer should include the following points
- Poorly nourished children, elderly people, women in the reproductive age group, pregnant and lactating women, people living in rural areas and slums and those living in overcrowded communities are vulnerable to epidemics.
- Poor environmental sanitation, inaccessibility to safe drinking water and industrial pollution also contribute towards vulnerability to infectious diseases.
2) Your answer should include following points
- Predictability
- Improvement of immunity of host
- Community Health Education |
The Controller’s Office conducted a limited scope audit of fiscal controls at the Los Angeles Police Department (LAPD). We conducted a limited payroll review, which entailed an analysis of hours worked, overtime and bonuses paid to a sample of LAPD civilian and sworn employees for a two-week period to ensure payments were properly supported. We also conducted a review of select bank accounts managed by your Department that are not controlled by the City Treasurer, and surprise cash counts at two locations, along with a review of controls related to those funds.
**Overall Results**
We found no issues with the Department’s payroll activities, as hours worked and bonuses paid to sampled employees were properly supported. We identified no significant cash shortages or overages, and transactions were properly authorized; however, the Fiscal Operations Division should provide stronger oversight and guidance of LAPD’s external bank accounts that are not controlled by the Office of Finance/City Treasurer.
**Department Response**
We provided a draft report to LAPD on January 11, 2018, and met with Department representatives on February 28, 2018. LAPD provided their formal response and action plan on March 23, 2018, which is attached to this report. Management indicated agreement with five of the seven recommendations, and we now consider Recommendations 1.2, 2.1, 2.2, 4.1 and 5.1 as Implemented. LAPD management disagreed with Recommendations 1.1 and 3.1 and consider the Department’s current practices as providing sufficient internal controls. In lieu of implementing these recommendations, management should ensure there is sufficient
oversight of the Pre-Seizure Fund and Inmate Welfare Fund accounts to protect these funds from loss and ensure proper use of the funds.
We appreciate the cooperation and assistance provided by LAPD management and staff during our audit.
**OBSERVATIONS**
**PAYROLL**
We conducted a payroll observation and testwork to validate the overtime hours worked, additional pay, and bonuses paid to 20 employees (18 sworn and 2 civilian staff) assigned to the Southeast Division. Our review sought to ensure that payees were valid and current employees, and that all overtime hours, additional pay, and bonuses were properly supported and approved by supervisors. Employees in the sample received overtime premium pay; underwater dive, marksmanship, and POST bonuses; acting pay adjustments; and uniform allowance(s). We found all payments were authorized and properly supported.
**EXTERNAL BANK ACCOUNTS**
The Department identified that it maintains 48 external bank accounts with cumulative balances totaling more than $3.9 million, which are not controlled by the Office of Finance/City Treasurer. In accordance with City policy, LAPD, through its Fiscal Operations Division (FOD) provides a certification of balances, along with bank reconciliations, to the Office of Finance on a quarterly basis. Cash held in external bank accounts is also reported to the Controller for inclusion in the City’s Consolidated Annual Financial Report (CAFR).
LAPD’s external bank accounts are used to maintain non-City monies that are intended for the benefit of others (e.g., Youth Program account) or until the proper disposition is determined (e.g., Pre-Seizure Fund for cash seized related to narcotics arrests). The Department has 32 Youth Program accounts and 16 accounts for other purposes. FOD provides oversight of the external bank accounts to ensure expenditures are supported by receipts and there are approved reconciliations by applicable supervisors and FOD. The reconciliations list all receipts received and expenditures paid during the month.
We selected a sample of five external bank accounts that carried large balances or had commonly used purposes, which accounted for $3.1 million of the $3.9 million cumulative total for all of the Department’s accounts. A description of the purpose and uses of the bank accounts examined follows:
1) The *Unclaimed Monies account* is used to hold and account for funds when a suspect is taken into custody. Evidence, including currency, is seized and it may belong to another party or deemed to actually belong to the suspect. Disbursements are made to the rightful owner based on the outcome of the suspect’s hearing.
2) The *Inmates’ (or Prisoners’) Welfare account* holds funds to be used for the care of individuals while in custody. Section 4025 of the California Penal Code describes the use and restriction of these funds\(^2\), which are received from commissions from bail bond advertisement boards and telephones located in the jails; and may be spent on items for detainees’ use and improvements to jail facilities such as blankets, newspapers, personal items, televisions, security cameras, etc.
3) Excess funds from the *Inmates’ Welfare account (#2, above)* were previously invested in a *Time Certificate of Deposit* (TCD); however, these matured and the funds were subsequently redeposited into the *Inmates’ Welfare* bank account.
4) The *Pre-Seizure Fund* is handled by the Asset Forfeiture Investigative Detail (AFID) and is used to temporarily hold monies seized during narcotics-related arrests until AFID detectives are notified by the L.A. County District Attorney if they will pursue a case. Depending on the case, funds are either forwarded to the L.A. County District Attorney pending a criminal prosecution, or the case is closed and funds are transferred to the property division for disbursement through the Unclaimed Monies account.
5) The *Youth Programs Unit account* provides outreach services to youth in the community. This is a fiduciary account managed by LAPD staff.
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\(^1\) “Inmate” or “Prisoner” is used in the report to be consistent with legal references regarding these monies and the Department’s bank account name. However, it should be understood that these terms refer to the detainees or arrestees who are held in custody by the LAPD for a limited time and the funds are used for the benefit of these individuals.
\(^2\) Reference to the Inmates’ Welfare Fund is included in Section 350.40 of the LAPD Police Manual.
who oversee youth programs (e.g., the LAPD Cadet program) and handle cash activity for youth programs. Receipts are donations or stipends earned by cadets performing services to the community (e.g., Dodger promotional giveaways) and are spent on refreshments and activities for the cadets.
Issues related to the need for improved controls relative to the use of external bank accounts are noted below.
**Observation #1:** Some checks from the Pre-Seizure Fund create an unnecessary fraud risk since the checks are made payable to “Cash” or an abbreviated payee name is used, such as USMS or LADA.
In reviewing the Pre-Seizure bank account, we noted a number of checks issued to “Cash” for funds seized in cases that did not meet prosecution standards and are due back to the arrestee from whom the funds were seized. These monies must be provided to the Property Division, which is responsible for returning the assets; however, instead of issuing a check for deposit into the Property Division’s bank account, the AFID issues a check to “Cash”, which is prohibited per Section 1.17 of the Controller’s Manual. The AFID detectives cash the check at a bank and transport the cash for the seized monies back to the Property Division, which is unnecessary, time-consuming and risky.
We also noted that checks were written to abbreviated payee names, such as “LADA” rather than Los Angeles District Attorney. The use of short and abbreviated payees should be avoided, as they could easily be altered.
**Recommendations**
LAPD management should:
1.1 Revise practices to prevent checks from being issued as payable to “cash”. Intradepartmental transfers should be handled through EFT or checks written from one account to the other to reduce risk.
1.2 Limit the use of abbreviations for payees to reduce the risk of check alterations.
Observation #2: Bank reconciliations have carried over stale-dated checks as reconciling items, rather than clearing them.
Reconciliations for two bank accounts included stale-dated checks\(^3\); some dating back five years. One account carried over 63 reconciling items totaling $10,147 dating back to August 2012, while another carried over several items that required corrections to be recorded in its accounting (book balance). Section 1.17 of the Controller’s Manual provides instructions to departments on stale-dated items. The policy states that any checks outstanding for six months or more should be investigated and that checks outstanding for more than one year should be stopped. Further, a fund custodian was not aware of how to properly complete the Department’s bank reconciliation (LAPD form 15.47.0), and had not received adequate instructions.
Recommendations
LAPD’s Fiscal Operations Division should:
2.1 Train staff to properly perform bank reconciliations, including how to address stale checks.
2.2 Investigate and clear any stale checks on bank accounts according to established criteria in the Controller’s Manual.
Observation #3: One bank account (Inmates’ Welfare Fund) held excessive cash balances, for which the Department should consider how to best use funds.
We noted that the Inmates’ Welfare Fund bank account balance exceeded $1 million. Penal Code Section 4025(i) allows jurisdictions to “deposit, invest or reinvest any part of the inmate welfare fund, in excess of that which the treasurer deems necessary for immediate use. The interest or increment accruing on these shall be deposited in the inmate welfare fund.”
Bank balances should not be left to accumulate cash. The Department should consider detainees’ needs that could be paid for with these funds and develop
---
\(^3\)Stale-dated checks are those 6 months or older, which have not been cashed and are carried over to subsequent month’s reconciliations rather than researching and replacing them. The Uniform Commercial Code (UCC) 4-404 allows the bank to decide on accepting or refusing the check; however, if a party has not cashed a stale check, it has most likely been lost.
a plan for appropriate use of these funds. Until a plan is developed and actual expenditures are to occur, excess amounts could be invested into an interest-bearing account, as was done in previous periods.
**Recommendation**
**LAPD management should:**
3.1 Develop a plan to utilize the monies held within the Inmates’ Welfare Fund; in the meantime, develop appropriate procedures to enable the excess funds within the Inmates’ Welfare Fund account to earn interest, which can be redeposited and available for use to benefit detainees.
**Observation #4:** LAPD’s bank account oversight procedures included an account that was owned by a non-profit entity and was not controlled by the City.
We identified a Police Assistance League (PAL) bank account that is owned by a 501(c)(3) non-profit organization that was included in FOD’s records of LAPD bank accounts. FOD provided copies of bank reconciliations to the Office of Finance and to the Controller’s Office for inclusion in the City’s Consolidated Annual Financial Report (CAFR); however, this is not a City-controlled account. While LAPD’s external bank accounts hold restricted or fiduciary funds, we found that this PAL account was not a City asset, did not include City funds, and their use was not controlled by the City.
It is unnecessary for Departmental staff to provide oversight of an account owned and controlled by a non-profit organization. FOD’s bank account oversight procedures should be restricted to external accounts that are managed as part of a Departmental program, or by legal requirement.
**Recommendation**
**LAPD management should:**
4.1 Report to the Office of Finance and the Controller’s Office only those external bank accounts that are controlled by the Department.
CASH
Cash Collection (Cashiering) Sites
LAPD reported 10 cash collection sites located either at the Police Administration Building (PAB) or at police stations throughout the City. Cash collection sites at police stations are used primarily for bail receipts. The funds received at PAB are for the central depository at Fiscal Operations Division (FOD) or at other divisions located at PAB to account for miscellaneous types of income (e.g., permit fees, report fees, alarm fees, and witness fees) receipted by other divisions.
We selected FOD and the Records and Identification Unit for surprise cash counts and review of internal controls, since LAPD reported the average daily collections at those sites as $50,000 and $4,400, respectively. FOD’s collections are generally checks received through the mail for grant funds, witness fees, expense reimbursements, etc. The Records and Identification Unit has cashiering windows and receives payments from the public. We observed cash handling and deposit processes and noted good internal controls, with the exception of ensuring that incoming checks are restrictively endorsed immediately.
Observation #5: Checks are not restrictively endorsed in a timely manner.
We noted that incoming checks received by FOD and Records and Identification are not restrictively endorsed upon receipt, but are endorsed just before deposits are made. One division noted that they have previously requested more endorsement stamps, but have only been given one for the entire division, so it was allocated to the person making the deposit.
Recommendation
LAPD management should:
5.1 Ensure all incoming checks and money orders are immediately endorsed upon receipt as “For deposit only, payable to the City of Los Angeles” rather than waiting until bank deposits are processed.
Petty Cash Accounts
LAPD has six petty cash accounts, which total $10,000. Most of the Department’s petty cash is managed by FOD who maintains $2,000 in cash and $5,500 in a bank account, and it was selected for a cash count and internal control review. The petty cash fund was properly accounted for and adequate internal controls are in place to ensure disbursements are appropriate and authorized.
March 23, 2018
The Honorable Ron Galperin
City Controller, City of Los Angeles
200 North Main Street, Room 300
Los Angeles, California 90012
Attention: Georgia Mattora, Chief Deputy Controller
SUBJECT: RESPONSE TO LIMITED SCOPE FISCAL AUDIT AT THE LOS ANGELES POLICE DEPARTMENT
The Controller’s Office completed a Limited Scope Fiscal Audit at the Los Angeles Police Department (LAPD) that included a limited payroll review, a review of bank accounts not controlled by the City Treasurer, and surprise cash counts at two locations, along with a review of controls related to those funds.
The LAPD has reviewed the results and generally agrees with the findings contained in the fiscal audit. Please see the attached status of recommendations for the Limited Scope Fiscal Audit.
Should you have any questions, please contact Police Administrator II Annemarie Sauer, Fiscal Operations Division at (213) 486-8590.
Very truly yours,
CHARLIE BECK
Chief of Police
JORGE A. VILLEGAS, Assistant Chief
Director, Office of Administrative Services
| Finding Number | Summary Description of Finding | Rec. No. | Recommendation | Current Status | Basis for Status | % of Implementation | Target Date for Implementation |
|----------------|-----------------------------------------------------------------------------------------------|----------|--------------------------------------------------------------------------------|----------------|---------------------------------------------------------------------------------|---------------------|--------------------------------|
| 1 | Some checks from the Pre-Seizure Fund create an unnecessary fraud risk since the checks are made payable to "Cash" or an abbreviated payee name is used, such as USMS or LADA. | 1.1 | LAPD should: Revise practices to prevent checks from being issued as payable to "cash". Intradepartmental transfers should be handled through EFT or checks written from one account to the other to reduce risk. | D | Checks made payable to cash is necessary for cases rejected by the District Attorney's Office as the Asset Forfeiture Investigative Detail (AFID) is required to put the cash back in the Property Division's vault to have it immediately available for release to the claimant. It is preferable to make checks payable to cash for the following reasons:
1. Checks made payable to cash allows AFID and Property Division to properly maintain chain of custody of the Claimant's property in its original form as cash for immediate release.
2. The Claimant is entitled to receive their monies back in its original form as cash, instead of check.
3. Intradepartmental transfers handled through EFT or checks written from one account to another may cause the appearance of the City depositing the Claimant's money into City accounts. | n/a | n/a | | |
| | | 1.2 | Limit the use of abbreviations for payees to reduce the risk of check alterations | I | Gang and Narcotics Division was notified and they will follow the instructions accordingly. | 100% | 2/1/18 |
| 2 | Bank reconciliations have carried over stale-dated checks as reconciling items, rather than clearing them. | 2.1 | Train staff to properly perform bank reconciliations, including how to address stale checks. | I | Staff were trained and the practice has been followed since July 31, 2016. | 100% | 7/31/16 |
| | | 2.2 | Investigate and clear any stale checks on bank accounts according to established criteria in the Controller's Manual. | I | Stale checks were cleared. The recommended practice has been followed since July 31, 2016. | 100% | 7/31/16 |
| 3 | One bank account (Inmates' Welfare Fund) held excessive cash balances, for which the Department should consider how to best use funds. | 3.1 | Develop a plan to utilize the monies held within the Inmates' Welfare Fund; in the meantime, develop appropriate procedures to enable the excess funds within the Inmates' Welfare Fund account to earn interest, which can be redeposited and available for use to benefit inmates. | D | Custody Services Division has to maintain maximum liquidity for unforeseen expenditures; see January 19, 2018 response from Captain Solano (attached). | n/a | n/a |
| 4 | LAPD's bank account oversight procedures included an account that was owned by a non-profit entity and was not controlled by the City. | 4.1 | Report to the Office of Finance and the Controller's Office only those external bank accounts that are controlled by the Department. | I | We no longer report the Police Activity League (PAL) accounts in the Quarterly Bank Certification to the Office of Finance since January 2018. | 100% | 1/1/18 |
| 5 | Checks are not restrictively endorsed in a timely manner. | 5.1 | Ensure all incoming checks and money orders are immediately endorsed upon receipt at. For deposit only, payable to the City of Los Angeles' rather than waiting until bank deposits are processed. | I | Records & Identification Division was issued (8) eight endorsement stamps on Jan 17, 2018, and they were instructed to follow the practice accordingly. Fiscal Operations has two records of three outstanding accounts. Checks are endorsed after review and approval by the Senior Accountant. | 100% | 1/17/18 |
I - Implemented
PI - Partially Implemented or In Progress
NYI - Not Yet Implemented
D - Disagree
Custody Services Division (CSD) has followed the California Penal Code Section 4025 in the administration of the Inmate Welfare Fund (IWF). Monies deposited in the fund are expended primarily for the benefit, education, and welfare of the inmates confined within the jail. Funds have been used in programs to benefit inmates, including, but not limited to, education, drug and alcohol treatment, welfare, and other programs. The Inmate Welfare Fund has also been used to augment required expenses in the best interests of inmates, such as special meals, clean clothing, newspapers, cable television and facility security.
In addition to routine, periodic, and as needed expenditures, the repair and augmentation of vital security systems, refrigeration units, painting materials and other disbursements not funded through City resources have been financed using the IWF. Depending on the results of future City budget requests, an evaluation of the feasibility of utilizing IWF resources may be undertaken on an as needed basis.
The long-term capability of the funding sources of the IWF are also somewhat unresolved for both inmate telephones and bail advertising. Rate caps on interstate long-distance calls were instituted by the Federal Communications Commission (FCC) in 2015 and new rate caps for local and long-distance inmate calling are pending judicial review. Bail reform has been instituted in the states of New Jersey and Kentucky. California is one of several states where a bail reform bill is currently in the legislature. If passed, this legislation could have a major effect on bail practices within the state and the majority funding source of the IWF.
It is for unforeseen expenditures and unknown future funding sources of this fund that CSD seeks to maintain maximum liquidity of the IWF. The Inmate Welfare Fund’s readily available access helps to maintain the safety, security and operability of jail facilities.
Rolando |
APV (Johnson)
Johnson, W.W.
Digitized by the Internet Archive in 2008 with funding from Microsoft Corporation
http://www.archive.org/details/genealogyrecords00john
J. W. Johnson
GENEALOGY.
RECORDS
OF
The Descendants
OF
DAVID JOHNSON,
OF LEOMINSTER, MASS.
COMPILED BY
Rev. William W. Johnson.
MILWAUKEE:
PRINTED BY GODFREY & CRANDALL,
1876.
THE
NEW YORK
PUBLIC LIBRARY
Astor, Lenox and Tilden
Foundations.
1897.
10920
TO THE PATRONS OF THIS BOOK:
Dear friends, I have accomplished the task I undertook,
In gathering up the records, to form a little book;
That coming generations, their ancestors might know,
And keep alive in memory, the scenes of long ago.
First, let us wander forth, in the old Colonial days,
When the houses of New England were filled with prayer and praise;
When Puritans came over across the foaming sea,
To make the settler's cabin the homestead of the free;
When solemn congregations sung psalms on holy day,
And the devout and pious, all went to church to pray;
When the people were all loyal to England's king and crown,
And promptly paid their taxes each year in every town.
Although their fixed idea was a State without a King,
And a church without a bishop, with them a model thing,
Yet true to Bible teaching, these Puritans thought fit
Jehovah's laws to honor, and to the king submit.
In a Massachusetts county there was a rural town,
But it had never yet attained to any great renown;
And Leominster they named it, but why I cannot tell,
Yet hardy, brave and honest were the men who there did dwell.
Here dwelt an honest farmer, but quite unknown to fame,
And Lieutenant David Johnson was this quiet farmer's name;
And yet, 'tis said of him that he fought on Bunker Hill,
The day that British redcoats did General Warren kill.
This selfsame David Johnson, let me tell you now, shall be
The trunk whence grow the branches of my genealogic tree;
Whose limbs have been extended from the old Atlantic tide
Far o'er the Western Prairies, all blooming in their pride;
And their beautiful proportions majestic now appear,
As we pause awhile to view them on this Centennial year.
The families of kindred that sit beneath its shade,
Shall, in succeeding pages be faithfully portrayed;
The Johnsons and the Sweetser, the Monroes, Fisks and Gunns;
The Brighams, Brockets, Gauses, the Whites, and Moores, and Stones;
The Fredenburgs and Woodwards, Brainards and Crosses too;
Van Ettens, Smiths and Taylors, I'll bring them all to view;
And other worthy branches with records bright and clear
Are on these pages entered; look and you'll find them here.
And as the years roll onward the children of these sires,
On cheerful winter evenings, around their homestead fires,
Shall ponder on these pages, and con these records o'er,
And talk about their kindred who lived in days of yore.
WM. W. JOHNSON.
Greenfield, Mil. Co., Wis., Oct. 1, 1876.
INTRODUCTION.
In the early days of New England, the settlers from the mother country who bore the name of Johnson were very numerous, as the Colonial records show. Savage, in his Genealogical Dictionary, Vol. II, page 559, presents a few prominent facts in connection with this name. He says: "The first person in New England guilty of the impossible crime of witchcraft, and executed at Hartford, was a Johnson of Windsor; and one of the most distinguished was Rev. Samuel Johnson, first president of King's College, New York, born at Guilford, Conn., Oct. 14, 1696. Ten of the name had been graduated at Harvard in 1834, of which three were clergymen; and forty-eight at other New England Colleges, of which twenty-one were clergymen." He further says: "Of this name the occurrence is so frequent in all parts of New England, that, out of inquiries confined exclusively to it, a large volume would grow."
On this account, no small difficulty exists in tracing out the descendants of the different families. But a thorough examination of Colonial history, has very fully established the belief that David Johnson, of Leominster, was a descendant of Captain Edward Johnson, who came from England in the fleet with Governor Winthrop in 1630. He was of Herrhill, a parish near Canterbury, and owned an estate there. He settled in Charlestown, Mass., in 1637, but afterwards removed to Woburn, and was one of the founders of the church in that place. He was a very zealous Puritan, as his writings show, for he wrote the history entitled, "Wonder Working Providences of Zion's Saviour in New England." He was frequently a member of the General Court, and in 1655 was the speaker of that august body. He died in 1672. His wife's name was Susan, and the names of his children were Edward, George, William, Matthew, John, Martha and Susanna 2d. (See Savage's Genealogical Dictionary, Vol. II. P. 550.)
WM. JOHNSON, son of Captain Edward, was born in England, but came to America and settled in Woburn. He became a freeman in 1655. On May 17th, of the same year, he married Esther, daughter of Elder Thos. Wiswall. He was a Representative in the General Court for several years, and a military officer of every rank except the highest. He died May 22, 1704. (See Savage's Gen. Dict., Vol. II, p. 558.)
Children of William and Esther Johnson.
I. William, b. Feb. 16, 1656.
II. Edward, b. March 19, 1658.
III. Ebenezer, b. March 29, 1659.
IV. Esther, b. April 13, 1662.
V. Joseph, b. June 14, 1664.
VI. Benjamin, b. Oct. 15, 1666.
VII. Josiah, b. Jan. 15, 1669.
VIII. Susanna, 3d, b. June 29, 1671.
IX. Abigail, b. Oct. 4, 1674,
JOSIAH JOHNSON, son of Dea. William, born in Woburn, Jan 15, 1669, the record of whose family has not been preserved, is believed to be the father of David Johnson of Leominster, the records of whose descendants are found in the following pages:
*Since this book was published it has been definitely ascertained from the Records of Essex Co. Mass., that Josiah Johnson the father of David was the grandson of John Johnson of Ipswich Mass. (1636) who was probably brother of Capt. Edward Johnson.*
DAVID JOHNSON
DAVID JOHNSON was born (probably in Woburn) between the years 1700 and 1710. His exact birthdate is not known, on account of the loss of the record of his father's family. He belonged to the second American generation of the family, his father, Josiah, being the first American ancestor. He married about the year 1738 Mary Peters, a descendant of a respectable and somewhat distinguished family of Puritans.*
Soon after their marriage they settled in Leominster, where all their children except the oldest one were born, and where he died in a good old age, leaving his estate to his son Luke.
He was a man of sterling character, and though advanced in years, was among the patriots who fought the first great battle of the Revolution.
CHILDREN, SECOND GENERATION.
I. Lucy, b. Oct. 21, 1739, d. Feb. 16, 1833. 2
II. David, 2d b. July 15, 1741. 3
III. Elizabeth, b. March 5, 1744. 4
IV. Josiah 2d, b. March 7, 1746, d. Feb. 21, 1827. 5
V. Mary, b. April 23, 1848. 6
VI. Annis, b. March 25, 1750. 7
VII. Luke, b. August 26, 1755, d. 1827. 8
VIII. David 3d, b. April 8, 1758, d. June 22, 1840. 9
2. LUCY JOHNSON, born in Lancaster, Mass., Oct. 21, 1739, married in Leominster, Oct. 5, 1763, Captain Henry Sweetser, born March 25, 1739. They settled in Wendell, Mass., where their children were born, and where they died at an advanced age. He took an active part in the first organization of a church in that town. His ancestors came from England at an early day.†
CHILDREN THIRD GENERATION.
I. Lucy Sweetzer, b. Sept. 14, 1764; d. Apr. 21, 1835. 10
II. Nathan " b. July, 1766; d. in infancy. 11
III. Nathan 2d " b. Mar. 2, 1768; d. Mar. 8, 1842. 12
IV. Mary " b. Mar. 1770; d. in infancy. 13
V. Mary 2d " b. Apr. 17, 1772; d. May 11, 1849. 14
VI. Henry " b. Mar. 25, 1774; d. in infancy. 15
VII. Eunice " b. Aug. 25, 1775; d. young. 16
VIII. Eliza " b. Jan. 1777; d. in infancy. 17
IX. Annis " b. Dec. 24, 1778; d. Jan. 19, 1852. 18
X. Eliza 2d, " b. Ap. 19, 1782. 19
*Hugh Peters, 4th Minister of Salem, born 1599 in the parish of Ewe, Cornwall, graduated at Trinity College, Cambridge; went to Holland with the Puritans, and came to America in the ship Abigail, 1635. Six of the name Peters have graduated at Yale, and four at Harvard. (Savage's Gen. Dict., Vol. III., p. 452.)
†Seth Sweetser settled in Charlestown in 1637. He came from Tring, in Hertfordshire Benjamin, son of Seth, came from England in 1658, and in 1659 was fined £50, and imprisoned as a Papist. (Savages Gen. Dict., Vol. IV., p. 239.
# David Johnson was born Aug. 20, 1715, and was married three times: 1st to Mary Warner, 2d, to Lucy—(Probably Peters), 3d, to Prudence Dively, who outlived him. His first wife was the mother of all his children. He d. Nov. 10, 1799.
JOSIAH JOHNSON, 2d, son of Lieutenant David Johnson, was born in Leominster, Mass., March 7, 1746, old style.
He resided in that town until 1773, when he emigrated to Charlemont, where he purchased land. The deed was given by Jonathan White, of Leominster, and Joseph Wilder, of Lancaster, on the 15th day of December, in the 13th year of His Majesty's reign, A. D. 1773.
The description of the land is as follows: "One hundred acres of land, in Charlemont, in the county of Hampshire, in the southeast part of said town, on the south line of which it is bounded south; on the north it is bounded by Mr. Taylor's farm; on the east it is bounded on the public land; on the west it is bounded on Mr. Taylor's other farm, or the farm called Clesson's farm."
It would be difficult, I think, for a surveyor, from this description, to find that land now.
When Buckland was incorporated in 1778, this land was included in that town.
He owned a grist mill for a short time in the north part of the town, but the greater part of his life was spent in farming. He contributed largely of his influence in shaping the character of the new town, and was a prominent man, not only in civil affairs, but also in the church.
In 1774 He married Martha, daughter of Othniel Taylor, of Charlemont. She was born Dec. 21, 1756, and died Oct. 27, 1825. He died Feb. 21, 1827.
They were both interred in the old churchyard at Buckland Centre.
CHILDREN, THIRD GENERATION.
I. David 4th, b. July 24, 1775; d. Aug. 12, 1777. 20
II. Martha 2d, b. Oct. 31, 1776; d. " 14, 1777. 21
III. Othniel, b. Apr. 4, 1778; d. Mar. 5, 1851-22
IV. Rufus, b. July 21, 1779; d. Dec. 2, 1843. 23
V. Josiah 3d, b. Feb. 28, 1781; d. " 11, 1856. 24
VI. Mary 2d, b. Oct. 15, 1782; d. Oct. 14, 1852. 25
VII. David 5th, b. June 18, 1784; d. Mar. 14, 1788. 27
VIII. Martha 3d, b. Mar. 10, 1786; d. Apr. 20, 1834. 27
IX. Leander b. Sept. 17, 1787; d. June 13, 1852. 28
X. Sylvia, b. " 22, 1789; d. Mar. 29, 1870. 29
XI. Abigail 2d, b. Apr. 2, 1791; d. Feb. 4, 1871. 30
XII. Susanna 4th, b. Mar. 7, 1893; d. " 19, 1872. 31
XIII. Lydia, b. Jan. 28, 1798; d. Dec. 13, 1874. 32
XIV. Lovice, b. Nov. 19, 1799; d. Mar. 6, 1859. 33
8. LUKE JOHNSON, born in Leominster, Aug. 26, 1755, married Sally, daughter of Rev. John Rogers, who was a direct descendant of the English martyr of the same name, and was the first minister of Leominster, settled over the church there soon after the town was incorporated in 1740. Luke Johnson was a farmer of strong mind and decided character, and bore an active part in the Revolutionary war. Children born in Leominster, where he died in 1827.
9. DAVID JOHNSON, 3d, born April 8, 1758; m. Prudence Colburn, born Nov. 13, 1765, in Boston; died Feb. 12, 1849. He served five years in the revolutionary army, was present at the surrender of Burgoyne, and when the British evacuated New York; settled first in Buckland, Massachusetts, but in 1802 moved to Sempronius, Cayuga county, New York, where he died June 22, 1840. He was reserved and modest in his habits, decided in his character, respected, and often promoted to official positions by the people. Children born in Buckland, except the two youngest.
CHILDREN, THIRD GENERATION.
I. Fanny, b. June 25, 1788; d. Mar. 29, 1856. 37
II. Clarissa, b. 1790; d. 1800. 38
III. Osmond b. June, 1792; d. 1825. 39
IV. Henry S., b. July 24, 1794; d. July 31, 1847. 40
V. David 6th, b. 1796; d. in infancy. 41
VI. Harriet, b. Apr. 27, 1799; d. Nov. 3, 1863. 42
VII. Clara, b. Nov. 5, 1801. 43
VIII. Roswell, b. 1804; d. in infancy. 44
IX. Roswell 2d, b. Sept-19, 1806. 45
10. LUCY SWEETSER, born in Wendell, Sept. 14, 1764; married Dec. 29, 1788, Captain Zedekiah Fisk, born July 23, 1763. Capt. Fisk served in the war of the Revolution. He entered the army at the age of sixteen. Children born in Wendell.
CHILDREN, FOURTH GENERATION.
I. Sarah Fisk, b. May 23, 1790; d. Aug. 24, 1840. 46
II. Henry " b. Aug. 13, 1792; d. 1861. 47
III. Lucy " b. Oct. 16, 1794. 48
IV. Beulah " b. July 16, 1797. 49
V. Joseph " b. Apr. 17, 1800. 50
VI. Zedekiah " b. June 23, 1802; d. Sept. 7, 1867. 51
VII. Stillman " b. Mar. 7, 1805; d. Aug, 17 1821. 52
VIII. Daniel K. " b, May. 7, 1808; d. May 24 1842. 53
12. NATHAN SWEETSER, 2d, born March 2, 1768; married 1st, Beulah Fisk; she died; 2d, Lydia Johnson, of Acton, Sept. 1, 1800. Children born in Wendell, Mass.
14. MARY SWEETSER, born April 17, 1772; married Dr. Isaac Monroe in May, 1787. He died at Hamilton, New York, May 1, 1826. She died at Climax Prairie, Mich., May 11, 1849. Children born at Surry, N. H.
CHILDREN, FOURTH GENERATION.
I. Eunice Monroe, b. Aug. 23, 1788; d. 1814. 64
II. Fanny " b. Dec. 12, 1791; d. Jun. 18 1858. 65
III. Isaac N. " b. Jan. 18, 1794; d. at birth. 66
IV. Mary " b. Oct. 18, 1797; d. Jun. 7 1859. 67
V. Isaac N. 2d, " b. Apr. 27, 1799; d. 1825. 68
VI. Elizabeth " b. Feb. 2, 1801; d. Aug. 11 1849 69
VII. Roxana " b. Nov. 27, 1804; d. Dec. 9, 1866 70
VIII. Jay R. " b. Apr. 11, 1806. 71
IX. Horatio N. " b. May 31, 1808; d. Dec. 18, 1850 72
X. Henry G. " b. Dec. 10, 1810. 73
18. ANNIS SWEETSER, born December 24, 1778; married June 11, 1800, Joseph Gunn, born Oct. 19, 1772; died June 22, 1845. Resided first in Montague, Mass., afterwards at Grosvenor's Corners, Schoharie county, N. Y., where he died.
CHILDREN, FOURTH GENERATION.
I. Windsor Gunn, b. June 9, 1801. 74
II. John " b. July 1, 1802; d. Dec. 1857. 75
III. Cynthia " b. Feb. 24, 1804. 76
IV. Cyrus, " b. Dec. 30, 1805; d. Dec. 1, 1809. 77
V. Nancy " b. " 11, 1807; d. July 6, 1833. 78
VI. Cyrus 2d " b. Apr. 12, 1810; d. Sept. 22, 1875. 79
VII. Levi " b. Mar. 24, 1812; d. May 26, 1812. 80
VIII. Levi 2d " b. May 6, 1813. 81
IX. Walter " b. Jun. 27, 1815; d. July 6, 1851. 82
X. Lucy " b. Nov. 5, 1817; d. Feb. 24, 1839. 83
XI. Fanny " b. May 5, 1820; d. Mar. 5, 1855. 84
XII. Luther " b. June 11, 1822. 85
19. ELIZA SWEETSER, born April 19, 1782; married 1st Eber Hale, Dec. 28, 1800; 2d, Matthew Stone.
22. CAPT. OTHNIEL JOHNSON was born in Buckland, Mass., April 4, 1778. A mason by trade, but owned a farm on which he raised his family. A man of decisive character, a model military officer, frequently promoted to official position, and possessed of a fine literary taste. Poetry was his favorite reading. Ovid, Homer and Virgil, and the English and Scotch poets were read by him with delight.
He married Anna, daughter of Gad Elmer, born Sept. 23, 1783, and died Sept. 19, 1867. He died March 5, 1851. Both repose in a little rural cemetery, on the farm where they had lived more than half a century. Their children were all born in Buckland.
CHILDREN, FOURTH GENERATION.
I. Loa, b. July 4, 1801. 88
II. Homer, b. Dec. 27, 1802; d. July 31, 1843. 89
III. Thetis, b. Oct. 19, 1804. 90
IV. Martha 4th, b. Aug. 13, 1806. 91
V. Patience, b. June 14, 1809; d. Oct. 31, 1809. 92
VI. A daughter, b. Sept 20, 1810; d. at birth. 93
VII. Anna, b. Dec. 31, 1811; d. Jan. 14, 1868. 94
VIII. Wm. Wallace, b. Nov. 29, 1813. 95
IX. Marion A., b. July 28, 1816; d. Feb. 14, 1869. 96
X. Edwin, b. Oct. 24, 1818. 97
XI. Oswin, b. Dec. 22, 1820. 98
XII. Lovie 2d, b. Sept. 7, 1822; d. Aug. 11, 1825. 99
XIII. Semira, b. Apr. 14, 1826. 100
23. RUFUS JOHNSON, born July 21, 1779; married Feb. 4, 1802, Ruth Phillips, born Feb. 6, 1779; died Dec. 27, 1842. They settled in Sempronius, Cayuga Co., New York, in 1802, but emigrated thence to Posey Co., Ind., in 1822. Children born in Sempronius, N. Y. Their mortal remains repose in the More graveyard, Black township, Posey Co., Ind.
CHILDREN, FOURTH GENERATION.
I. Dr. Franklin, b. June 16, 1804. 101
II. Leander, b. May 8, 1806; d. Sept., 1857. 102
III. Demetrius, b. Mar. 11, 1808. 103
IV. E. Winchester, b. " 8, 1812. 104
V. Hondorus D., b. Jan. 6, 1814. 105
24. JOSIAH JOHNSON 3d, born Feb. 28, 1781; married Betsey, daughter of Gad Elmer, of Ashfield, Mass., born June 7, 1785; died Nov. 27, 1870. He remained upon the paternal estate till after the death of his father; but in 1833 with his family he moved to Ohio, and settled in Northfield, Summit Co., where he died Dec. 11, 1856. Occupation, farming. Children all born in Buckland, Mass.
CHILDREN, FOURTH GENERATION.
I. Carlo H. b. Mar. 22, 1802; d. Aug. 3, 1855. 106
II. Festa, b. Sept. 8, 1803; d. " 29, 1828. 107
III. Josiah 4th, b. Nov. 11, 1806. 108
IV. Emily, b. Apr. 21, 1808. 109
V. David 7th, b. Dec. 1, 1809; d. in infancy. 110
VI. Sylvia, b. Nov. 16, 1810; d. Mar. 11, 1837. 111
VII. Betsey, b. Apr. 12, 1812. 112
VIII. Juliette, b. Sept. 3, 1813. 113
IX. Wellington, b. Mar. 12, 1815. 114
X. Isabel, b. Nov. 29, 1816; d. in infancy. 115
XI. Clarissa, b. July 13, 1818. 116
XII. Gad Elmer, b. Nov. 28, 1819; 117
XIII. Mary 4th, b. June 22, 1823; d. in infancy. 118
XIV. John P., b. Sept. 3, 1824; d. " 119
XV. Ellen M., b. Feb. 16, 1826. 120
XVI. Nathan B., b. Sept. 12, 1828; d. in infancy. 121
25. MARY JOHNSON 2d, born Oct. 15, 1782; married 1st, David Nichols, and lived in Charlemont, Mass.; 2d, David White, and lived in Heath, where she died Oct. 14, 1852.
CHILDREN, FOURTH GENERATION.
I. Dolly Nichols, b. Dec. 8, 1803. 122
II. David " b. June 2, 1806; d. in infancy. 123
III. Roswell, " b. Dec. 9, 1807. 124
IV. Olive " b. Dec. 21, 1809; d. July 28, 1830. 125
V. Mary, " b. May 31, 1812. 126
VI. Josiah J. White b. Sept. 11, 1823. 127
VII. Harriet, " b. Mar. 3, 1825. 128
VIII. Keziah " b. Aug. 31, 1829. 129
27. MARTHA JOHNSON 3d, born March 10, 1786; married Josiah Hathaway.
CHILDREN, FOURTH GENERATION.
I. David Hathaway, d. young. 130
II. Wealthy " d. young. 131
III. Benjamin " b. in 1811; d. Sept. 3, 1829. 152
IV. Leander " d. young. 133
V. Martha " b. in 1818; d. Feb. 17, 1834. 134
VI Wealthy H. " b. July 15, 1820. 135
VII. Mary " d. unmarried. 136
VIII. Josiah " d. young. 137
28. LEANDER JOHNSON, born Sept. 17, 1787; died June 13, 1852; married 1st, Susanna Rosenkrans, Dec. 21, 1812. She died May 12, 1823; 2d, Mary Hall, Feb. 17, 1825. She still lives at Academy, Ontario Co., New York;
CHILDREN, FOURTH GENERATION.
I. Alonzo, b. Oct. 3, 1814. 133
II. Leander 2d, b. Sept. 28, 1816. 139
III. Othniel T., b. Dec. 15, 1818. 140
IV. Norrice N., b. Aug. 1, 1821; d. March 11, 1823. 141
29. SYLVIA JOHNSON, born Sept. 22, 1789; married in 1813 Ebenezer Woodward, born Oct. 17, 1787. They settled in Jefferson Co., N. Y., where their children were born, and where they died. The former March 22, 1871, the latter June 2, 1874.
CHILDREN, FOURTH GENERATION.
I. Abigail Woodward, b. April 20, 1814. 142
II. Armenia " b. June 14, 1819. 143
III. Sylvia " b. May 20, 1820. 144
IV. Ebenezer, " b. Oct. 20, 1824. 145
V. Joseph " b. Nov., 1826 twins, d. young. 146
VI. Mary, " b. Nov., 1826 twins, d. young. 147
VII. Lucinda " b. May 14, 1830. 148
30. ABIGAIL JOHNSON 2d, born April 2, 1791; married Samuel Allis. They lived in Buckland. She was engaged in teaching for many years prior to her marriage; died Feb. 4, 1871.
No Children.
31. SUSANNA JOHNSON 4th, born March 7, 1793; married Feb. 21, 1815, Henry Woodward, born in Taunton, Mass., April 10, 1789; died July 25, 1868. They settled in Rutland, Jefferson Co., N. Y., where their children were born.
CHILDREN, FOURTH GENERATION.
I. Henry J. Woodward. b. April 14, 1816. 149
II. Susanna M. " b. May 20, 1828. 150
32. LYDIA JOHNSON 2d, born Jan 28, 1798; married Dec. 27, 1818, Bildad Woodward, born March 7, 1793. They emigrated to Jefferson Co., N. Y., where he now (1876) resides. She departed this life Dec. 13, 1874.
CHILDREN, FOURTH GENERATION.
I. Bildad Woodward 2d, b. Aug. 25, 1819. 151
II. Josiah " b. June 2 1821. 152
III. Lydia " b. June 2, 1823. 153
IV. Susanna " b. Feb. 21, 1825. 154
V. Carlos " b. Sept. 22, 1826; d. Ju. 22 1827 155
VI. A son " b. Aug. 12, 1828; d. without n. 156
VII. Zophar " b. Nov. 27, 1829. 157
VIII. Lovice. " b. May 28, 1832; d. Ap. 15, 1833. 158
IX. Newman H. " b. Oct. 24, 1835. 159
X. Luther L. " b. Jan 21, 1837. 160
33. LOVICE JOHNSON, born Nov. 19, 1799; married Sept. 10, 1822 Hezekiah Brainard, born Aug. 2, 1795; settled first in Leyden, Lewis Co., N. Y., afterwards in Chester, Ohio; P. O. address, Chester Cross Roads, Geauga Co., Ohio.
CHILDREN, FOURTH GENERATION.
I. Harriet N. Brainard, b. Sept. 20, 1824. 161
II. Martha J. " b. Aug. 4, 1827; d. Dec. 12, 1858. 162
III. Orson T. " b. July 28, 1831. 163
35. MARY JOHNSON 2d, born 1792; married Rufus Kendall.
CHILDREN, FOURTH GENERATION.
I. Sarah Kendall, 164
II. James " 165
III. Mary " 166
36 WALTER R. JOHNSON, born in Leominster, Mass. June 21 1794. At Groton Academy 1814, entered Harvard University 1815. Graduated 1819. Preceptor of Farmingham Academy 1820. Teacher of Classical School in Salem 1821. Principal of Germantown (Pa.) Academy from 1822, to 1826. Removed to Philadelphia, 1826. Appointed Professor of Mechanics and Natural Philosophy in the Franklin Institute. Member of the Academy of Natural Sciences. Appointed in 1839 Professor of Chemistry, and Natural Philosophy, in the Medical Department of the Pennsylvania College at Philadelphia. Appointed in 1843, by the city of Boston, to examine, and report on the sources from which a supply of pure water might be brought into the city. Was one of twenty who organized The American Association of Geologists in Philadelphia in 1846. Honorary Member of the Maryland Institute. Member of the National Institute at Washington from its first organization. He established his residence in Washington in 1848. Visited Europe in 1851. His Biographer says of him, "He maintained a strict temperance in all things, through life; believing it essential both to bodily health and mental vigor. The account of his death is given as follows in The N. E. Hist. & Gen. Record Vol. VI, p. 391. "His death was occasioned by inhaling noxious gas, while performing some experiment in the Laboratory of the Smithsonian Institute. But his friends attribute it to some other cause. He died April 26, 1852, after an illness of six days, and in his death the scientific world met with a great loss. For a more particular account of him see Biographical sketch, written by his widow for Barnard's American Journal of Education, Dec., 1858. Below will be found part of a poem written by him on leaving New England.
He married Sept. 2, 1823, Nancy Maria, daughter of Dr. Lothario Donaldson, of Medfield, Ms., a lady of fine scholastic ability, who is still living in Washington; P. O. address, 506 Twelfth St., Washington, D. C.
Walter B. Johnson
The following is a list of the most important and frequently used terms in the field of computer science. It is intended to provide a quick reference for those who need to understand these concepts.
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data in a computer program so that it can be accessed efficiently.
3. Database: A collection of data organized in a way that allows for easy retrieval and manipulation.
4. Encryption: The process of converting information into a code so that it cannot be read by unauthorized users.
5. Hashing: The process of converting data into a fixed-size string of characters, which can be used to quickly locate data in a database.
6. Interoperability: The ability of different systems or software applications to work together seamlessly.
7. Networking: The process of connecting computers and other devices to form a network.
8. Programming Language: A set of instructions that a computer can understand and execute.
9. Software: A set of instructions that tell a computer what to do.
10. System: A collection of hardware and software components that work together to perform a specific task.
CHILDREN, FOURTH GENERATION.
I. —— who died in infancy without name. 167
And must I bid my native scenes adieu?
And must all ties be rent, all thought erased?
Shall no fond feeling years long lost, renew,
Where joy's faint image still may be retraced,
And guiltless pleasure brought to fancy's view,
To be by ardent memory embraced?
Can Time blot out, with his oblivious hand,
The dear remembrance of my native land?
Ah, no, New England, never shall thy hills,
Thy dales, thy verdant landscapes, and thy groves,
Thy towns, which busy prosperous commerce fills,
Thy hamlets, filled with happy youthful loves,
Thy mountain torrents, and thy meadow rills,
The blue expanse where mighty ocean moves,
Cease their enchantment o'er my wandering soul,
Which, magnet-like, still seeks thee as its pole.
Back to thy mountain summits must I look,
And see them in dim distance sink and fade;
Monadnock, that my artless childhood took
To be an outpost for creation made;
Wachusett, whose gray head the tempest shook,
Turbaned in clouds, in mighty robes arrayed,
Whose folds waved down his sides in princely state,
As if they clothed creation's potentate.
37. FANNY JOHNSON, b. June 25, 1788; m. Mar. 15, 1804, Thomas West; b. in New Bedford, Ms., Aug. 1, 1779. Settled on a farm in Sempronius, N. Y., where he d. Mar. 9, 1868, and where their children were born.
CHILDREN, FOURTH GENERATION.
I. Clarissa J. West, b. Oct. 28, 1805. 168
II. Mary M. " b. Jan. 25, 1815; d. Oct. 14, 1865. 169
39. OSMOND JOHNSON, born June, 1792; married in 1821 Mrs. Crask, nee, Anna H. Payne. He went to Virginia soon after the war of 1812; settled in Northumberland Co., where his children were born, and where he died in 1825.
CHILDREN, FOURTH GENERATION.
I. Evelyn, b. Jan. 18, 1822; d Sept., 1825. 170
II. Harriet C., b. Apr. 14, 1824. 171
40. HENRY SWEETSER JOHNSON, born July 24, 1794; married March 7, 1816, Olive Armstrong Fillmore, born in Bennington, Vermont, Dec. 16, 1697, sister of Millard Fillmore, Ex-President of the United States. A carpenter by trade. He died in Dexter, Michigan, where his widow still resides.
42. HARRIET JOHNSON, born April 27, 1799; married 1st. Jacob Brinkerhoff, Oct. 3, 1821; and 2d, Joseph Lund, March 1, 1828. She died Nov. 3, 1863, in Albama, Genesee Co., N.Y. P.O., Wheatville, New York.
CHILDREN, FOURTH GENERATION.
I. Clarissa J. Brinkerhoff, b. Aug. 5, 1822. 178
II. Fannie M. Lund, b. Sept. 1, 1829. 179
III. Joseph F. " b. Jan. 13, 1831; d. Aug. 5, 1834. 180
IV. M. Antoinette " b. May 1, 1834. 181
V. M. Cornelia " b. Oct. 15, 1836. 182
43. CLARA JOHNSON, born Nov. 5, 1801, in Buckland, Mass.; married Col. Abraham Van Etten, Mar. 27, 1829. P. O. address, Owasco, Cayuga Co., New York.
CHILDREN, FOURTH GENERATION.
I. Prudence A. Van Etten, b. Feb. 6, 1830. 183
II. Henry N. " b. Aug. 17, 1832; d. Oct. 28, 1866. 184
III. Mary E. " b. Dec. 1, 1835; d. Mar. 3, 1874. 185
IV. Fanny A. " b. Sept. 6, 1838. 186
V. Harriet A. " b. July 25, 1845. 187
45. ROSWELL JOHNSON, born Sept. 19, 1806, in Niles, N.Y.; married February 18, 1836, Mary S. Palmer, of Genoa. Occupation, farming. P. O. address, Niles, Cayuga Co., N.Y.
CHILDREN, FOURTH GENERATION.
I. Harriet 2d, b. Feb. 28, 1837. 188
II. J. Reed, b. Feb. 6, 1839. 189
III. David O., b. Feb. 4, 1841; d. May 8, 1846. 190
IV. Omar, b. Mar. 30, 1843. 191
V. Julia, b. July 16, 1845. 192
VI. Mary Ellen, b. May 28, 1850. 193
VII. H. Clyde, b. July 12, 1857. 194
46. SARAH FISK, born May 23, 1790; married Levi Moore, Oct. 8, 1818. He died in Leverett, Mass., June, 1836; she died in Greenfield, Aug. 24, 1840.
CHILDREN, FIFTH GENERATION.
I. Edwin L. Moore, b. July 25, 1819; d. Mar. 1874. 195
II. Stillman " b. Mar. 19, 1821. 196
III. Leander " b. May 16, 1822; d. Nov. 23, 1850. 197
IV. Sarah F. " b. July 9, 1824. 198
V. Fidelia " b. May, 1826; d. 1833. 199
VI. Joseph K. " b. Feb. 17, 1828. 200
47. HENRY FISK, born August 13, 1792; married Mary Perry, Oct. 6, 1822.
CHILDREN, FIFTH GENERATION.
I. Harriet Fisk, b. June 24, 1825. 201
48. LUCY FISK, born Oct. 21 1794; married July 20, 1818, Otis Gunn, b. July 12, 1793. Residence Montague, Franklin Co., Mass. Children born in Montague.
CHILDREN, FIFTH GENERATION.
I. Erastus F. Gunn, b. Aug. 21, 1819. 202
II. Ira Arms " b. Nov. 21, 1821; d. Nov. 6, 1839. 203
III. George R. " b. Mar. 5, 1824; d. May 30, 1825. 204
IV. Lucyann " b. May 16, 1826; d. Aug. 27, 1841. 205
V. Otis B. " b. Oct. 27, 1828. 206
VI. Charles H. " b. Mar. 10, 1831; d. Oct. 28, 1839. 207
VII. Isabella " b. Oct. 23, 1833; d. Nov. 23, 1839. 208
49. BEULAH FISK, born July 16, 1797; married June, 1818, Martin Moore, born Feb. 16, 1795, and died Nov. 13, 1871. A miller and farmer. Children born in Leverett, Mass.
CHILDREN, FIFTH GENERATION.
I. Alpheus Moore. b. Mar. 26, 1819. 209
II. Clesson F. " b. Feb. 5, 1821. 210
III. Beulah " b. 1822; d. in infancy. 211
IV. Asa " b. 1824; d. in 1841; 212
V. Lucy F. " b. Oct. 7, 1825. 213
50. JOSEPH FISK, born April 17, 1800; married May 16, 1826, Martha Marsh, born July 25, 1801; died Dec. 12, 1842; 2d wife, Eunice G. Sweetser, (No. 58), married Nov. 22, 1843; died Nov. 27, 1867; 3d wife, widow Lucy Howe, married Dec. 24, 1868. Residence, Wendell, Mass. Children born in Wendell.
CHILDREN, FIFTH GENERATION.
I. Asa S. Fisk, b. April 2; 1827; d. Jan. 19, 1830. 214
II. Martha A. " b. Nov. 2, 1828. 215
III. Electa T. " b. Feb. 9, 1834. 216
IV. Joseph S. " b. Feb. 3, 1845; d. Dec. 21, 1862. 217
V. Lucy E. " b. Nov. 21, 1849. 218
VI. Henry Z. " b. Jan. 22; 1849. 219
51. ZEDEKIAH FISK 2d, b. June 23, 1802; married Oct. 25, 1827, Sarah McDonald, born Mar. 29, 1810, died Feb. 2, 1862.
CHILDREN, THIRD GENERATION.
II. Cornelia Fisk, b. Aug. 12, 1828; d. June 7, 1866. 220
II. James S. " b. June 9, 1831. 221
III. Lucy S. " b. April 6, 1834. 222
IV. Hadassah " b. Feb. 28, 1836; d. Apr. 18, 1858. 223
V. Helen O. " b. May 29, 1839; d. Sept. 3, 1860. 224
54. BEULAH FISK SWEETSER, born June 2, 1801; married April 14, 1823, Isaac Stone, born Dec. 31, 1799, died April 20, 1861. Children, except the youngest one, born in Guilford, Vermont. P. O. Address, Rushford, Alleghany Co., N. Y.
CHILDREN, FIFTH GENERATION.
I. Willard A. Stone, b. Jan. 10, 1825. 225
II. Sarah K. " b. Apr. 30, 1827; d. Nov. 20, 1855. 226
III. Frances M. " b. Mar. 8, 1832; d. Aug. 5, 1835. 227
IV. Frank " b. April 23, 1837. 228
V. Lewis D. " b. Apr. 26, 1840. 229
56. LYDIA K. SWEETSER, born March 27, 1805; married Ezekial Albee.
No Children.
57. ELIZA SWEETSER, born July 11, 1806; married May 28, 1828, Josiah W. Priest. Children born in Erving, Franklin County, Mass.
CHILDREN, FIFTH GENERATION.
I. Josiah R. Priest, b. Apr. 23, 1829; d. unmarried. 230
II. Henry C., " b. Nov. 25, 1830. 231
III. Nathan S. " b. Aug. 29, 1836; d. unmarried. 232
IV. Placentia E. " b. Sept. 15, 1839. 233
V. Willard E. " b. Sept. 23, 1842. 234
VI. Wm. A. " b. Sept. 18, 1844. 235
59; HENRY C. SWEETSER, born March 15, 1810; married June 25, 1840, Ann Hawxwell, who died June 19, 1856; engaged in lumber trade at Alton, Ill.
CHILDREN, FIFTH GENERATION.
I. Mary Sweetser, b. March 29, 1843. 236
60. WM. S. SWEETSER, born Dec. 17, 1811; married April, 1841, Adeline Moore, born Aug. 1, 1820. He died at Brighton, Macoupin Co., Ill., where his sons reside.
**CHILDREN, FIFTH GENERATION.**
I. William H. Sweetser, b. Oct. 5, 1842.
II. Alice A. “ b. Jan. 3, 1846; d. Feb. 15, 1868.
III. John E. “ b. Aug. 3, 1850.
61. MARY A. SWEETSER, born Sept. 3, 1813; married March 23, 1836, Selah Root, born July 15, 1810. P. O. address, Rushford, Allegany Co., N. Y.
**CHILDREN, FIFTH GENERATION.**
I. Hiram S. Root, b. Aug. 30, 1837.
II. Lydia F. “ b. Aug. 30, 1839.
III. Mary E. “ b. July 12, 1845.
62. PRISCILLA ELVIRA SWEETSER, born July 25, 1815; married June 1, 1848, David Rainger, born June 7, 1800, and died Sept. 1, 1867. P. O. address, New Braintree, Worcester Co., Mass.
**CHILDREN, FIFTH GENERATION.**
I. Sarah E. Rainger, b. Mar. 29, 1849.
II. John E. “ b. Dec. 26, 1850.
III. Emma E. “ b. Aug. 12, 1852; d. young.
IV. Charles H. “ b. April 22, 1854; d. July 1866.
V. Mary E. “ b. July 27, 1857.
63. NATHAN ERVING SWEETSER, born June 5, 1819; married May, 1849, Sarah Armstrong, who died Nov. 20, 1864; he died Nov. 14, 1864. Children reside in Montague, Mass.
**CHILDREN, FIFTH GENERATION.**
I. Lucien H. Sweetser, b. Sept. 20, 1850.
II. Charles “ b. 1853.
III. William M. “ b. Feb. 18; 1855.
IV. Clara I. “ b. May 20, 1858.
V. Dwight E. “ b. June 20, 1861.
64. EUNICE MONROE, born August 23, 1788; married Levi Brigham, born June 8, 1787; d. July 17, 1864. Children born in Boston, Mass.
**CHILDREN, FIFTH GENERATION.**
I. L. Henry Brigham, b. Nov. 27, 1811.
II. Eunice H. “ b. Dec. 25, 1813; d. Dec. 4, 1850.
65. FRANCES MONROE, born Dec. 12, 1791; married Levi Brigham, whose first wife was Eunice Monroe. (No. 64.)
CHILDREN, FIFTH GENERATION.
I. Caroline F. Brigham. b. Dec. 13, 1815. d. June 2, 1854. 255
II. Frederic A. " b. Feb. 14, 1817; d. Dec. 9, 1849. 256
67. MARY MONROE, born Oct. 18, 1797; married Luther White; they moved to Michigan in 1842; she died at Mendota, Ill., June 7, 1859.
CHILDREN, FIFTH GENERATION.
I. Mary E. White, b. Nov. 16, 1818. 257
II. Julia A. " b. Jan. 4, 1820; d. Sept., 1856. 258
III. Lowell N. " b. Nov. 16, 1821. 259
IV. Otis S. " b. Aug. 7, 1824. 260
V. Frederick " b. Nov. 2, 1828. 261
VI. Harriet " b. May 14, 1831. 262
VII. Cordelia " b. May 16, 1835. 263
VIII. Sarah " b. Mar. 24, 1837. 264
69. ELIZABETH MONROE, born Feb. 2, 1801; married in 1818 Wm. Colburn, born Feb. 28, 1794, and died Oct. 25, 1858. Their residence was in Boston, Mass. Children born there.
CHILDREN, FIFTH GENERATION.
I. Elizabeth Colburn, b. Jan. 16, 1820; d. Oct. 18, 1844. 265
II. Wm. Henry " b. Dec. 28, 1824. 266
70. ROXANA MONROE, born Nov. 27, 1804; married March 18, 1830, Adine Winchell, born Dec. 28, 1800, and died July 23, 1874. Children born in Sangerfield, Oneida county, N. Y.
CHILDREN, FIFTH GENERATION.
I. Harriet F. Winchell, b. Dec. 25, 1830. 267
II. Mary E. " b. Sept. 12, 1832. 268
III. Adelia J. " b. June 12, 1834. 269
IV. Henrietta A. " b. June 12, 1834; d. Sept. 12, 1834. 270
71. JAY RANDOLPH MONROE, born April 11, 1806; married Sept. 20, 1836, Fanny Rawson, born March 28, 1815; went to Michigan in 1821. Occupation, farming. P. O. address, Lawrence Van Buren Co., Michigan.
CHILDREN, FIFTH GENERATION.
I. Maryann Monroe, b. Nov. 8, 1837; d. Sept. 20, 1872. 271
II. Charles J. " b. Nov. 20, 1839. 272
III. Andrew H. " b. Oct. 24, 1841. 273
IV. Isaac " b. May 6, 1844. 274
V. Eunice E. " b. June 20, 1846. 275
VI. Fanny L. " b. Nov. 10, 1848; d. Nov. 14, 1850. 276
VII. Lyman S. " b. Mar. 28, 1851. 277
VIII. Flora E. " b. Apr. 8, 1854. d. May 23, 1871. 278
IX. Jay Randolph 2d, " b. Jan. 1, 1859. 279
72. HORATIO NELSON MONROE, born May 31, 1808; married Sophia Henry, of Eaton, N. Y., in 1830; moved to Michigan, 1838; died at Kalamazoo.
CHILDREN, FIFTH GENERATION.
I. Adelbert Monroe, 280
II. Adelaide " married Mr. Joslin; live in West Leroy, Mich. 281
73. HENRY GREEN MONROE, born Dec. 10, 1810; married March 4, 1835, Nancy Wilcockson. P. O. address, Climax, Kalamazoo Co., Mich.
CHILDREN, FIFTH GENERATION.
I. Henry N. Monroe, b. Mar. 31, 1836; 282
II. Eliza C. " b. Apr. 27, 1838; d. June 1, 1872. 283
III. Nancy M. " b. Apr. 23, 1840. 284
IV. Theodore C. " b. Mar. 20, 1842. 285
V. Francis E. " b. June 28, 1844. 286
VI. James R. " b. Aug. 26, 1846. 287
VII. Josephine L. " b. Feb. 20, 1849; d. Sept. 10, 1873. 288
VIII. Hattie D. " b. Mar. 15, 1851. 289
IX. Mary A. " b. July 3, 1853; d. Apr. 23, 1876. 290
74. WINDSOR GUNN, born June 9, 1801, in Montague, Mass.; married Abigail Osgood. The compiler could not obtain the record of his family, but the following facts were furnished by his friends: He had four sons and two daughters; he died at Mount Palatine, Ill. His widow is still living. His son Henry resides at Tonica, LaSalle county, Ill.
75. JOHN GUNN, born July 1, 1802; married Harriet Tibbits. He died in Dec., 1857, in Hunter's Land, Schoharie county, N. Y., leaving no children.
76. CYNTHIA GUNN, born Feb. 28, 1804; married July 15, 1827; Apollos Smith, born Oct. 16, 1794. Residence 153 Alexander St., Rochester, N. Y.
CHILDREN, FIFTH GENERATION.
I. Ellen Smith, b. July 7, 1828; d. Jan. 7, 1837. 291
II. Lucy " b. Aug. 23, 1830. 292
III. Sarah " b; June 29, 1833; d. Aug. 25, 1834. 293
IV. Mary " b. Aug. 17, 1835; d, May 6, 1852. 294
V. Sarah 2d " b. July 26, 1838. 295
79. CYRUS GUNN, born April 12, 1810; married August, 1836, Lucyann Barnes, born July 19, 1811, and died Aug. 20, 1865. P. O. address of the children, Tonica, La Salle county, Ill.
CHILDREN, FIFTH GENERATION.
I. Lyman Gunn, b. June 18, 1841; killed at Port Hudson. La., June, 1863. 296
II. Luther Gunn, b. Apr. 24, 1844. 297
III. Lucy " b. Nov. 6, 1846. 298
81. LEVI GUNN, born May 6, 1813; married Dec. 19, 1838, Nancy Grosvenor, of Schoharie Co., New York, born Aug. 31, 1816. Occupation, farming. P. O. address, Council Bluffs, Iowa.
CHILDREN, FIFTH GENERATION.
I. Charles K. Gunn, b. Dec. 31, 1839. 299
II. Josephine " b. Oct. 25, 1843. 300
III. Louisa S. " b. Jan. 8, 1846. 301
IV. Austin S. " b. Feb. 15, 1848; d. July 23, 1849. 302
V. Fanny " b. June 2, 1850; d. Aug. 2, 1851. 303
VI. Austin S. 2d " b. July 8, 1852. 304
VII. Walter G. " b. Feb. 15, 1855. 305
82. WALTER GUNN, born June 27, 1815; married in 1843, Lorena Pultz, who died at Springfield, Ohio, in 1866. He was a Lutheran minister, and went to India as a missionary, where he died July 5, 1851. The youngest child died in India, but the mother, with the others returned, and settled in Springfield, Ohio, where the children were to be educated, but the war came, and Luther, being then at the East, and only 19 years old, enlisted in the 40th N. Y. Infantry, was in the battle of Fair Oaks, taken prisoner, confined in Libby prison, exchanged, again enlisted in the 113th Ohio Infantry, wounded at Kenesaw Mountain, June 27, 1864, and died on the 6th of July.
CHILDREN, FIFTH GENERATION.
I. Luther Gunn, b. 1845; d. July 6, 1864. 306
II. Ellen " b. 1848; d. 1861. 307
III. Frankie " b. 1849; d. 1851. 308
83. LUCY GUNN, born Nov. 5, 1817; married Austin Smith in 1837; she died Feb. 24, 1839.
CHILDREN, FIFTH GENERATION.
I. Charles Smith, b. June 5, 1838.
84. FANNY GUNN, born May 5, 1820; married Austin Smith in 1851, the husband of her deceased sister Lucy. (No. 83). He died May 5, 1848.
CHILDREN, FIFTH GENERATION.
I. Myra Smith, b. Mar. 5, 1842.
II. Mary L. " b. Nov. 27, 1843.
83. LUTHER GUNN, born June 11, 1822; married Lydia Gage. He was in the army during the late war. Children born in Schoharie county, N. Y.
CHILDREN, FIFTH GENERATION.
I. Jennie Gunn.
II. Luther "
88. LOA JOHNSON, born July 4, 1801; married 1st, Elisha Yeamans, Dec. 13, 1823, in Rutland, Jefferson Co., N. Y.; 2d, Levi Cross, Feb. 13, 1831, and lived in Rossie, St. Lawrence county; he died Aug. 24, 1840; 3d, Daniel C. Payne, April 13, 1842, with whom she now lives in De Kalb, N. Y. He was born Sept. 3d, 1805.
CHILDREN, FIFTH GENERATION.
I. Edwin Yeamans, b. Nov. 4, 1824; d. July 16, 1872.
II. Wm. Wallace Cross, b. Aug. 16, 1832.
III. Emery " b. Oct. 4, 1833.
IV. Perry " b. Nov. 22, 1834.
V. Martin T. " b. Oct. 16, 1836.
VI. Abner " b. May 18, 1838.
VII. Hortensia Payne, b. Nov. 23, 1844; d. Feb. 2, 1861.
89. HOMER JOHNSON, born Dec. 27, 1802; married Esther Ware; lived in Buckland, his native town, where on July 31, 1843, he died from a fracture of the skull, produced by being thrown from a wagon upon a stone wall.
CHILDREN, FIFTH GENERATION.
I. Franklin E., b. April 30, 1840; d. April 2, 1875.
II. Homer, b. Dec. 17, 1842.
90. THETIS JOHNSON, born Oct. 19, 1804; married Mar. 6, 1821, Emery Smith, son of Rev. Enos Smith. They resided in Buckland until 1841, when they went west and settled in Greenfield, Milwaukee Co., Wis., where he died Oct. 3, 1851. Their children were all born in Buckland, Mass. Her second husband was Dea. George McWhorter, who died January 19, 1867. Residence, Greenfield, Wis.
CHILDREN, FIFTH GENERATION.
I. Hannah Smith, b: Jan. 17, 1824. 323
II. Othniel J. " b. Aug. 10, 1826. 324
III. Coley " b. Feb. 2, 1829; d. May 6, 1862. 325
IV. Alfred L. " b. Dec. 25, 1833. 326
V. Frederick A. " b. Jan. 11, 1839; d. Oct. 7, 1868. 327
91. MARTHA JOHNSON 4th, born Aug. 13, 1806; married Benjamin Payne, born July 12, 1791. P. O. address, Wegatchie, St. Lawrence Co., New York.
No Children.
94. ANNA JOHNSON, born Dec. 31, 1811; married Jesse Morse, born in Athol, Ms., May 3, 1809. Lived first at Shelburn Falls, Ms., then one year Chenango Co., N. Y., but in 1843 they settled in Greenfield, Milwaukee Co., Wisconsin, where she died of cancer in the breast Jan. 14, 1868.
CHILDREN, FIFTH GENERATION.
I. Abner K. Morse, b. Mar. 22, 1834; d. 1837 328
II. Deborah S. " b. Sept. 6, 1835. 329
III. Samuel E. " b. Oct. 5, 1840; d. Jan. 1, 1841, 330
95. WILLIAM WALLACE JOHNSON, born Nov. 29, 1843, in Buckland, Franklin Co., Ms. Was at the Franklin Academy, Shelburn Falls, Ms., 1835-36; teaching in Greene, N. Y. 1837. Married Oct. 24, 1838; Abigail Clark, of Ashfield, born Jan. 13, 1812; youngest sister of Alvan Clark, A. M., Telescope maker, of Cambridge Port, Ms. Went to Wisconsin May 1842. Settled in Greenfield near Milwaukee. School Commissioner from 1842 to 1848. Town Treasurer, 1847. Town Clerk from 1848 to 1855. Ordained a Minister in the M. E. Church, by Bishop Ames, at Whitewater, Wis., in 1859. Has spent ten years of his life in teaching. Their residence since 1842 has been in Greenfield, Milwaukee Co., Wis., where their children, except the oldest, were born.
CHILDREN, FIFTH GENERATION.
I. Mary Clark, b. June 6, 1841; d. Oct. 28, 1850. 331
II. Alvan Othniel, b. Mar. 17, 1843; d. Mar. 9, 1874. 332
III. Wm. Wallace, 2d, b. Sept. 28, 1844. 333
IV. Abner Morse, b. Jan. 30, 1846. 334
V. Wesley, b. Nov. 9, 1847. 335
VI. Edward Payson, b. Sept. 11, 1849. 336
96. MARION JOHNSON, born July 28, 1816. Went to Wisconsin in 1842, and engaged in teaching. Married Hon. John Cooper, Post Master of Greenfield, Wis., Nov. 21, 1844. He was born Feb. 26, 1810. Their children were all born in Greenfield. She died Feb. 14, 1869.
97. EDWIN JOHNSON, born Oct. 24, 1818; married Nov. 21, 1844, Paulina Howes, born Aug. 19, 1820; she died June 2, 1844, from injuries received by being thrown from a carriage; 2d married, Dec. 30, 1864, Mrs. Christiana Remington, nee, Packard. She died June 19, 1873: 3d married, Mrs. Ereda Howes, nee, Baker, April 19, 1876.
He was at the Shelburn Falls High School, 1838—39; moved to Wisconsin, 1841; settled in Greenfield, Milwaukee Co., where he now resides; by trade a mason, Town Assessor in 1846, Justice of the Peace 9 years, between 1848 and 1865, Supt. of Schools from 1852 to 56, and Town Clerk six years between 1860 and 1876; an official member of the M. E. church. His children were all born in Greenfield. P. O., Greenfield, Milwaukee Co., Wis.
98. OSWIN JOHNSON, born Dec. 22, 1820; married Lucy Sprague, born Oct. 11, 1820. Their children were born in Buckland, Mass., where the parents still reside. P. O. address, Shelburn Falls, Mass.
99. MARTIN JOHNSON, born Jan. 1, 1822; married Mary Jane, born July 14, 1826. Their children were born in Shelburn Falls, Mass.
100. SEMIRA JOHNSON, born April 14, 1826; married, 1st, Samuel Derby, born May 31, 1821, and died Aug. 29, 1850. Married, 2d, Dea. Franklin Sprague, born Dec. 15, 1831. Residence, Shelburn Falls, Mass. They have an adopted daughter; name Sarah N. Sprague.
CHILDREN, FIFTH GENERATION.
I. A son Derby, b. April 27, 1845. d. at birth. 359
II. Samuel E. " b. July 30, 1846; d. Oct. 24, 1846. 360
III. Flora S. " b. Sept. 3, 1847; d. Aug. 20, 1850. 361
101. DOCTOR FRANKLIN JOHNSON, born June 16, 1804; married, June 16, 1825, Dorcas Duckworth, born May 8, 1810. Residence Farmersville, Posey Co., Ind.
CHILDREN, FIFTH GENERATION.
I. Abilena, b. May 27, 1826. 362
II. Polly R., b. Jan. 24, 1828; d. April 9, 1846. 363
III. Martha T. b. Mar. 4, 1830. 364
IV. Hannah H., b. Sept. 20, 1832. 365
V. Isabel, b. Sept. 19, 1834. 366
VI. Flora Ann, b. Feb. 12, 1837. 367
VII. Nathan H., b. Sept. 27, 1839. 368
VIII. Marcia, b. April 12, 1842; d. Oct. 15, 1845. 369
IX. Laura, b. Dec. 22, 1844. 370
X. Seth, b. June 16, 1847; d. Aug. 14, 1864. 371
XI. Pitts, b. Dec. 23, 1849. 372
XII. Frederic P., b. Sept. 13, 1852. 373
Seth Johnson served his country in the late war, in Company F., 25th Indiana Infantry, and was killed at the siege of Atlanta.
102. LEANDER JOHNSON 2d, born May 8, 1806; married Susan Hart. He died near Bowling Green, Ky., in Sept., 1859.
No Children.
103. DEMETRIUS JOHNSON, born March 11, 1808; married June 19, 1827, Martha P. Duckworth, born Dec. 9, 1810. Residence Akin, Franklin Co., Ill.
CHILDREN, FIFTH GENERATION.
I. Maria, b. Aug. 25, 1829; d. July 28, 1848 374
II. Marinda L., b. July 27, 1833. 375
III. Matilda C., b. Nov. 10, 1835; d. Dec. 20, 1863. 376
IV. Marcus L., b. Nov. 7, 1837. d. Oct. 8, 1863. 377
V. Jane A., b. Feb. 22, 1841. 378
VI. Ruth E., b. Apr. 17, 1850. 379
104. ELHANAN WINCHESTER JOHNSON, born March 8, 1812; married August 16, 1832, Mary McKinny Carter, born Feb. 24, 1811, and died Aug. 4, 1856; 2d wife, Mrs. Julia Ann Duckworth, married April, 1857. Residence Burnt Prairie, White county, Ill.
CHILDREN, FIFTH GENERATION.
I. Minerva C., b. May 21, 1833. 380
II. Ruth P., b. Jan. 8, 1836; d. July 1, 1857. 381
III. Elizabeth R., b. May 13, 1840; d. Nov. 19, 1844. 382
IV. Benjamin R., b. Jan. 9, 1843; d. Aug. 16, 1840. 383
V. Permelia M., b. Jan. 9, 1843. 384
VI. Anderson N., b. Dec. 7, 1845; d. July 13, 1863. 385
VII. Indiana N., b. Sept. 24, 1848; d. Oct. 19, 1875. 386
VIII. Joseph H., b. Sept. 23, 1851. 387
IX. Wm. A., b. July 28, 1856; d. Sept. 25, 1856. 388
105. HANDORUS D. JOHNSON, born Jan. 6, 1814; married Dec. 13, 1832, Hannah Burlison, born April 21, 1814, and died Aug. 6, 1866; 2d wife, Nancy E. Carter, born Nov. 16, 1819; married Apr. 9, 1867. Residence Eastern, Franklin Co., Ill.
CHILDREN, FIFTH GENERATION.
I. Livia, b. Jan. 17, 1834. 389
II. Aaron B., b. July 23, 1836; d. Aug. 4, 1864. 390
III. Ruth, b. Jan. 6, 1838; d. Jan. 20, 1838. 391
IV. Nelson, b. Sept. 23, 1840; d. Sept. 30, 1841. 392
V. Rufus R., b. May 23, 1842. 393
VI. Andrew H., b. Feb. 6, 1844. 394
VII. Elizabeth J., b. March 1, 1846; d. July 23, 1866. 395
VIII. Mary E., b. Jan. 21, 1848; d. Feb. 5, 1865. 396
IX. Polly Ann, b. Jan. 14, 1850; d. July 13, 1866. 397
X. Margaret A., b. Nov. 27, 1857; d. Feb. 1, 1865. 398
106. CARLOS HAWLEY JOHNSON, born March 22, 1802; married Lucy Coffin, Nov., 1829; she died in 1851; 2d wife, Mrs. Fanny A. McGee, nee, Welman; married Oct. 8, 1852. He died in Chester, Geauga county, Ohio, Aug. 3, 1855.
CHILDREN, FIFTH GENERATION,
I. John Porter, b. 1830; d. 1831. 399
II. Melvin, b. July 28, 1831; d. June 12, 1871. 400
III. Edwin, b. Dec. 1833; d. April, 1837. 401
IV. Lucyann, b. June 28, 1838. 402
V. Eunice, b. Aug. 15, 1841. 403
VII. Josiah 5th, b. Oct. 5, 1848. 404
VIII. Fannie G., b. Mar. 26, 1855. 405
107. FESTA JOHNSON, born Sept. 8, 1803; married Samuel Ware, in 1825, who died Mar. 10, 1832. She died in Jefferson Co., New York, Aug. 29, 1828.
CHILDREN, FIFTH GENERATION.
I. Flora Ware, b. 1826; d. Aug. 1, 1858.
108. JOSIAH JOHNSON 4th, born Nov. 11, 1806; married Jerusha Phillips, born May 21, 1813. Residence. Black River, Jefferson county, New York.
They have no children, but have adopted a son whose name is Nelson Phillips Johnson.
109. EMILY JOHNSON, born April 21, 1808; married June 19, 1832, Roderick O. Dwight, born Nov. 25, 1802, and died March 10, 1863. Their children were born in Colraine; Mass. Residence, Williamsburg, Hampshire county, Mass.
CHILDREN, FIFTH GENERATION.
I. Josiah J. Dwight, b. April 22, 1832.
II. Elizabeth E. " b. Sept. 28, 1838.
111. SYLVIA JOHNSON, born Nov. 16, 1810; married January, 1837, Josiah Buell. She died Mar. 11, 1857. Children born in Richland, Kalamazoo county, Mich., where he still resides.
CHILDREN, FIFTH GENERATION.
I. Joseph E. Buell, b. Mar. 15, 1840. d. Feb. 20, 1854.
II. Mary E., " b. Aug. 22, 1843.
III. Josiah H. " b. Feb. 23, 1852.
112. BETSEY JOHNSON, born April 12, 1812; married Theodosius Wood, who was born in Buckland, Mass. They now reside at Macedonia Depot, Summit Co., Ohio.
No Children.
113. JULIAETTE JOHNSON, born Sept. 3, 1813; married Ira Whitney Brittan.
CHILDREN, FIFTH GENERATION.
I. Julius Brittan, b. March 18, 1835.
114. WELLINGTON JOHNSON, b. March 12, 1815; married June 30, 1839, Betsey E. Wallace, born Sept. 26, 1817, and died Mar. 13, 1854; married July 22, 1855, 2d wife, Mrs. Mary A. Stevens, nee, Parmelee, b. Sept. 19, 1829.
He went to Ohio in 1833, settled in Northfield, Portage county, became Adjutant of 1st. Reg. Portage Co. Rifles; Town Assessor, 1849; Justice of the Peace from 1856 to 1862; at present Notary Public for Summit Co. Children born in Northfield. Residence, Macedonia Depot, Summit Co., Ohio.
**CHILDREN, FIFTH GENERATION.**
| | Name | Birth Date | Death Date | Age |
|---|-----------------------|------------------|------------------|-----|
| I.| A daughter | Oct. 31, 1840 | d. at birth | 413 |
| II.| A daughter | Sept. 28, 1842 | d. at birth | 414 |
| III.| Wm. Wallace | Feb. 26, 1844 | Feb. 27, 1854 | 415 |
| IV.| Austria | Dec. 27, 1849 | | 416 |
| V.| Alice | July 5, 1851 | Mar. 25, 1854 | 417 |
| VI.| Elizabeth | Mar. 9, 1854 | Mar. 19, 1854 | 418 |
116. CLARISSA JOHNSON, born July 13, 1818; married May 14, 1837, Hooker Taylor, born May 26, 1811. Children born in Northfield, Summit county, Ohio. Residence 876 Logan street, E. Cleveland, Ohio.
**CHILDREN, FIFTH GENERATION.**
| | Name | Birth Date | Death Date | Age |
|---|-----------------------|------------------|------------------|-----|
| I.| Levi Webster Taylor | Dec. 15, 1839 | May 13, 1854 | 419 |
| II.| Esther E. | Jan. 5, 1845 | | 420 |
| III.| Olivia C. | Feb. 12, 1855 | | 421 |
| IV.| A daughter | Mar. 26, 1857 | d. in infancy | 422 |
| V.| | Aug. 26, 1859 | | 423 |
| VI.| | July 21, 1860 | | 424 |
| VII.| Carrie L. | Nov. 29, 1861 | | 425 |
117. GAD ELMER JOHNSON, born Nov. 28, 1819; married Minerva Eldredge, May 14, 1837. Residence, Warrensville, Cuyahoga county, Ohio, where their children were born.
**CHILDREN, FIFTH GENERATION.**
| | Name | Birth Date | Death Date | Age |
|---|-----------------------|------------------|------------------|-----|
| I.| Adeline | Mar. 14, 1847 | June 18, 1865 | 426 |
| II.| Frank | May 8, 1850 | Aug. 13, 1852 | 427 |
| III.| Otto | July 2, 1853 | | 428 |
| IV.| Belle | Sept. 28, 1859 | | 429 |
| V.| Nell | July 26, 1867 | | 430 |
120. ELLEN MARIA JOHNSON, born Feb. 16, 1826; married June 16, 1844, Daniel Proctor, born Nov. 2, 1810, and died Jan. 2, 1869. Their children were born in Northfield, Summit Co., Ohio, where she still resides.
**CHILDREN, FIFTH GENERATION.**
| | Name | Birth Date | Age |
|---|-----------------------|------------------|-----|
| I.| Emma Proctor | Dec. 23, 1846 | 431 |
| II.| Flora | July 12, 1849 | 432 |
| III.| Julia | July 26, 1850 | 433 |
| IV.| Cass | Dec. 9, 1854 | 434 |
122. DOLLY NICHOLS, born Dec. 8, 1803; married Feb. 9, 1835, Ira Merrill, born Nov. 26, 1803, died Nov. 5, 1866. His death was caused by the accidental falling of the boom of a derrick, which struck his head, producing injuries that resulted in death in about three hours. Children born at Shelburn Falls, Mass., her present residence.
**CHILDREN, FIFTH GENERATION.**
I. George G. Merrill, b. Jan. 25, 1836.
II. Olive N. " b. Nov. 19, 1837.
III. Mary C. " b. Dec. 1, 1839.
IV. Rosabella S. " b. Nov. 21, 1842.
V. Achsah M. " b. Oct. 18, 1845.
124. ROSWELL NICHOLS, born Dec. 9, 1806; married Achsah Scott, in June, 1833. Residence St. George, Ottawa county, Ohio.
**CHILDREN, FIFTH GENERATION.**
I. David Johnson Nichols, b. July 4, 1834.
125. OLIVE NICHOLS, born Dec. 21, 1808; married Ira Merrill April 7, 1829. She died July 28, 1830. He afterwards married her sister Dolly. (No. 122.)
No Children.
126. MARY NICHOLS, born May 31, 1812; married July 9, 1846, Miles Chapin, born April 3, 1814. Residence Camden, Oneida county, N. Y.
**CHILDREN, FIFTH GENERATION.**
I. Mary E. Chapin, b. May 30, 1847.
127. JOSIAH JOHNSON WHITE, born Sept. 11, 1823; married April 26, 1848, Lydia L. Hurd, born Oct. 25, 1823. He has served our country twice in the army. First in the Mexican war, and again in the great war caused by the Rebellion. Occupation, jeweller. P. O., Palmyra, Wayne county, N. Y.
**CHILDREN, FIFTH GENERATION.**
I. Charles F. White, b. July 2, 1851; d. Oct. 11, 1853.
II. Chas. Everard, " b. Oct. 19, 1855.
III. William H. " b. Oct. 24, 1860.
128. HARRIET M. WHITE, born March 3, 1825; married Oct. 13, 1849, Joseph White, born April, 1808, and died Oct. 17, 1861. Children born in Heath, Mass.
CHILDREN, FIFTH GENERATION.
I. Emma L. White, b. Nov. 19, 1850. 445
II. Hattie F. " b. Feb. 20, 1852. 446
III. Charlie E. " b. Aug. 28, 1853; d. July 20, 1855. 447
IV. Joseph D. " b. April 18, 1856. 448
V. Mary A. " b. Mar. 18, 1858. 449
VI. Flora J. " b. April 4, 1860. 450
129. KEZIAH K. WHITE, born Aug. 31, 1829; married April 26, 1849, Frederick M. Field, born May 27, 1826. Residence Camden, Oneida county, N. Y.
CHILDREN, FIFTH GENERATION.
I. Ella A. Field, b. Mar. 9, 1850. 451
II. Alice E. " b. July 15, 1852. 452
III. Emma L. " b. June 29, 1860; d. Oct. 14, 1860. 453
IV. Georgiana M. " b. June 28, 1863. 454
V. William E. " b. Oct. 26, 1864; d. Aug. 18, 1865. 455
VI. Edna L. " b. Nov. 27, 1874. 456
135. WEALTHY H. HATHAWAY, born July 15, 1820; married Joel O. Rice. Residence Conway, Franklin county, Mass.
CHILDREN, FIFTH GENERATION.
I. Martha Rice, b. Oct. 2, 1841; d. Sept. 5, 1867. 457
II. Henry " b. Sept. 28, 1843; d. Dec. 14, 1863. 458
III. Charles " b. Nov. 9, 1845; d. Sept. 22, 1854. 459
IV. Frances, " b. Sept. 1, 1848. 460
V. Ellen " b. Mar. 3, 1850; d. Sept. 15, 1854. 461
VI. Harmoline " b. May 14, 1852; d. Sept. 10, 1854. 462
VII. Joseph " b. June 28, 1854. 463
VIII. Emma " b. Mar. 27, 1856. 464
138. ALONZO JOHNSON, born Oct. 3, 1814; married Aug. 14 1835, Sophia Taylor, b. Dec. 17, 1814. A farmer. Residence, Academy, Ontario county, N. Y.
CHILDREN, FIFTH GENERATION.
I. Betsey A., b. May 2, 1837. 465
II. Susan S., b. July 19, 1839. 466
III. Mary Eliza, b. Aug. 20, 1843. 467
IV. Hiram T., b. Feb. 14, 1847. 468
V. William F., b. Aug. 10, 1850. 469
VI. Chauncy S., b. Feb. 17, 1860; d. May 12, 1862. 470
139. REV. LEANDER JOHNSON, born Sept. 28, 1816; married March 1, 1841, Eliza A. Silvernail, born Jan 17, 1820, died Oct. 26, 1850; 2d wife, Lydia Woodward, married Feb. 13, 1851. P. O. address, Sunville, Venango county, Pa.
CHILDREN, FIFTH GENERATION.
I. William L., b. Aug. 12, 1844; d. Aug. 12, 1854. 471
II. Melvin L., b. Feb. 10, 1856. 472
III. Mary L., b. May 17, 1857; d. June 14, 1864. 473
IV. Martha S., b. Sept. 14, 1859. d. June 20, 1864. 474
V. Merta L., b. June 14, 1863; d. June 7, 1864. 475
140. OTHNIEL TAYLOR JOHNSON, born Dec. 15, 1818; married in 1843, Adelia Sands, who died in Nov., 1854. P. O. address, Gorham, Ontario county, N. Y.
CHILDREN, FIFTH GENERATION.
I. Nelson, b. 1844. 476
II. Harriet, b. 1846. 477
III. Charles, b. 1849. 478
IV. Smith, b. 1851. 479
V. Leander, b. 1853; d. in infancy. 480
VI. Adelia, b. 1854: d. young. 481
142. ABIGAIL WOODWARD, born April 23, 1814; married Silas G. Phillips, Dec. 15, 1836, born in Oakham, Mass., Mar. 23, 1804. Children born in Champion, New York, where they now reside.
CHILDREN, FIFTH GENERATION.
I. John L. Phillips, b. Aug. 10, 1851. 482
II. Irwin W. " b. Mar. 3, 1852. 483
143. ARMENIA WOODWARD, born June 14, 1816; married George Fredenburg, March 8, 1838, born Nov. 2, 1803. P. O. address, Felt's Mills, Jefferson county, New York.
CHILDREN, FIFTH GENERATION.
I. George C. Fredenburg, b. Nov. 14, 1838. 484
II. Ebenezer W. " b. July 13, 1840. 485
III. John E. " b. Oct. 29, 1843. 486
IV. Charles A. " b. May 31, 1845; d. May 2, 1857. 487
V. Wm. Henry " b. Dec. 28, 1846. 488
VI Jennie " b. Aug. 29, 1849. 489
Charles Alonzo Fredenburg (No. 487) was instantly killed on the bank of Black river by the fall of a tree; May 2, 1857.
144. SYLVIA WOODWARD, born May 20, 1820; married Lyman Shew. P. O. address, Great Bend, Jefferson Co., N. Y.
CHILDREN, FIFTH GENERATION.
I. Albion Shew, m. Nellie Lewis, 1869. 490
II. Eugene " 491
III. Ida " 492
IV. Eva " 493
145. EBENEZER WOODWARD, 2d., born Oct. 20, 1824; married Julia Butterfield. P. O. address, Great Bend, Jefferson Co., N. Y.
CHILDREN, FIFTH GENERATION.
I. Adeline Woodward, d. Aug. 24, 1874. 494
II. Edwin " 495
III. Wallace " 496
IV. Estelle " d. Feb. 1875. 497
V. Jefferson D. " 498
VI. Robert L. " 499
148. LUCINDA WOODWARD, born May 14, 1830; married Samuel R. Hubbard, Jan. 1, 1851. They have no children. P. O. address, Naumburgh, Lewis Co., N. Y.
149. HENRY JOHNSON WOODWARD, born April 14, 1816; married Sept. 25, 1845, Lovanchia Bell, born June 5, 1827. P. O. address, Felt's Mills, Jefferson Co., N. Y.
CHILDREN, FIFTH GENERATION.
I. Rufus R. Woodward, b. May 9, 1847. 500
II. Henry E. " b. Aug. 1, 1850. 501
III. Chandler B. " b. Oct. 14, 1851. 502
150. SUSANNA MINERVA WOODWARD, born May 20, 1828; married Dec. 30, 1847, Sebre Gustin Dickinson, born April 14, 1823. P. O. address, Denmark, Lewis Co., N. Y.
CHILDREN, FIFTH GENERATION.
I. Edgar A. Dickinson. b. Feb. 16, 1851; d. at birth. 503
II. Flora Bell " b. Feb. 16, 1857; d. Sept. 25, 1857. 504
III. A. Son " b. April 4, 1861; d. at birth. 505
IV. Jenny E. " b. April 11, 1868 506
151. BILDAD WOODWARD, 2d., born Aug. 23, 1819; married Dec. 24, 1846, Margaret Howe, who died Mar. 21, 1872. Resides in Jefferson Co., N. Y.
CHILDREN, FIFTH GENERATION.
I. Emory E. Woodward, b. Dec. 24, 1847. 507
II. Henry A. " b. June 23, 1849. 508
III. Jerusha J. " b. May 21, 1851. 509
IV. Spencer B. " b. Aug. 28, 1853. 510
V. Jesse D. " b. April 8, 1855. 511
152. JOSIAH WOODWARD, born June 2, 1821; married Caroline C. Fredenburg.
CHILDREN, FIFTH GENERATION.
I. Duane Woodward, b. June 6, 1854. 512
II. Adelbert " b. July 12, 1855. 513
III. Romain J. " b. Jan. 16, 1859. 514
IV. Cora " b. June 11, 1872; d. Aug., 1873. 515
157. ZOPHAR WOODWARD, born Nov. 27, 1829; married Nov. 16, 1853, Sarah J. McNeil, born Oct. 17, 1835. Residence, Shelburn Falls, Mass.
CHILDREN, FIFTH GENERATION.
I. Mary L. Woodward, b. Sept. 4, 1854. 516
II. Herbert N. " b. Feb. 11, 1860; d. Sept., 1863. 517
III. Merton Z. " b. Jan. 27, 1866. 518
160. LUTHER LEE WOODWARD, born Jan 21, 1837; married Elvira L. Fay, March 7, 1860. Residence Antwerp, Jefferson county, New York.
161. HARRIET NEWELL BRAINARD, born Sept. 20, 1824; married Sept. 16, 1846, Edwin D. Battles, born July 22, 1820. Residence Wilson's Mills, Ohio.
CHILDREN, FIFTH GENERATION.
I. Orlin T. Battles, b. Feb. 1, 1848. 519
II. Martha O. " b. Jan. 17, 1853. 520
162. MARTHA JOHNSON BRAINARD, born Aug. 4, 1827; married S. G. Rugg, Apr. 16, 1857. She died without issue,
163. ORSON THOMAS BRAINARD, born July 28, 1831; married June 19, 1853, Orissa A. McGee, born May 2, 1835. Jeweller by trade. Residence Traer, Tama county, Iowa.
CHILDREN, FIFTH GENERATION.
I. Arthur T. Brainard, b. May 3, 1854. 521
II. Charles E. " b. Feb. 22, 1856. 522
III. Flora A. " b. Nov. 2, 1857. 523
IV. Hezekiah " b. June 19, 1859; d. July 27, 1859. 524
V. Fanny Lovice " b. May 4, 1860; d. Apr. 19, 1876. 525
VI. Everett " b. Dec. 25, 1863; d. Feb. 28, 1864. 526
VII. Laura " b. July 6, 1865. 527
VIII. Sidney W. " b. June 9, 1867. 528
IX. Clarence A. " b. June 19, 1869. 529
X. Zoe Maud " b. Feb. 6, 1876. 530
164. SARAH KENDALL married Mr. Wilder, of Leominster, and died without issue and with her death the family of Luke Johnson (No. 8) became extinct.
168. CLARISSA J. WEST, born Oct. 28, 1805; married Jan. 22, 1828, Wm. Titus, born July 21, 1803. In the former part of his life he was a merchant, but afterwards engaged in milling and farming. P. O. Address, Moravia, Cayuga county, N. Y.
CHILDREN, FIFTH GENERATION.
I. Thomas West Titus, b. Sept. 29, 1829; d. May 11, 1873. 531
169. MARY M. WEST, born Jan. 25, 1815; married Feb. 15, 1841, Elondo Greenfield, born Oct. 25, 1812. His occupation, farming. P. O., address, Moravia, N. Y.
CHILDREN, FIFTH GENERATION.
I. J. Webb Greenfield, b. Oct. 6, 1842. 532
II. Mary " b. May 25, 1844. 533
171. HARRIET C. JOHNSON, born April 14, 1824; married Nov. 10, 1839, Edwin Broun, whose mother was a Miss Lee, of the celebrated Lee Family of Va. His occupation, farming. P. O., Broun’s Store, Northumberland Co., Va.
CHILDREN, FIFTH GENERATION.
I. Thomas O. Broun, b. Feb. 10, 1841; d. Sept. 10, 1843. 534
II. William " b. Dec. 20, 1842. 535
III. Ann Payne " b. Apr. 25, 1844; d. Oct. 31, 1846. 536
IV. Bettie Lee " b. Feb. 14, 1846. 537
V. Edwin T. " b. Aug. 11, 1848; d. Nov. 4, 1852. 538
VI. Harriet A. " b. Aug. 11, 1848; d. Oct. 20, 1849. 539
VII. Roswell B. " b. Oct. 20, 1850. 540
VIII. Charlie " b. Aug. 22, 1852; d. April 16, 1862. 541
IX. Octavius " b. Sept. 1, 1854; d. April 4, 1862. 542
X. Millard F. L. " b. Oct. 16, 1856; d. Nov. 24, 1867. 543
XI. Edwin " b. Feb. 13, 1860. 544
172. DAVID B. JOHNSON, born in Aurora, N. Y., June 15, 1818; married Dec. 25, 1847, Sarah Sigler, born 1826; died July 22, 1860. P. O., address, Albion, Calhoun Co., Mich.
CHILDREN, FIFTH GENERATION.
I. Murphy, b. May 4, 1849. 545
II. Kate, b. Dec. 4, 1850. 546
III. Nathaniel F. 2d. b. Jan. 17, 1857. 547
IV. David B. 2d. b. Dec. 4, 1859. 548
173. NATHANIEL F. JOHNSON, born in Aurora, N. Y., Feb. 9, 1823; married Oct. 31, 1847, at Walled Lake, Oakland Co., Mich., Sarah Middaugh, born June 7, 1821, in Tioga Co., N. Y.
No Children.
174. JULIA V. JOHNSON, born in Buffalo, N. Y., July, 25, 1828; married Sylvester Newkirk, March 2, 1845. P. O. address, Dexter, Washtenaw Co., Mich.
CHILDREN, FIFTH GENERATION.
I. Osmond J. Newkirk, b. Dec. 6, 1845; d. April 18, 1863. 549
II. Henry West " b. Aug. 1, 1854. 550
III. Emma O. " b. Jan. 9, 1857. 551
IV. Emily J. " b. Jan. 9, 1857. 552
Osmond Johnson Newkirk enlisted in Co. D. 20th Reg. Mich. Vol. In., and died in the service at Louisville, Ky. April 18, 1863.
175. HENRY S. JOHNSON 2d, born April 14, 1834; married Nov. 16, 1858, Emma A. Seaman of Detroit.
CHILDREN, FIFTH GENERATION.
I. Henry S. b. July 29, 1859. 553
178. CLARISSA J. BRINKERHOFF, born Aug. 5, 1822; married Wm. R. Conger, Oct. 27, 1841. Occupation, farming. P. O. address, Martville, Cayuga Co., N. Y.
CHILDREN, FIFTH GENERATION.
I. Clarissa San F. Kyle Conger, b. Aug. 22, 1852. 554
179. FANNIE M. LUND, born Sept. 1, 1829; married James Brininstool, July 18, 1852. Occupation, farming. P. O. address, South Alabama, N. Y.
CHILDREN, FIFTH GENERATION.
I. Clarence F. Brininstool, b. May 19, 1854; d. Jan. 19, 1856. 555
II. Cornelia M. " b. May 19, 1854. 556
III. Joseph L. " b. Jan. 31, 1857. 557
IV. Clara L. " b. Dec. 6, 1859; d. May 10, 1860. 558
V. Myrta V. " b. July 6, 1861. 559
VI. James J. " b. Apr. 12, 1866. 560
VII. Clark G. " b. May 30, 1870. 561
181. M. ANTOINETTE LUND, born May 1, 1834; married Rev. Lucius Atwater, born in Sempronius, N. Y., June 22, 1812. He made a religious profession, 1831. From 1831 to 1836 teaching and studying for the Ministry. Ordained 1837. Preaching at Danbury, Ct., 1837 to 1850. At Branford, Ct., 1850-54. At S. Alabama, N. Y., 1854-62. At West Somerset, N. Y., 1862-65. In Wisconsin, 1865-69. At Middlebury, N. Y., 1869-74. And is now Pastor of the Baptist Church at Elba, Genesee Co., N. Y.
No Children.
182. M. CORNELIA LUND, born Oct. 15, 1836; married Darius White, Dec. 11, 1867. Occupation farming. P. O., Wheatville, Genesee Co., N. Y.
CHILDREN, FIFTH GENERATION.
I. Hattie Cornelia White, b. Sept. 11, 1871. 562
183. PRUDENCE A. VAN ETTEN, born Feb. 6, 1830; married March 12, 1857, Milton J. Parsell, who died Feb. 28, 1874. Residence, Owasco, Cayuga Co., N. Y.
CHILDREN, FIFTH GENERATION.
I. Clara M. Parsell, b. July 27, 1862. 563
II. J. Ross " b. Aug. 3, 1865; d. June 24, 1873. 564
III. H. Van Etten " b. Dec. 16, 1867. 565
IV. Mary M. " b. July 31, 1871. 566
184. HENRY N. VAN ETTEN, born Aug. 17, 1832; married Feb. 8, 1859, Antoinette Newland. Res., Owasco, Cayugo Co. N. Y. He died Oct. 28, 1866.
CHILDREN, FIFTH GENERATION.
I. Floyd N. VanEtten, b. July 14, 1860. 567
II. Ella C. " b. Aug. 3, 1862. 568
III. Hattie N. " b. May 18, 1867. 569
185. MARY E. VAN ETTEN, born Dec. 1, 1835; married Feb. 23, 1860, Thomas Reed. She died March 3, 1874.
CHILDREN, FIFTH GENERATION.
I. Joseph O. Reed, b. Sept. 14, 1865. 570
II. Frank M. " b. Feb. 10, 1874. 571
III. Fred. E. " b. Feb. 10, 1874. 572
186. FANNY A. VAN ETTEN, born Sept. 6, 1838, married March 17, 1864, J. Horton Cuykendall. P. O. address, Owasco, N. Y.
CHILDREN, FIFTH GENERATION.
I. Grace N. Cuykendall, b. Mar. 27, 1870. 573
II. H. Van Etten " b. Oct. 25, 1875. 574
187. HARRIET A. VAN ETTEN, born July 25, 1845; Married Sept. 15, 1869, Eugene Conklin. He was in Battery A. 3d N. Y. Artillery, in the late War.
CHILDREN, FIFTH GENERATION.
I. Nellie V. Conklin, b. May 31, 1872. 575
189. J. REED JOHNSON, born, Feb. 6, 1839; married Dec. 12, 1866, Nellie Cortright of Homer, N. Y. P. O. address, Newark Valley, Tioga Co., N. Y.
CHILDREN, FIFTH GENERATION.
I. Hattie C. Johnson, b. Oct. 2, 1869. 576
193. MARY E. JOHNSON, born May 28, 1850; married Nov. 29, 1871, W. T. Parker; of Moravia, a lawyer by profession. She died Feb. 23, 1874.
No Children.
195. COL. EDWIN MOORE, born in New Salem, Mass., July 25, 1819; Married April 21, 1846, Sarah C. Reed, born at Lancaster, Pa., May 12, 1824. Principal of Mt. Joy Academy, Pa., from 1851 to 1862, and received the title of A. M. from a Penn. College. Paymaster of the U. S. Vol's. 1862-69. Taken prisoner and confined in Libby—the effects of which probably brought him to an untimely grave. He died at St. Peter, Minn., April 22, 1874. Her P. O., St. Peter, Minn.
CHILDREN, SIXTH GENERATION.
I. Forrester Moore, b. May 28, 1847; d. June 2, 1847. 577
II. Edwin R. b. June 18, 1849; clerk in 1st Nat. Bank, St. Peter, Minn. 578
III. Roberta R. Moore, b. Aug. 1, 1851. 579
IV. Sarah E. " b. Jan. 23, 1854; d. Mar. 14, 1857. 580
V. Charles S. " b. Dec. 22, 1857; d. May 15, 1865. 581
VI. Mary E. " b. June 2, 1860. 582
196. STILLMAN MOORE, born in New Salem, Mass., Mar. 19, 1821; married Mary A. Preble, Oct. 28, 1843. Bred to mechanical business. Inspector of arms for the Gov't several years. Now has charge of business in a Carriage Hardware House, New Haven. P. O. address, New Haven, Ct.
CHILDREN, SIXTH GENERATION.
I. Anna Fisk Moore, b. Dec. 5, 1851. 583
197. LEANDER MOORE, born May 16, 1822; married, Nov. 4, 1847, Roxana Collins, who died in Nov. 1859. He was bookkeeper of a large Wholesale House in New York. He died in Brooklyn, Nov. 23, 1850.
No Children.
198. SARAH FISK MOORE, born July 9, 1824; married Oct. 28, 1847, Lewis H. Gause, born Oct. 28, 1821. She is a lady of culture and refinement. P. O. address, Harrisburg, Pa.
CHILDREN, SIXTH GENERATION.
I. Clarence L. Gause, b. Aug. 26, 1848; d. Oct. 7, 1848. 584
II. Leander M. " b. Nov. 23, 1850. 585
III. Charles S. " b. Oct. 23, 1853. 586
IV. Helen " b. Apr. 21, 1857. 587
V. Frank L. " b. Jan. 8, 1860. 588
VI. Lucy Gunn " b. Dec. 31, 1864. 589
VII. Laura B. " b. Dec. 31, 1864. 590
VIII. Mary " b. Nov. 26, 1867; d. Dec. 12, 1869. 591
200. JOSEPH KNIGHT MOORE, born in Enfield, Mass., Feb. 17, 1828; married Jan. 1, 1851, Clara L. Hosley, born April 22, 1831. Postmaster of St. Peter, Minn. He learned the printer's trade in the office of the Gazette and Courier, Greenfield, Mass. Was afterwards connected with The Grass Valley (Cal.) Telegraph, and later with The Norristown (Penn.) Republican. At present and for several years past, editor and proprietor of The Saint Peter Tribune.
CHILDREN, SIXTH GENERATION.
I. Frank L. Moore, b. July 27, 1860. 592
II. Frederic S. " b. May 26, 1864. 593
III. Florence K. " b. Dec. 12, 1867. 594
IV. Harry E. " b. July 25, 1874. 595
201. HARRIET MARIA FISK, born June 24, 1825; married Aug. 22, 1843, Samuel W. Glover, born Sept. 5, 1821. P. O. address, Leverett, Franklin county, Mass.
CHILDREN, SIXTH GENERATION.
I. Harriet M. Glover, b. Mar. 17, 1845. 596
II. Samuel W. " b. Dec. 1, 1848; d. Jan. 21, 1852. 597
III. Henry J. " b. July 28, 1851; d. Feb. 22, 1852. 598
IV. Irene G. " b. Aug. 7, 1854; d. Oct. 11, 1861. 599
202. ERASTUS FISK GUNN, born Aug. 21, 1819; married Nov. 12, 1846, Nancy Bardwell, born Aug. 27, 1818, and died May 7, 1859. P. O. address, Montague, Mass. Children born in Montague.
CHILDREN, SIXTH GENERATION.
I. Charles B. Gunn, b. Sept. 29, 1847. 600
II. George R. " b. Oct. 18, 1849. 601
III. Mary C. " b. Nov. 28, 1851. 602
IV. Frank F. " b. Nov. 19, 1853; d. Dec. 30, 1853. 603
V. Alice P. " b. Jan. 5, 1855. 604
VI. Frank B. " b. Nov. 29, 1857; d. Mar. 18, 1859. 605
206. OTIS BERTHOUDE GUNN, born Oct. 27, 1828, married Dec. 15, 1853, Mary Helen Crosby, born Aug. 26, 1831. Profession, civil engineer. Was assistant engineer on Mass. & Vt. R. R.; same on Roch. & Niag. Falls R.R.; Division engineer on Toledo, Wabash & Western; Division engineer on Kan. Pacific; chief engineer and superintendent Br. Union Pacific; chief engineer of Mo., Kan. & Texas; chief engineer of the Atchison bridge across Missouri river; engineer of Lawrence dam and bridge. Has had active charge of nearly $1/80$ part of the railroads in the U. S. P. O. address, Lawrence, Kan.
CHILDREN, SIXTH GENERATION.
I. Charles H. Gunn, b. April 24, 1855. 606
II. Vara Helen " b. Oct. 6, 1857. 607
III. Lucy I. " b. July 10, 1863; d. Mar. 12, 1865. 608
IV. Frederic C. " b. Nov. 6, 1865. 609
V. Ellen L. " b. Dec. 15, 1867. 610
209. ALPHEUS MOORE, born March 26, 1819; married Jan. 1, 1846, Marilla A Whitney. Occupation, builder. P. O., Montague, Mass. Children born in Montague.
CHILDREN, SIXTH GENERATION.
I. Gilman A. Moore, b. Dec. 12, 1846. 611
II. Wesley F. " b. Sept. 28, 1854. 612
210. CLESSON F. MOORE, born Feb. 5, 1821; married Mary A. Fuller, April 28, 1846, born April 16, 1822, and died Aug. 29, 1868. P. O. address, Montague, Mass.
**CHILDREN, SIXTH GENERATION.**
I. Charles F. Moore, b. Feb. 28, 1848; d. May 27, 1848. 613
II. Martin E. " b. April 2, 1850. 614
III. George O. " b. Sept. 8, 1854. 615
IV. Mary L. " b. Aug. 9, 1858. 616
213. LUCY F. MOORE, born Oct. 7, 1825; married Feb. 2, 1846, Nathan H. Fitts, of Leverett, who died Oct. 19, 1859. P. O. address, Northampton, Mass.
**CHILDREN, SIXTH GENERATION.**
I. Charles M. K. Fitts, b. Feb. 16, 1857. 617
215. MARTHA AUGUSTA FISK, born Nov. 2, 1828; married May 31, 1848, Willard H. Fleming, born Nov. 19, 1823, P. O. address, Wendell, Mass.
**CHILDREN, SIXTH GENERATION.**
I. Inez E. Fleming, b. Nov. 16, 1852. 618
216. ELECTA THOMPSON FISK, born Feb. 9, 1834; married Feb. 6, 1861, George Hall, born Aug. 23, 1823. He is contracting agent for Mo., Kan. and Texas R. R. P. O. address, 417 Broadway, N. Y.
**CHILDREN, SIXTH GENERATION.**
I. George F. Hall, b. June 9, 1867. 619
218. LUCY EUÑICE FISK, born Nov. 21, 1846; married Dec. 15, 1867, Edwin C. Rice, born June 22, 1843. He served three years in the army. First in Co. B., 21st Mass. In., and afterwards in Co. K., 2d U. S. Cav. P. O., Westborough, Mass.
**CHILDREN, SIXTH GENERATION.**
I. Gertrude E. Rice, b. June 2, 1870. 620
II. Edith L. " b. Feb. 17, 1873. 621
219. HENRY Z. FISK, born Jan. 22, 1849; married March 17, 1874, Ella Marvell. Occupation, Farming. P. O. address, Leverett, Mass.
**CHILDREN, SIXTH GENERATION.**
I. Leora Elma Fisk, b. July 12, 1875. 622
220. CORNELIA FISK, born Aug. 12, 1828; married Asa Gillett, Mar. 9, 1847.
CHILDREN, SIXTH GENERATION.
I. Frank E. Gillett, b. Jan. 7, 1848. 6²³
II. Charles E. " b. Jan. 20, 1850; d. Feb. 20, 1873. 6²⁴
III. Russel R. " b. Feb. 20, 1853; d. Aug. 20, 1854. 6²⁵
IV. Cornelia " b. Mar. 15, 1855; d. Mar. 25, 1855. 6²⁶
V. Alice Helen " b. July 10, 1858. 6²⁷
VI. Preston B. " b. July 9, 1860. 6²⁸
VII. Guy R. " b. Sept. 15, 1862. 6²⁹
221. JAMES STILLMAN FISK, born June 9, 1832; married May 23, 1872, Ella Cook, born April 23, 1851. P. O. address, Atchison, Kan.
CHILDREN, SIXTH GENERATION.
I. Lucy S. Fisk, b. Nov. 7, 1873. 6³⁰
II. Claude B. " b. Nov. 18, 1875. 6³¹
222. LUCY SWEETSER FISK, born April 6, 1834; married Nov. 10, 1852, Lewis B. Brockett. P. O. address, Saybrook, Ohio
CHILDREN, SIXTH GENERATION.
I. Cornelia Brockett, b. Nov. 27, 1853; d. May 13, 1857. 6³²
II. Haddie C. " b. Feb. 10, 1856. 6³³
III. James F. " b. Nov. 14, 1859. 6³⁴
IV. Sarah H. " b. Jan. 11, 1862; d. Nov. 28, 1862. 6³⁵
V. Benton L. " b. Sept. 5, 1864. 6³⁶
VI. Fletcher " b. Sept. 29, 1867. 6³⁷
VII. Aimee " b. May 5, 1870. 6³⁸
VIII. Ellen " b. Oct. 25, 1873. 6³⁹
223. HADASSAH FISK, born Feb. 28, 1836; married Sept. 20, 1855, James Camp. She died April 18, 1858.
No Children.
224. HELEN OPHELIA FISK, born May 29, 1839; married Dr. P. G. Barrett, April 10, 1856. She died Sept. 3, 1860.
No Children.
225. WILLARD AMES STONE, born Jan. 10, 1825; married May 13, 1863, Andalusia Fuller, of Wellsville, N. Y. P. O. address, Rushford, N. Y.
CHILDREN, SIXTH GENERATION.
I. Grace B. Stone, b. June 29, 1864. 6⁴⁰
II. Isaac W. " b. Mar. 31, 1866. 6⁴¹
III. Clara A. " b. Mar. 28, 1868. 6⁴²
IV. Lewis F. " b. Feb. 20, 1870. 6⁴³
226. SARAH KENDALL STONE, born April 30, 1827; married B. F. Perry, Nov. 19, 1849.
CHILDREN, SIXTH GENERATION.
I. Sarah V. Perry, b. March 4, 1852. 644
II. Frank " b. Jan. 25, 1854. 645
229 LEWIS DUANE STONE, born April 26, 1840, in Rushford, N. Y.; married Sept. 5, 1861, Elizabeth Bell. He is engaged in the lumber business in Washington, D. C.
CHILDREN, SIXTH GENERATION.
I. Frank B. Stone, b. June 22, 1863. 646
II. John L. " b. July 20, 1866; d. Feb. 5, 1873. 647
III. Jennie S. " b. July 4, 1872. 648
236 MARY SWEETSER, born in Alton, Ill., Mar. 19, 1843; married Albert Wade, Dec. 13, 1865.
CHILDREN, SIXTH GENERATION.
I. Maryann Wade, b. Sept. 7, 1866; d. Oct., 1866. 649
II. Fanny S. " b. June 15, 1868. 650
III. Samuel " b. Sept. 12, 1873. 651
241 LYDIA F. ROOT, born in Deerfield, Mass., Aug. 30, 1839; married Dr. J. P. Bixby, May 13, 1860. P. O. address, Rushford, Alleghany county, New York.
CHILDREN, SIXTH GENERATION.
I. Carrie J. Bixby, b. July 18, 1868. 652
243 SARAH E. RAINGER, born March 29, 1849; married Robert P. Cornwell, Sept. 30, 1873. Residence Wendell Depot, Mass.
CHILDREN, SIXTH GENERATION.
I. Hattie May Cornwell, b. Nov. 26, 1875. 653
253 LEVI HENRY BRIGHAM, born in Boston, Mass., Nov. 27, 1811; married Feb. 27, 1850, Zenobia West, who died January 3, 1866. Occupation, merchant. P. O. address, Stevens House, New York.
CHILDREN, SIXTH GENERATION.
I. Eunice H. Brighami, b. 1851; d. Oct. 29, 1852. 654
II. Zenobia " b. Dec. 1, 1852. 655
III. Emma F. " b. Apr. 11, 1855. 656
IV. Henry L. " b. Nov. 27, 1857. 657
V. Ada, " b. July 5, 1860. 658
VI. Caroline W. " b. Dec. 26, 1865. 659
254. EUNICE H. BRIGHAM, born Dec. 25, 1813; married Dec. 1, 1838, Samuel S. Ball, who died Nov. 1, 1838.
CHILDREN, SIXTH GENERATION.
I. H. Frances Ball, b. May 1, 1838. 660
255. CAROLINE FRANCES BRIGHAM, born Dec. 13, 1815, married July 18, 1843, Erasmus Jones Andrews. Silk Importer. Place of business 107 Pinckney St., Boston, Mass.
CHILDREN, SIXTH GENERATION.
I. Caroline T. Andrews, b. June 19, 1845; 661
II. Harriette B. " b. May 6, 1849. 662
256. FREDERIC A. BRIGHAM, born Feb. 14, 1817; married Oct. 15, 1845, Harriet A. Norton, who died Dec. 9, 1849.
CHILDREN, SIXTH GENERATION.
I. E. Harriette Brigham. b. May 14, 1847; d. June 11, 1851. 663
257. MARY E. WHITE, born Nov. 16, 1818; married March 5, 1849, Benjamin F. Farley, of Hollis, N. H., son of Benjamin M. Farley, Esq., who graduated at Harvard in 1804. P. O. address, Worcester, Mass. Children born in Hollis, except the eldest, who was born in Boston.
CHILDREN, SIXTH GENERATION.
I. Mary E. Farley, b. June 24, 1841. 664
II. Fannie L. " b. June 12, 1843. 665
III. Monroe " b. June 9, 1846. 666
IV. Gardner " b. June 19, 1848; d. Oct. 19, 1856. 667
V. Arthur " b. Oct. 24, 1849. 668
258. JULIA A. WHITE, born Jan. 4, 1820; married Robert Crawford, at Kalamazoo, Mich. They moved to Rockford, Ill. She died, leaving no children.
259. LOWELL N. WHITE, born Nov. 16, 1821; married Rosana Martin, of Kalamazoo, Mich. P. O. address, Geneva, Kan.
CHILDREN, SIXTH GENERATION.
I. Sarah Jane White, 669
II. Flora " 670
III. Charles " 671
260. OTIS S. WHITE, born Aug. 7, 1824; married Jan. 5, 1869, Ursula W. Webster. Engaged in mercantile business. P. O. address, 229 Western Avenue, Chicago, Ill.
No Children.
261. FREDERICK WHITE, born Nov. 2, 1828; married Wilhelmina Van Fossen. Engaged in trade. P. O. address, Galva, Illinois.
CHILDREN, SIXTH GENERATION.
I. Edwin White, b. Aug. 27, 1861. 672
II. Cora " b. Mar. 6, 1864. 673
III. Flora " b. Dec. 9, 1865. 674
IV. Eva " b. June 18, 1868. 675
262. HARRIET WHITE, born May 14, 1831; married Rufus Scott, Sept. 9, 1861. P. O. address, Aurora, Kane county, Ill.
CHILDREN, SIXTH GENERATION.
I. Katie Scott, 676
II. Charles " 677
III. Willie " 678
263. CORDELIA WHITE, born May 16, 1835; married Wadclams Dunham, Aug. 21, 1855. P. O. address, Shabbona Grove, DeKalb county, Ill.
CHILDREN, SIXTH GENERATION.
I. Charles S. Dunham, b. Sept. 27, 1857. 679
II. Edward B. " b. June 17, 1859. 680
III. Mary F. " b. April 30, 1870. 681
IV. Clarence " b. Aug. 3, 1872. 682
264. SARAH WHITE, born Mar. 16, 1837; married Nov. 7, 1866, Daniel Gillett, born Dec. 25, 1836, who served in the army in the late war, and is both carpenter and farmer. P. O. address, Crescent Hill, Bates county, Mo.
CHILDREN, SIXTH GENERATION.
I. Minnie May Gillett, b. Oct. 7, 1869. 683
II. Hattie A. " b. Jan. 27, 1876. 684
266. WM.' HENRY COLBURN, born Dec. 28, 1824; married Jan. 15, 1857, Mary Fisk, of Winchester, Mass. Occupation, merchant. Place of business, 33 and 35 Pearl street, Boston, Mass. They have no children.
267. HARRIET FRANCES WINCHELL, born Dec. 25, 1830; married Isaac Smith, born Dec. 8, 1826, and died Sept. 4, 1875. Her P. O. address, Waterville, N. Y.
CHILDREN, SIXTH GENERATION.
I. Fannie E. Smith, b. April 2, 1851. 685
II. Fred. Adino " b. Feb. 8, 1853. 686
III. Reokee " b. Dec. 21, 1857. 687
268. MARY ELIZA WINCHELL, born Sept. 12, 1832; married March 18, 1852, Alonzo B. Tower, born May 25, 1825, and died Nov. 24, 1874.
CHILDREN, SIXTH GENERATION.
I. George Winchell Tower, b. Mar. 4, 1853. 688
271. MARYANN MONROE, born Nov. 8, 1837; married Jay Rinaldo Foote, Aug. 24, 1859.
CHILDREN, SIXTH GENERATION.
I. Oliver Rinaldo Foote, b. June 4, 1860. 689
272. CHARLES JAY MONROE, born Nov. 20, 1839; married Hattie Morehouse, Dec. 18, 1866. Cashier of First National Bank, South Haven, Mich.
CHILDREN, SIXTH GENERATION.
I. Steven B. Monroe, b. June 11, 1869. 690
II. George C. " b. Feb. 20, 1871. 691
III. Cora J. " b. Dec. 7, 1873. 692
IV. Lucy E. " b. Oct. 24, 1875. 693
273. ANDREW HENRY MONROE, born Oct. 24, 1841; married Lottie A. Platt.
CHILDREN, SIXTH GENERATION.
I. Fannie M. Monroe, b. Dec. 1, 1864. 694
II. Maud E. " b. Mar. 15, 1867. 695
275. EUNICE E. MONROE, born June 20, 1846; married David F. Moore, Sept. 10, 1870.
CHILDREN, SIXTH GENERATION.
I. Fanny B. Moore, b. Oct., 1871. 696
282. HENRY N. MONROE, born Mar. 31, 1836; married Linnie A. Stephens, Sept., 1869.
CHILDREN, SIXTH GENERATION.
I. Lester Stephens Monroe, b. 1871. 697
II. Morris Twins " b. Sept., 1873. 698
III. Merton " b. Sept., 1873; d. Oct. 27, 1874. 699
283. ELIZA C. MONROE, born April 27, 1838; married Delos Hodge, April, 1859.
CHILDREN, SIXTH GENERATION.
I. Delilah Hodge, b. July, 1861.
284. NANCY M. MONROE, born April 23, 1840; married Daniel Figg in Oct., 1860. He died in the Army, at Chattanooga, April 16, 1865, and was buried in the National Cemetery.
CHILDREN, SIXTH GENERATION.
1. Jessie Figg, b. March 14, 1862.
289. HATTIE D. MONROE, born March 15, 1851; married Sealim Whittaker, April 8, 1875.
292. LUCY SMITH, born Aug. 23, 1839; married Jan. 8, 1857, Francis E. Chadwick. P. O. address, Rochester, New York.
CHILDREN, SIXTH GENERATION.
I. Harry Chadwick, b. June 2, 1858.
II. Clara " b. Mar. 13, 1860. Twins.
III. Clarence " b. Mar. 13, 1860.
IV. Coralyn M. " b. June 2, 1863.
V. Lucy E. " b. July 7, 1868; d. April 12, 1872.
295. SARAH SMITH, born July 26, 1838; married Homer Jacobs, Jan. 8, 1857. Residence, Rochester, N. Y.
CHILDREN, SIXTH GENERATION.
I. Minnie Bell Jacobs, b. April 12, 1859.
II. Nettie Evelyn " b. Jan. 12, 1866.
304. AUSTIN S. GUNN, born July 8, 1852; married Mary H. Elliot, Dec. 25, 1875. P. O. address, Marengo, Iowa county, Iowa.
309. CHARLES SMITH, born June 5, 1838; married Emmeline McClure, Dec. 15, 1863. P. O. address, Troy, Rensselaer county, New York.
CHILDREN, SIXTH GENERATION.
1. Jennie Smith, b. Sept. 10, 1864.
311. MARY L. SMITH, born Nov. 27, 1843; married June 7, 1864, Henry C. Kelsey, who died April 26, 1875. Residence, West Troy, New York.
No Children.
314. EDWIN YEAMANS, born in Rutland, N. Y., Nov. 4, 1824; married Eliza Ann Smith, born Aug. 15, 1828. Mechanic and farmer. He died in Scott, Sheboygan county, Wis., July 16, 1872, from injuries received by being thrown from a wagon.
CHILDREN, SIXTH GENERATION.
I. Merton L. Yeamans, b. May 20, 1851. 710
II. Elvira E. " b. May 11, 1853. 711
III. Edward C. " b. June 23, 1858. 712
IV. Eugene B. " b. Dec. 4, 1860. 713
315. WM. WALLACE CROSS, born Aug. 16, 1832; married Jane H. Strong, Dec. 31, 1855; born May 3, 1836. He served in the Army in the 24th Wis. In. A blacksmith and wagon maker, but is now running a steam grist mill. Residence Greenfield, Milwaukee county, Wis. Children born in Greenfield.
CHILDREN, SIXTH GENERATION.
I. Fremont J. Cross, b. Jan. 9, 1857. 714
II. Emma Loa " b. Mar. 7, 1860. 715
III. Clarence " b. Sept. 25, 1870. 716
316. EMERY CROSS, born Oct. 4, 1833; married Jane Cooper, Dec. 22, 1864. He enlisted in the 142d Reg. N. Y. In., but was taken sick and discharged. Trade, mason. P. O. address, De Kalb, St. Lawrence county, N. Y. Children born in DeKalb.
CHILDREN, SIXTH GENERATION.
I. Frederic H. Cross, b. Oct. 2, 1865. 717
II. Loa Hortensia " b. Oct. 17, 1867. 718
III. Martha " b. July 23, 1872. 719
IV. Lester F. " b. Feb. 17, 1875. 720
317. PERRY CROSS, born Nov. 22, 1834; married Emma Newcomb, Aug. 13, 1874. Was in the 1st Wis. Cav. in the late war. School teacher and merchant. P. O., De Kalb, N. Y.
CHILDREN, SIXTH GENERATION.
I. Mina Cross, b. Dec. 13, 1875. 721
328. MARTIN T. CROSS, born Oct. 16, 1836; married March 21, 1870, Mrs. Beach, nee, Lucinda Cooper. He enlisted Aug. 11, 1862, in Co. A., 142d New York Vol. In., and was discharged June 26, 1865. Was most of the time on detached service, in Washington, D. C. P. O. address, Heuvelton, St. Lawrence county, New York.
CHILDREN, SIXTH GENERATION.
I. Arthur C. Cross, b. Mar. 4, 1872. 722
II. Edwin " b. Dec. 25, 1873; d. Feb. 8, 1875. 723
319. ABNER CROSS, born May 18, 1838; married Lianda Van Ornam, Nov. 22, 1866. Enlisted July, 1862, in the 106th N. Y. In., and continued with the regiment till the close of the war. Occupation, runs a steam saw mill. P. O. address, Richville, New York.
CHILDREN, SIXTH GENERATION.
I. Win. Perry Cross, b. Oct. 27, 1867; d. Mar. 20, 1870. 724
II. George W. " b. April 3, 1870. 725
III. Emma May " b. April 30, 1872. 726
IV. Amy L. " b. Nov. 27, 1873. 727
321. FRANKLIN E. JOHNSON, born April 30, 1840; married Isabel Cowle.
CHILDREN, SIXTH GENERATION.
I. Charles E. C., b. Aug. 2, 1869. 728
II. Harriet R., b. April 6, 1872. 729
322. HOMER JOHNSON 2d, born Dec. 17, 1842; married Adelaide Ware, born Aug. 9, 1841. Occupation, farming. Residence, Buckland, Franklin county, Mass.
CHILDREN, SIXTH GENERATION.
I. Galen Wayne, b. July 6, 1873. 730
323. HANNAH SMITH, born Jan. 17, 1824; married Nov. 23, 1843, Albert Taylor, born Sept. 17, 1818. P. O. address, Crown Point, Lake county, Ind. They have no children, but have adopted a son, whose name is John H. Taylor.
324. OTHNIEL JOHNSON SMITH, born Aug. 10, 1826; married July 1, 1847, Amanda Sprague, born Nov. 19, 1830. He is a blacksmith, and an inventor, and the patentee of several valuable inventions. At present engaged in mercantile business. P. O. address, Wauwatosa, Milwaukee county, Wis.
No Children.
325. COLEY SMITH, born Feb. 2; 1829; married Nov. 6, 1849, Elsie N. Sprague, born June 19, 1829. He died in the hospital in Keokuk, Iowa, May 6, 1862, from a wound received in the battle of Shiloh. He entered the service as a private, in Co. A, 16th Reg. Wis. Vol. In., but was promoted to Lieut., and was in command of the company when wounded. A successful teacher, both of the common sciences, and of music.
CHILDREN, SIXTH GENERATION.
1. Mervin A Smith, b. Nov. 22, 1850. 731
Three sons died in infancy without name.
V. Ella Amanda Smith, b. Feb. 20, 1859; d. Apr. 14, 1859. 732
II. Elwin C. " b. June 26, 1861. 733
326. ALFRED L. SMITH, born Dec. 25, 1833; married Deborah S. Morse. (No. 329). School teacher and farmer. Residence, Greenfield, Milwaukee county, Wis.
CHILDREN, SIXTH GENERATION.
I. Flora Smith, b. Dec. 25, 1856. 734
327. FREDERIC A. SMITH, born Jan. 11, 1839; married Anna Maria Byer. He went from Carroll college into the army. Was in the 1st Wis. Cav.; promoted to Lieut.; served in Missouri and Arkansas; after the war went into business at Jessup, Iowa. Died at Black Lake, Mich., Oct. 7, 1868.
No Children.
332. ALVAN OTHNIEL JOHNSON, born March 17, 1843; teaching in 1861; enlisted Aug. 5, 1862, in Co. A, 24th Wis. In.; served in Kentucky, Tennessee, Georgia and Alabama; was in the battle of Perryville, Stone River, Franklin, Nashville, and others. June 3, 1866, married Harriet Strong, born April 7, 1844. Settled on a farm in Oceana county, Michigan, where he died Mar. 9, 1874.
CHILDREN, SIXTH GENERATION.
I. Alvan Elmer, b. June 25, 1867. 735
II. Abner Strong, b. Jan. 30, 1869. 736
III. Arthur Norman, b. Jan. 7, 1872. 737
333. WILLIAM WALLACE JOHNSON 2d, born Sept. 28, 1844; at select school, Wauwatosa, 1860; teaching, 1861-62-63; entered Commercial College, Milwaukee, Mar. 8, 1864; clerk in U. S. Assessor's office, fall of '64; enlisted Feb., 1865, and detailed to service in Milwaukee as clerk in the office of Gen. Curtis, Commandant of the department of the Northwest; bookkeeper of the Grand River Nurseries, Lowell, Mich., 1868-69, and Notary Public of Kent county. Married Theodosia Agnes Clark, Feb. 3, 1870; moved to Forest Home, Antrim county, Mich., 1873, and was elected Town Clerk and Justice of the Peace. P. O. address, Central Lake, Mich. The poem that follows was composed by him at the age of fourteen.
CHILDREN, SIXTH GENERATION.
I. Lilian May, b. July 29, 1871. 738
II. Win. Wallace 3d, b. Oct. 31, 1873. 739
III. Rollo, b. Aug. 28, 1875. 740
The glorious sun is fast sinking away
Mid the golden-tipped clouds of the west;
The farmer has finished his toil for the day,
And all nature will soon be at rest.
The robin's sweet song is now heard in the grove,
As he sits on the tallest green tree,
But, soon will be hushed, his sweet accents of love,
When the night shades creep over the lea.
The beautiful hills, in their vestments of green,
Are tipped with a tincture of red,
And the sun's lingering rays, on the mountains are seen,
While the twilight surrounds the homestead.
The calm, peaceful lake, in its slumbers so deep,
Is seen through the neighboring grove,
As the last rays of daylight behold its deep sleep,
And the white lights are seen from above.
The songs of the thrush and the robin have ceased,
And the night-hawk is flying afar,
And the moon, gently rising, is seen in the east,
By the side of a pale, silvery star.
334. ABNER MORSE JOHNSON, born Jan. 30, 1846; married Cordelia R. Tenny, Dec. 30, 1869. Blacksmith, artist and farmer. P. O. address, Big Grove, Pottawattamie county, Iowa.
CHILDREN, SIXTH GENERATION.
I. Arthur Dean, b. Aug. 2, 1871. 741
II. Frank Tenny, b. June 26, 1874. 742
335. WESLEY JOHNSON, born Nov. 9, 1847; married Sarah P. Smith, Nov. 21, 1872. Teaching, 1867-68; at the Normal School, Whitewater, Wis., 1869-70; on the farm, 1872-73. Since 1873 engaged in the grocery trade in Milwaukee.
CHILDREN, SIXTH GENERATION.
I. A Son, b. Aug. 13, 1873; d. Oct. 5, 1873. 743
II. Alvan Clark, b. Aug. 17, 1875. 744
336. EDWARD PAYSON JOHNSON, born Sept. 11, 1849; married Mary C. Needham, March 11, 1874. At the Normal School, 1870; teaching, 1871-72. Carpenter and farmer. P. O. address, Greenfield, Milwaukee county, Wis.
337. ANNA MARIA COOPER, born Oct. 29, 1845; married Erwin Stanhope, Mar. 25, 1865. He is a farmer and apiarist. P. O. address, Pentwater, Mich.
CHILDREN, SIXTH GENERATION.
I. Elmer Stanhope, b. June 9, 1866. 745
II. Marion A. " b. Nov. 28, 1867. 746
III. Charles H. " b. May 14, 1870. 747
338. JOHN HENRY COOPER, born April 1, 1847; married Aug. 22, 1873, Selina Daubner, born in England, Aug. 22, 1844. P. O. address, Greenfield, Wis.
CHILDREN, SIXTH GENERATION.
I. Marion A. Cooper, b. July 4, 1874. 748
II. Percy M. " b. July 4, 1876. 749
344. MILTON JOHNSON, born Sept. 30, 1845; married Philena Adelia Evans, Jan. 5, 1870. He is a graduate of Spencer's Com. Coll., Milwaukee. Resides at Decatur, Ill. Bookkeeper in the bank of Milliken & Co.
CHILDREN, SIXTH GENERATION.
I. Elbert Evans, b. Dec. 25, 1870. 750
II. Franklin Lee, b. Oct. 28, 1872. 751
III. Milton, b. Mar. 11, 1875. 752
356. MARTIN LUTHER JOHNSON, born April 23, 1844; married Chloe Needham. They reside on a farm in Hart, Oceana county, Mich.
357. MARY JANE JOHNSON, born June 25, 1852; married Erwin Mallory. They reside in Buckland, Franklin county, Mass.
CHILDREN, SIXTH GENERATION.
I. Frank Erwin Mallory, b. Sept. 1, 1869. 753
362. ABILENA JOHNSON, born May 27, 1826; married Thomas Duckworth, March 4, 1842. Residence, Posey county, Indiana.
CHILDREN, SIXTH GENERATION.
I. Almina Duckworth, b. Aug. 15, 1845; d. Feb. 2, 1865. 754
II. Franklin " b. Sept. 29, 7850. 755
III. Mary " b. July 5, 1854. 756
364. MARTHA T. JOHNSON, born May 4, 1830; married John M. Duckworth, Jan. 24, 1850. Reside in Posey county, Ind..
CHILDREN, SIXTH GENERATION.
I. Miles Duckworth, b. Nov. 29, 1850; d. July 17, 1851. 757
II. Catherine " b. June 28, 1852. 758
III. Dorcas " b. June 9, 1854. 759
IV. Mark " b. Oct. 19, 1856; d. Oct. 23, 1870. 760
V. Isabella " b. Jan. 6, 1859. 761
VI. Nathan " b. April 19, 1861. 762
VII. Herbert " b. Dec. 21, 1866; d. April 9, 1868. 763
VIII. Grace " b. Dec. 21, 1866. 764
365. HANNAH H. JOHNSON, born Sept. 20, 1832; married Wm. P. Finch, Jan. 2, 1852.
CHILDREN, SIXTH GENERATION.
I. Orval S. Finch, b. Dec. 8, 1852; d. April 1, 1870. 765
II. Helen S. " b. Jan. 19, 1854. 766
III. Ruth " b. Sept. 29, 1856; d. Sept. 4, 1858. 767
IV. Flora Ann " b. Mar. 4, 1858. 768
V. Laura " b. April 14, 1861; d. Mar. 17, 1875. 769
VI. Seth J. " b. June 2, 1868. 770
VII. Henry " b. Aug. 3, 1872; d. July 28, 1873. 771
VIII. Lyman B. " b. Jan. 22, 1875; d. Aug. 7, 1875. 772
IX. Lemuel O. " b. Jan. 22, 1875. 773
366. ISABEL JOHNSON, born Sept. 19, 1834; married Marion Finch, May 20, 1852.
CHILDREN, SIXTH GENERATION.
I. Cordelia Finch, b. June 8, 1855. 774
II. George " b. Dec. 29, 1862. 775
III. Dr. Franklin " b. Dec. 3, 1865. 776
IV. William H. " b. June 13, 1869. 777
V. Victor " b. Mar. 18, 1873. 778
367 FLORA ANN JOHNSON, born Feb. 12, 1837; married Josiah M. Hollerman, Mar. 4, 1857.
CHILDREN, SIXTH GENERATION.
I. Sylvanus Hollerman, b. Feb. 18, 1858; d. Oct. 21, 1861. 779
II. Noble " b. Oct. 6, 1859; d. Aug. 17, 1862. 780
III. Governor " b. Oct. 16, 1861; d. July 7, 1862. 781
IV. Lyman B. " b. May 8, 1863. 782
V. Marcia " b. Aug. 16, 1865. 783
VI. Ruth " b. Aug. 24, 1870. 784
VII. Owen " b. Oct. 3, 1873. 785
368. NATHAN H. JOHNSON, born Sept. 27, 1839; married Eliza Allyn, Nov. 4, 1858.
CHILDREN, SIXTH GENERATION.
I. Charles, b. Sept. 15, 1859. 786
II. Josephine, b. Nov. 13, 1861. 787
III. Morton, b. Jan. 4, 1863. 788
IV. Robert, b. Mar. 26, 1865. 789
V. Clark, b. Dec. 18, 1869; d. Sept. 26, 1871. 790
VI. Dorcas J., b. Oct. 29, 1872. 791
VII. Frederic P., b. Jan. 28, 1876. 792
370. LAURA JOHNSON, born Dec. 22, 1844; married Marion Reeves, Jan. 26, 1867.
CHILDREN, SIXTH GENERATION.
I. Julia A. Reeves, b. Nov. 12, 1868; d. Sept. 21, 1870. 793
II. Franklin " b. Sept. 18, 1871. 794
III. Catherine " b. Dec. 12, 1873. 795
372. PITTS JOHNSON, born Dec. 23, 1849; married Louisa Combs, Mar. 15, 1869.
CHILDREN, SIXTH GENERATION.
I. Sylvanus, b. Jan. 29, 1870. 796
II. Victor, b. Oct. 3, 1871; d. Oct. 9, 1873. 797
375. MARINDA L. JOHNSON, born July 27, 1833; married George W. Brady, Mar. 2, 1854.
No Children.
376. MATILDA C. JOHNSON, born Nov. 10, 1835; married Aaron M. Waller, Jan., 1856.
CHILDREN, SIXTH GENERATION.
I. Martha J. Waller, b. June 8, 1858. 798
II. Sarah M. " b. May, 1863; d. Aug., 1863. 799
377. MARCUS L. JOHNSON, born Nov. 7, 1837; married Sarah J. Flanigan, Oct. 16, 1858. He enlisted Aug. 25, 1862, in Co. A, 40th Ill. In., and with the regiment went to Vicksburg. Here he was attacked with chronic diarrhea, which rendered him unfit for service, and while being taken back to Memphis, he died on the boat, Oct. 8, 1863, and was buried at Helena, Ark.
CHILDREN, SIXTH GENERATION.
I. Ida May, b. Sept. 10, 1859. 800
II. John K. b. Sept. 2, 1861. 801
378. JANE A. JOHNSON, b. Feb. 22, 1841; married John H Reed, Nov. 4, 1858.
CHILDREN, SIXTH GENERATION.
I. Marinda L. Reed, b. Jan. 31, 1860. 802
II. Melissa E. " b. Apr. 17, 1862; d. July 24, 1863. 803
III. Mary E. " b. June 8, 1864. 804
IV. Marcus D. " b. Aug. 26, 1866. 805
V. Edith D. " b. Oct. 20, 1868. 806
VI. Martha Ona " b. Oct. 25, 1870. 807
VII. Ada G. " b. May 1, 1872. 808
VIII. Perry P. " b. July 7, 1874. 809
379. RUTH E. JOHNSON, born April 17, 1850; married Nathaniel Smith.
CHILDREN, SIXTH GENERATION.
I. Gemm J. Smith, b. March 6, 1868. 810
II. Carrie M. " b. Aug. 13, 1874. 811
380. MINERVA CARTER JOHNSON, born May 21, 1833; married Feb. 22, 1868, Wm. A. Taylor, born Apr. 9, 1842.
CHILDREN, SIXTH GENERATION.
I. Mary A. Taylor, b. Nov. 1, 1869. 812
381. RUTH PHILLIPS JOHNSON, born Jan. 8, 1836; married Joseph Kelan, July, 1856.
CHILDREN, SIXTH GENERATION.
I. Mary E. Kelan, b. June, 1857; d. Nov. 1, 1857. 813
384. PERMELIA M. JOHNSON, born Jan. 9, 1843; married July 18, 1860, Benjamin Merritt, born June 2, 1840. Reside in White county. Ill.
CHILDREN, SIXTH GENERATION.
I. Mary Merritt, b. Aug. 1, 1861; d. Oct. 6, 1866. 814
II. Laura " b. Aug. 11, 1864. 815
III. Nathan A. " b. Nov. 20, 1867. 816
IV. Elhanan W. " b. Aug. 24, 1870. 817
V. Constantine S. " b. April 26, 1874. 818
386. INDIANA NEELY JOHNSON, born Sept. 24, 1848; married Dec. 24, 1871, Joseph E. Taylor, born Feb. 25, 1848.
CHILDREN, SIXTH GENERATION.
I. Elhanan M. Taylor, b. Jan. 1, 1873. 819
II. James W. " b. Oct. 17, 1875; d. Nov. 17, 1875. 820
387. JOSEPH H. JOHNSON, born Sept. 23, 1851; married July 18, 1875, Jemima Nelson, born Oct. 12, 1856.
389. LIVIA JOHNSON, born Jan. 17, 1834; married Dec. 23, 1852, Benjamin C. Fisher, born Sept. 28, 1829. Residence, Franklin county, Ill.
CHILDREN, SIXTH GENERATION.
I. Hannah E. Fisher, b. Oct. 1, 1853. 821
II. Richard A. " b. Mar. 8, 1855. 822
III. Handorus D. " b. July 25, 1857. 823
IV. Julia E. " b. Oct. 28, 1859. 824
V. Wm. A. " b. May 14, 1864; d. July 23, 1865. 825
VI. Jordan A. " b. Sept. 28, 1868; 826
VII. Mary E. " b. July 11, 1874. 827
390. AARON B. JOHNSON, born July 23, 1836; married Delia Ing. He enlisted in the 40th Ill. In. in 1862, and was killed by a bursting shell in the rifle pits before Atlanta, Aug. 4, 1864.
CHILDREN, SIXTH GENERATION.
I. Livia, b. June 18, 1861. 828
II. Ulysses, b. April 2, 1864; d. Sept. 7, 1865. 829
393. RUFUS R. JOHNSON, born May 23, 1840; married Sarah West, Feb. 26, 1871. He was in the 40th Ill. In. Served till the close of the war.
CHILDREN, SIXTH GENERATION.
I. Philip S., 830
II. Van R., 831
394. ANDREW H. JOHNSON, born Feb. 6, 1844; married Mary J. Burnett, Aug. 16, 1863. He served in the army in the "Ninety Days" service. P. O., Eastern, Ill.
CHILDREN, SIXTH GENERATION.
I. Rufus R., b. May 16, 1864. 832
II. Marinda L., b. April 14, 1866; d. Sept. 2, 1866. 833
III. Livia M., b. Oct. 27, 1867. 834
IV. Hannah E., b. Oct. 4, 1869. 835
V. Jeremiah, b. May 24, 1872. 836
VI. Charles, b. May 15, 1874. 837
400. MELVIN JOHNSON, born July 28, 1831; married Feb. 16, 1862, Mary A Thompson, born Dec. 30, 1834. Occupation, clerk and salesman. He enlisted Oct. 5, 1861, in Co. A, 42d Ohio, and was appointed ward master of a hospital in Columbus. Discharged, 1862, on account of sickness. Was in a dry goods house in Cleveland from the close of the war till death. He died in Cleveland, June 12, 1871. His widow lives in Sidney, Ohio.
CHILDREN, SIXTH GENERATION.
I. Carlos M., b. Nov. 14, 1862. 838
II. Deuel Dascomb, b. Oct. 7, 1864. 839
III. Jennie M., b. Feb. 11, 1867. 840
IV. Pearl, b. May 17, 1870. 841
492. LUCY ANN JOHNSON, born June 28, 1838; married Jan. 1, 1856, Lieut. James W. Allen, who served in the 105th Ohio In. during the war. They reside at Victor, Iowa county, Iowa. They have no children.
493. EUNICE JOHNSON, born Aug. 15, 1841; married Nov. 24, 1859, Charles H. Dascomb, born at Hillsboro Bridge, N. H., Oct. 1, 1839. He has been engaged in railroad business the last seventeen years. Never drinks; never uses tobacco. Residence, Linndale, Cuyahoga county, Ohio.
CHILDREN, SIXTH GENERATION.
I. Belle Dascomb, b. Aug. 30, 1860. 842
II. Allen B. " b. Dec. 7, 1866. 843
III. Mary G. " b. Feb. 5, 1873. 844
496. FLORA WARE, born 1826; married Harvey Browning, 1852. She died Aug. 1, 1858.
CHILDREN, SIXTH GENERATION.
I. Harry Browning, b. 1854. 845
497. JOSIAH JOHNSON DWIGHT, born April 22, 1833; married May 3, 1855, Emeline E. Walker, born Aug. 23, 1838. They reside in Coleraine, Mass.
CHILDREN, SIXTH GENERATION.
I. Daniel J. Dwight, b. Sept. 17, 1856. 846
II. Lizzie E. " b. Sept. 28, 1858. 847
III. Annie L. " b. Oct. 22, 1860. 848
498. ELIZABETH ELMER DWIGHT, born Sept. 28, 1838; married March 1, 1860, George H. Ames, born in Troy, N. Y., Sept. 25, 1839. He enlisted Aug. 11, 1862, in the 27th Mass. In., and served till the close of the war. Keeps a stove and tin shop at Haydenville, Mass.
CHILDREN, SIXTH GENERATION.
I. George Ames, b. April 25, 1861. 849
II. Roderick D. " b. Mar. 13, 1863. 850
III. Rosa G. " b. May 25, 1868. 851
IV. Emily C. " b. Aug. 5, 1871; d. July 31, 1872. 852
V. Lizzie J. " b. April 3, 1874. 853
410. MARY ELMIRA BUELL, born Aug. 22, 1843; married Norman C. Jewett, Jan. 17, 1867. Residence, Richland, Kalamazoo county, Mich. Children born in Richland.
CHILDREN, SIXTH GENERATION.
I. Elmer B. Jewett, b. Jan. 22, 1869. 854
II. Nelson J. " b. April 23, 1872. 855
III. Norman R. " b. April 11, 1875. 856
411. JOSIAH HOMER BUELL, born Feb. 23, 1852; married Addie Adell Larrabee, Sept. 28, 1873. Residence, Richland, Mich.
CHILDREN, SIXTH GENERATION.
I. Sylvia Nell Buell, b. Sept. 5, 1874. 857
412. JULIUS BRITTAN, born March 18, 1835; married Irene E. Munn, born Feb. 6, 1835. Residence Macedonia Depot, Summit county, Ohio.
CHILDREN, SIXTH GENERATION.
I. Francis W. Brittan, b. April 25, 1858. 858
II. Theodosius H. " b. July 4, 1861. 859
420. ESTHER ELLEN TAYLOR, born Jan. 5, 1845; married Feb. 18, 1869, Edson E. Healy, born Nov. 3, 1844. He is in the mercantile business. P. O. address, Newburgh, Ohio.
CHILDREN, SIXTH GENERATION.
I. John E. Healy, b. Mar. 22, 1873. 860
II. Zerah B. " b. Jan. 14, 1875. 861
III. Cecil T. " b. Sept. 19, 1876. 862
431. EMMA PROCTOR, born Dec. 23, 1846; married Dec. 23, 1868, Myron H. Carter, born July 23, 1837. Residence, Ravenna, Portage county, Ohio.
CHILDREN, SIXTH GENERATION.
I. Martha H. Carter, b. April 16, 1872. 863
II. Daniel P. " b. July 25, 1873; d. Sept. 16, 1874. 864
III. Ellen M. " b. Feb. 17, 1879. 865
534. CASS PROCTOR, born Dec. 9, 1854; married Oct. 6, 1874, Sarah A. Thompson, born Dec. 3, 1853. Residence, Northfield, Summit county, Ohio.
CHILDREN, SIXTH GENERATION.
I. Myron Carl Proctor, b. Feb. 4, 1876. 866
435. GEORGE G. MERRILL, born Jan. 25, 1836; married Emma Field, Sept. 19, 1871. Residence, Shelburn Falls, Franklin county, Mass.
CHILDREN, SIXTH GENERATION.
I. Arthur G. Merrill, b. May 30, 1872. 867
II. George F. " b. Sept. 10, 1874. 868
436. OLIVE N. MERRILL, born Nov. 19, 1837; married Geo. Guild, Dec. 24, 1856.
CHILDREN, SIXTH GENERATION.
I. Katie M. Guild, b. Nov. 5, 1857; d. April 2, 1866. 869
II. Alice E. " b. Feb. 2, 1859. 870
III. George M. " b. Dec. 27, 1870; d. June 18, 1876. 871
437. MARY C. MERRILL, born Dec. 1, 1839; married Cyrus W. Bassett, Nov. 28, 1871.
No Children.
438. ROSABELLA S. MERRILL, born Nov. 21, 1842; married Rufus Carley, Jan. 28, 1868.
CHILDREN, SIXTH GENERATION.
I. Rosa Antoinette Carley, b. June 3, 1869. 872
II. Ira Merrill " b. May 11, 1870. 873
439. ACHSAH MARIA MERRILL, born Oct. 18, 1845; married Elisha J. Neale, Sept. 28, 1870.
CHILDREN, SIXTH GENERATION.
I. Robert A. Neale, b. Sept. 24, 1871; d. Aug. 22, 1872. 874
II. Rosabella M. " b. Nov. 8, 1873; d. Aug. 17, 1874. 875
440. DAVID JOHNSON NICHOLS, born July 4, 1834; married, had one child, a daughter. Enlisted into the army, and died in the service.
441. MARY E. CHAPIN, born May 30, 1847; married Wm E. Scovill.
CHILDREN, SIXTH GENERATION.
I. Hattie M. Scovill, b. Sept. 18, 1867. 876
II. Grace M. " b. Nov. 16, 1869. 877
445. EMMA L. WHITE, born Nov. 19, 1850; married Wm. F. Hillman, Dec. 31, 1874.
451. ELLA A. FIELD, born Mar. 9, 1850; married, in 1875, John Blain, Jr., of Washington, D. C. They are teachers in the New Jersey State Reform School.
452. ALICE E. FIELD, born July 15, 1853; married John M. Lannon, of Camden, N. Y. Residence, Chittenango, Madison county, N. Y.
CHILDREN, SIXTH GENERATION.
I. Frederic A. Lannon, b. Dec. 26, 1872.
457. MARTHA RICE, born Oct. 2, 1841; married Abner Kelly. She died Sept. 5, 1867, leaving no children.
465. BETSEY A. JOHNSON, born May 2, 1837; married June, 1865, James Furnum, born June 8, 1837.
CHILDREN, SIXTH GENERATION.
I. Hiram F. Furnum, b. July 26, 1866; d. Aug. 26, 1866.
II. Olive E. " b. Dec. 8, 1867.
III. Charles L. " b. Oct. 15, 1870.
466. SUSAN S. JOHNSON, born July 19, 1840; married Jan. 2, 1859, Wm. F. Stone, born Nov. 18, 1833. P. O. address, Watrousville, Tuscola county, Mich.
CHILDREN, SIXTH GENERATION.
I. Ida Emily Stone, b. May 10, 1861; d. April 12, 1862.
II. Emer Jane " b. May 4, 1863.
III. Clara Eliza " b. Feb. 27, 1872.
467. MARY ELIZA JOHNSON, born Aug. 26, 1843; married Oct. 25, 1864, Edwin Tirrell. Painter and Glazier. He died Aug. 1, 1870. Married 2d husband, Julius J. Kuehn, Nov. 14, 1875.
CHILDREN, SIXTH GENERATION.
I. Eddie J. Tirrell, b. Oct. 22, 1865.
II. Eugene C. " b. Dec., 1868.
468. HIRAM T. JOHNSON, born Feb. 14, 1847; married Aug. 23, 1868, Abbie Crane, b. Aug. 21, 1850. Occupation, farming. P. O., Academy, Ontario county, N. Y.
CHILDREN, SIXTH GENERATION.
I. George C., b. Sept. 30, 1872.
469. WM. F. JOHNSON, born Aug. 10, 1850; married Dec. 10, 1871, Libbie Everts, born March 14, 1851. Painter and glazier Residence, Bristol, N. Y.
CHILDREN, SIXTH GENERATION.
I. Jennie E., b. May 29, 1873. 888
II. Frank S., b. April 14, 1875. 889
482. JOHN L. PHILLIPS, born Aug. 10, 1841; married Sept. 22, 1869, Sarah J. Prebles, born April 16, 1850. Residence, Champion, Jefferson county, New York.
CHILDREN, SIXTH GENERATION.
I Leona B. Phillips, b. Feb. 5, 1871. 890
484. GEORGE C. FREDENBURG, born Nov. 14, 1838; married Dec. 31, 1860, Luama A. Whittaker, b. Sept. 8, 1843. P. O., Felt's Mills, N. Y.
CHILDREN, SIXTH GENERATION.
I. Jerome W. Fredenburg, b. Nov. 13, 1862. 891
II. Reuben W. " b. Jan. 18, 1865. 892
III. George Wm. " b. Mar. 25, 1867. 893
IV. Nella L " b. April 1, 1869. 894
485. EBENEZER WOODWARD FREDENBURG, born July 13, 1849; married July 17, 1859, Lucy A. Hart, born Apr. 3, 1840.
CHILDREN, SIXTH GENERATION.
I. Charles A. Fredenburg, b. April 3, 1860; d. in infancy. 895
II. Armenia " b. May 29, 1863. 896
III. Wm. Leon " b. Aug. 22, 1870. 897
IV. Thomas C. " b. Oct. 11, 1871. 898
486. JOHN EDGAR FREDENBURG, born Oct. 29, 1843; married Sept. 3, 1862, Rebecca A. Wheelock, born Sept. 22, 1838.
CHILDREN, SIXTH GENERATION.
I. Alice A. Fredenburg, b. July 13, 1863. 899
II. George " b. Sept. 28, 1869. 900
III. Melvin " b. July 17, 1873. 901
488. WM. HENRY FREDENBURG, born Dec. 28, 1846; married Jan. 10, 1871, Sally A. Francis, born Dec. 20, 1848.
CHILDREN, SIXTH GENERATION.
I. Emma Fredenburg, b. Aug. 15, 1873. 902
II. Jennie May " b. Jan. 23, 1875. 903
489. JENNIE FREDENBURG, born Aug. 29, 1849; married Peter Cummings, born Apr. 24, 1844.
CHILDREN, SIXTH GENERATION.
I. Jennie M. Cummings, b. Sept. 8, 1870. 904
II. Wm. Robert " b. April 1, 1872. 905
III. Minnie " b. Oct. 6, 1875. 906
500. RUFUS R. WOODWARD, born May 9, 1847; married Feb. 22, 1875, Susan M. Possett, born near Frankfort, Germany, Oct. 31, 1856. P. O. address, Felt's Mills, N. Y.
502. CHANDLER B. WOODWARD, born Oct. 14, 1851; married Oct. 7, 1874, Anna C. Possett, born in Germany, Oct. 24, 1848. Resides in Jefferson county, N. Y.
CHILDREN, SIXTH GENERATION.
I. Rufus Johnson Woodward, b. May 9, 1876. 907
507. EMORY E. WOODWARD, born Dec. 24, 1847; married Lizzie Dole, of Buckland, Mass.
CHILDREN, SIXTH GENERATION.
I. Charles N. Woodward, b. Mar. 11, 1870. 908
II. Archidell " b. Jan. 1, 1872. 909
III. Winfred E. " b. April 21, 1874. 910
508. HENRY A. WOODWARD, born June 23, 1849; married Hattie Spicer. They have no children.
509. JERUSHA J. WOODWARD, born May 21, 1851; married Charles Dole, of Buckland, Mass.
512. DUANE WOODWARD, born June 6, 1854; married Anna Norton.
CHILDREN, SIXTH GENERATION.
I. Adelia Woodward, b. April 8, 1876. 911
519. ORLIN T. BATTLES, born Feb. 1, 1848; married 1st, Fernandes C. Stone, Sept. 21, 1871. She died Oct. 17, 1872; married 2d, Sabra Covert, March 31, 1875. Residence, Mayfield, Cuyahoga county, Ohio.
520. MARTHA O. BATTLES, born Jan. 17, 1853; married Sept. 7, 1871, Ethan V. Tinker, of Chester, Geauga county, Ohio.
CHILDREN, SIXTH GENERATION.
I. Florence Tinker, b. June 19, 1874.
531. THOMAS WEST TITUS, born Sept. 29, 1829; married Dec 29, 1857, Josephine C. Tyler, born March 2, 1834. P. O. address' Moravia, Cayuga county, N. Y.
CHILDREN, SIXTH GENERATION.
I. Mary J. Titus, b. Nov. 14, 1858.
II. Willie W. " b. July 28, 1861; d. Aug, 29, 1863.
III. Grant W. " b. May 29, 1864.
532. J. WEBB GREENFIELD, born Oct. 6, 1842; married Oct. 31, 1866, Lydia Keeler, born Feb. 19, 1842. Occupation, hardware merchant. P. O. address, Moravia, N. Y.
CHILDREN, SIXTH GENERATION.
I. Lucy M. Greenfield, b. May 24, 1875.
535. WM. BROUN, born Dec. 20, 1842; married Nov. 14, 1871, Bettie Lee Lawson. Occupation, merchant. P. O. address, Broun's store, Northumberland county, Va.
CHILDREN, SIXTH GENERATION.
I. Coburn Lee Broun, b. Oct. 30, 1872.
II. Bessie Faunt LeRoy " b. April 10, 1874.
540. ROSWELL B. BROUN, born Oct. 20, 1850; married Apr. 6, 1875, Ida Kate, daughter of Judge Downing, of Lancaster county, Va. Occupation, farming.
556. CORNELIA MAY BRININSTOOL, born May 19, 1854; married Benjamin Casper. Occupation, farming. P. O. address, East Pembroke, Genesee county, New York.
CHILDREN, SIXTH GENERATION.
I. Joseph Casper, b. Nov. 15, 1875.
579. ROBERTA REED MOORE, born Aug. 1, 1851; married Sumner Ladd, March 25, 1874. P. O. address, Saint Peter, Minn.
CHILDREN, SEVENTH GENERATION.
I. Sumner Moore Ladd, b. March 13, 1875.
596. HARRIET MARIA GLOVER, born March 17, 1845; married Horace G. Beaman, painter and wagonmaker. Residence, Hawley, Franklin county, Mass.
CHILDREN, SEVENTH GENERATION.
I. Norman H. Beaman, b. Feb. 4, 1866. 921
II. Nettie May " b. Nov. 17, 1868. 922
III. Lucy L. " b. Oct., 1873. 923
600. CHARLES BARDWELL GUNN, born Sept. 29, 1847; married Feb. 15, 1876, Addie Freeman, of Atchison, Kan. He is baggage-man on the Kansas City and Council Bluffs R. R. P. O. address, Atchison, Kan.
602. MARY CAYTON GUNN, born Nov. 28, 1851; married Aug. 27, 1873, O. Orville Sawyer, a school-teacher by profession. Residence, Nantucket, Mass.
CHILDREN, SEVENTH GENERATION.
I. William G. Sawyer, b. July 17, 1874. 924
614. MARTIN EDWARD MOORE, born April 2, 1850; married Oct. 15, 1873, Harriet L. Rowe, born May 9, 1852, and died Aug. 30, 1874. P. O., Montague, Mass.
CHILDREN, SEVENTH GENERATION.
I. Grace Beulah Moore, b. July 29, 1874. 925
618. INEZ ELECTA FLEMING, born Nov. 16, 1852; married Sept. 19, 1876, Frank Henry Holton, born March 1, 1852. Occupation, farming. Residence, Erving, Mass.
623. FRANK EDWARD GILLETT, born Jan. 7, 1848; married Anna F. Brown, June 7, 1870. Occupation, wholesale and retail grocer. P. O., Hutchinson, Reno county, Kan.
CHILDREN, SEVENTH GENERATION.
I. Cordelia F. Gillett, b. July 2, 1871. 926
II. Charles S. " b. May 5, 1874. 927
III. Mary E. " b. Oct. 5, 1875. 928
644. SARAH VIRGINIA PERRY, born March 4, 1852; married James Weeks, March 31, 1874. Residence, Decatur, Mich.
CHILDREN, SEVENTH GENERATION.
I. Beulah Stone Weeks, b. Nov. 27, 1875. 929
660. H. FRANCES BALL, born May 1, 1838; married Edward F. Thayer, Oct., 1860.
CHILDREN, SEVENTH GENERATION.
I. Elsie Thayer, b. June 17, 1872. 930
665. FANNY L. FARLEY, born June 12, 1843, in Hollis, N. H.; married H. M. Lang, Dec. 26, 1875.
666. MONROE FARLEY, born June 9, 1846; married Elvira Wheeler, Jan. 12, 1871.
CHILDREN, SEVENTH GENERATION.
I. Monroe P. Farley, b. May 2, 1872.
710. MERTON LESLIE YEAMANS, born May 20, 1851; married Oct. 2, 1873, Carrie E. LaCraft, born Jan. 9, 1854. P. O. address, Scott, Sheboygan county, Wis.
CHILDREN, SEVENTH GENERATION.
I. Loa E. Yeamans, born Sept. 29, 1875.
711. ELVIRA E. YEAMANS, born May 11, 1853; married May 31, 1872, James Trenam, born May 22, 1851.
CHILDREN, SEVENTH GENERATION.
I. Bertie J. Trenam, b. Aug. 21, 1873; d. Aug. 21, 1873.
II. Clara May " b. Sept. 5, 1874.
731. MERVIN A. SMITH, born Nov. 22, 1850; married Alice Porter. Reside in Ravenna, Muskegon county, Mich.
CHILDREN, SEVENTH GENERATION.
I. Eddie Berte Smith, b. June 8, 1876.
758. CATHERINE DUCKWORTH, born June 28, 1852; married Samuel Russel, Aug. 17, 1869.
CHILDREN, SEVENTH GENERATION.
I. Noble Russel, b. March 31, 1871; d. Oct. 18, 1872.
II. John M. " b. Feb. 17, 1873.
III. Eugene " b. March 18, 1876.
759. DORCAS DUCKWORTH, born June 9, 1854; married David Bruce, Oct. 26, 1871.
CHILDREN, SEVENTH GENERATION.
I. Herbert Bruce, b. Aug. 2, 1872.
II. David " b. Feb. 13, 1874.
766. HELEN S. FINCH, born Jan. 19, 1854; married Joseph Downer, April 9, 1872.
CHILDREN, SEVENTH GENERATION.
I. Minnie Downer, b. Sept. 25, 1874. 941
II. A son " b. Feb. 6, 1876. 942
ERRATA.
Page 5, line 20 from top for 1843 read 1743,
" 5, line 3 from bottom for Trin6 read Tring.
" 9, line 7 from bottom for Hondorus read Handorus.
" 12, line 16 from top for Farmingham read Framingham.
" 12, line 18 from top for 1812 read 1822.
" 13, line 3 from bottom for 1607 read 1797.
" 16, line 10 from top for Third read Fifth.
" 16, line 17 from bottom for Ezekial read Ezekiel.
" 19, line 17 from bottom for Frances read Frances.
" 21, line 5 from top for 85 read Luther Gunn read 85.
" 22, line 4 from top read in Cheung Co., &c.
" 22, line 5 from bottom for Marion Johnson read Marion A. Johnson.
" 25, line 10 from top for 1840 read 1844,
" 26, line 17 from top for 1832 read 1833.
" 27, line 17 from bottom for May 14, 1817 read May 19, 1846.
" 28, line 14 from top for St George read Isle St. George.
" 33, line 5 from bottom for Henry West read Henry Wirt.
" 35, line 8 from bottom for Edwin Moore read Edwin L. Moore.
" 36, line 21 from top for Sarah Fish Moore read Sarah Fisk Moore.
" 41, line 2 from top for Dec 1, 1838 read Dec. 1, 1836.
POEMS,
BY
Rev. Wm W. Johnson,
MILWAUKEE:
Printed by Godfrey & Crandall, 114 Michigan St.
1876.
The place of our birth! O, it brings to the mind
Those fond recollections no other can bring;
To that place, ever hallowed, are fondly inclined,
Our thoughts, which around it forever must cling.
The sounds which first greeted in childhood our ears,
The objects first painted on juvenile eyes,
With all their fond freshness, in life's riper years,
Distinctly, in visions of memory, rise.
Of scenes most familiar in life's early years,
Which, in beauty, remembrance so kindly doth bring,
And time, by its rapid advances, endears,
Let the muse now in order most joyfully sing.
The tall shady trees, with their broad, leafy boughs,
Where the birds of the summer once nestled and sung;
Where in springtime the robin, her mate did espouse,
And with birdlike affection protected her young.
The fields, where in gambols of childhood, we passed
The bright summer mornings of juvenile days;
And e'en when the shadows of evening were cast,
Our sports oft went on by the moon's feeble rays.
The mountainous ramparts surrounding the vale,
Whose rocks had the storms of the ages defied;
The oaks and the pines, which had weathered the gale,
And had lifted their heads to the clouds, in their pride.
The brook, on whose banks in the bright summer days,
We joyfully gazed on the fishes within,
As they, in affright, darted numerous ways,
Till, beneath the loose pebbles, themselves they did screen.
The school-house, where I the first rudiments learned,
Of the language I speak, of my own native tongue,
With its seats and its aisles, to my vision returned,
While its scenes of delight, to my memory clung.
My schoolmates, who wandered with me in the grove,
To pluck the wild blossoms that grew in the shade,
Or, pleasantly sauntering, homeward did rove,
As evening came on, and the daylight did fade.
The church, where my ancestors reverently heard
Salvation's glad message proclaimed unto men;
Where the heralds of mercy expounded God's word,
And anthems were sung, in harmonious strain.
The beautiful glebe, where that fabric was reared,
And the scenes which around us in beauty were seen,
To my fanciful vision have often appeared,
Though mountains and valleys were lying between.
The churchyard, which kept the lone dust of the dead,
Where the sires of the hamlet in silence reposed;
With the trees, which above them their foliage spread,
To my juvenile mind, a deep lesson disclosed.
These scenes, all so lovely, in memory live,
And pleasing sensations awake in the mind;
Yes, scenes of my childhood, much pleasure ye give,
A joy that is holy, and pure, and refined.
---
"WE ALL DO FADE AS A LEAF."
The varied scenes of Nature's page,
With pleasure must the mind engage;
And when we look at them aright,
The soul is filled with pure delight.
The human form, erect and free,
With beauty stamped, we love to see;
For, in the image of their God,
The first fair pair in Eden trod.
But beauty's charms must fade away,
The fairest forms must all decay,
Alike, the wicked and the just,
Must, to the earth, resign their dust.
Earth well may claim its kindred earth,
But souls are of immortal birth,
And destined, if to God they're given,
To the immortal joys of Heaven.
If earthly things do not allure
The heart from joys divinely pure,
When mortal blossoms fade and die,
They'll bloom again above the sky.
THE DECORATION.
They come from the hamlet, the city, the farm,
The springtime has lent to all Nature a charm;
The forests stand proudly in vestments of green,
While the blossoming fruit trees enliven the scene,
And the beautiful birds, from their late southern home,
To the groves of the North, with their music have come.
Their notes, most enchanting, are greeting the ear,
Inspiring the world with their musical cheer.
And now to the grave-yards all hasten away,
To honor the dead on this thirtieth of May.
The sire and the matron, the youth and the Maid,
The young and the aged, all join the parade,
For to each is committed a sanctified trust,
To lay the sweet flowers o'er the patriot's dust.
With emblems of mourning, by one grassy grave
A mother is standing, whose son went to save
His own native land, which he cherished so well,
But alas, on the field of Antietam he fell.
And here comes a father, quite aged and gray,
He comes with his offering, to honor the day;
For, away from his home, in his youth and his pride,
Went one who most nobly at Gettysburg died.
And now comes a little one, blooming and fair,
With her curls lightly floating on Spring's balmy air;
And a lovely bouquet, all so tastefully made,
On the grave of her grandpa she tenderly laid;
For aged men fell in that terrible strife,
Which fearfully threatened our national life,
And at Fair Oaks, to God and to country he gave
His own life an offering, his country's to save.
In yonder lone spot, where the evergreens sigh
To the breezes of night, doth a cherished one lie,
And a sister's kind hand, with affection has spread
The sweetest of flowers o'er the patriot dead,
For Atlanta's fierce fight a kind brother had given—
His body to earth, and his spirit to heaven.
O, sad are the memories that come on this day,
Of the loved ones who went from our firesides away,
Of the many who went, but who came not again,
For numbered were they with the wounded and slain;
And widows, and orphans, look back with a sigh
To the carnage at Shiloh, where thousands did die.
As sorrow broods o'er them, a moment they pause,
And reflect that they died in a glorious cause.
Their names we will cherish, and honor their deeds,
Immortal is he who for liberty bleeds.
Their dust has returned to the dust whence it came,
But their memory shall live in the annals of fame.
O, rest, ye brave heroes, your work is now done;
Some fell at Stone River, and some at Bull Run.
At Winchester, others by Sheridan led,
Were numbered that day with the patriot dead.
At Corinth, at Vicksburg—no more need I tell,
So numerous the fields where the brave soldiers fell,
And their friends in the North, in the East, in the West,
And e'en in the South, at affection's behest,
To the graveyards repair on this national day,
Their offerings to bring of the flora of May.
From the hills of New England, from workshop and field,
To where the Sierras their treasures do yield;
From the Southern Savannas, that slope to the tide,
To the Prairies that bloom, in their beauty and pride;
From the old Alleghanies, with mineral wealth,
To the lakes of the North, with their commerce and health;
As the ages roll on, and the years pass away,
Columbia's patriots shall honor this day.
DECORATION DAY.
We go to the grass grown mounds, where those
Who stood in the ranks with us, repose.
In the cold embrace of death they sleep,
Where the mourning friends oft go to weep.
Where the sculptured marble marks the spot
Of those who were with us, but now are not;
Where the willow bends, and the moaning breeze
A requiem chants 'mid the ancient trees.
Tread lightly, comrades, 'tis hallowed ground,
Here the war-worn heroes, a rest have found;
And we come, with the choicest flowers of spring,
To honor their graves with an offering
Of the fragrance and beauty which nature gave,
An offering meet for a soldier's grave.
And as each year in its course shall bring
The fragrant flowers of the balmy Spring,
To their resting-place we will still repair,
And our offering leave of the flowers so fair.
As onward the ages shall roll away,
And our children shall ask, what means this day,
We will tell of the deeds of valor done
By the loyal sire and the loyal son,
How Rebels were slain, and the "Stars" arose,
And we triumphed proudly over our foes;
And our Nation was saved, though brave ones fell,
Who served their country so truly and well.
And still on their graves, as the years pass away,
Our children will scatter the blossoms of May.
"I WENT TO GATHER FLOWERS."
Surrounded by pleasures, a wanderer in time,
I gazed on the beauties of Nature, sublime;
Her music, harmonious, I heard in the grove,
And her flowers, all so fragrant, me tempted to rove.
With a heart light and buoyant, I wandered awhile,
Where the trees, and the flowers, and all nature did smile;
And I gazed on the sun, in his western decline,
And thought that a happiness lasting was mine.
But soon, where the dead of the hamlet were laid,
I came, and my heart sunk within me dismayed;
I paused there to weep, and my spirit did say,
The pleasures of time will soon vanish away.
The friends of my youth, whom so dearly I prize,
In the slumbers of death will soon close their eyes;
And this body of mine, now so active and gay,
Like the roses around me, will shortly decay;
And the beauties of earth, though they flourish awhile,
By a death-chilling blast, will at length cease to smile.
Then let us be wise, ere we sink to the tomb,
That in regions immortal our spirits may bloom.
FOR A FRIEND'S ALBUM.
Now here comes the album, with pages so white,
Sent forth by the owner, with charms, to invite
The neighbor, friend, poet and christian to write
A kind sentiment here,
Which may, when hereafter presented to sight,
Some lone moments cheer.
A thought, from the fragments that roam in my mind,
To transfer to its pages so fair, I'm inclined;
And when your eye meets it, O, may it remind
You of friendship unbroken;
And many kind spirits in life may you find,
Who shall leave here a token.
A token of friendship! memento most dear!
A mark of esteem from a friend most sincere.
And while we're performing our pilgrimage here,
May we oft bear in mind,
That our sorrows are soothed, while in life's path so drear,
By the friends that we find.
But friends from each other must soon pass away,
Our bodies are mortal, and they must decay;
But to all who will walk in the straight gospel way,
At length shall be given
Pure friendship's unclouded, unchangeable day,
In its own spotless heaven.
The children who lived with me,
At the foot of an ancient hill,
Who roamed the pastures so free,
And the mountains climbed at will,
Who plucked the flowers of spring, so sweet,
And the tempting fruits of autumn did eat,
Are my own dear brothers and sisters still.
Their youthful songs were merry and free,
And their hearts were full of childish glee,
For the bustling world, with its anxious care,
Scarcely had made its advent there.
In memory's palace proudly stand,
With sparkling eyes and with voices bland
This joyful, happy and social band.
But O, the vision has fled; the old hill stands there yet;
Upward it lifts its head, and with rains and dews is wet,
But the hill, and the children too, the brother will never forget.
But the hill, O it stands there still, and will as the ages roll,
(The same old rocky hill) till the heavens are wrapped as a scroll,
And the doleful funeral knell of the world begins to toll.
But the children have passed away, some to the land of rest,
Others as pilgrims stay, away in the mighty West,
Waiting, the voice to obey, of Jehovah's great behest,
When he from its earthly clay, shall the living soul divest.
But when the summons shall come, and the world's strong pillars bend,
And the nations shall hear the doom, that proclaims their final end,
And the slumbering dead shall rise, and from grassy graves ascend,
May these children, good and wise, round the throne their voices blend.
THE SUMMER.
I love, on Nature's varied scene,
To muse and meditate;
And as the seasons intervene,
Observe their changing state.
The summer comes with perfumed breath,
To sweeten every breeze;
And brings us more of life than death,
In Nature's argosies.
The verdant meadows—pleasant sight!
In beauty lie unmown;
While Phœbus, in his chariot bright,
Rides o'er the northern zone;
And from his elevated seat,
Sends down his burning rays,
And fills this lower world with heat,
In summer's longest days;
And brings, out of the fertile earth,
Its products, rich and rare,
And, in a thousand forms, gives birth
To beauties bright and fair.
The peonies and roses new,
With petals, white, and red,
Profusely o'er the morning dew,
Their grateful fragrance shed.
And when the sun's departing light,
Fades slowly in the west,
How gently, nature doth invite
The wearied ones to rest!
The seasons quickly pass away,
Earth's choicest flowers will fade;
Man is the creature of a day,
Yet wonderfully made.
And though his mortal body die,
His nobler part shall live;
God, to the wise and good, on high
A heavenly home will give.
And may my portion ever be—
My pleasure—my desire—
The Great Creator's works to see,
To love, enjoy, admire.
THE VOLUNTEER'S DEPARTURE.
I go to the tented field,
To the bivouac and the strife;
I go where the soldier dies,
And the patriot yields his life.
I go where the banners wave,
Where the stars and stripes look bright;
I go my country to save,
And its mortal foes to fight.
I go where the cannon's voice
Doth in thunder tones resound;
I go—'tis my own free choice—
Where the harvest of death is found.
I go where traitorous bands,
In their frenzied hate, are seen;
I go where murderous hands
Wield weapons of slaughter keen.
I go where the victor goes;
Where the sons of freedom win;
I go where our mortal foes
Shall die in their rebel sin.
I go in a righteous cause;
I go for the rights of man;
I go to sustain our laws,
Or to fall in freedom's van.
I go where my country calls;
Where heroes engage in the strife;
Where the soldier nobly falls,
And the patriot yields his life.
I go—from loved ones I roam—
Strong, are the ties I must sever—
My country! my kindred! my home!
Jehovah protect them forever!
THE VOLUNTEER'S RETURN.
I went, at my country's call,
To fight for our flag you know;
On the altar I laid my all,
When I volunteered to go.
I went where the southern skies,
Like a brazen furnace burn;
Where the miasmata rise,
And thousands to dust return.
I went where the serried ranks
Of the rebel host where seen
On the rivers wooded banks,
With their deadly weapons keen;
On the rocky mountains side—
In the winding vales below—
By the rolling ocean's tide—
Or, where'er our foes did go.
I went where the battle loud,
With its thunders, rent the sky;
Where no winding sheet or shroud
Clad the hero called to die.
Where the zip of the minnie ball,
And the howl of the shrieking shell,
On my ear with their death like call,
And their doleful accents, fell.
Where the dashing horseman's blade
The blade of his foeman met,
And the deadly charge was made,
With the glittering bayonet;
Where the battle shout was given,
As the ranks of the foe gave way,
And its echoes reached to heaven,
As they fled in wild dismay;
Where the patriot with his blood,
His love for his country sealed,
And our heroes, brave and good,
Lay cold on the crimson field.
Where our foemen dead lay strewn,
Like leaves in the forest sere,
When the autumn winds have sung
The dirge of the dying year.
But now the battles are o'er,
And the rebel power has fled;
I come to my home once more,
From the scenes of carnage red.
I come to the loved ones, left
In tears on the parting day;
But the clouds of grief are cleft,
And the gloom has passed away.
I come where liberty reigns,
And the bondman sighs no more;
For broken are slavery's chains,
And the reign of oppression is o'er.
I come, but my comrades brave,
Who stood in the ranks with me—
O! some fill the soldier's grave,
And home they will never see.
Thus I come where the widows weep,
Where the lonely orphans sigh,
Who their faithful vigils keep
O'er the brave who did nobly die.
I come, a TeDeum to sing—
Saved by the patriot's blood—
Loud hallelujahs shall ring,
Of praises and glory to God.
THE SOLDIER'S DREAM.
The winds of night were sighing,
When a soldier far away,
In his narrow tent was lying,
At the close of a weary day.
From his home his country called him,
To stand in defense of right,
For a powerful foe had risen,
Against our flag to fight.
By many wearisome marches,
On many a toilsome day,
He had reached the land of Dixie,
From the homestead far away.
He had heard death's weapons rattle,
He had seen the crimson flow;
He had trod the field of battle,
'Mid the scenes of death and woe.
He had stood at his post of duty,
In the lightnings flashes bright,
Where the furious storm was raging,
On the dark and dismal night.
But now in his tent he was lying;
At the close of a weary day;
Of friends and home he was dreaming,
As wrapped in his blanket he lay.
The scenes of his boyhood most cheering
Before him in visions all bright,
And the friends of his youth, so endearing,
Appeared in the dreams of that night,
'Twas springtime—and nature in beauty,
Emerging from winter's embrace,
With charms all inviting and lovely,
The meadows and woodlands did grace.
The trees of the forest were covered
With vestments of beautiful green,
And birds of bright plummage there hovered,
To cheer and enliven the scene.
From scenes of the camp and the battle,
In visions he wandered that night;
Till his home, far away in the Northland,
Most joyously greeted his sight.
The place where in childhood he wandered,
In sportive, yet innocent glee,
Where murmuring brooklets meandered,
By roadside, through forest and lea;
The hillside, where lambkins were sporting,
The orchard, just whitening with bloom,
The field, where the farmer was plowing,
The sound of the anvil and loom,
All woke a remembrance delightful,
Of scenes in his juvenile life,
When impressions all real and truthful,
With pleasant emotions were rife.
His home! O, the thrilling emotion!
With rapture he stands at the door,
The home of his early devotion,
He has reached it—he asks for no more.
Its inmates, the dearest of mortals,
Its fireside, the best ever seen,
He opens and enters its portals,
Let fancy now picture the scene.
The greetings are scarcely yet ended,
With dear ones he came home to see,
And while voices together are blended,
He is roused by the camp reveille.
The vision has fled—and the soldier must stay,
Where Dixie's broad rivers still flow,
At the post of his duty by night and by day,
No furlough, nor homeward can go.
THE BEREAVEMENT.
I stand by an ancient river,
Where I stood long years ago;
Its purling waters ever
Right on to the ocean flow.
And near it stands a farmhouse,
Where an aged father dwelt,
And round his fireside altar,
In daily prayer he knelt.
A son had grown to manhood
Within this ancient home,
And, from its sacred portals,
Had ne'er desired to roam.
Affection's ties had bound him
To his aged parents here,
And the hallowed scenes around him,
Still made the homestead dear.
On a blooming May-day morning,
When the grass was springing green,
Around that ancient farmhouse,
A merry group were seen;
And the grandsire sat among them,
His dim eyes beamed with joy;
For the happy ones before him,
Were sons of his own dear boy."
The flowers, on that Mayday morning,
With beauty and fragrance rare,
Were the garden walks adorning,
And scented the balmy air.
And childhood's soul now basking,
In pleasure's sunlight bright,
Dreamed not of hidden sorrows,
Or woes concealed from sight.
Bright soul of youth confiding,
Gay heart of childhood free,
In hope's fond smile abiding,
Most lovely sight to see.
But lo! the war trump sounded,
And forth our legions went;
That grandsire's son enlisted,
And to the front was sent.
The lilacs bloomed in beauty,
The rose its fragrance gave,
While at his post of duty,
He stood among the brave.
But ere the roses faded
In the gentle summer light,
A host our land invaded;
There came a deadly fight,*
ON REVISITING MY BIRTH PLACE.
Long years had passed away, I came
Where first I saw the light;
I tuned my harp but not to fame,
For youthful visions bright,
Before me in their beauty rose.
They caught my eager view;
And now permit me to disclose
Some of those scenes to you.
The mountains all sublimely stood,
And drew my earnest gaze.
Here was the rock, and there the wood,
As in my childhood's days.
The lofty pine, the mountain crowned,
The laurel, near did grow;
And, as I viewed the scene around,
I saw the brook below.
It had a voice—a friendly voice,
Familiar to my ears;
Its rocky banks had been my choice,
Far back in childhood's years.
Its murmurs rose like music's sound—
They long had been at rest,
To me where different scenes abound,
Within the mighty West.
They woke an interesting tale
Of years all passed away,
Of scenes within my native vale,
In childhood's sunny day.
By that meand'ring, purling stream,
In Springtime's balmy days,
I often went, to muse and dream,
And sing my youthful lay:
In summer, too, 'neath ancient trees,
Which gave us shade at noon,
I wandered forth, as Scotia's bard
Did on the banks of Doon.
And listened to the singing bird,
Admired the blooming flowers,
All nature's music joyful heard,
In those delightful hours,
There young companions too, I found,
Inspired with youthful glee,
Together did our joys abound,
Companions where are ye?
Parted, the echoing hills resound,
And scattered far away,
The locks, which youthful heads, then crowned,
Time's hand hath tinged with gray.
Some linger round their native hills,
Where first they drew their breath;
Others have felt the icy chills,
And the cold hand of death.
Some, borne by emigration's tide,
To western lands did roam;
The forest, or the prairie wide,
Did furnish them a home.
Others, in college halls, were found,
Conning the Classics o'er,
Or, sounding learning's depths profound,
For scientific lore.
Thus, changing time marks man's career,
From infancy to age,
And memory, kindly standing near,
Unfolds the varied page.
Flow on, thou murmuring brook, flow on,
Thy waters pass away,
And others come when they are gone,
To wake thy tuneful lay.
So, when my course on earth is run,
And mortal cares expire,
And I am gone, some other one
Shall wake my rustic lyre.
Meanwhile, may I, in nobler strains,
Attune my harp above;
And where immortal glory reigns,
Sing of immortal love.
SCHOOL HOUR.
Hark, the school bell now is ringing,
To our seats we all repair,
Here to join in happy singing,
Here our lessons to prepare.
Happy moments, in life's morning,
Here we spend from day to day;
May the light of science dawning,
Proudly shine upon our way.
Happy moments! Yet how fleeting,
Soon they all will disappear;
Let these days of youthful greeting,
Usefully be spent while here.
May we feel the obligation,
We to friends and kindred owe;
And no willful deviation,
From the path of duty show.
Happy moments! when departed,
May they leave no sting behind,
But the true, the faithful-hearted,
May they ever bring to mind.
Happy moments! when they're ended,
And from earth we're doomed to fly,
May our voices all be blended,
With the heavenly songs on high.
THE INDIAN'S GRAVE.
I stood in an ancient forest,
On a gentle summer day,
And a mound of earth was near me,
Where a son of the forest lay.
He had trod life's journey weary,
On many a summer day;
But his journey now was ended,
And his body 'neath the clay,
From toil and care he was resting,
On this pleasant summer day,
For his soul has made its exit
To the regions far away.
No more the chase would weary
When summer scenes were gay,
For his race of life was ended,
And his gun beside him lay.
And here he lay all lonely,
For his friends had gone away,
To return again as mourners
On some other summer day.
* * * * * *
Once more, in that ancient forest,
When the spring had passed away,
Where the red man's corpse was buried,
I stood on a summer day.
But that charnel mound was open,
Where the quiet sleeper lay,
For a son of av'rice found him,
And had borne his arms away.
And there his bones lay scattered,
On this lonely summer day,
For his grave was left uncovered
When the robber went away.
* * * * * *
Long years, with their wondrous changes
To the past had rolled away,
And the settler's ax had leveled
That forest, old and gray;
And spring, once more in beauty,
Had brought us the "Merry May,"
And the summer, with its roses,
Had come to us blithe and gay;
And the mower's scythe had severed
The grass, on that summer day,
And I, from the grave of the hunter
Was raking the new made hay;
And the burning sun was setting,
On that sultry summer day,
When the withered grass I gathered
Where the Indian hunter lay.
And near is a growing city,
Hard by the Milwaukee Bay,
And its busy din and murmur
Are heard on each summer day.
But by the "graves of his fathers,"
As the sunlight fades away,
The red man no longer lingers,
For, the Tribes have passed away.
And I pensively reflected,
That we, like a summer day,
Or, the flower in its faded beauty,
Are destined to pass away.
TO MY YOUNGEST SISTER.
Spring, with its verdure and its flowers,
Its bright warm days and sunny hours,
Its brooklets, wandering to the sea,
Its woodland birdsong symphony,
Its breezes, from the prairie driven,
Its gentle rain sent down from heaven,
Its verdant garments on the trees,
Its balmy odor on the breeze,
Once more has come, to charm and bless
Old age and infant loveliness.
And when the lovely spring appears,
It 'minds me of our childhood years;
And memory's mirror brings to view,
A picture well defined and true,
Of youthful scenes and youthful joy,
Which filled my heart while yet a boy.
The homestead, where our mother's voice
Made our young hearts in life rejoice,
With words of kindness, looks of love,
Pure as proceed from hearts above,
Is, to us still, a place most dear,
At any season of the year,
But doubly so when spring doth come,
And smile around our childhood's home;
For, in the springtime of the year,
God sent my youngest sister here.
New life, which nature then imparts,
Accords full well with youthful hearts,
And scenes of youth on memory's page,
All fresh appear in years of age.
While present scenes shall come and go,
Right onward as the rivers flow,
The scenes of my young life shall be,
Bright as the vernal flowers to me.
Though passing years have changed the maid,
Into the matron, prone to fade,
The boy, with auburn tresses fair,
To tottering age with whitened hair,
Yet, faces fair and eyes so bright
Have not yet faded from my sight,
And hearts, so warm, so kind, so good,
Have like a granite pillar stood,
But, when earth's blossoms all decay,
And from its scenes we pass away,
May flowers immortal round us bloom,
"Beyond the confines of the tomb;"
And one eternal spring be ours,
In heaven's amaranthine bowers.
IN MEMORY OF F. A. SMITH.
The trumpet of war was blown;
Such a war had ne'er been known
In our own dear native land;
But our country's call was heard,
And our young men drew the sword,
By the dear old flag to stand.
With a patriotic zeal,
From the college, young and leal,
He came to defend the right;
From the scenes of home he went
To the bivouac and the tent,
And the fearful bloody fight.
While myriads in the field,
In the throes of death, did yield
To insatiate war's demand;
It was his to come once more,
To the friends he loved before,
To the dear domestic band.
To a mother, faithful, true,
To an only sister too,
And to brothers left behind;
Save one who fell in the fight,
And had gone to realms of light,
To his father's will resigned.
At length, with his chosen wife,
He hopes that his future life
May be spent in joy and peace—
But our fondest hopes, alas!
Like a transient vapor, pass,
And our earthly pleasures cease.
In the pride of manhood now,
With a fair scholastic brow,
The visions of hope appear—
But the sable monster, strong,
Invites him to come along,
And visit his realms so drear.
Not alone where sabres clash,
Not alone where cannons flash,
Is the great destroyer found.
But diseases stalk abroad,
To deface the work of God,
And to strew their wreck around.
For a raging fever now,
Is flushing that manly brow,
And the quickened pulse's beat
Tells that death has claimed his prey,
And will bear him soon away,
To his gloomy dark retreat.
On a cool October day,
There was sadly borne away
To his rest—a cherished one—
From his labors he did cease,
In the grave he rests in peace,
For his earthly work is done.
He sleeps in a lonely grave,
Near by where the gentle wave
Throws its ripples on the shore.
His soul could no longer stay,
But calmly has passed away,
And the toils of life are o'er.
In peace let him sweetly rest,
Till his Maker's high behest,
Shall summon his dust to rise;
Meanwhile, let us calmly wait,
And when opens the pearly gate,
May we meet him in the skies.
A HYMN.
The spring in beauty comes
With blossoms bright and fair,
Which shed around our rural homes
A fragrance rich and rare.
The great Creator's sun
Gives light and heat to all;
While on the evil and the good,
The raindrops freely fall.
To every helpless one
His aid is kindly given,
That he may say "Thy will be done,"
And choose the way to Heaven.
Let us poor mortals be
Submissive to his will,
In all the acts of life may we
His righteous law fulfill.
Then, when life's labors cease,
And here no more we roam,
With holy joy and heavenly peace,
We shall be welcomed home.
THE NEW YEAR.
The old year now is past,
And the new is ushered in;
Shut out the follies of the last,
And with hope the new begin.
Begin with strong intent,
To shun the paths of evil;
Firmly, from wicked ways dissent,
And disappoint the devil.
Control your appetite,
Both when you eat and drink;
Then, you may sleep quite sound at night
And close'y, and clearly, think.
Then, when the year grows old,
And he is about to die,
You can take his icy hand so cold,
And bid him a long goodbye.
MUSINGS.
When solemn night with sable train,
Her mantle spread o'er hill and plain,
And darkness did in silence reign,
I mused awhile
Upon life's journey woe and pain,
And transient smile.
I saw the twinkling gems of night,
As through the heavens they shed their light,
And on the earth with splendor bright,
They mildly shone;
I gazed with rapture on the sight,
While all alone.
In unknown space these mighty spheres,
In harmony, roll on their years,
While man, through dangers, toils and fears,
Is doomed to go,
A wanderer in this vale of tears,
A child of woe.
What causes this, the querist cries,
'Tis sin, the sacred muse replies,
For man was holy, good, and wise,
When first from God,
In innocence he did arise,
And Eden trod.
But since by sin came pain and woe,
We're doomed to share it here below,
Yet, is there nothing as we go
To cheer life's way?
Does consolation never flow,
O, shall we say?
O, say it not, for life hath joy,
Altho' 'tis mixed with time's alloy,
And earthly woes our peace annoy,
Yet, if we're wise,
Far greater bliss we shall enjoy,
Above the skies.
And while we're doomed to sojourn here,
Our kindred and our friends so dear
Shall share our joys, our souls shall cheer,
Nay, fondly bless,
And drop the sympathetic tear,
While in distress.
Thus, Friendship blooms awhile on earth,—
Altho' it is of heavenly birth,
And will retain immortal worth
Beyond the grave,
When buried is the voice of mirth,
By death's cold wave.
SPRING.
Winter's dreary reign is over,
Spring's warm breath again is felt;
Snowy wreaths, which late did cover
Every landscape like a belt,
When young spring o'er earth did hover,
In her balmy smile did melt.
Birds are singing in the forest;
Trees their leaflets now display;
Gentle wild flowers, gay but modest,
Greet you by the woodland way;
Or, o'er prairie fields the broadest,
Send their odors far away.
Now has come the busy seed-time,
Farmers sow the early grain;
In the groves we hear the bird-chime,
After gentle showers of rain;
O, it is the glorious springtime,
But not long will it remain.
Spring, thy reign will soon be ended;
Soon the summer queen will come,
And thy charms with hers be blended
Round the cotter's quiet home,
While by fairy bands attended,
Thou to other lands wilt roam.
TO A SOLDIER BOY—A FRAGMENT.
I write to you, dear Alvan,
In measured lines this time,
It may not pass for poetry,
But surely it shall rhyme;
If I could paint the homestead
In words like pictures bright,
I'd show you how things look here
At morning, noon and night.
The kitchen, ay, 'twould please you,
Could you take a peep in there,
And see the stove and wood-box,
The clock, and old arm-chair,
The whip, on the same nail hanging,
Behind the outer door,
Where you hung it, ere in battle
You heard the cannon roar.
And the hats and caps beneath it,
All lying on the floor,
And the pet pup there among them
As he used to be before;
And the table on the one side,
As it used to stand, you know,
And the mirror on the other,
As it hung long time ago,
And the inmates busy reading
The papers of the day,
Of bloody fights and sieges,
In Dixie far away;
While, at his post of duty,
The soldier boy is found,
With hard-tack for his rations,
His bed the frozen ground.
"ABSENT, BUT NOT FORGOTTEN."
The days have passed slowly away,
The hours have quite tardily flown,
Most surely they ling'ringly stay,
For Mary, dear Mary has gone
When we to our table repair,
At morning, at noon, and at eve,
Our eyes fall on one vacant chair,
Made vacant when Mary did leave.
When shadows of night gather round,
And the family circle have met,
All vacant her seat is still found,
And the vacancy all do regret.
The Sabbath again has returned,
Last Sabbath our Mary was here,
Now gone, and her absence is mourned,
For a season, no more she'll appear.
She's gone from her home in the West,
To New England, the land of the free,
Where her ancestors quietly rest—
That land will her future home be.
She's gone—may a future all bright,
With blessings before her arise;
May it ever be hers to do right,
And virtue and truth always prize.
She's gone—yet remembered by those
From whom she is parted awhile,
In memory, her worth will repose,
While fancy reveals her sweet smile.
She's absent—Forgotten? O never!
Her faults, we will lightly pass by,
Her worth, may it live on forever,
Till we all live forever on high.
THE CLOSE OF THE YEAR—A COMPARISON.
The beauty of summer has faded,
The glory of autumn has passed,
And winter though lame and jaded,
Comes hurrying on at last.
Thus must wandering mortals,
Happy, or sad, or gay.
Pass through death's dark portals,
To the regions far away.
They must fade as the summer doth fade,
Like autumn their glory must pass;
For all, whom Jehovah has made,
Must go, 'to the grave, alas!
"MAN WAS MADE TO MOURN."
When buoyant, on the floating breeze
Of life's bright summer, we are borne,
When everything around doth please,
We hardly think we're made to mourn.
When lovely friends, with kindness dear,
To us their sympathies have shown,
But few the omens that appear,
To tell us, that we're made to mourn.
But when the ills of life are felt,
And life of its fond pleasure shorn,
And anguish deep the heart doth melt,
We truly feel, we're made to mourn.
When nature's beauties lose their charm,
And grief the weary soul has worn,
And sorrow sounds a deep alarm,
Alas! how natural 'tis to mourn.
And when our dearest friends have fled,
And by relentless death, are torn
From us, and numbered with the dead,
'Tis nature's precious boon, to mourn.
But when our friends have passed away,
And after them we too are borne,
If we have walked in "Wisdom's way,"
We shall forever cease to mourn.
THE EXIT.
Days and weeks, and months, and years,
Pass away as roll the spheres;
All things earthly hurry on,
Soon we mortals shall be gone.
Let us as we pass away,
Do the duties of each day,
Faithfully, the moments spend,
Persevering to the end.
Do the work we have to do,
Well, and faithfully, and true,
Then from toil, when life shall cease,
We shall have a sweet release.
Grief, and care, and labor o'er,
We shall reach the "Shining Shore."
There the weary ever rest,
With the holy and the blest.
INDEX.
A
Albee, Ezekiel ........................................ 16
Allen, Lieut. James W .................................. 54
Allis, Samuel ........................................... 11
Allyn, Eliza ............................................. 50
Ames, Bp. Edward R .................................... 22
Ames, George H ......................................... 54
Andrews, E. Jones ..................................... 41
Armstrong, Sarah ....................................... 17
Atwater, Rev. Lucius .................................. 34
B
Baker, Ereda ........................................... 23
Ball, Frances ........................................... 41, 46
Ball, Samuel S .......................................... 41
Bardwell, Nancy ....................................... 37
Barnes, Lucy Ann ...................................... 20
Barrett, Dr. P. G ...................................... 39
Bassett, Cyrus W ....................................... 56
Battles, Edwin D ....................................... 32
Battles, Martha P ...................................... 32, 59
Battles, Orlin T ....................................... 32, 59
Beaman, Horace G ...................................... 60
Bell, Elizabeth ......................................... 40
Bell, Lovanchia ........................................ 31
Bixby, Dr. J. P ........................................ 46
Blain, John Jr .......................................... 57
Bradey, George W ...................................... 51
Brainard, Harriet N .................................... 12, 32
Brainard, Hezekiah .................................... 12
Brainard, Martha J .................................... 12, 32
Brainard, Orson T ..................................... 12, 32
Brigham, Caroline F ................................... 18, 41
Brigham, Lucie H ...................................... 17, 41
Bright, Frederick A .................................... 18, 41
Brigham, Levi .......................................... 17, 18
Brigham, L. Henry ..................................... 17, 40
Brininstool, Cornelia M ................................ 34, 60
Brininstool, James .................................... 34
Brinkerhoff, Clarissa J ................................ 14, 34
Brinkerhoff, Jacob .................................... 14
Brittan, Ira W .......................................... 26
Brittan, Julius ......................................... 26, 55
Brockett, Lewis B ...................................... 39
Broun, Edwin ........................................... 33
Broun, Roswell B ....................................... 33, 60
Broun, William ......................................... 33, 60
Broun, Anna F .......................................... 61
Browning, Harvey ...................................... 54
Bruce, David ............................................ 62
Buell, Josiah ........................................... 26
Buell, Josiah H ......................................... 26, 55
Buell, Mary E ........................................... 26, 55
Burgoyne, Gen .......................................... 7
Burlison, Hannah ...................................... 25
Burnett, Mary J ........................................ 53
Butterfield, Julia ...................................... 31
Byer, Anna M ........................................... 47
C
Camp, James ............................................ 39
Carley, Rufus .......................................... 56
Carter, Mary McK ...................................... 25
Carter, Myron .......................................... 55
Carter, Nancy E ........................................ 25
Casper, Benjamin ....................................... 60
Chadwick, Francis E ................................... 44
Chapin, Mary E ......................................... 28, 55
Chapin, Miles .......................................... 28
Clark, Abigail .......................................... 22
Clark, Alvan, A. M .................................... 22
Clark, Theodosia A .................................... 47
Coffin, Lucy ............................................ 25
Colburn, Prudence ..................................... 7
Colburn, William ...................................... 18
Colburn, Wm. Henry ................................... 18, 42
Collins, Roxana ....................................... 36
Combs, Louisa ......................................... 51
Conger, William R ..................................... 34
Conklin, Eugene ....................................... 35
Cook, Ella .............................................. 39
Cooper, Anna M ........................................ 23, 49
Cooper, John, Hon ..................................... 22
Cooper, J. Henry ...................................... 23, 49
Cooper, Jane ........................................... 45
Cooper, Lucinda ....................................... 45
Cornwell, Robt. P ...................................... 40
Cortright, Nettie ...................................... 35
Covert, Sabra .......................................... 59
Cowle, Isabel .......................................... 46
Crane, Abbie ........................................... 57
Crawford, Robert ...................................... 41
Crosby, Mary H ........................................ 37
Cross, Abner ............................................ 21, 46
Cross, Emery ........................................... 21, 45
Cross, Levi ............................................. 21
Cross, Martin T ........................................ 21, 45
Cross, Perry ............................................ 21, 45
Cross, Wm. Wallace ................................... 21, 45
Cummings, Peter ....................................... 59
Cuykendall, J. Horton ................................ 35
D
Dascomb, Charles H ................................... 54
Daubner, Selina ....................................... 49
Derby, Samuel .......................................... 24
Dickinson, Sobr. G ..................................... 31
Donaldson, Nathario Dr ................................ 12
Donaldson, Nancy M ................................... 12
Downer, Joseph ........................................ 53
Downing, Ida Kate ..................................... 60
Downing, Judge ........................................ 66
Duckworth, Catharine ................................ 50, 62
Duckworth, Dorcas ..................................... 24, 50, 62
Duckworth, John M ..................................... 49
Duckworth, Julia A .................................... 25
Duckworth, Martha P ................................... 24
Duckworth, Thomas .................................... 49
Dunham, Waddams ...................................... 42
Dwight, Elizabeth E ................................... 25, 54
Dwight, Josiah J ....................................... 26, 54
Dwight, Roderick O .................................... 26
E
Eldredge, Minerva ..................................... 27
Elliot, Mary H .......................................... 44
Elmer, Ann .............................................. 9
Elmer, Betsey .......................................... 9
Elmer, Gad .............................................. 9
Evans, Philena A ....................................... 49
Everts, Libbie ......................................... 58
F
Farley, Benjamin F .................................... 41
Farley, Benjamin M .................................... 41
Farley, Fanny L ....................................... 41, 62
Fay, Evira L ........................................... 32
Field, Alice E .......................................... 29, 57
Field, Ella A ........................................... 29, 57
Field, Emma ............................................ 56
Field, Frederick M .................................... 29
Figg, Daniel ............................................ 44
Fillmore, Millard, Ex. Pres .......................... 13
Fillmore, Olive A ...................................... 13
Finch, Helen S ......................................... 50, 63
| Name | Page |
|-----------------------|------|
| Finch, Wm. P | 50 |
| Fisher, Benjamin C | 53 |
| Fisk, Beulah | 7, 15|
| Fisk, Cornelia | 16, 29|
| Fisk, Eleeta T | 16, 38|
| Fisk, Hadassah | 16, 39|
| Fisk, Harriet | 15, 37|
| Fisk, Helen O | 16, 39|
| Fisk, Henry | 7, 15|
| Fisk, Henry Z | 16, 38|
| Fisk, James S | 16, 39|
| Fisk, Joseph | 7, 15|
| Fisk, Lucy | 7, 15|
| Fisk, Lucy E | 16, 38|
| Fisk, Lucy S | 16, 39|
| Fisk, Martha A | 16, 38|
| Fisk, Mary | 42 |
| Fisk, Sarah | 7, 14|
| Fisk, Zebediah | 7, 16|
| Pitts, Nathan H | 38 |
| Flanigan, Sarah J | 51 |
| Fleming, Inez E | 38, 61|
| Fleming, Willard H | 38 |
| Foote, Jay R | 43 |
| Francis, Sally A | 58 |
| Fretenburg, Caroline C| 31 |
| Fretenburg, Ebenezer W| 30, 58|
| Fretenburg, George | 30 |
| Fretenburg, George C | 30, 58|
| Fretenburg, Jennie | 30, 59|
| Fretenburg, John E | 30, 58|
| Fretenburg, Wm. Henry | 30, 58|
| Freeman, Addie | 61 |
| Fuller, Andalusia | 39 |
| Fuller, Mary A | 38 |
| Furnum, James | 57 |
| Gage, Lydia | 21 |
| Gaine, Lewis H | 36 |
| Genealogical Diet. Savage's | 4, 5 |
| Gillett, Asa | 39 |
| Gillett, Daniel | 49 |
| Gillett, Frank E | 39 |
| Glover, Harriet M | 37, 61|
| Glover, Samuel W | 37 |
| Greenfield, Elondo | 33 |
| Greenfield, J. Webb | 3, 10|
| Grovevcr, Nancy | 20 |
| Guild, George | 56 |
| Gunn, Austin S | 20, 44|
| Gunn, Charles B | 37, 61|
| Gunn, Cynthia | 3, 19|
| Gunn, Cyrus | 8, 20|
| Gunn, Erastus F | 15, 37|
| Gunn, Fanny | 8, 21|
| Gunn, John | 8, 19|
| Gunn, Joseph | 8 |
| Gunn, Levi | 8, 20|
| Gunn, Lucy | 8, 20|
| Gunn, Luther | 8, 20, 21|
| Gunn, Lyman | 21 |
| Gunn, Mary C | 37, 61|
| Gunn, Otis | 15 |
| Gunn, Otis B | 15, 37|
| Gunn, Walter, Rev. | 8, 20|
| Gunn, Windsor | 8, 19|
| Hale, Eber | 8 |
| Hall, George | 38 |
| Hall, Mary | 10 |
| Hart, Lucy A | 58 |
| Hart, Susan | 24 |
| Hathaway, Josiah | 16 |
| Hathaway, Wealthy H | 10, 29|
| Hawxwell, Ann | 16 |
| Healy, Elson E | 55 |
| Henry, Sophia | 19 |
| Hillman, Wm. F | 56 |
| Hodge, Delos | 43 |
| Hollerman, Josiah | 50 |
| Hosley, Clara L | 36 |
| Holton, Frank | 61 |
| Howe, Lucy | 15 |
| Howe, Margaret | 31 |
| Howes, Pa. lina | 23 |
| Hubbard, Samuel | 31 |
| Hurd, Lydia | 28 |
| Ing, Delia | 53 |
| Jacob, Homer | 44 |
| Jewett, Norman C | 55 |
| Johnson, Aaron B | 25, 53|
| Johnson, Abigail | 6, 11|
| Johnson, Abilena | 24, 49|
| Johnson, Abner M | 22, 48|
| Johnson, Alonzo | 11, 29|
| Johnson, Alvan O | 22, 47|
| Johnson, Andrew H | 25, 53|
| Johnson, Anna | 9, 22|
| Johnson, Betsey | 10, 26|
| Johnson, Betsey A | 29, 57|
| Johnson, Carlos H | 10, 25|
| Johnson, Clara | 7, 14|
| Johnson, Clarissa | 10, 27|
| Johnson, David | 3, 4, 5, 6, 7|
| Johnson, David B | 14, 33|
| Johnson, Demetrius | 9, 24|
| Johnson, Dr. Franklin.| 9, 24|
| Johnson, Edward, Capt.| 4 |
| Johnson, E. Payson | 22, 48|
| Johnson, Edwin | 9, 23|
| Johnson, Ellen M | 10, 27|
| Johnson, E. Winchester| 8, 25|
| Johnson, Emily | 10, 26|
| Johnson, Eunice | 23, 54|
| Johnson, Fanny | 7, 13|
| Johnson, Festa | 10, 26|
| Johnson, Flore Ann | 24, 51|
| Johnson, Franklin E | 21, 46|
| Johnson, Geo E | 10, 27|
| Johnson, Henderson D | 9, 25|
| Johnson, Hannah H | 24, 59|
| Johnson, Harriet | 7, 14|
| Johnson, Harriet C | 13, 32|
| Johnson, Henry S | 7, 13, 13, 34|
| Johnson, Hiram T | 23, 57|
| Johnson, Homer | 9, 21, 46|
| Johnson, Indiana N | 25, 52|
| Johnson, Isabel | 24, 50|
| Johnson, Jane A | 24, 51|
| Johnson, Josiah | 4, 5, 6, 9, 10, 26|
| Johnson, Joseph H | 25, 53|
| Johnson, Julia V | 14, 33|
| Johnson, Juliette | 10, 26|
| Johnson, J. Reed | 14, 35|
| Johnson, Laura | 24, 51|
| Johnson, Leander | 6, 9, 10, 24|
| Johnson, Leander, Rev.| 11, 29|
| Johnson, Livie | 25, 53|
| Johnson, Loa | 9, 21|
| Johnson, Lovice | 6, 12|
| Johnson, Lucy | 5 |
| Johnson, Lucyann | 25, 54|
| Johnson, Luke | 5, 6 |
| Johnson, Lydia | 6, 7, 11|
| Johnson, Marcus L | 24, 51|
| Johnson, Marinda L | 24, 51|
| Johnson, Marion A | 9, 22|
| Johnson, Martha | 6, 9, 10, 23|
| Johnson, Martha T | 24, 49|
| Johnson, Martin L | 3, 49|
| Johnson, Mary | 6, 7, 10, 12, 23|
| Johnson, Mary E | 14, 29, 35, 57|
| Johnson, Mary Jane | 35, 49|
| Johnson, Matilda C | 24, 51|
| Johnson, Melvin | 25, 53|
| Johnson, Milton | 23, 49|
| Johnson, Minerva C | 25, 52|
| Johnson, Nathan H | 24, 50|
| Name | Page |
|-----------------------|------|
| Johnson, Nathaniel F | 14 |
| Johnson, Osmond | 7 |
| Johnson, Orwin | 9 |
| Johnson, Othniel | 6 |
| Johnson, Othniel T | 11 |
| Johnson, Pamelia A | 25 |
| Johnson, Pitts | 24 |
| Johnson, Roswell | 7 |
| Johnson, Rufus | 6 |
| Johnson, Rufus R | 25 |
| Johnson, Ruth E | 24 |
| Johnson, Ruth P | 25 |
| Johnson, Samuel, Rev | 4 |
| Johnson, Semira | 9 |
| Johnson, Seth | 24 |
| Johnson, Susan S | 20 |
| Johnson, Susanna | 4 |
| Johnson, Sylvia | 6 |
| Jonson, Theitis | 9 |
| Jounson, Walter R, Prof | 7 |
| Johnson, Wellington | 10 |
| Johnson, Wesley | 22 |
| Johnson, William, Dea | 4 |
| Johnson, Wm. Wallace, Rev | 3 |
| Johnson, Wm. Wallace, Jr | 22 |
| Johnson, Wm. F | 29 |
| Joslin, Mr | 19 |
| Keeler, Lydia | 60 |
| Kelan, Joseph | 52 |
| Kelly, Abner | 57 |
| Kelsey, Henry C | 44 |
| Kendall, Rufus | 12 |
| Kendall, Sarah | 12 |
| Kuehn, Julius J | 57 |
| La Craft, Carrie E | 62 |
| Ladd, Sumner | 60 |
| Lang, L. M. | 62 |
| Launois, John M | 57 |
| Larabee, Addie A | 55 |
| Lawson, Bettie L | 60 |
| Lewis, Nellie | 30 |
| Lund, Fannie M | 14 |
| Lund, Joseph | 14 |
| Lund, M. Antoinette | 14 |
| Lund, M. Corneelia | 14 |
| Mallory, Erwin | 49 |
| Marsh, Martha | 15 |
| Martin, Rosana | 41 |
| Marvell, Ella | 38 |
| McClure, Emmeline | 44 |
| McDonald, Sarah | 16 |
| M Gee, Orissa A | 32 |
| McNeil, Sarah J | 32 |
| McWhorter, George, Dea| 21 |
| Merrill, Achsah M | 28 |
| Merrill, George G | 28 |
| Merrill, Ira | 28 |
| Merrill, Mary C | 28 |
| Merrill, Olive N | 28 |
| Merrill, Rosabella S | 28 |
| Merritt, Benjamin | 52 |
| Middaugh, Sarah | 33 |
| Monroe, Andrew H | 19 |
| Monroe, Charles J | 19 |
| Monroe, Eliza C | 19 |
| Monroe, Elizabeth | 8 |
| Monroe, Eunice | 8 |
| Monroe, Eunice E | 18 |
| Monroe, Fanny | 8 |
| Monroe, Hatlie D | 19 |
| Monroe, Henry G | 8 |
| Monroe, Henry N | 19 |
| Monroe, Horatio N | 8 |
| Monroe, Isaac, Dr | 8 |
| Monroe, Jay R | 8 |
| Monroe, Mary | 8 |
| Monroe, Maryann | 19 |
| Monroe, Nancy M | 19 |
| Monroe, Roxana | 8 |
| Moore, Adeline | 17 |
| Moore, Alpheus | 15 |
| Moore, Clesson F | 15 |
| Moore, David F | 43 |
| Moore Edwin L. Col | 15 |
| Moore, Edwin R | 36 |
| Moore, Gilman A | 37 |
| Moore, Joseph K | 15 |
| Moore, Leander | 15 |
| Moore, Levi | 14 |
| Moore, Lucy F | 15 |
| Moore, Martin | 15 |
| Moore, Martin E | 38 |
| Moore, Roberta R | 36 |
| Moore, Sarah F | 15 |
| Moore, Stillman | 15 |
| Morehouse, Hattie | 43 |
| Morse, Deborah S | 22 |
| Morse, Jesse | 22 |
| Munn, Irene E | 55 |
| Neale, Elisha J | 56 |
| Needham, Chloe | 49 |
| Needham, Mary C | 48 |
| Nelson, Jemima | 53 |
| Newcomb, Emma | 45 |
| Newkirk, Henry W | 33 |
| Newkirk, Osmond J | 53 |
| Newkirk, Sylvester | 33 |
| Newland, Antoinette | 35 |
| Nichols, David | 10 |
| Nichols, David J | 28 |
| Nichols, Dolly | 10 |
| Nichols, Mary | 10 |
| Nichols, Olive | 10 |
| Nichols, Roswell | 10 |
| Norton, Harriet A | 41 |
| Osgood, Abigail | 19 |
| Packard, Christiana | 23 |
| Palmer, Mary S | 14 |
| Parker, W. T. | 35 |
| Parnelee, Mary A | 26 |
| Parsell, Milton J | 34 |
| Payne, Ann H | 13 |
| Payne, Benjamin | 22 |
| Payne, Daniel C | 21 |
| Perry, B. F. | 40 |
| Perry, Mary | 15 |
| Perry, Sarah V | 40 |
| Peters, Hugh, Rev | 5 |
| Peters, Mary | 5 |
| Phillips, Jerusha | 26 |
| Phillips, John L | 30 |
| Phillips, Ruth | 9 |
| Phillips, Silas G | 30 |
| Platt, Lottie A | 43 |
| Porter, Alice | 62 |
| Possett, Anna C | 59 |
| Possett, Susan M | 59 |
| Preble, Mary A | 36 |
| Probes, Sarah J | 58 |
| Priest, Henry C | 16 |
| Priest, Josiah R | 16 |
| Priest, Josiah W | 16 |
| Proctor, Caes | 27 |
| Proctor, Daniel | 27 |
| Proctor, Emma | 27 |
| Pultz, Lorena | 20 |
| Rainger, David | 17 |
| Rainger, Sarah E | 17 |
| Rawson, Fanny | 18 |
| Reed, John H | 51 |
| Reed, Sarah C | 35 |
| Reed, Thomas | 25 |
| Reeves, Mariou | 51 |
| Name | Page |
|-----------------------------|------|
| Rice, Edwin C | 38 |
| Rice, Joel O | 29 |
| Rogers, John, Rev | 6 |
| Rogers, Sally | 6 |
| Root, Lydia F | 17, 40 |
| Root, Selah | 17 |
| Rosenkranz, Susanna | 10 |
| Rowe, Harriet L | 61 |
| Rugg, S. G | 32 |
| Russell, Samuel | 62 |
| Sands, Adelia | 30 |
| Sawyer, O. Orville | 61 |
| Scovill, William E | 56 |
| Scott, Achsah | 28 |
| Scott, Rufus | 42 |
| Seaman, Emma A | 34 |
| Shew, Albion | 30 |
| Shew, Lyman | 30 |
| Sigler, Sarah | 33 |
| Silvernail, Eliza A | 29 |
| Smith, Alfred L | 22, 47 |
| Smith, Apollos | 19 |
| Smith, Austin | 20, 21 |
| Smith, Charles | 21, 44 |
| Smith, Colley, Lieut | 22, 46 |
| Smith, Eliza A | 45 |
| Smith, Emery | 21 |
| Smith, Enos Rev | 21 |
| Smith, Frederic A | 22, 47 |
| Smith, Hannah | 22, 46 |
| Smith, Isaac | 42 |
| Smith, Lucy | 20, 44 |
| Smith, Mary L | 21, 44 |
| Smith, Mervin A | 47, 62 |
| Smith, Myra | 21 |
| Smith, Nathaniel | 52 |
| Smith, Othniel J | 22, 46 |
| Smith, Sarah | 20 |
| Smith, Sarah P | 48 |
| Sprague, Amanda | 46 |
| Sprague, Elsie N | 46 |
| Sprague, Franklin, Dea | 24 |
| Sprague, Lucy | 23 |
| Stanhope, Erwin | 49 |
| Stephens, Linnie A | 43 |
| Stone, Fernandes C | 59 |
| Stone, Isaac | 16 |
| Stone, Lewis D | 16, 49 |
| Stone, Maryann | 9 |
| Stone, Matthew | 8 |
| Stone, Sarah K | 16, 49 |
| Stone, Willard A | 16, 39 |
| Stone, William F | 57 |
| Strong, Harriet | 47 |
| Strong, Jane H | 45 |
| Sweetser, Annis | 5, 8 |
| Sweetser, Benjamin | 5 |
| Sweetser, Beulah F | 8, 16 |
| Sweetser, Eliza | 5, 8, 16 |
| Sweetser, Eunice G | 8, 15 |
| Sweetser, Henry, Capt | 5 |
| Sweetser, Henry C | 8, 16 |
| Sweetser, Lucy | 5, 7 |
| Sweetser, Lydia K | 8, 16 |
| Sweetser, Mary | 5, 8, 16 |
| Sweetser, Mary A | 8, 17 |
| Sweetser, Nathan | 5 |
| Sweetser, Nathan E | 8, 17 |
| Sweetser, Priscilla E | 8, 17 |
| Sweetser, Seth | 5 |
| Sweetser, William H | 17 |
| Sweetser, William S | 8, 17 |
| Taylor, Albert | 46 |
| Taylor, Esther E | 27, 55 |
| Taylor, Hooker | 27 |
| Taylor, Joseph E | 52 |
| Taylor, Martha | 6 |
| Taylor, Othniel | 6 |
| Taylor, Sophia | 29 |
| Taylor, William A | 52 |
| Tenney, Cordelia R | 48 |
| Thayer, Edward F | 61 |
| Thompson, Mary A | 53 |
| Thompson, Sarah A | 55 |
| Tibbits, Harriet | 19 |
| Tinker, Ethan V | 59 |
| Titus, Thomas W | 32, 60 |
| Titus, William | 32 |
| Tirrell, Edwin | 57 |
| Tower, Alonzo B | 43 |
| Treman, James | 62 |
| Tyler, Josephine | 60 |
| Van Etten, Abraham, Col | 14 |
| Van Etten, Fanny A | 14, 35 |
| Van Etten, Harriet A | 14, 35 |
| Van Etten, Henry N | 14, 35 |
| Van Etten, Mary E | 14, 35 |
| Van Etten, Prudence A | 14, 34 |
| Van Fossen, Wilhelmina | 42 |
| Van Ornem, Lucinda | 46 |
| Wade, Albert | 40 |
| Walker, Emilene E | 54 |
| Wallace, Betsey B | 26 |
| Waller, Aaron M | 41 |
| Ware, Adelaide E | 46 |
| Ware, Esther | 21 |
| Ware, Florence | 26, 54 |
| Ward, Samuel | 26 |
| Warren, Gen | 3 |
| Webster, Ursula W | 41 |
| Welman, Fanny A | 25 |
| Wecks, James | 61 |
| West, Clarissa J | 13, 32 |
| West, Mary M | 13, 33 |
| West, Sarah | 53 |
| West, Thomas | 13 |
| West Zenobia | 40 |
| Wheeler, Elvira | 62 |
| Wheelock, Rebecca A | 58 |
| Whitaker, Luana A | 58 |
| Whitaker, Sealim | 41 |
| White, Cordelia | 18, 42 |
| White, Darius | 34 |
| White, David | 10 |
| White, Frederick | 18, 42 |
| White, Harriet | 10, 18, 28, 42 |
| White, Jonathan | 6 |
| White, Joseph | 23 |
| White, Josiah J | 10, 28 |
| White, Juli A | 18, 41 |
| White, Keziah | 10, 29 |
| White, Lowell N | 18, 41 |
| White, Luther | 18 |
| White, Mary E | 18, 41 |
| White, Otis S | 18, 41 |
| White, Sarah | 18, 42 |
| Whitney, Marilla A | 37 |
| Wilcockson, Nancy | 19 |
| Wilder, Joseph | 6 |
| Wilder, Mr | 32 |
| Winchell, Adino | 18 |
| Winchell, Harriet F | 18, 42 |
| Winchell, Mary E | 18, 43 |
| Winthrop, Gov | 4 |
| Wiswall, Esther | 4 |
| Wiswall, Thomas, Elder | 4 |
| Wood, Theodosius | 26 |
| Woodward, Abigail | 11, 30 |
| Woodward, Armenia | 11, 30 |
| Woodward, Blodad | 11, 31 |
| Woodward, Chandler B | 31, 50 |
| Woodward, Duane | 31, 59 |
| Woodward, Ebenezer | 11, 31 |
| Woodward, Emory E | 31, 59 |
| Woodward, Henry | 11 |
| Woodward, Henry A | 31, 59 |
INDEX TO POEMS.
Youthful Recollections .......................... 67
"We all do fade as a leaf" ..................... 68
The Decoration .................................. 69
"I went to gather flowers" ...................... 71
Decoration Day .................................. 70
For a Friend's Album ............................ 71
My Brothers and Sisters ........................ 72
The Summer ..................................... 73
The Volunteer's Departure ....................... 73
The Volunteer's Return .......................... 75
The Soldier's Dream ............................. 74
The Bereavement .................................. 75
The Springtime ................................... 75
On revisiting my Birthplace ..................... 76
The Indian's Grave .............................. 77
The Close of the Year—a comparison ............ 81
A Hymn .......................................... 78
Spring ........................................... 79
To a Soldier Boy—A Fragment .................... 79
Absent but not Forgotten ........................ 80
"Man was made to mourn" ......................... 80
The New Year .................................... 78
To my Youngest Sister ............................ 77
School Hour ...................................... 75
Passing Away ..................................... 75
In Memory of F. A. Smith ........................ 78
The Exit ......................................... 80
Musings .......................................... 79
The following is a list of the books and pamphlets on the subject of the history of the United States, which have been published in the United States since 1865.
The list is arranged alphabetically by author's last name.
The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper.
1. **Demographic Data**: This includes information such as age, gender, race, ethnicity, education level, income, employment status, and marital status. Demographic data can be used to identify trends and patterns in consumer behavior, which can help businesses make informed decisions about their marketing strategies.
2. **Behavioral Data**: This includes information about how people interact with products or services, such as purchase history, website visits, and social media activity. Behavioral data can be used to understand customer preferences and needs, which can help businesses improve their products and services.
3. **Geospatial Data**: This includes information about the location of people, such as their home address, work location, and travel routes. Geospatial data can be used to identify areas where there is high demand for certain products or services, which can help businesses locate new stores or expand their existing ones.
4. **Transactional Data**: This includes information about the financial transactions that occur between businesses and consumers, such as sales receipts, invoices, and credit card statements. Transactional data can be used to track revenue and expenses, which can help businesses manage their finances more effectively.
5. **Sentiment Analysis Data**: This includes information about the emotions and opinions expressed by customers through social media, reviews, and surveys. Sentiment analysis data can be used to gauge customer satisfaction and identify areas where improvements can be made.
6. **Predictive Analytics Data**: This includes information about future trends and patterns based on historical data. Predictive analytics data can be used to forecast sales, customer behavior, and other key metrics, which can help businesses make strategic decisions.
7. **Big Data**: This refers to large volumes of data that cannot be processed using traditional data processing techniques. Big data can be used to analyze complex relationships and patterns that would be difficult to identify using smaller datasets.
8. **Internet of Things (IoT) Data**: This includes information generated by connected devices, such as smart meters, wearables, and sensors. IoT data can be used to monitor and control various aspects of a business, such as energy consumption, inventory levels, and equipment maintenance.
9. **Customer Relationship Management (CRM) Data**: This includes information about customer interactions with a business, such as contact details, purchase history, and feedback. CRM data can be used to build stronger relationships with customers and improve their overall experience.
10. **Healthcare Data**: This includes information about patients' medical records, treatment plans, and health outcomes. Healthcare data can be used to improve patient care, develop new treatments, and reduce healthcare costs.
These are just a few examples of the many types of data that can be collected and analyzed using the methods described in this paper. By understanding the different types of data available, businesses can make more informed decisions and improve their operations.
MAR 23 1951
THE
LITERARY MAGAZINE
OF
THE UNIVERSITY OF PENNSYLVANIA.
VOLUME XXXIII.
PHILADELPHIA:
J. B. LIPPINCOTT & CO.,
1875. |
Visual Chirality
Zhiqiu Lin$^1$ Jin Sun$^{1,2}$ Abe Davis$^{1,2}$ Noah Snavely$^{1,2}$
Cornell University$^1$ Cornell Tech$^2$
Abstract
How can we tell whether an image has been mirrored? While we understand the geometry of mirror reflections very well, less has been said about how it affects distributions of imagery at scale, despite widespread use for data augmentation in computer vision. In this paper, we investigate how the statistics of visual data are changed by reflection. We refer to these changes as “visual chirality,” after the concept of geometric chirality—the notion of objects that are distinct from their mirror image. Our analysis of visual chirality reveals surprising results, including low-level chiral signals pervading imagery stemming from image processing in cameras, to the ability to discover visual chirality in images of people and faces. Our work has implications for data augmentation, self-supervised learning, and image forensics.
1. Introduction
“...there’s a room you can see through the glass—that’s just the same as our drawing room, only the things go the other way.”
— Lewis Carroll,
“Alice’s Adventures in Wonderland & Through the Looking-Glass”
There is a rich history of lore involving reflections. From the stories of Perseus and Narcissus in ancient Greek mythology to the adventures of Lewis Carroll’s Alice and J.K. Rowling’s Harry Potter, fiction is full of mirrors that symbolize windows into worlds similar to, yet somehow different from, our own. This symbolism is rooted in mathematical fact: what we see in reflections is consistent with a world that differs in subtle but meaningful ways from the one around us—right hands become left, text reads backward, and the blades of a fan spin in the opposite direction. What we see is, as Alice puts it, “just the same... only the things go the other way”.
Geometrically, these differences can be attributed to a world where distances from the reflecting surface are negated, creating an orientation-reversing isometry with objects as we normally see them. While the properties of such isometries are well-understood in principle, much less is known about how they affect the statistics of visual data at scale. In other words, while we understand a great deal about how reflection changes image data, we know much less about how it changes what we learn from that data—this, despite widespread use of image reflection (e.g., mirror-flips) for data augmentation in computer vision.
This paper is guided by a very simple question: How do the visual statistics of our world change when it is reflected? One can understand some aspects of this question by considering the images in Figure 1. For individual objects, this question is closely related to the concept of chirality [12]. An object is said to be chiral if it cannot be rotated and translated into alignment with its own reflection, and achiral otherwise.\footnote{More generally, any figure is achiral if its symmetry group contains any orientation-reversing isometries.} Put differently, we can think of chiral objects as being fundamentally changed by reflection—these are the things that “go the other way” when viewed through a mirror—and we can think of achiral objects as simply being moved by reflection. Chirality provides some insight into our guiding question, but remains an important step removed from telling us how reflections impact learning. For this, we need a different measure of chirality—one we call visual chirality—that describes the impact of reflection on distributions of imagery.
In this paper, we define the notion of visual chirality, and analyze visual chirality in real world imagery, both through new theoretical tools, and through empirical analysis. Our analysis has some unexpected conclusions, including 1) deep neural networks are surprisingly good at determining whether an image is mirrored, indicating a significant degree...
of visual chirality in real imagery, 2) we can automatically discover high-level cues for visual chirality in imagery, including text, watches, shirt collars, face attributes, etc, and 3) we theoretically and empirically demonstrate the existence of low-level chiral cues that are imprinted in images by common image processing operations, including Bayer demosaicing and JPEG compression. These conclusions have implications in topics ranging from data augmentation to self-supervised learning and image forensics. For instance, our analysis suggests that low-level cues can reveal whether an image has been flipped, a common operation in image manipulation.
1.1. Defining visual chirality
To define visual chirality, we first consider data augmentation for learning in computer vision to build intuition. Machine learning algorithms are based on the idea that we can approximate distributions by fitting functions to samples drawn from those distributions. Viewed in this light, data augmentation can be seen as a way to improve sampling efficiency for approximating a distribution $D(x)$ (where $x$ represents data from some domain, e.g., images) by assuming that $D$ is invariant to some transformation $T$. More precisely, augmenting a training sample $x$ with the function $T$ assumes symmetry of the form:
$$D(x) = D(T(x)) \quad (1)$$
which allows us to double our effective sampling efficiency for $D$ at the cost of approximation error wherever the assumed symmetry does not hold. This idea is illustrated in Figure 3.
Recall that for achiral objects reflection is equivalent to a change in viewpoint. Therefore, if we consider the case where $D$ is a uniform distribution over all possible views of an object, and $T$ is image reflection, then Equation 1 reduces to the condition for achirality. We can then define visual chirality by generalizing this condition to arbitrary visual distributions. In other words, we define visual chirality as a measure of the approximation error associated with assuming visual distributions are symmetric under reflection. Defining visual chirality in this way highlights a close connection with data augmentation. Throughout the paper we will also see implications to a range of other topics in computer vision, including self-supervised learning and image forensics.
Note that our definition of visual chirality can also be generalized to include other transformations. In this paper we focus on reflection, but note where parts of our analysis could also apply more broadly.
Notes on visual chirality vs. geometric chirality. Here we make a few clarifying observations about visual chirality. First, while geometric chirality is a binary property of objects, visual chirality can be described in terms of how much Equation 1 is violated, letting us discuss it as a continuous or relative property of visual distributions, their samples, or, as we will see in Section 4, functions applied to visual distributions. Second, visual chirality and geometric chirality need not imply one another. For example, human hands have chiral geometry, but tend to be visually achiral because the right and left form a reflective pair and each occurs with similar frequency. Conversely, an achiral object with one plane of symmetry will be visually chiral when it is only viewed from one side of that plane. For the remainder of the paper we will refer to geometric chirality as such to avoid confusion.
2. Related work
Chirality has strong connections to symmetry, a long-studied topic in computer vision. Closely related to our work is recent work exploring the asymmetry of time (referred to as “Time’s arrow”) in videos, by understanding what makes videos look like they are being played forwards or backwards [20, 24]—a sort of temporal chirality. We explore the spatial version of this question, by seeking to understand what makes images look normal or mirrored. This spatial
chirality is related to other orientation problems in graphics in vision, such as detecting “which way is up” in an image or 3D model that might be oriented incorrectly [23, 4]. Compared to upright orientation, chirality is potentially much more subtle—many images may exhibit quite weak visual chirality cues, including a couple of the images in Figure 1. Upright orientation and other related tasks have also been used as proxy tasks for unsupervised learning of feature representations [5]. Such tasks include the arrow of time task mentioned above [24], solving jigsaw puzzles [19], and reasoning about relative positions of image patches [2].
Our problem represents an interesting variation on the classic task of detecting symmetries in images [15]. As such, our work is related to the detection and classification of asymmetric, chiral objects, as explored by Hel-Or et al. in their work on “how to tell left from right” [9], e.g., how to tell a left hand in an image from a right hand. However, this prior work generally analyzed geometric chirality, as opposed to the visual chirality we explore, as defined above—for instance, a right hand might be geometrically chiral but not visually chiral, while a right hand holding a pencil might visually chiral due to the prevalence of right-handed people.
Our work also relates to work on unsupervised discovery from large image collections, including work on identifying distinctive visual characteristics of cities or other image collections [3, 18] or of yearbook photos over time [6].
Finally, a specific form of chirality (sometimes referred to as cheirality) has been explored in geometric vision. Namely, there is an asymmetry between 3D points in front of a camera and points in back of a camera. This asymmetry can be exploited in various geometric fitting tasks [7].
3. Measuring visual chirality
In principle, one way to measure visual chirality would be to densely sample a distribution and analyze symmetry in the resulting approximation. However, this approach is inefficient and in most cases unnecessary; we need not represent an entire distribution just to capture its asymmetry. Instead, we measure visual chirality by training a network to distinguish between images and their reflections. Intuitively, success at this task should be bound by the visual chirality of the distribution we are approximating.
Given a set of images sampled from a distribution, we cast our investigation of visual chirality as a simple classification task. Let us denote a set of training images from some distribution as $C_{\text{positive}} = \{I_1, I_2, \ldots, I_n\}$ (we assume these images are photos of the real world and have not been flipped). We perform a horizontal flip on each image $I_i$ to produce its reflected version $I'_i$. Let us denote the mirrored set as $C_{\text{negative}} = \{I'_1, I'_2, \ldots, I'_n\}$. We then assign a binary label $y_i$ to each image $I_i$ in $C_{\text{positive}} \cup C_{\text{negative}}$:
$$y_i = \begin{cases}
0 & \text{if } I_i \in C_{\text{negative}}, \text{ i.e., flipped} \\
1 & \text{if } I_i \in C_{\text{positive}}, \text{ i.e., non-flipped}
\end{cases}$$
We train deep Convolutional Neural Nets (CNNs) with standard classification losses for this problem, because they are good at learning complex distribution of natural images [13]. Measuring a trained CNNs performance on a validation set provides insight on the visual chirality of data distribution we are investigating on.
Next we discuss details on training such a network and the techniques we use to discover the sources of visual chirality of the data distribution using a trained model as a proxy.
**Network architecture.** We adopt a ResNet network [8], a widely used deep architecture for image classification tasks. In particular, we use ResNet-50 and replace the last average pooling layer of the network with a global average pooling layer [16] in order to support variable input sizes.
**Optimization.** We train the network in a mini-batch setting using a binary cross-entropy loss. We optionally apply random cropping, and discuss the implications of such data augmentation below. We normalize pixel values by per-channel mean-subtraction and dividing by the standard deviation. We use a stochastic gradient descent optimizer [1] with momentum 0.9 and $L_2$ weight decay of $10^{-5}$.
**Hyperparameter selection.** Finding a suitable learning rate is important for this task. We perform a grid search in the log domain and select the best learning rate for each experiment by cross-validation.
**Shared-batch training.** During training, we include both $I_i$ and $I'_i$ (i.e., positive and negative chirality versions of the same image) in the same mini-batch. We observe significant improvements in model performance using this approach, in alignment with prior self-supervised learning methods [5].
**Discovering sources of visual chirality.** If a trained model is able to predict whether an image is flipped or not with high accuracy, it must be using a reliable set of visual features from the input image for this task. We consider those cues as the source of visual chirality in the data distribution.
We use Class Activation Maps (CAM) [26] as a powerful tool to visualize those discriminative regions from a trained model. Locations with higher activation values in CAM make correspondingly larger contributions to predicting flipped images.
Throughout this paper, we visualize these activation maps as heatmaps using the Jet color scheme (red=higher activations, blue=lower activations). We only compute CAM heatmaps corresponding to an image’s correct label. Figure 2 shows examples of such class activation maps.
In the following sections, we analyze visual chirality discovered in different settings using the tools described above.
4. The chirality of image processing
When we first attempted to train our model to distinguish between images and their reflections, we quickly observed that the network would find ways to accomplish this task using low-level cues that appeared only loosely correlated with the image’s content. Furthermore, the strength of these cues seemed to vary a great deal with changes in how data was prepared. For example, Figure 4 shows two different CAM heatmaps for the same sample image. The left is derived from a network trained on resized data, and the right is derived from a network trained on random crops of the same data. Both maps identify a dark corner of the image as being discriminative, as well as part of the shirt on one of the image’s human subjects. However, these networks appear to disagree about the relative strength of the chiral cues in these regions. This result illustrates how the way we capture and process visual data—even down to the level of Bayer mosaics in cameras or JPEG compression—can have a significant impact on its chirality. In this section and the supplemental material we develop theoretical tools to help reason about that impact, and use this theory to predict what networks will learn in experiments.
4.1. Transformation commutativity
The key challenge of predicting how an imaging process will affect chirality is finding a way to reason about its behavior under minimal assumptions about the distribution to which it will be applied. For this, we consider what it means for an arbitrary imaging transformation $J$ to preserve the symmetry of a distribution $D$ (satisfying Equation 1) under a transformation $T$. There are two ways we can define this. The first is simply to say that if some symmetry exists in the distribution $D$ then the same symmetry should exist in $D_J$, the transformation of that distribution by $J$. The second is to say that if elements $x_a$ and $x_b$ are related by $x_b = Tx_a$, then this relationship should be preserved by $J$, meaning $Jx_b = TJx_a$. In our supplemental material we show that both definitions hold when $J$ commutes with $T$, and that the second definition does not hold when $J$ does not commute with $T$. With these observations, commutativity becomes a powerful tool for predicting how a given process $J$ can affect chirality.
4.2. Predicting chirality with commutativity
In our supplemental material we provide a detailed analysis of the commutativity of Bayer demosaicing, JPEG compression, demosaicing + JPEG compression, and all three of these again combined with random cropping. We then show that, in all six cases, our analysis of commutativity predicts the performance of a network trained from scratch to distinguish between random noise images and their reflection. These predictions also explain our observations in Figure 4. While the full details are presented in the supplemental material, some key highlights include:
- Demosaicing and JPEG compression are both individually chiral and chiral when combined.
- When random cropping is added to demosaicing or JPEG compression individually, they become achiral.
- When demosaicing, JPEG compression, and random cropping are all combined, the result is chiral.
This last conclusion is especially surprising—it implies that common image processing operations inside our cameras may leave a chiral imprint, i.e., that they imprint chiral cues that are imperceptible to people, but potentially detectable by neural networks, and that these features are robust to random cropping. Thus, these conclusions have implications on image forensics. For instance, our analysis gives us new theoretical and practical tools for determining if image content has been flipped, a common operation in image editing.
Finally, our analysis of how commutativity relates to the preservation of symmetries makes only very general assumptions about $J$, $T$, and $D$, making it applicable to more arbitrary symmetries. For example, Doersch et al. [2] found that when they used the relative position of different regions in an image as a signal for self-supervised learning, the networks would “cheat” by utilizing chromatic aberration for prediction. Identifying the relative position of image patches requires asymmetry with respect to image translation. Applied to their case, our analysis is able to predict that chromatic aberration, which does not commute with translation, can provide this asymmetry.
5. High-level visual chirality
While analysis of chiralities that arise in image processing have useful implications in forensics, we are also interested in understanding what kinds of high-level visual content (objects, object regions, etc.) reveals visual chirality, and whether we can discover these cues automatically. As described in Section 4, if we try to train a network from scratch, it invariably starts to pick up on uninterpretable, low-level image signals. Instead, we hypothesize that if we start with a ResNet network that has been pre-trained on ImageNet object classification, then it will have a familiarity with objects that will allow it to avoid picking up on low-level cues. Note, that such ImageNet-trained networks should not have features sensitive to specifically to chirality—indeed, as noted above, many ImageNet classifiers are trained using random horizontal flips as a form of data augmentation.
Data. What distribution of images do we use for training? We could try to sample from the space of all natural images. However, because we speculate that many chirality cues have to do with people, and with manmade objects and scenes, we start with images that feature people. In particular, we utilize the StreetStyle dataset of Matzen et al. [17], which consists of millions of images of people gathered from Instagram. For our work, we select a random subset of 700K images from StreetStyle, and refer to this as the Instagram dataset; example images are shown in Figures 1 and 5. We randomly sample 5K images as a test set $S_{\text{test}}$, and split the remaining images into training and validation sets with a ratio of 9:1 (unless otherwise stated, we use this same train/val/test split strategy for all experiments in this paper).
Training. We trained the chirality classification approach described in Section 3 on Instagram, starting from an ImageNet-pretrained model. As it turns out, the transformations applied to images before feeding them to a network are crucial to consider. Initially, we downsampled all input images bilinearly to a resolution of $512 \times 512$. A network so trained achieves a 92% accuracy on the Instagram test set, a surprising result given that determining whether an image has been flipped can be difficult even for humans.
As discussed above, it turns out that our networks were still picking up on traces left by low-level processing, such as boundary artifacts produced by JPEG encoding, as evidenced by CAM heatmaps that often fired near the corners of images. In addition to pre-training on ImageNet, we found that networks can be made more resistant to the most obvious such artifacts by performing random cropping of input images. In particular, we randomly crop a $512 \times 512$ window from the input images during training and testing (rather than simply resizing the images). A network trained in such a way still achieves a test accuracy to 80%, still a surprisingly high result.
Non-text cues. Examining the most confident classifications, we found that many involved text (e.g., on clothing or in the background), and that CAM heatmaps often predominantly focused on text regions. Indeed, text is such a strong signal for chirality that it seems to drown out other signals. This yields a useful insight: we may be able to leverage chirality to learn a text detector via self-supervision, for any language (so long as the writing is chiral, which is true for many if not all languages).
However, for the purpose of the current analysis, we wish to discover non-text chiral cues as well. To make it easier to identify such cues, we ran an automatic text detector [25] on Instagram, split it into text and no-text subsets, and then randomly sampled the no-text subset to form new training and text set. On the no-text subset, chirality classification accuracy drops from 80% to 74%—lower, but still well above chance.
Generalization. Perhaps our classifier learns features specific to Instagram images. To test this, Table 1 (last column) shows the evaluation accuracy of all models (without fine-tuning) on another dataset of Internet photos, a randomly selected subset of photos from Flickr100M [22]. Note that there is a significant domain gap between Instagram and Flickr100M, in that images in our Instagram dataset all contain people, whereas Flickr100M features more general content (landscapes, macro shots, etc.) in addition to people. While the performance on Flickr100M is naturally lower than on Instagram, our Instagram-trained models still perform above chance rates, with an accuracy of 55% (or 59% if text is considered), suggesting that our learned chiral features can generalize to new distributions of photos.
5.1. Revealing object-level chiral features
Inspecting the CAM heatmaps derived from our non-text-trained Instagram model reveals a network that focuses on a coherent set of local regions, such as smart phones and shirt pockets, across different photos. To further understand
Figure 5. Chiral clusters discovered in the Instagram dataset. Each row shows selected images from a single discovered cluster. Each image is shown with its corresponding CAM heatmap superimposed, where red regions are highly correlated with its true chirality. We discover a range of object-level chiral clusters, such as cellphones, watches, and shirts.
what the network has learned, we develop a way to group the images, as well as their CAM heatmaps, to determine which cues are most common and salient. Inspired by work on mid-level discriminative patch mining [3, 21, 14, 18], we propose a method built upon CAM that we call \textit{chiral feature clustering}, which automatically groups images based on the similarity of features extracted by the network, in regions deemed salient by CAM.
\textbf{Chiral feature clustering.} First, we extract the most discriminative local chiral feature from each image to use as input to our clustering stage. To do so, we consider the feature maps that are output from the last convolutional layer of our network. As is typical of CNNs, these features are maps with low spatial resolution, but with high channel dimensionality (e.g., 2048).
Given an input image, let us denote the output of this last convolutional layer as $f$, which in our case is a feature map of dimensions $16 \times 16 \times 2048$ ($w \times h \times c$). Let $f(x, y)$ denote the 2048-D vector at location $(x, y)$ of $f$. We apply CAM, using the correct chirality label for the image, to obtain a $16 \times 16$ weight activation map $A$. Recall that the higher the value of $A(x, y)$, the higher the contribution of the local region corresponding to $(x, y)$ to the prediction of the correct chirality label.
We then locate the spatial maxima of $A$, $(x^*, y^*) = \arg \max_{(x, y)} A(x, y)$ in each image. These correspond to points deemed maximally salient for the chirality task by the network. We extract $f(x^*, y^*)$ as a local feature vector describing this maximally chiral region. Running this procedure for each image yields a collection for feature vectors, on which we run $k$-means clustering.
\textbf{Results of chiral feature clustering.} We apply this clustering procedure to our no-text \textit{Instagram} test set, using $k = 500$ clusters. We observe that this method is surprisingly effective and identifies a number of intriguing object-level chiral cues in our datasets. We refer to these clusters as \textit{chiral clusters}. Examples of striking high-level chiral clusters are shown in Figure 5, and include phones (e.g., held in a specific way to take photos in a mirror), watches (typically worn on the left hand), shirt collars (shirts with buttoned collared typically button on a consistent side), shirt pockets, pants, and other objects.
Many of these discovered chiral clusters are highly interpretable. However, some clusters are difficult to understand. For instance, in the face cluster shown in the last row of Figure 5, the authors could not find obvious evidence of visual chirality, leading us to suspect that there may be subtle chirality cues in faces. We explore this possibility in Section 6. We also observe that some clusters focus on sharp edges in the image, leading us to suspect that some low-level image processing cues are being learned in spite of the ImageNet initialization and random cropping.
\section{Visual chirality in faces}
Inspired by our results on the Instagram dataset in Section 5, we now analyze chirality in face images. To do so, we use the FFHQ dataset [11] as the basis for learning. FFHQ is a recent dataset of 70K high-quality faces introduced in the context of training generative methods. We use 7\% of the images as a test set and the remaining images for training and validation. We train various models on FFHQ, first downsampling images to a resolution of $520 \times 520$, then randomly cropping to $512 \times 512$. We train a standard model starting from ImageNet pre-trained features. This model achieves an accuracy of 81\%, which is a promising indicator that our network can indeed learn to predict the chirality of faces with accuracy significantly better than chance.
However, perhaps there is some bias in FFHQ that leads to spurious chirality signals. For instance, since a face detector is used to create FFHQ, there is the possibility that the detector is biased, e.g., for left-facing faces vs. right-facing faces. To test this, we evaluate how well our FFHQ-trained model generalizes to other independent datasets. In particular, we evaluate this model (without fine-tuning) on another dataset, LFW, a standard face dataset [10]. We upsample the low-resolution images in LFW to $512 \times 512$ to match our input resolution. This yields an accuracy of 60\%—not as high as FFHQ, perhaps due to different distributions of faces, but still significantly better than chance.
To qualitatively explore the chirality cues the model has identified, we show a sample of chiral clusters derived from the FFHQ test set in Figure 6. We can see that the CAM heatmaps in each cluster focus on specific facial regions. Based on these cluster, we have identified some intriguing preliminary hypotheses about facial chirality:
\textbf{Hair part.} The first cluster in Figure 6 indicates a region around the part of the hair on the left side of the forehead. We conjecture that this could be due to bias in hair part direction. We manually inspected a subset of the FFHQ test set, and found that a majority of people pictured parted their hair from left to right (the ratio is $\sim 2:1$ for photos with visible hair part), indicating a bias for asymmetry in hair, possibly due to people preferentially using their dominant right hand to part their hair.
\textbf{Predominant gaze direction}, aka ocular dominance\footnote{https://en.wikipedia.org/wiki/Ocular\_dominance}. The second cluster cluster in Figure 6 highlights a region around the corner of the right eye. We conjectured that this may have to do with bias in gaze direction, possibly due to ocular dominance. We use gaze detection software\footnote{https://github.com/shaoanlu/GazeML-keras} to determine and compare the locations of the pupil in the left and right eyes. We found that indeed more than two thirds of people in portrait photographs gaze more towards the left.
Note that there are also other clusters left to be explained (for example the “beard” cluster, which may perhaps be due to males tending to use right hands to shave or groom their beard). Exploring such cues would make for interesting future work and perhaps reveal interesting asymmetries in our world.
7. Conclusion
We propose to discover visual chirality in image distributions using a self-supervised learning approach by predicting whether a photo is flipped or not, and by analyzing properties of transformations that yield chirality. We report various visual chirality cues identified using our tool on a variety of datasets such as Instagram photos and FFHQ face images. We also find that low-level chiral cues are likely pervasive in images, due to chiralities inherent in standard image processing pipelines. Our analysis has implications in data augmentation, self-supervised learning, and image forensics. Our results implies that visual chirality indeed exists in many vision datasets and such properties should be taken into account when developing real-world vision systems. However, our work suggests that it can also be used as a signal that can be leveraged in interesting new ways. For instance, since text is highly chiral, our work points to interesting future direction in utilizing chirality in a self-supervised way to learn to detect text in images in the wild. We hope that our work will also inspire further investigation into subtle biases imprinted our visual world.
Acknowledgements. This research was supported in part by the generosity of Eric and Wendy Schmidt by recommendation of the Schmidt Futures program.
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Visual Chirality—Supplemental Material:
Commutativity and the Chirality of Imaging Processes
Zhiqiu Lin\textsuperscript{1} \quad Jin Sun\textsuperscript{1,2} \quad Abe Davis\textsuperscript{1,2} \quad Noah Snavely\textsuperscript{1,2}
Cornell University\textsuperscript{1} \quad Cornell Tech\textsuperscript{2}
Abstract
In this document we examine the effect that an image operation can have on the symmetries of an image distribution. We show how an operation’s commutativity with a transformation can be used to predict how it will affect symmetries of a distribution with respect to that transformation. We then use this observation to analyze how operations such as Bayer demosaicing, JPEG compression, and random cropping, affect visual chirality, and show that our analysis accurately predicts the performance of deep networks trained on processed data.
1. Introduction
A key goal of our work on visual chirality is to understand how reflection changes what we can learn from image data. We can think of this change as the difference between two distributions: one representing the data, and the other representing its reflection. In our main paper, we examine this difference by training a network to distinguish between samples drawn from each distribution. However, most image data undergoes extensive processing before it even leaves a camera, and it is easy to imagine how such processing could introduce asymmetry that makes it trivial to distinguish between original images and their reflections. For example, if a camera were to watermark every image with an asymmetric pattern, then nearly any distribution of images it produced would be chiral, even if the content of every image (watermark aside) were perfectly symmetric. This leads to an important question: when can we attribute visual chirality to the visual world, and when might it instead be a consequence of how we process images? To help answer this, we develop a theory relating the preservation of symmetry in an image distribution to the commutativity of image processing operations with symmetry transformations.
We begin by reviewing different types of symmetry and how they relate to data augmentation and machine learning (Section 2). Next, in Section 3, we define what it means for an operation to preserve symmetry, and derive various relationships between the commutativity of such operations with a transformation, and whether they preserve symmetries with respect to that transformation. Then, based on the theory we developed in Section 3, we introduce a simple technique that uses a small number of representative samples from a distribution to quickly estimate whether an imaging operation may introduce visual chirality into that distribution (Section 4). In Section 5 we apply this technique to common digital image processing operations, including Bayer demosaicing and JPEG compression, to analyze the effect that they have on visual chirality and learning. Finally, in Section 6, we extends our analysis to consider random cropping and show how it can sometimes be used to make chiral operations achiral.
We say that an operation is chiral if it can map an achiral (symmetric) distribution of images to a chiral (asymmetric) one, and say that it is achiral if it preserves symmetry. Some concrete results of our analysis include showing that Bayer demosaicing and JPEG compression are each achiral for certain image sizes and chiral for others, and that when combined they are chiral for all image sizes. When either is combined with random cropping individually it becomes achiral. Finally, when demosaicing and JPEG compression are both applied in combination with random cropping, the resulting operation remains chiral.
Our theoretical and empirical results altogether suggest that nearly imperceptible chiral traces may be left in photos by non-commutative imaging pipelines, which has implications on self-supervised learning, image forensics, data augmentation, etc.
2. Symmetry
We begin by reviewing what it means for a distribution to be symmetric, and for that symmetry to be preserved under different transformations. From this we will derive a relationship between the commutativity of an operation with a transformation, and the preservation of symmetries under that transformation.
2.1. Terms & Definitions:
We first define the terms of our analysis abstractly and with minimal assumptions to keep our conclusions as general
as possible. We assume the following are given:
- A distribution \( D : \mathbb{R}^n \mapsto \mathbb{R} \) over some elements.
- A symmetry transformation \( T : \mathbb{R}^n \mapsto \mathbb{R}^n \), which we assume to be invertible and associative.
- A second (processing) transformation, \( J : \mathbb{R}^n \mapsto \mathbb{R}^n \), being applied to the domain of \( D \).
- A transformed distribution \( D_J : \mathbb{R}^n \mapsto \mathbb{R} \) obtained by applying \( J \) to the elements of \( D \):
\[
D_J(y) = \sum_{x \in J^{-1}(y)} D(x). \tag{1}
\]
These definitions intentionally omit assumptions that hold only in the specific case of analyzing visual chirality; for example, we do not assume that \( T \) is its own inverse, even though this holds for horizontal reflection. However, it is useful to remember how these abstract definitions apply to the concrete case of visual chirality, where \( D \) is a probability distribution over images, \( T \) is horizontal reflection, and \( J \) is some kind of image processing operation. \( D_J \) then describes the distribution associated with drawing images from \( D \) and subsequently applying \( J \) (i.e., the distribution of our training data if we apply \( J \) to every training image). So if \( X \) is a dataset of raw images that collectively approximate the distribution \( D \), and \( J \) is JPEG compression, then \( D_J \) is the distribution approximated by \( J(X) \), which we get by applying JPEG compression to every image in \( X \). The summation in Equation 1 accounts for the possibility that \( J \) is non-injective, in which case \( |J^{-1}(y)| \geq 1 \) (i.e., \( J \) maps multiple distinct inputs to the same output). This is true, for example, of any lossy compression like JPEG. In such cases, the probability of a transformed element \( y \) is a sum over the probabilities associated with all inputs that map to \( y \). For convenience, a summary of each term and its meaning in the context of visual chirality is also given in Table 1.
### 2.2. Symmetry of Elements & Distributions
It is important to distinguish what it means for an individual element to be symmetric, and what it means for that element to be symmetric under some distribution \( D \). We say that an element \( x \) is symmetric with respect to a transformation \( T \) if:
\[
x = Tx \tag{2}
\]
while symmetry with respect to \( T \) under some distribution \( D \) is defined by the condition:
\[
D(x) = D(Tx) \tag{3}
\]
Which makes the distribution \( D \) itself symmetric if and only if Equation 3 holds for all \( x \).
Importantly, Equation 3 can hold even when Equation 2 does not, meaning that asymmetric elements may still be symmetric under the distribution \( D \). In the context of computer vision, this happens when an image and its reflection are different (i.e., the image itself is not symmetric) but share the same probability under \( D \). On the other hand, as equivalence implies equivalence under a distribution, the symmetry of an individual element does imply symmetry under \( D \), making the symmetry of an element a sufficient but not necessary condition for symmetry under a distribution. This makes any distribution over exclusively symmetric elements trivially symmetric; however, using \( T \) to augment data drawn from such a distribution would not be especially useful, as \( T \) would map every element to itself.
### 3. Symmetry Preservation
In order to reason about asymmetry in visual content we need to understand how symmetry is affected by image processing. In particular, we need to know whether a processing transformation preserves symmetries in the original data. Without this knowledge, we cannot be certain whether asymmetries that we observe in images are properties of visual content, or of how that visual content was processed. Equations 2 and 3 describe two distinct types of symmetry: the first relates two elements, while the second relates the images of these elements in \( D \). If we consider the effect that an operation \( J \) will have on each type of symmetry, we arrive at two different notions of what it means for symmetry to be preserved. The first describes whether the symmetry of individual elements is preserved. It is defined by applying Equation 2 to both \( x \) and \( J(x) \):
\[
[x = Tx] \implies [J(x) = TJ(x)] \tag{4}
\]
The second type of symmetry preservation describes whether the symmetry of a distribution is preserved. It is defined by applying \( J \) to Equation 3:
\[
[D(x) = D(Tx)] \implies [D_J(x) = D_J(Tx)] \tag{5}
\]
Note that neither of Equations 4 and 5 implies the other. For example, \( J \) will trivially preserve element symmetry when applied to a domain that does not contain symmetric elements, but can easily break distribution symmetry. Likewise, we can break element symmetry while preserving distribution symmetry by permuting a uniform distribution of elements such that any symmetric element maps to a non-symmetric element.
### 3.1. Commutativity & Element Symmetry
Our first type of symmetry preservation describes whether elements that are symmetric with respect to \( T \) remain so after applying \( J \). We now show that this holds if and only
| Term | Definition | Meaning in Learning Applications |
|-----------------------------|-----------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------|
| A distribution $D$ | $D : \mathbb{R}^n \mapsto \mathbb{R}$ | The underlying distribution our training data is drawn from for some task. |
| A symmetry transformation $T$| $T : \mathbb{R}^n \mapsto \mathbb{R}^n$, is associative and invertible | E.g., horizontal reflection, or any other associative and invertible transformation to be used for data augmentation. |
| A processing transformation $J$ | $J : \mathbb{R}^n \mapsto \mathbb{R}^n$, does not have to be invertible | Some combination of image processing operations, e.g., demosaicing and/or JPEG compression. |
| A transformed distribution $D_J$ | $D_J(y) = \sum_{x \in J^{-1}(y)} D(x)$ | The distribution of training data after every element has been transformed by $J$. |
Table 1. Terms and definitions used in derivations.
if $J$ commutes with $T$ when applied to symmetric elements, meaning:
$$[x = Tx] \implies [J(Tx) = TJ(x)] \quad (6)$$
**Proposition 1.** $J$ will preserve the symmetry of elements with respect to $T$ (Equation 4) if and only if $T$ and $J$ commute on symmetric elements (Equation 6).
**Proof.** We start by showing that Equation 4 implies Equation 6. As equivalence implies equality under $J$, we have:
$$[x = Tx] \implies [J(x) = J(Tx)] \quad (7)$$
And combining the right sides of Equations 4 and 7 gives us Equation 6. To show the other direction we start by applying $J$ to both sides of Equation 2 to get the right side of Equation 7. From here we use Equation 6 to commute $T$ and $J$ and get Equation 4. This concludes the proof. $\square$
Note this also means that, if $J(Tx) \neq TJ(x)$, then $J$ must break the symmetry of $x$.
### 3.2. Commutativity & Element Mapping
Notice that Proposition 1 falls short of establishing general commutativity of $T$ and $J$; it only applies to elements that are symmetric with respect to $T$. However, we can derive a stronger relationship related to general commutativity by considering whether $J$ preserves the mapping of elements defined by $T$. To see this, note that $T$ defines a map from each element $x_a$ to another element $x_b$, where:
$$x_b = Tx_a \quad (8)$$
We can think of Equation 8 as relaxing Equation 2 to include asymmetric elements, for which $x_a \neq x_b$. We can then define the preservation of this mapping by $J$ as:
$$[x_b = Tx_a] \implies [J(x_b) = TJ(x_a)] \quad (9)$$
From here, we can derive a stronger claim related to general commutativity.
**Proposition 2.** $J$ preserves the mapping established by $T$ (Equation 9) if and only if $J$ commutes with $T$.
**Proof.** We start by showing that Equation 9 implies commutativity. As equivalence implies equality under $J$, we have:
$$[x_b = Tx_a] \implies [J(x_b) = J(Tx_a)] \quad (10)$$
And combining the right sides of Equations 9 and 10 gives us $TJ(x_a) = J(Tx_a)$. To show that commutativity implies Equation 9, we start by applying $J$ to both sides of Equation 8 to get the right side of Equation 10
$$[x_b = Tx_a] \implies [J(x_b) = J(Tx_a)] \quad (11)$$
From here we commute $T$ and $J$ on the right side to get Equation 9. This concludes the proof. $\square$
From this we can also conclude that if $J$ does not commute with $T$ then there must be some pair of elements $x_a$, $x_b$ such that Equation 9 does not hold.
### 3.3. The Symmetry of Distributions
We have shown that commutativity implies the preservation of element symmetry. Now we show that it also implies the preservation of distribution symmetry. This is a bit more complicated than the element case. Our approach, based on group theory, is to show that when $J$ commutes with $T$, $J$ maps between disjoint cyclic groups generated by $T$.
**Proposition 3.** If $J$ commutes with $T$ and a distribution $D$ is symmetric with respect to $T$, then the transformed distribution $D_J$ will also be symmetric with respect to $T$.
**Proof.** We first show that $J$ defines a mapping between disjoint cyclic subgroups. We then show that this map is a homomorphism, which we use to relate $D_J(x)$ to $D_J(T(x))$.
Since $T$ is associative and invertible, we can use it to partition our domain into disjoint cyclic subgroups $\langle x_i \rangle^T$ generated by $T$:
$$\langle x_i \rangle^T = \{..., T^{-1}x_i, x_i, Tx_i, T^2x_i, T^3x_i, ... \} \quad (12)$$
where the identity element \( x_i \) of each group can be chosen as any arbitrary element within the group. We refer to the set of such group generators as \( G_T \). The group operation \( \cdot \) can be thought of as a permutation of each specific cyclic group relative to its identity element:
\[
T^a x_i \cdot T^b x_i = T^{a+b} x_i
\]
(13)
As each such subgroup shares the same group operation and is closed under that operation, any two \( \langle x_i \rangle^T \) must either be equivalent or disjoint. The order \( |\langle x_i \rangle^T| \) of each subgroup depends on the symmetries of \( x_i \) with respect to \( T \). For example, if \( T \) is simple reflection about a particular axis then \( |\langle x_i \rangle^T| = 1 \) for images \( x_i \) that are symmetric about that axis, and \( |\langle x_i \rangle^T| = 2 \) for images that are asymmetric about that axis.
Now consider how \( J \) transforms each of the subgroups \( \langle x_i \rangle^T \):
\[
J \langle x_i \rangle^T = \{ ...JT^{-1}x_i, Jx_i, JTx_i, JT^2x_i, ... \}
\]
(14)
If \( J \) commutes with \( T \), we can rewrite the above as
\[
J \langle x_i \rangle^T = \{ ...T^{-1}Jx_i, Jx_i, TJx_i, T^2Jx_i, ... \}
\]
(15)
giving us
\[
J \langle x_i \rangle^T = \langle Jx_i \rangle^T
\]
(16)
This shows that \( J \) maps cyclic subgroups generated by \( T \) to cyclic subgroups that can be generated by \( T \).
Symmetry with respect to \( T \) can be restated as the condition that all elements within common cyclic subgroups generated by \( T \) share the same probability. In other words, for each cyclic subgroup \( \langle x_i \rangle^T \), all elements of the subgroup have the same probability under \( D \), i.e., all elements have probability \( D(x_i) \). It is therefore sufficient for us to show that the map \( J : \langle x_i \rangle^T \mapsto \langle Jx_i \rangle^T \) is a homomorphism, as the first isomorphism theorem ensures the same number of equal-probability elements from \( \langle x_i \rangle^T \) will map to each element of \( \langle Jx_i \rangle^T \).
Recall that a homomorphism \( h : G \mapsto H \) is defined by the relation \( h(u \cdot v) = h(u) \cdot h(v) \). It is simple to show that this holds for \( J \) and our cyclic subgroups when \( J \) commutes with \( T \):
\[
J(T^a x_i \cdot T^b x_i) = J(T^{a+b} x_i)
\]
\[
= T^{a+b} J(x_i)
\]
\[
= T^a J(x_i) \cdot T^b J(x_i)
\]
\[
= J(T^a x_i) \cdot J(T^b x_i)
\]
(17)
This is sufficient to prove our proposition. For completeness, we also reformulate \( D_J \) in terms of the cyclic subgroups \( \langle Jx_i \rangle^T \). We will use the notation \( 1_{\langle x_i \rangle^T} \) to denote an indicator distribution that maps every element of \( \langle x_i \rangle^T \) to 1, and every other element to 0. Note that any distribution we can represent as the weighted sum of \( 1_{\langle x_i \rangle^T} \) must preserve symmetry with respect to \( T \). We can express \( D \) as:
\[
D = \sum_{x_i \in G_T} D(x_i) \cdot 1_{\langle x_i \rangle^T}
\]
(18)
Now, using the first isomorphism theorem to account for the case where \( J \) is non-injective, we can combine Equation 1 and 18 to write \( D_J \) as
\[
D_J = \sum_i (|D(x_i)|/|\ker Jx_i|) \cdot 1_{\langle Jx_i \rangle^T}
\]
(19)
where \( \ker Jx_i \) is the kernel of \( J : \langle x_i \rangle^T \mapsto \langle Jx_i \rangle^T \).\(^1\) This concludes our proof.
\[\square\]
### 3.4. Permutated Commutativity
From Proposition 1 we can conclude that if \( J \) does not commute with \( T \) when applied to some symmetric element \( x \) then \( J(x) \) will not be symmetric with respect to \( T \) (this is also simple to prove independently). However, our proof of Proposition 3 is not bi-directional; we only show that commutativity implies distribution symmetry will be preserved. What, then, can we conclude about operations that do not commute with \( T \)?
The first thing to note is that non-commutativity does not imply that distribution symmetry will be broken. There are various ways for symmetry to be preserved even when \( J \) and \( T \) do not commute, but here we consider a case where groups of operations that do not commute with \( T \) individually combine to preserve distribution symmetry. For instance, imagine that given a training set of images drawn from a distribution \( D \), and that we generate a new training set by applying multiple random crops to each original image—we can think of each different crop offset \( j \) as a different transformation \( J_j \) applied to the original distribution, and the accumulation of all random crops to reflect a new, accumulated distribution. As such, this accumulation of transformed images is particularly relevant to computer vision, as it will help us explain an effect that random cropping can have on bias introduced by data augmentation.
We proved Proposition 3 by showing that \( J \) formed a homomorphism between cyclic subgroups \( \langle x_i \rangle^T \) and \( \langle Jx_i \rangle^T \). We now consider the case where \( D_J \) is the sum of multiple such homomorphisms \( J_j \), as would result from accumulating the results of multiple transformations \( J_j \):
\[
D_J(x) = \sum_j \sum_{x_i : J_j x_i = x} D(x_i)
\]
(20)
In this case, the sum of symmetric distributions is a symmetric distribution, which tells us that \( D_J \) will still be symmetric.
\(^1\)Recall that the kernel of a homomorphism \( J \), \( \ker J \), is the subset of elements that \( J \) maps to the identity element.
Now note that by permuting the elements on the right side of Equation 20, we can define a new set of transformations that sum to the same $D_J$, ensuring that symmetry remains preserved.
\[
\langle x_i \rangle^T = x_i, \quad T x_i, \quad T^2 x_i, \quad T^3 x_i, \quad \ldots
\]
\[
J_1 \langle x_i \rangle^T = J_1 x_i, \quad J_1 T x_i, \quad J_1 T^2 x_i, \quad J_1 T^3 x_i, \quad \ldots
\]
\[
J_2 \langle x_i \rangle^T = J_2 x_i, \quad J_2 T x_i, \quad J_2 T^2 x_i, \quad J_2 T^3 x_i, \quad \ldots
\]
\[
J_3 \langle x_i \rangle^T = J_3 x_i, \quad J_3 T x_i, \quad J_3 T^2 x_i, \quad J_3 T^3 x_i, \quad \ldots
\]
Figure 1. Permutated Commutativity. We can permute the elements on the right side of Equation 20 to define a set of processing transformations $J_j$ that may not commute with $T$, but in aggregate still sum to a symmetric distribution. These $J_j$ are characterized by a permuted commutativity relationship. In this example, that relationship is given by $T J_a = J_b T$, where $a = k \pmod{3}$ and $b = k + 1 \pmod{3}$.
This means that if we can find a permutation of $J_j$ such that the aggregated transformed distribution still maintain symmetric when $T J_a = J_b T$ for $a$ and $b$ are indices of a found permutation (Figure 1). This notion of permuted commutativity will lead to a definition of glide commutativity in section 6 concerning groups related by translation in 2D image plane.
4. Commutative Residuals
Propositions 2 and 3 establish a connection between the commutativity of two operations (a processing operation and a symmetry transformation), and the preservation of two kinds of symmetries. Notably, commutativity guarantees that the symmetry of a distribution under a transformation is preserved. How do we apply this finding in practice on a specific distribution of images and a specific processing operation?
It can be difficult to model complex processing operations like JPEG compression and Bayer demosaicing analytically, and it may be the case that such operations commute with a transformation when applied to certain inputs, and not when applied to others. Furthermore, the impact of non-commutativity is not binary: if we think of the asymmetries introduced by an operation as some signal indicating, for example, whether an image has been flipped, then it is useful to consider the magnitude of that signal relative to variations in the distribution that contains it. These concerns lead us to derive a numerical measure of commutativity that we can evaluate on representative samples of a distribution to gauge the strength of asymmetries introduced by an operation. We define $E_J(x)$, the commutative residual image of operation $J$ with respect to transformation $T$ on the image $x$, as follows:
\[
E_J(x) = J(T(x)) - T(J(x))
\]
(21)
We can get a rough measure of the commutativity between an imaging processing step and a transformation on some representative samples $x$ by looking at the value of $|E_J(x)|$, which we summarize by its average across all pixels, $\bar{e}_J(x)$. We refer to $\bar{e}_J(x)$ as a commutative residual. A commutative residual of 0 on a particular image $x$ means that $T$ and $J$ commute for that image, and a non-zero commutative residuals means that they do not commute for that image. As the derivations in Section 3 show, if the commutative residual is 0 for all elements of a distribution (i.e., the processing operation commutes with $T$), the symmetry will be preserved. If not, symmetries may be broken.
Commutative Residuals for Mirror Reflections. An alternative intuition of commutative residuals can be arrived at in the case where $T$ is its own inverse, as is true of mirror reflections. Consider the effect of $J$ on a distribution represented by a dataset with two elements, $D = \{x, T(x)\}$. This simple distribution is trivially symmetric, since $D$ is closed under $T$.
But what happens when we apply $J$? $D$ becomes $D_J = \{J(x), J(T(x))\}$, and we can measure the asymmetry of this new distribution by taking the difference between one element and the reflection of the other:
\[
J(T(x)) - T(J(x))
\]
(22)
which is precisely how we define the commutative residual image above. Figure 2 shows an example computation of a commutative residual image when $T$ is image flipping and $J$ is the composition of Bayer demosaicing and JPEG compression.
4.1. Evaluating the Chirality of Operations
We propose two methods to evaluate the chirality introduced to an originally achiral distribution $D$ by an operation $J$. The first approach, based on the theory we have derived about commutativity, is to evaluate the commutative residual with respect to $J$ on a small representative set of sample images. The second method, as described in the main paper in the context of analyzing real image datasets, is to train a neural network to empirically distinguish between flipped and unflipped images sampled from a much larger, symmetric dataset after transforming every image in that dataset by $J$. Since we are interested in demonstrating the possibility of introducing chirality through low-level imaging operators, we study image distributions that are originally symmetric to ensure that any learned chirality cues can be attributed solely to the effect of $J$.
Figure 2. **Example commutative residual image:** This figure illustrates the application of the commutative residual method to a natural image. Here $T$ is the horizontal reflection operation, and $J$ is the composition of Bayer demosaicing and JPEG compression. The image used above has a width of 100px. For better visualization of the imperceptible differences shown in the residual image, we scale the resulting residual by a factor of 10. Consistent with the results in Figure 4, the residual image is not zero (which would be all black), i.e., the commutative residual is non-zero.
Figure 3. **Example 8×8 Bayer pattern mosaic:** A typical Bayer filter mosaic consists of tiled 2×2 blocks of pixels with two green filters and one red and one blue filter. Note that a even-sized Bayer filter, like the one pictured, is asymmetric (mirror flipped version is not equal to itself), while an odd-sized version of this filter pattern would be symmetric.
5. Analysis of Demosaicing & JPEG Compression
With the theoretical tools derived in previous sections, we evaluate two standard imaging processes: Bayer demosaicing and JPEG compression. We analyze when these two operations (and their composition) will preserve existing symmetries in a distribution of images, and when they may break them. In real camera systems, Bayer demosaicing and JPEG compression are typically two operations in a much larger image signal processing pipeline. We analyze these two operations specifically because (a) they are ubiquitous and implemented in most cameras, and (b) they have interesting symmetry properties, as we will show below. We begin with a brief summary of these two operations.
**Bayer filters and demosaicing.** Many modern digital cameras (including cellphone cameras) capture color by means of a square grid of colored filters that lies atop of the grid of photosensors in the camera. An 8×8 example of such a color filter grid, known as a Bayer filter mosaic, is shown in Figure 3. In such cameras, each pixel’s sensor measures intensity for a single color channel (red, green, or blue), and so to produce a full color image at full resolution, we must interpolate each color channel such that each pixel ultimately has an R, G, and B value. This interpolation process is known as *demosaicing*. For our analysis we assume, as is typical, that a Bayer filter mosaic pattern consists of a tiled 2×2 element (GRBG in the case of Figure 3) and we consider the demosaicing method of Malvar [2].
The 8×8 Bayer filter mosaic in Figure 3 has interesting symmetry properties. The 8×8 pattern as a whole is asymmetric—flipping it horizontally will result in a red pixel in the upper-left corner, rather than a green pixel. The same is true for any even-sized Bayer filter mosaic. However, from the perspective of the center of any pixel, the pattern is locally symmetric. Moreover, if we imagine a 9×9 version of this mosaic (or indeed any odd-sized pattern), that mosaic would be symmetric.
**JPEG compression.** JPEG is one of the most common (lossy) image compression schemes. There are two main ways that JPEG compresses image data. First, it converts
images into the $Y'C_bC_r$ colorspace and downsamples the chroma channels ($C_b$ and $C_r$), typically by a factor of two. Then it splits each channel into a grid of $8 \times 8$ pixel blocks and computes the discrete cosine transform (DCT) of each block. In the luminance ($Y'$) channel, each block covers an $8 \times 8$ pixel region of the original image, while for the chroma channels, each block corresponds to a $16 \times 16$ pixel region in the original image, due to the $2 \times$ downsampling. Finally, the DCT of each block is strategically quantized to further compress the data at low perceptual cost.
For the purposes of our analysis, one noteworthy aspect of JPEG compression is that for images with dimensions that are not a multiple of 16, there will be boundary blocks that do not have a full $8 \times 8$ complement of pixels. These are handled specially by the JPEG algorithm, which can lead to breaking of symmetry for such images because the special boundary blocks are always at the right (and bottom) edges of the image, never at the left (and top) edges.
### 5.1. Commutative Residuals and Image Size
As an initial experiment, we generate a completely random image with random dimensions (i.e., choosing the width and height uniformly at random from some uniform distribution, and then selecting each value for each color channel at random from the range $[0, 255]$). Then we compute commutative residuals under the operations of (1) Bayer demosaicing (i.e., first synthetically generating a Bayer mosaic, then demosaicing it), (2) JPEG compression, and (3) the composition of these operations.
If we actually perform this experiment for randomly sized images, then under demosaicing, commutative residuals are nonzero about half of the time, and under JPEG compression, they are nonzero over 90% of the time. But if we sample over different image sizes more systematically, a pattern begins to emerge.
Figure 4 visualizes commutative residuals for random noise images as a function of image width and height for the three operations described above. We can see that demosaicing appears to commute with image flipping (and therefore preserve symmetries) for images with odd widths, while JPEG compression appears to preserve symmetries for image with widths that are divisible by 16. Finally and most notably, commutativity never seems to hold for the composition of demosaicing and JPEG compression for any width. We can explain this result by considering the geometry of Bayer patterns and JPEG block grids. Bayer patterns (Figure 3) have horizontal symmetry when reflected about any line centered on a pixel column, while the JPEG block grid, which consists of $8 \times 8$ blocks that correspond to $8 \times 8$ or $16 \times 16$ blocks of the original image, is horizontally symmetric only around grid lines, which rest between columns at 16-pixel intervals. A corollary is that the combination of demosaicing followed by JPEG compression can never be commutative with respect to flipping because these two imaging processes never have zero commutative residual for the same image width (since multiples of 16 are never odd).
The black-box analysis\(^2\) of commutative residuals shown in Figure 4 reveals the grid structures underlying these processing algorithms, and illustrates how each grid structure impacts preservation of symmetries. When the commutative residual for any transformation for a given image width is
---
\(^2\)All analysis and experiments in this and the next section are available in Python at [https://github.com/linzhigiu/digital_chirality](https://github.com/linzhigiu/digital_chirality).
zero, we know that this transformation preserves the symmetry of the original distribution with such width. Hence, a key result is that demosaicing followed by JPEG compression always yields asymmetric distributions for images of arbitrary widths and heights even when the input distribution of these images is symmetric. Since the combination of these two operations is very standard in imaging pipelines, we can expect results on synthetic data to apply to real images as well.
When the commutative residual is non-zero, we hypothesize that in practice symmetries will be broken, i.e., a non-commutative imaging process will make an originally achiral distribution chiral. To test this hypothesis, we trained deep neural networks on three synthetic achiral distributions of Gaussian noise images, corresponding to three different square images sizes: one with odd width \((99 \times 99)\), one with even width not divisible by 8 \((100 \times 100)\), and one that is a multiple of 16 \((112 \times 112)\). To generate a sample image from each distribution, for each pixel, we sample its color value from a per-channel Gaussian distribution. The mean of each color channel (in the range \([0, 1]\)) was set to \((0.6, 0.5, 0.9)\) (for red, green, and blue, respectively), and the standard deviation to \((0.3, 0.25, 0.4)\). We use per-channel means and standard deviations (rather than the same Gaussian distribution for all channels) to reduce the source of symmetries present other than symmetry with respect to \(T\). An example image from this distribution, before and after each processing step, is shown in Figure 5.
If we apply each processing operation to all images from these three distribution over three image sizes, our hypothesis predicts that the operations will either preserve or break achirality according to Table 2.
We train a binary chirality prediction (flip/no-flip) network using the same ResNet model as in the main paper (with randomly initialized weights) for each of these nine datasets (3 image sizes times 3 processing operations), with learning rates obtained from log-scale grid searches. As predicted by our hypothesis, trained network models can never achieve more than 50% test classification accuracy on processed distributions that our analysis suggests to be achiral (i.e., commutative residual is zero). And, intriguingly, our trained network models achieve near perfect classification accuracy on processed distributions resulting from non-commutative imaging processes. This experiment hence gives empirical evidence that non-commutativity of a processing operation strongly suggests a loss of achirality.
Note that this analysis assumes that we use the whole images after Bayer demosaicing and/or JPEG compression, i.e., no cropping. These results nicely mirror the situation of training networks on real images with no random cropping, as described in the main paper. Figure 6 shows that networks trained to classify chirality on resized (but not cropped) Instagram images often seem to focus on image evidence near boundaries (first row), which we hypothesis is due exactly to the kinds of chiral boundary artifacts discussed in this section in the context of JPEG compression. On the other hand, training with random cropping data augmentation yields networks that appear to focus on much more high-level features (second row). In the next section, we discuss the interaction of processing with random cropping (or image translation) and how the addition of random cropping can either make a chiral imaging process achiral, or can sometimes still introduce chirality.
| Imaging Operation | Image size |
|-------------------|------------|
| | 99 | 100 | 112 |
| Demosaicing | A | C | C |
| JPEG | C | C | A |
| Demosaicing+JPEG | C | C | C |
Table 2. Predicted chirality of three (initially achiral) Gaussian noise image distributions (corresponding to three different square image sizes) under each of three processing schemes. ‘C’ means chiral, and ‘A’ means achiral. Explanation: 99px images should remain achiral under demosaicing, since the images have odd size. 112px images should remain achiral under JPEG compression since they have size divisible by 16. Everything else becomes chiral as hypothesized. We verify this table empirically by training network models on the nine distributions resulting from these transformations.
Figure 6. Class Activation Maps (CAM) resulting from two preprocessing procedures used in training ImageNet-pretrained models on the chirality task: (top row) simple bilinear resizing and (bottom row) random cropping. Recall from the main paper that the CAM tends to fire on discriminative regions for classification. Note the heavy focus on edge and corner regions on bilinear resized images, likely due to edge artifacts caused by JPEG compression or demosaicing (or both). These artifacts disappear when random cropping is applied.
Figure 7. Glide Symmetry: Human footprints often exhibit glide symmetry. The infinitely repeating footprint pattern shown here is equivalent to the reflection of a shifted version of itself.
6. Random Cropping and Glide Symmetry
Because our analysis makes few assumptions about $T$, $J$ and $D$, we can apply it to other symmetries and data augmentation strategies used in computer vision. For example, translational invariance is a common and useful prior in images that is often applied to data through the use of random crops as a type of data augmentation. Here we consider how our theory can be used to understand the effect of random cropping on training.
6.1. Random Cropping as a Symmetry Transform
Doersch et al.\cite{doersch2015unsupervised} found that when they trained a network to predict the relative position of different regions in an image, it would sometimes “cheat by utilizing chromatic aberration for prediction. We can use our observation about commutativity to explain this behavior by considering a family of transformations in the 2D image plane. The self-supervision task used in Doersch et al. requires the network to distinguish between different translations, which is only possible when the following symmetry does not hold:
$$D(x) = D(T_v(x)), \quad (23)$$
where $T_v$ is translation by some vector $v \in \mathbb{R}^2$. Our commutativity analysis tells us that this symmetry can be broken by any $J$ that does not commute (or glide commute) with translation. This agrees with the findings of Doersch et al. that the network was able to “cheat” using artifacts caused by chromatic aberration, which is not translation-invariant, as its effect is spatially varying.
6.2. Random Cropping as an Image Operation
If we revisit our analysis of commutative residuals under an assumption of translation invariance, we can draw new conclusions about the chirality of demosaicing and JPEG compression. In particular, by incorporating translation invariance in the form of random cropping, we can change the chirality of these operations by creating the kind of permuted commutativity described in Section 3.4. In the case where permuted commutativity happens among groups related by translation, we call it glide-commutativity.
To test for glide-commutativity, we must look for the permutation pattern described in Section 3.4. To do this, we first define a way of phase-shifting $T(J(x))$ and $J(T(x))$. For this, we define $JT_{\phi}(x)$ and $TJ_{\phi}(x)$ as the process of:
1. Padding $x$ with a large, constant number of pixels on all sides.
2. Translating the padded image by $\phi$.
3. Applying $T$ then $J$ for $JT_\phi(x)$, or $J$ then $T$ for $TJ_\phi(x)$.
4. Translating by $T(-\phi)$.
5. Cropping out the previously padded pixels.
This has the effect of performing $J$ and $T$ as if the image had occurred at a translation of $\phi$ from its original position. For grid-based algorithms like demosaicing and JPEG compression, this effectively phase-shifts the grid structure used in the algorithm.
To test for glide-commutativity we simply look for some repeating pattern of zeros in residuals of the form:
$$E_J(x, \phi_1, \phi_2) = JT_{\phi_1}(x) - TJ_{\phi_2}(x)$$ \hspace{1cm} (24)
This pattern of zeros describes the permutation pattern described in Section 3.4. As the results in Figure 4 show, we verified that the vertical components of $\phi_1$ and $\phi_2$ do not matter. We therefore set them only to vary in the x dimension of the image. Figure 8 shows the residuals calculated for a range of phase shifts. We see that both demosaicing and JPEG compression appear to be glide-commutative due to the regular repeating pattern of zeros. However, the combination of demosaicing and JPEG compression does not appear to be glide-commutative, and we can see this is because zeros always occur at different phase shifts for each of the two operations.
6.3. Empirical chirality in the presence of random crops
The analysis from the previous section has simple implications (in terms of random cropping on images): (1) The distribution of random crops (while avoiding cropping from the boundary of 16 pixels) from an originally achiral distribution of images that has undergone either demosaicing or JPEG compression (but not both) should remain achiral. (2) On the other hand, surprisingly, random crops (avoiding a 16-pixel margin around the boundary in the cropped image) on that achiral distribution of images after both demosaicing and JPEG compression may likely become chiral.
To verify this analysis empirically, we again train ResNet models on the same achiral Gaussian distributions as introduced in Section 5.1. Specifically, we take random crops of size $(512, 512)$ from the center $(544, 544)$ of the $(576, 576)$ Gaussian noise images to avoid possible boundary effects from a 16-pixel margin. We train separate networks on each of the three output image distributions obtained from applying each of the three imaging operations (demosaicing, JPEG compression, and composition of demosaicing followed by JPEG compression) on the initial Gaussian noise image distribution. Note that, as before, we perform a log-scale grid search over learning rates.
The network training results show that neither demosaicing nor JPEG compression alone is sufficient to produce a chiral distribution under random cropping: models trained with such images fail to achieve more than 50% accuracy. This suggests that chirality is preserved when those operations are applied in isolation. But, as our theory predicts, when both operations are applied the image distribution becomes chiral: the trained network achieves 100% training and test accuracy. This supports our theoretical analysis of the glide-commutativity. Together, our analysis and empirical study suggest that chiral traces are left in photographs via the Bayer demosaicing and JPEG compression imaging processes.
7. Conclusion
In this document we have developed theory relating the preservation of symmetry by various operations to their commutativity with corresponding symmetry transformations. We proposed the commutative residual as a tool for analyzing symmetry preservation, and predicting how different operations will affect the results of deep learning. We also extend our theory to random cropping and show how to evaluate glide commutativity to detect permuted commutativity. Our theoretical analysis and empirical experiment suggest that when demosaicing and JPEG compression are applied together, achiral distributions can become chiral, which has implications on several areas, including self-supervised learning, image forensics, data augmentation.
References
[1] C. Doersch, A. Gupta, and A. A. Efros. Unsupervised visual representation learning by context prediction. ICCV, 2015.
[2] H. S. Malvar, L. wei He, and R. Cutler. High-quality linear interpolation for demosaicing of bayer-patterned color images. IEEE IntL Conf. on Acoustics, Speech, and Signal Processing, March 2004. |
Efficient multi-scale representation of visual objects using a biologically plausible spike-latency code and winner-take-all inhibition
Melani Sanchez-Garcia¹ · Tushar Chauhan²,³ · Benoit R. Cottereau³,⁴ · Michael Beyeler¹,⁵
Received: 30 November 2022 / Accepted: 10 February 2023
© The Author(s), under exclusive licence to Springer-Verlag GmbH Germany, part of Springer Nature 2023
Abstract
Deep neural networks have surpassed human performance in key visual challenges such as object recognition, but require a large amount of energy, computation, and memory. In contrast, spiking neural networks (SNNs) have the potential to improve both the efficiency and biological plausibility of object recognition systems. Here we present a SNN model that uses spike-latency coding and winner-take-all inhibition (WTA-I) to efficiently represent visual stimuli using multi-scale parallel processing. Mimicking neuronal response properties in early visual cortex, images were preprocessed with three different spatial frequency (SF) channels, before they were fed to a layer of spiking neurons whose synaptic weights were updated using spike-timing-dependent-plasticity. We investigate how the quality of the represented objects changes under different SF bands and WTA-I schemes. We demonstrate that a network of 200 spiking neurons tuned to three SFs can efficiently represent objects with as little as 15 spikes per neuron. Studying how core object recognition may be implemented using biologically plausible learning rules in SNNs may not only further our understanding of the brain, but also lead to novel and efficient artificial vision systems.
Keywords Spiking neural networks · Spike-timing-dependent-plasticity · Multi-scale processing · Spike-latency code · Winner-take-all inhibition
1 Introduction
Deep convolutional neural network (DCNNs) have been extremely successful in a wide range of computer vision applications, rivaling or exceeding human benchmark performance in key visual challenges such as object and face recognition (He et al. 2015; Sun et al. 2015; Jiang et al. 2022) or scene categorization (Stivaktakis et al. 2019). However, state-of-the-art DCNNs require too much energy, computation, and memory to be deployed on most computing devices and embedded systems (Goel et al. 2020). In contrast, the brain is masterful at representing real-world objects with a cascade of reflexive, largely feedforward computations (DiCarlo et al. 2012) that rapidly unfold over time (Ales et al. 2013; Cichy et al. 2016) and rely on an extremely sparse, efficient neural code (for a recent review see Beyeler et al. 2019). For example, in macaques, faces are processed in localized patches along the Superior Temporal Sulcus (STS), where cells detect distinct constellations of face parts (e.g., eyes, noses, mouths), and whole faces can be recognized from...
a linear combination of neural responses within these face patches (Chang and Tsao 2017; Majaj et al. 2015).
In recent years, spiking neural networks (SNNs) have emerged as a promising approach to improving the efficiency and biological plausibility of neural networks such as DCNNs, due to their potential for low power consumption, fast inference, event-driven processing, and asynchronous operation (Gerstner and Kistler 2002; Stuijt et al. 2021). To facilitate learning in such networks, new learning algorithms based on varying degrees of biological plausibility have also been developed recently. For instance, spike-timing-dependent plasticity (STDP) is an unsupervised learning rule that is observed in biological systems (Gq and Mm 1998; Caporale and Dan 2008; Falez et al. 2019) and that can be used to extract the most notable spike patterns (Feldman 2012; Brzosko et al. 2019; Hao et al. 2020) by adjusting the efficacy of synaptic connections based on the relative timing of presynaptic and postsynaptic spikes. Studying how object recognition may be implemented using biologically plausible learning rules in SNNs may not only further our understanding of the brain, but also lead to the development of energy efficient systems, implementable on neuromorphic hardware.
Here we present a SNN model that uses spike-latency coding (Chauhan et al. 2018, 2021) and winner-take-all inhibition (WTA-I) (Maass 2000) to efficiently represent visual stimuli using multi-scale parallel processing. Part of this work (Sanchez-Garcia et al. 2022) was previously presented at the CVPR’22 NeuroVision workshop\(^1\). Given an input image, stimuli were preprocessed with parallel spatial frequency (SF) channels mimicking the sensitivity of neurons in early visual cortex (De Valois et al. 1982a). The resulting combination of the SF channels was then fed to a layer of spiking neurons whose synaptic weights were updated using STDP (Gütig et al. 2003b). We show that STDP can learn efficient object representations from the MNIST (LeCun 1998), FASHION-MNIST (Xiao et al. 2017), CIFAR10 (Krizhevsky and Hinton 2009), and ORL (Samaria and Harter 1994) datasets. In addition, we investigate how the quality of the represented objects changes under different SF bands and WTA-I schemes. Remarkably, our network is able to represent objects with as little as 200 neurons and 15 spikes per neuron.
The rest of the paper is organized as follows: Sect. 2 briefly introduces some of the most recent related works. Section 3 explains the main framework and the model equations. Next, we report the results of a computational study in which we explored the quality of the represented objects and the sparsity trade-off for the different networks schemes (see Sect. 4). Finally, a brief Discussion summarizes the main results and gives some perspectives in Sect. 5.
### 2 Related work
Significant efforts have been expended in recent years to demonstrate the efficacy of SNNs with STDP in object recognition applications (Vigneron and Martinet 2020; Liu et al. 2020; Fu and Dong 2021). Previous studies have used STDP to extract visual features of low or intermediate complexity from images and without supervision. Yu et al. (2013) proposed a novel SNN with a supervised learning rule and temporal coding scheme to generate temporal spike patterns, which could be used to classify a subset of handwritten digits found in the MNIST database. Liu and Yue (2016) combined Gabor filter banks with rank-order coding and STDP to push the MNIST classification rate to 82%. Beyeler et al. (2013) achieved 92% on MNIST using a Calcium-based STDP learning rule, which was later surpassed by Diehl and Cook (2015) using standard STDP and lateral inhibition. Masquelier and Thorpe (2007) used the STDP rule in an asynchronous feedforward SNN that mimics the ventral visual pathway and showed the emergence of selectivity to intermediate-complexity visual features when the network was presented with natural images.
More recent articles designed a deep SNN, comprising several convolutional and pooling layers trainable with either standard STDP (Kheradpisheh et al. 2018) or reward-based STDP (Mozafari et al. 2019). Bing et al. (2019) used a supervised reward-modulated STDP learning rule to train two SNN-based sub-controllers on obstacle avoidance tasks. Zhou and Li (2022) proposed a SNN with STDP learning and first-spike coding to extract object features from Gabor filters and even-driven convolutions.
Studying how object recognition may be implemented using biologically plausible learning rules in SNNs may not only further our understanding of the brain, but also lead to new efficient artificial vision systems.
Numerous studies in visual neuroscience demonstrated the existence of multiple channels, or multiple receptive field (RF) sizes, in early visual cortex and their implications for the processing of the spatial frequency (SF) content of images during object recognition (Kauffmann et al. 2014; Ginsburg 1986; Field 1987; Tolhurst et al. 1992; Hughes et al. 1996). Because RFs of neuronal populations in the visual pathway vary in size, the responses of different subsets of neurons would constitute a neural representation at some particular scale, allowing us to represent visual scenes as a combination of SF channels (Campbell 1973).
Selectivity for SF is one of the fundamental and most thoroughly studied properties of visual neurons (Henriksson
---
\(^1\) [https://sites.google.com/uci.edu/neurovision2022](https://sites.google.com/uci.edu/neurovision2022)
et al. 2008; Shapley and Lennie 1985; De Valois et al. 1982b). The primary visual system processes low-level and high-level stimulus properties using inputs from the retina via the lateral geniculate nucleus (LGN). In the earliest stages of the visual pathway, the processing of different stimulus attributes occurs in a parallel fashion. This means that images are filtered by parallel, SF-selective channels (Enroth-Cugell and Robson 1966), which may converge in V1 (Nassi and Callaway 2009). The visual information from the LGN passes through V1 and multiple strategies might be used to transfer parallel input into multiple output streams.
3 Methods
3.1 Network architecture
The network architecture of our model is shown in Fig. 1. Inspired by Chauhan et al. (2018), our network consisted of an input layer corresponding to a simplified model of the LGN, followed by a layer of spiking neurons whose synaptic weights were updated using STDP. The LGN layer consisted of simulated firing-rate neurons with center-surround RFs, implemented using DoG filters which simulate the computations performed by the retinal ganglion cells and the LGN (Enroth-Cugell and Robson (1966); Derrington and Lennie (1982); further illustrated in Fig. 2). Based on Chauhan et al. (2018), the RF sizes were chosen to reflect the size of representative LGN center-surround cells. It is well known that the SFs of these neurons can differ by about a factor of 3. Some cells are therefore tuned to high SFs, while others are tuned to low SFs (Derrington et al. 1979). Here, we used the three following sizes of center-surround RFs: $0.375^\circ/0.75^\circ$ for low SF, $0.25^\circ/0.5^\circ$ for medium SF and $0.125^\circ/0.25^\circ$ for high SF (see Solomon et al., 2002). These values corresponded to the widths of the Gaussian used for the DoG filter.
The SF curves for the LGN images were thus fitted using a DoG model defined as follows:
\[
\text{LGN}_{ON} = \frac{1}{2\pi \sigma_{\text{center}}^2} e^{-\frac{\hat{x}^2}{2\sigma_{\text{center}}^2}} - \frac{1}{2\pi \sigma_{\text{surround}}^2} e^{-\frac{\hat{x}^2}{2\sigma_{\text{surround}}^2}}
\]
\[
\text{LGN}_{OFF} = -\frac{1}{2\pi \sigma_{\text{center}}^2} e^{-\frac{\hat{x}^2}{2\sigma_{\text{center}}^2}} + \frac{1}{2\pi \sigma_{\text{surround}}^2} e^{-\frac{\hat{x}^2}{2\sigma_{\text{surround}}^2}}
\]
where $\text{LGN}_{ON}$ and $\text{LGN}_{OFF}$ were the LGN maps, $\hat{x}$ was the input image, and $\sigma_{\text{center}}$ and $\sigma_{\text{surround}}$ were the center-surround standard deviations used for the SF scales. The outputs of these filters, respectively, led to low-scale, medium-scale and high-scale images which were subsequently added together and converted into spikes using an intensity-to-latency conversion (Delorme and Thorpe 2001). These spikes were transmitted to the V1 layer, which was composed of integrate-and-fire neurons fully connected to the outputs of the LGN (see Fig. 1). In addition to this multi-scale architecture, we also developed an approach based on lateral scales, which is detailed in Appendix 7.
### 3.2 Neuron model
The membrane potential $E_n(t)$ of the $n$-th V1 neuron at time $t$ within the iteration was given by:
$$E_n(t) = \begin{cases}
\sum_{m \in LGN} w_{mn} \cdot H(t - t_m), & t < \min_t \left\{ t \mid \max_{n \in V1} E_n(t) \geq \theta \right\} \\
0, & \text{otherwise}.
\end{cases} \tag{3}$$
where $t_m$ was the spike time of the $m$-th LGN neuron, $H$ was the Heaviside or unit step function, and $\theta$ was the threshold of the V1 neurons (assumed to be a constant shared by the entire population). The expression $\min_t \left\{ t \mid \max_{n \in V1} E_n(t) \geq \theta \right\}$ denoted the timing of the first spike in the V1 layer. Membrane potentials were calculated up to this point in time, after which a WTA-I scheme (Maass 2000) was triggered and all membrane potentials were reset to zero. In this scheme, the most frequently firing neuron exerted the strongest inhibition on its competitors and thereby stopped them from firing until the end of the iteration.
### 3.3 Spike-latency code
Following Chauhan et al. (2018), we converted the LGN activity maps to first-spike relative latencies using a simple inverse operation: $y = 1/x$, where $x$ was the LGN input and $y$ was the assigned spike-time latency. Any monotonically decreasing function would lead to equivalent results (i.e., where the most active units fire first, while units with lower activity fire later or not at all) (see (Masquelier and Thorpe 2007)). In this way, we ensured that the most active units fired first, while units with lower activity fired later or not at all.
### 3.4 Spike-timing-dependent-plasticity
The weights of plastic synapses connecting LGN and V1 were updated using multiplicative STDP, which is an unsupervised learning rule that modifies synaptic strength, $w$, as a function of the relative timing of pre- and postsynaptic spikes, $\Delta t$ (Gütig et al. 2003b). LTP ($\Delta t > 0$) and LTD ($\Delta t \leq 0$) were driven by their respective learning rates $\alpha^+$ and $\alpha^-$, leading to a weight change ($\Delta w$):
$$\Delta w = \begin{cases}
-\alpha^- \cdot w^{\mu^-} \cdot K(\Delta t, \tau_-), & \Delta t \leq 0 \\
\alpha^+ \cdot (1 - w)^{\mu^+} \cdot K(\Delta t, \tau_+), & \Delta t > 0,
\end{cases} \tag{4}$$
where $\alpha^+ = 5 \times 10^{-3}$ and $\alpha^- = 3.75 \times 10^{-3}$, $K(\Delta t, \tau) = e^{-|\Delta t|/\tau}$ was a temporal windowing filter, and $\mu^+ = 0.65$ and $\mu^- = 0.05$ were constants $\in [0, 1]$ that defined the non-linearity of the LTP and LTD process, respectively. STDP has...
the effect of concentrating high synaptic weights on afferents that systematically fire early, thereby decreasing postsynaptic spike latencies for these connections.
In this implementation, computation speed greatly increased by making the windowing filter $K$ infinitely wide, which is equivalent to assuming $\tau_\pm \to \infty$ or $K = 1$ (Gütig et al. 2003a). A ratio $\alpha^+/\alpha^- = 4/3$ was chosen based on previous experiments that demonstrated network stability (Masquelier and Thorpe 2007). Also, Chauhan et al. (2018) showed that the results were robust to variations of this ratio. The threshold of the V1 neurons was fixed through trial and error at $\theta = 20$. This value was unmodified for all experiments.
Initial weight values were sampled from a random uniform distribution between 0 and 1. After each iteration, the synaptic weights for the first V1 neuron to fire were updated using STDP (Eq. 4), and the membrane potentials of all the other neurons in the V1 population were reset to zero. The STDP rule was active only during the training phase.
### 3.5 Winner-take-all inhibition
We used a hard WTA-I scheme such that, if any V1 neuron fired during a certain iteration, it simultaneously prevented other neurons from firing until the next sample (Maass 2000). This scheme computes a function $\text{WTA-I}_n : \mathbb{R}^n \to \{0, 1\}^n$ whose output $(y_1, \ldots, y_n) = \text{WTA-I}_n(x_1, \ldots, x_n)$ satisfied:
$$y_i = \begin{cases}
1, & \text{if } x_i > x_j \text{ for all } j \neq i \\
0, & \text{otherwise.}
\end{cases}$$
For a given set of $n$ different inputs $x_1, \ldots, x_n$, a hard WTA-I scheme would thus yield a single output $y_i$ with value 1 (corresponding to the neuron that received the largest
Fig. 4 Multi-scale network. (a) Reconstruction error (MSE) of test set. (b) Spike count per neuron: number of spikes fired by an active neuron. (c) Lifetime sparsity: active stimuli during the lifetime of a neuron. (d) Population sparsity: neurons active at any point in time. Mean responses and standard deviation grouped by type of network (low-scale, medium-scale, high-scale and multi-scale). Error bars have been averaged across neurons for lifetime sparsity and averaged across images for population sparsity. *** = $p < .001$; ** = $p < .01$; * = $p < .05$; ns = $p > .05$. All t tests paired samples, two-tailed.
where $\psi_j$ was the RF of the $j$-th LGN afferent, and $w_{ij}$ was the weight of the synapse connecting the $j$-th afferent to the $i$-th V1 neuron.
Stimuli $k$ were then linearly reconstructed from the V1 population activity:
$$OR_k = \sum_{j \in V1} r_{kj} \xi_j,$$
(7)
where $r_{kj}$ was the response of the $j$-th V1 neuron to the $k$-th image and $\xi_j$ was its activity map. Reconstruction error for an image $k$ was calculated as the pixel-wise mean square error (MSE) between the LGN ($LGN_k$) and the V1 activity maps $OR_k$.
3.6 Stimulus reconstruction
The activity map $\xi_j$ of the $i$-th V1 neuron was estimated as follows:
$$\xi_j \approx \sum_{j \in LGN} w_{ij} \psi_j,$$
(6)
### Table 1 Global results for type of networks
| Dataset | Network | RE (MSE) | RE (SSIM) | SC | LS | PS |
|-------------|---------------|-------------------|-------------------|-----------|-----------|-----------|
| ORL | Low-scale | $4.54e-2 \pm 8.40e-3$ | $0.70 \pm 0.19$ | $21.4 \pm 1.08$ | $\textbf{3282.5} \pm \textbf{1525.4}$ | $84.0 \pm 11.97$ |
| | Medium-scale | $4.54e-2 \pm 8.43e-3$ | $0.70 \pm 0.12$ | $24.5 \pm 1.48$ | $5404.5 \pm 704.3$ | $108.8 \pm 18.32$ |
| | High-scale | $4.30e-2 \pm 3.99e-3$ | $0.73 \pm 0.14$ | $27.2 \pm 1.72$ | $3732.7 \pm 559.5$ | $\textbf{78.0} \pm \textbf{9.24}$ |
| | Multi-scale | $\textbf{2.91e-2} \pm \textbf{6.07e-3}$ | $\textbf{0.76} \pm \textbf{0.09}$ | $\textbf{19.5} \pm \textbf{1.78}$ | $7320 \pm 847.0$ | $169.4 \pm 11.7$ |
| MNIST | Low-scale | $1.81e-2 \pm 4.53e-3$ | $0.83 \pm 0.07$ | $10.8 \pm 0.77$ | $\textbf{1483.7} \pm \textbf{695.0}$ | $\textbf{26.6} \pm \textbf{11.9}$ |
| | Medium-scale | $2.07e-2 \pm 1.29e-2$ | $0.79 \pm 0.06$ | $11.9 \pm 0.78$ | $3788.0 \pm 103.2$ | $70.6 \pm 5.14$ |
| | High-scale | $1.51e-2 \pm 4.84e-3$ | $0.86 \pm 0.04$ | $15.1 \pm 0.81$ | $2386.7 \pm 295.9$ | $40.9 \pm 3.31$ |
| | Multi-scale | $\textbf{1.16e-2} \pm \textbf{3.77e-3}$ | $\textbf{0.89} \pm \textbf{0.05}$ | $\textbf{10.0} \pm \textbf{0.79}$ | $4500.1 \pm 782.7$ | $95.0 \pm 19.9$ |
| FASHION-MNIST | Low-scale | $1.49e-2 \pm 5.99e-3$ | $0.62 \pm 0.10$ | $19.0 \pm 1.07$ | $\textbf{2037.5} \pm \textbf{735.4}$ | $\textbf{42.1} \pm \textbf{19.8}$ |
| | Medium-scale | $1.37e-2 \pm 6.87e-3$ | $0.62 \pm 0.05$ | $19.3 \pm 1.39$ | $3822.9 \pm 493.8$ | $73.5 \pm 11.12$ |
| | High-scale | $1.90e-2 \pm 6.17e-3$ | $0.60 \pm 0.13$ | $18.0 \pm 1.38$ | $3201.8 \pm 591.0$ | $50.1 \pm 10.39$ |
| | Multi-scale | $\textbf{9.34e-3} \pm \textbf{5.15e-3}$ | $\textbf{0.69} \pm \textbf{0.12}$ | $\textbf{13.6} \pm \textbf{1.76}$ | $6105.0 \pm 907.9$ | $102.5 \pm 25.2$ |
| CIFAR10 | Low-scale | $3.10e-2 \pm 6.66e-3$ | $0.73 \pm 0.16$ | $22.8 \pm 1.72$ | $4179.9 \pm 795.7$ | $85.5 \pm 3.29$ |
| | Medium-scale | $\textbf{2.13e-2} \pm \textbf{3.43e-3}$ | $\textbf{0.82} \pm \textbf{0.09}$ | $21.3 \pm 1.40$ | $\textbf{3542.4} \pm \textbf{693.9}$ | $\textbf{75.0} \pm \textbf{11.18}$ |
| | High-scale | $3.07e-2 \pm 6.61e-3$ | $0.75 \pm 0.15$ | $24.0 \pm 1.75$ | $3692.9 \pm 1006.7$ | $83.2 \pm 8.32$ |
| | Multi-scale | $2.15e-2 \pm 8.22e-3$ | $0.80 \pm 0.13$ | $\textbf{19.5} \pm \textbf{1.06}$ | $8599.5 \pm 830.7$ | $161.5 \pm 10.8$ |
Comparison of mean responses and standard deviation grouped by type of network and dataset. Best performing networks in each box are highlighted in italics.
### 3.7 Sparsity
We computed a sparsity metric for the population activity in the network schemes according to the definition of sparsity by Vinje and Gallant (2000). On average, we measured how many neurons were activated by any given stimulus (population sparsity) and for all active neurons, how many stimuli any given neuron responded to (lifetime sparsity), as can be seen in Eq. 8).
\[
\text{sparsity} = \left( 1 - \frac{1}{N} \left( \frac{\sum_{n=1}^{N} r_i^2}{\sum_{n=1}^{N} r_i^2} \right)^2 \right) / \left( 1 - \frac{1}{N} \right),
\]
For population sparsity, \( r_i \) was the response of the \( i \)-th neuron to a particular stimulus, and \( N \) was the number of model neurons. For lifetime sparsity, \( r_i \) was the response of a neuron to the \( i \)-th stimulus, and \( N \) was the number of stimuli. Population sparsity was averaged across stimuli, and lifetime sparsity was averaged across neurons (Beyeler et al. 2016). We also calculated the average number of spikes per stimulus.
### 3.8 Dataset
To demonstrate the generality of our approach, we assessed the ability of our SNN network to represent visual stimuli from the MNIST (LeCun 1998), FASHION-MNIST (Xiao et al. 2017), CIFAR10 (Krizhevsky and Hinton 2009) and ORL (Samaria and Harter 1994) datasets. MNIST is a dataset of handwritten digits and consists of 60,000 training patterns and 10,000 test patterns. FASHION-MNIST is a dataset of Zalando article images consisting of a training set of 60,000 examples and a test set of 10,000 examples. Each example of both, MNIST and FASHION-MNIST, is a 28 × 28 grayscale image, associated with a label from 10 classes. The CIFAR10 database consists of 60,000 32 × 32 color images in 10 classes, with 6000 images per class. There are 50,000 training images and 10,000 test images. The ORL database of faces contains 400 images from 40 distinct subjects. The size of each image is 92 × 112 pixels, with 256 gray levels per pixel.
We enlarged images from the CIFAR10 and ORL database using data augmentation with different orientations of the original images to match the data size with MNIST and FASHION-MNIST datasets.
### 3.9 Statistical analysis
Data were analyzed using two-way ANOVA and post hoc test with Tukey’s method to evaluate simultaneously the effect of the two grouping variables (Dataset and Networks/WTA-I schemes/V1 neurons) on the following response variables: reconstruction error (RE), spike count/neuron (SC), lifetime sparsity (LS), population sparsity (PS), and recognition time with \( * * * = p < .001; ** = p < .01; * = p < .05 \) and \( ns = p \geq .05 \). For the reconstruction error, we have used the mean squared error (MSE) which is the most widely used metric reference and the Structured Similarity Indexing Method (SSIM) which compare the structural and...
Fig. 5 Representative object representation (OR) examples using low-scale, medium-scale, high-scale and multi-scale networks (columns). The number below each image indicates the reconstruction error (MSE) for that particular image. The black frame highlights the image with the smallest error.
Fig. 6 V1 neurons. (a) Reconstruction error (MSE) of test set using different number of V1 neurons: 100, 200, 400 and 600. (b) Spike count per neuron: number of spikes fired by an active neuron. (c) Lifetime sparsity: active stimuli during the lifetime of a neuron. (d) Population sparsity: neurons active at any point in time. Mean responses and standard deviation grouped by type of network architecture (low-scale, medium-scale, high-scale and multi-scale). Error bars have been averaged across neurons for lifetime sparsity and averaged across images for population sparsity.
feature similarity measures between reconstructed and original images on the basis of perception.
4 Results
4.1 Object representation using multi-scale network
The performance using a single-scale (i.e., low-scale, medium-scale, or high-scale networks) and multi-scale network is summarized in Fig. 4. The results show the reconstruction error, lifetime sparsity, population sparsity and spike count per neuron (mean ± standard deviation) achieved on the test sets for all databases (see Table 1). The reconstruction error for the four networks (low-scale, medium-scale, high-scale and multi-scale) is shown in Fig. 4a. We found similarity between the reconstruction errors of the three single networks (low-, medium- and high-scale) for all datasets, with some slight discrepancy in the more complex CIFAR10 and ORL datasets. Interestingly, the use of multi-scale manages to further reduce the reconstruction error, being the same trend for all datasets. We also performed a test to determine if the mean difference between networks are statically significant using two-tailed test with a significant level $\alpha = 0.05$. The analysis of the average reconstruction error reveals a significant difference between networks (low-/multi-scale, medium-/multi-scale and high-/multi-scale). Examples of object representations for all datasets can be found in Fig. 5.
Figure 4b shows the number of spikes per neuron needed for object representation. The number of spikes needed to represent an object decreased with the Multi-scale scheme compared to low-, medium- and high-scale networks. On the other hand, we found that the CIFAR10 and ORL dataset, which we considered two of the most complex of the four datasets, needed the highest number of spikes per neuron for all networks.
Table 2 Global results for V1 neurons
| Dataset | V1 neurons | RE (MSE) | RE (SSIM) | SC | LS | PS |
|-------------|------------|----------------|----------------|-------------|-------------|-------------|
| ORL | 100 | $3.73e^{-2} \pm 7.09e^{-3}$ | $0.76 \pm 0.04$ | $12.4 \pm 1.7$ | $4092.1 \pm 1058.3$ | $58.7 \pm 14.9$ |
| | 200 | $\mathbf{2.91e^{-2} \pm 6.07e^{-3}}$ | $\mathbf{0.76 \pm 0.09}$ | $19.5 \pm 1.78$ | $7320 \pm 847.0$ | $169.4 \pm 11.7$ |
| | 400 | $3.90e^{-2} \pm 7.90e^{-3}$ | $0.73 \pm 0.02$ | $75.5 \pm 8.8$ | $7769.2 \pm 1151.9$ | $370.5 \pm 9.0$ |
| | 600 | $4.17e^{-2} \pm 7.70e^{-3}$ | $0.73 \pm 0.08$ | $120.4 \pm 12.5$ | $8288.6 \pm 828.0$ | $513.7 \pm 45.3$ |
| MNIST | 100 | $2.62e^{-2} \pm 8.61e^{-3}$ | $0.87 \pm 0.08$ | $10.3 \pm 0.8$ | $3667.8 \pm 718.3$ | $35.2 \pm 9.3$ |
| | 200 | $\mathbf{1.16e^{-2} \pm 3.77e^{-3}}$ | $\mathbf{0.89 \pm 0.05}$ | $\mathbf{10.0 \pm 0.79}$ | $4500.1 \pm 782.7$ | $95 \pm 19.9$ |
| | 400 | $2.94e^{-2} \pm 7.72e^{-3}$ | $0.86 \pm 0.05$ | $59.7 \pm 13.1$ | $5719.3 \pm 1568.7$ | $206.2 \pm 9.3$ |
| | 600 | $3.47e^{-2} \pm 8.29e^{-3}$ | $0.82 \pm 0.09$ | $101.8 \pm 13.4$ | $6379.4 \pm 388.3$ | $445.4 \pm 38.7$ |
| FASHION-MNIST | 100 | $2.56e^{-2} \pm 4.38e^{-3}$ | $0.67 \pm 0.012$ | $9.9 \pm 1.5$ | $3893.7 \pm 694.5$ | $43.1 \pm 10.2$ |
| | 200 | $\mathbf{9.34e^{-3} \pm 5.15e^{-3}}$ | $\mathbf{0.69 \pm 0.12}$ | $13.6 \pm 1.76$ | $6105.0 \pm 907.9$ | $102.5 \pm 25.2$ |
| | 400 | $2.78e^{-2} \pm 4.48e^{-3}$ | $0.68 \pm 0.16$ | $53.4 \pm 11.9$ | $6251.3 \pm 979.1$ | $216.7 \pm 31.8$ |
| | 600 | $3.09e^{-2} \pm 5.45e^{-3}$ | $0.66 \pm 0.11$ | $87.8 \pm 13.3$ | $6585.8 \pm 279.6$ | $486.5 \pm 37.1$ |
| CIFAR10 | 100 | $3.15e^{-2} \pm 9.37e^{-3}$ | $0.79 \pm 0.09$ | $11.1 \pm 1.4$ | $4374.1 \pm 1173.1$ | $61.2 \pm 18.3$ |
| | 200 | $\mathbf{2.15e^{-2} \pm 8.22e^{-3}}$ | $\mathbf{0.80 \pm 0.13}$ | $19.5 \pm 1.06$ | $8599.5 \pm 830.7$ | $161.5 \pm 10.8$ |
| | 400 | $3.71e^{-2} \pm 7.60e^{-3}$ | $0.79 \pm 0.08$ | $70.3 \pm 12.3$ | $6498.8 \pm 1005.8$ | $354.0 \pm 29.2$ |
| | 600 | $4.37e^{-2} \pm 1.01e^{-2}$ | $0.75 \pm 0.05$ | $126.1 \pm 12.1$ | $8404.8 \pm 876.3$ | $498.3 \pm 41.8$ |
Comparison of mean responses and standard deviation grouped by type of V1 neurons and dataset. Best performance in each cell is highlighted in italics.
Fig. 7 Object representation with Multi-scale network varying the number of V1 neurons: 100, 200, 400 and 600 neurons. The number below each image indicates the reconstruction error (MSE) for that particular image. The black frame highlights the image with the smallest error.
Figure 4c shows the number of distinct stimuli the neuron responds to during the lifetime of a neuron. The multi-scale network showed a higher number of active stimuli for all datasets compared to the single networks. Moreover, we found significant differences between the networks, being more significant for medium-/multi-scale and high-/multi-scale. The same trend was found for the population sparsity, where the multi-scale presented more active neurons than the low-, medium- and high-scale networks and significant differences were found between them (see Fig. 4d).
4.2 Object representation using multi-scale network with varying number of V1 neurons
Figure 6a shows the reconstruction error after training for the test set using different numbers of V1 neurons (see Table 2). We found that the reconstruction error went through a minimum (at roughly 200 V1 neurons) for all databases, which is consistent with the bias-variance dilemma (Beyeler et al. 2019). It seems that using a larger number of neurons with our multi-scale network leads to overfitting and a less sharp reconstruction, as can be seen in Fig. 7.
In addition, the number of neurons needed to represent an object increased with the number of V1 neurons, nearly tripling the spikes from 200 to 400 neurons and quintupling from 200 to 600 (Fig. 6c). Increasing the V1 population beyond 200 neurons did therefore not lead to any visible benefits in reconstruction error (Fig. 7). We therefore limited our V1 population to 200 neurons for all subsequent simulations and analyses.
4.3 Object representation using soft WTA-I schemes
We also tested object representation using various soft WTA-I schemes, where we varied the number of V1 neurons allowed to be active for each training image (see Fig. 8). Figure 8a shows the reconstruction error on the test set across the range of possible WTA-I schemes, ranging from hard (where
Table 3 Global results for WTA-I schemes
| Dataset | WTA-I-1 | RE (MSE) | RE (SSIM) | SC | LS | PS |
|-------------|---------------|---------------|---------------|-------------|-------------|-------------|
| ORL | | | | | | |
| WTA-I-1 | $2.91e^{-2} \pm 6.07e^{-3}$ | $0.76 \pm 0.09$ | $19.5 \pm 1.8$ | $7320.0 \pm 847.0$ | $169.4 \pm 11.7$ |
| WTA-I-10 | $3.06e^{-2} \pm 6.19e^{-3}$ | $0.76 \pm 0.15$ | $19.2 \pm 1.8$ | $7461.8 \pm 745.6$ | $169.5 \pm 12.1$ |
| WTA-I-50 | $3.48e^{-2} \pm 6.48e^{-3}$ | $0.72 \pm 0.12$ | $31.7 \pm 1.8$ | $6254.8 \pm 716.5$ | $124.7 \pm 27.3$ |
| WTA-I-100 | $3.90e^{-2} \pm 6.10e^{-3}$ | $0.70 \pm 0.09$ | $72.2 \pm 4.2$ | $8643.1 \pm 517.1$ | $134.3 \pm 29.9$ |
| WTA-I-200 | $4.16e^{-2} \pm 4.90e^{-3}$ | $0.70 \pm 0.12$ | $90.1 \pm 11.6$ | $8107.6 \pm 405.9$ | $134.9 \pm 3.13$ |
| MNIST | | | | | | |
| WTA-I-1 | $1.16e^{-2} \pm 3.77e^{-3}$ | $0.89 \pm 0.05$ | $10.0 \pm 0.8$ | $4500.1 \pm 782.7$ | $95.0 \pm 19.9$ |
| WTA-I-10 | $1.18e^{-2} \pm 4.33e^{-3}$ | $0.88 \pm 0.09$ | $9.8 \pm 0.8$ | $4319.9 \pm 773.7$ | $95.7 \pm 22.4$ |
| WTA-I-50 | $2.67e^{-2} \pm 1.18e^{-2}$ | $0.86 \pm 0.10$ | $20.1 \pm 1.3$ | $4695.9 \pm 536.7$ | $87.5 \pm 25.4$ |
| WTA-I-100 | $3.41e^{-2} \pm 7.48e^{-3}$ | $0.84 \pm 0.08$ | $49.9 \pm 5.5$ | $7919.3 \pm 558.42$ | $109.2 \pm 28.3$ |
| WTA-I-200 | $3.93e^{-2} \pm 9.61e^{-3}$ | $0.84 \pm 0.15$ | $70.1 \pm 5.4$ | $7094.6 \pm 458.8$ | $128.9 \pm 28.1$ |
| FASHION-MNIST | | | | | | |
| WTA-I-1 | $9.34e^{-3} \pm 5.15e^{-3}$ | $0.69 \pm 0.12$ | $13.6 \pm 1.7$ | $6105.0 \pm 907.9$ | $102.5 \pm 25.2$ |
| WTA-I-10 | $9.72e^{-3} \pm 5.31e^{-3}$ | $0.68 \pm 0.12$ | $13.2 \pm 1.7$ | $5968.1 \pm 822.1$ | $104.6 \pm 23.7$ |
| WTA-I-50 | $2.56e^{-2} \pm 3.82e^{-3}$ | $0.64 \pm 0.16$ | $19.0 \pm 1.3$ | $6337.5 \pm 693.2$ | $78.1 \pm 22.9$ |
| WTA-I-100 | $3.14e^{-2} \pm 5.82e^{-3}$ | $0.65 \pm 0.14$ | $56.9 \pm 4.6$ | $8020.3 \pm 455.9$ | $101.2 \pm 25.3$ |
| WTA-I-200 | $3.73e^{-2} \pm 1.10e^{-2}$ | $0.67 \pm 0.13$ | $82.1 \pm 8.8$ | $7530.2 \pm 321.6$ | $131.8 \pm 11.1$ |
| CIFAR10 | | | | | | |
| WTA-I-1 | $2.15e^{-2} \pm 8.22e^{-3}$ | $0.80 \pm 0.13$ | $19.5 \pm 1.1$ | $8599.5 \pm 830.7$ | $161.5 \pm 10.8$ |
| WTA-I-10 | $2.20e^{-2} \pm 8.13e^{-3}$ | $0.80 \pm 0.16$ | $19.3 \pm 1.1$ | $8401.2 \pm 928.3$ | $162.2 \pm 10.3$ |
| WTA-I-50 | $4.09e^{-2} \pm 7.14e^{-3}$ | $0.78 \pm 0.13$ | $30.12 \pm 1.4$ | $6884.8 \pm 642.5$ | $129.3 \pm 19.7$ |
| WTA-I-100 | $4.51e^{-2} \pm 8.14e^{-3}$ | $0.79 \pm 0.10$ | $68.9 \pm 4.5$ | $8500.2 \pm 625.1$ | $136.2 \pm 22.1$ |
| WTA-I-200 | $5.38e^{-2} \pm 1.24e^{-2}$ | $0.77 \pm 0.11$ | $84.5 \pm 10.1$ | $8269.7 \pm 408.53$ | $130.0 \pm 5.37$ |
Comparison of mean responses and standard deviation grouped by type of WTA-I schemes and dataset. Best performance in each cell is highlighted in italics.
Fig. 9 Object representation using different WTA-I schemes, where between 1 (harder WTA-I 1) and 200 (softer WTA-I 200) neurons were active for each training sample. The number below each image indicates the reconstruction error for that particular image. Target and prediction images were normalized in [0, 1]. The black frame highlights the image with the smallest error in each row.
only one neuron was active per image) to soft (where all 200 neurons were active).
We found that the softer the WTA-I scheme, the higher the reconstruction error (see Table 3). The reason for this became evident when we visualized the resulting object representations (Fig. 9). WTA-I schemes where at most 10 neurons were allowed to be active were instrumental in maintaining competition among neurons. In the absence of a strong WTA-I scheme, multiple neurons ended up learning similar visual features, which resulted in poor object reconstruction (right half of Fig. 9). Also, due to this overlap between neurons, the final feature set was quite limited.
We also found that both the active stimuli during the lifetime of a neuron and the active neurons increased with the number of V1 neurons allowed to be active during training (see Fig. 8c, d). Furthermore, the number of spikes needed to represent an object showed the same trend (Fig. 8b).
5 Discussion
In this work, we have proposed an SNN model that uses spike-latency coding and WTA-I to efficiently represent visual stimuli using multi-scale parallel processing. In particular, this paper developed an extension of earlier work (Chauhan et al. 2018, 2021; Sanchez-Garcia et al. 2022) to investigate how the quality of the represented objects changes under different schemes of the primary visual system processing with subsets of neurons tuned to different SF scales.
We found that the multi-scale network outperformed all three single-scale networks across all datasets (Fig. 4), sacrificing sparsity for a lower reconstruction error. However, it is interesting to note that the multi-scale network used the smallest average number of spikes per neuron (Fig. 4b) across all datasets, indicating that it favored a code where many neurons were weakly activated. In all cases, the learned receptive fields (Fig. 3) were in agreement with nonnegative sparse coding (NSC), which is an efficient population coding scheme based on dimensionality reduction and sparsity constraints that promotes sparse and parts-based population codes (Beyeler et al. 2019).
We also studied how the number of V1 neurons in the network affected reconstruction error and sparsity of the learned population code. In agreement with previous work on NSC (Beyeler et al. 2016, 2019), we found that the reconstruction error (on the test set) goes through a minimum as a function of network size (Fig. 6a). This minimum is though to indicate the optimal model complexity according to the bias-variance dilemma, that is, the point at which the model’s generalization error is minimized. Curiously, this “sweet spot” was found to be at roughly 200 V1 neurons for all tested datasets (Fig. 7). On the other hand, sparsity increased monotonically with network size (Fig. 6b–d), which is more in line with the traditional sparse coding literature (Olshausen and Field 1997).
We also implemented various soft WTA-I schemes to investigate how the quality of represented objects changed (Fig. 8). The WTA-I soft schemes consisted of 10, 50, 100, and 200 (i.e., all) neurons firing during a given iteration, while all other neurons were silent. We found that the softer the WTA-I scheme, the larger the reconstruction error (Fig. 8a) and the number of spikes needed to represent an object (Fig. 8b). The reason for this became clear when we visualized the resulting object representations (Fig. 9). In the absence of a strong WTA-I scheme, multiple neurons ended up learning similar visual features, thus resulting in poor object reconstructions (Fig. 9).
Although our network was able to efficiently represent images from various datasets, an important issue that we did not address in this paper is a comparison with other SNNs with other forms of STDP (e.g., with an additive instead of a multiplicative rule) and/or to SNNs trained with other learning scheme (e.g., SNNs trained with the surrogate gradient). In addition, a future extension of the model might focus on deeper architectures with parallel processing with multiple scales and more challenging visual stimuli.
6 Conclusion
In conclusion, we have shown that a network of spiking neurons tuned to different SFs can represent objects with as little as 15 spikes per neuron using spike-latency coding and WTA-I. WTA-I schemes were essential for enforcing competition among neurons, which led to sparser object representations and lower reconstruction errors. Studying how object recognition may be implemented using biologically plausible learning rules in SNNs may not only further our understanding of the brain, but also lead to new efficient artificial vision systems.
7 Comparison between multi-scale and lateral-scale network architectures
We propose another network architecture called ‘lateral-scale’ that also uses parallel processing of multiple scales (see Fig. 10). In this case, the LGN preprocessing is the same as in the multi-scale network architecture, but now the three LGN responses were converted to spike latencies and fed to a SNN each, resulting in three lateral SNN with plastic synapses implementing STDP and WTA-I. The reconstructed images resulted of the three lateral sub-networks were added at the end of the training for the object representation.
As shown in Fig. 11a, the lateral-scale network results in a lower but very similar reconstruction error than the proposed multi-scale network. This may be because the lateral-scale scheme recognizes a few more details corresponding to fine details in the image (see Fig. 12). Lateral-scale was not significantly better than multi-scale if we refer to the representation of objects (see Fig. 12) but used significantly more spikes (Fig. 12b). The number of spikes required for reconstruction increases by approximately double spikes/neuron in some datasets. One drawback in lateral-scale network is that we are training three lateral sub-networks, that means three times more trainable weights.
See Table 4.
Fig. 11 (a) Reconstruction error (MSE) of test set using multi-scale and lateral-scale networks. (b) Number of spikes per neuron needed for the object representation using multi-scale and Lateral-scale networks. (c) Lifetime sparsity: active stimuli during the lifetime of a neuron. (d) Population sparsity: neurons active at any point in time. *** = $p < .001$; ** = $p < .01$; * = $p < .05$; ns = $p > .05$. All t tests paired samples, two-tailed
Fig. 12 Object representation for multi-scale and lateral-scale network architectures using 200 V1 neurons. Two examples of object representation (image A and image B) for multi-scale and lateral-scale architectures and for the four databases. The lateral-scale scheme recognizes some finer details in the image compared to multi-scale, where the image details are coarser. The number below each image indicates the reconstruction error (MSE) for that particular image. The black frame highlights the image with the smallest error.
Table 4 Global results for multi- and lateral-scale
| Dataset | Network | RE (MSE) | RE (SSIM) | SC | LS | PS |
|-------------|---------------|-------------------|-------------------|---------------|---------------|---------------|
| ORL | Multi-scale | $2.91e^{-2} \pm 6.07e^{-3}$ | $0.76 \pm 0.23$ | $19.5 \pm 1.78$ | $7320 \pm 847.0$ | $169.4 \pm 11.7$ |
| | Lateral-scale | $2.28e^{-2} \pm 4.84e^{-3}$ | $0.80 \pm 0.19$ | $25.1 \pm 1.5$ | $7233.0 \pm 1241.5$ | $168.3 \pm 17.4$ |
| MNIST | Multi-scale | $1.16e^{-2} \pm 3.77e^{-3}$ | $0.89 \pm 0.05$ | $10.0 \pm 0.79$ | $4500.1 \pm 782.7$ | $95.0 \pm 19.9$ |
| | Lateral-scale | $8.27e^{-3} \pm 4.04e^{-3}$ | $0.66 \pm 0.18$ | $12.5 \pm 1.4$ | $5867.9 \pm 444.1$ | $115.6 \pm 4.9$ |
| FASHION-MNIST | Multi-scale | $9.34e^{-3} \pm 5.15e^{-3}$ | $0.59 \pm 0.20$ | $13.6 \pm 1.76$ | $6105.0 \pm 907.9$ | $102.5 \pm 25.2$ |
| | Lateral-scale | $6.93e^{-3} \pm 3.53e^{-3}$ | $0.71 \pm 0.14$ | $14.4 \pm 1.2$ | $7160.4 \pm 745.1$ | $161.2 \pm 11.5$ |
| CIFAR10 | Multi-scale | $2.15e^{-2} \pm 8.22e^{-3}$ | $0.80 \pm 0.13$ | $19.5 \pm 1.06$ | $8599.5 \pm 830.7$ | $161.5 \pm 10.8$ |
| | Lateral-scale | $1.87e^{-2} \pm 4.23e^{-3}$ | $0.87 \pm 0.02$ | $21.9 \pm 1.2$ | $8258.7 \pm 1130.5$ | $182.4 \pm 19.2$ |
Comparison of mean responses and standard deviation grouped by type of Multi and Lateral-scale and dataset.
Acknowledgements This work was partially supported by a UCSB Academic Senate Faculty Research Grant to MB and by FLAG-ERA project JTC-2019 DOMINO to BRC. TC was supported by a fellowship from the JPB Foundation, and Grant FRM:SPF20170938752 from the Fondation pour la Recherche Médicale.
Author Contributions TC and BRC conceived and designed the original study, which was subsequently extended by MSG and MB. TC wrote all the code and MSG ran all the simulations. MSG and MB analyzed and interpreted the results. MSG drafted the manuscript. All authors reviewed and approved the final version of the manuscript.
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I. The logo of the Hellenic Presidency of the Council of the EU
Greece took over the Presidency of the Council of the European Union in the first half of 2014, before handing over reins to Italy on 1 July 2014. It is the fifth time that Greece has held the Presidency since its accession to the European Communities in 1981.
The Greek Presidency logo is austere and concise, extending a note of realistic optimism. It depicts a sailboat in full sail, formed by the initials of the European Union. It aspires to unite common European values and Greece’s unique identity, the beginning of the continent’s union and its future course, the solid principles that formed the Greek past with common aspirations for the future.
The sailboat is at the forefront of the logo’s narrative power: a symbol of exploration and transition, but also of communication and unity. As such, it aspires to relay our decision to sail together towards a common future overcoming hardships and storms.
The journey is the symbolic essence of the logo’s narration: a shared course of democracy and participation, a common quest for prosperity through growth and employment, a vessel of mobility and security for the future. These ideals forged Greece’s past and are now the common inspiration that leads its course. This has been the Greek Presidency’s message to Europe and to the world: “Europe is our common quest and united we safely sail further”.
II. Main principles – objectives of the Hellenic Presidency of the Council of the EU
The three main principles which guided the work of the Presidency can be summarised as follows:
1.
1. **Human Mobility:** The second half of the Stockholm Programme remains the guiding frame for reference for the operational and political agenda of the EU in the JHA field. Efforts to monitor full implementation of rules on free movement will continue in order to establish an open and secure European area serving its citizens. In particular, Greece pursued an EU global approach to migration and a common European Asylum System, based on sharing of responsibilities and solidarity among the Member – States. Setting the framework for the next multiannual JHA program covering topical issues related to migration, security and justice were also key priorities of the Presidency.
Reflecting this fact, a CEPOL Presidency Seminar with the topic “Markets related to Illegal Immigration detecting/tackling/repatriating”, took place during the period 2-4 of June. This activity has brought together representatives from 16 EU Member – States, Switzerland, Georgia, important EU Agencies (EUROPOL, EUROJUST, FRONTEX) and other organizations (International Organisation for Migration – IOM, Panteion University of Athens).
2. **Stimulating Growth and Jobs in the context of the recently adopted Compact:** Job creating growth is a cross – cutting policy issue that is reflected in the agenda of all Council’s configurations. In this context, the Greek efforts have focused on:
a. Promoting the goals of the integrated Maritime Policy in accordance with the Limassol Declaration.
b. Enhancing the competitiveness of the EU businesses, including SMEs.
c. Forging common European policies in energy matters with special emphasis on energy efficient and increased use of renewable energy sources.
d. Increasing the attractiveness of Europe as a touristic destination.
3. **EU’s Enlargement:** Enlargement remains a key policy, which serves the strategic interests of the European Union and reinforces peace, stability and democracy in Europe. The Hellenic Presidency has pursued the enlargement agenda ensuring a coherent implementation of the renewed consensus on enlargement, as defined by the
December 2006 European Council and all other relevant EC and Council Conclusions. The EU must remain open towards those countries, which fulfill the criteria and are ready and willing to share its values. Particular attention was given to the European perspective of the Western Balkans.
III. Hellenic Presidency of CEPOL’s Governing Board
A. General approach of the Hellenic CEPOL GB Presidency
On the 1st of January 2014, in accordance with the relevant provisions of Council Decision 2005/681/JHA, the chairmanship of the Governing Board of CEPOL has once again changed hands in a challenging time that coincides with important changes affecting CEPOL’s immediate future. This time, it was the Hellenic Republic chance, after the significant results achieved by the Lithuanian Presidency, to steer the CEPOL Ship through the various rough seas and see it to safe harbors.
The main aim of the Hellenic Presidency, in an effort to unite all individual voices towards succeeding CEPOL’s main goals and aspirations, was to underline, in and out of the European context, the pivotal role that CEPOL is currently holding in Police Training and Education but even more importantly, the role that CEPOL has yet to play in the Law Enforcement training community. This role has been challenged on the one hand, by the European Commission’s initiative to merge CEPOL with EUROPOL and on the other, CEPOL’s relocation process and the safeguarding of its smooth operation during this crucial period.
In order to guarantee that all necessary measures and decisions are in place and all relevant risks are recognised and addressed, the 31st Governing Board, which took place during the period 19-21 May 2014 in Zappeion – Athens, was finally extended by half a day, thus allowing enough time for relevant discussions.
The Governing Board members had the possibility to be informed for all the implications that the relocation might have, thus empowering them to strengthen CEPOL with effective guidance and decisions. The meeting itself, under the guidance of its Chair and the Hellenic Presidency Team, managed to address in a timely yet effective manner all the issues included in the extensive Agenda.
B. Priorities of the Hellenic CEPOL GB Presidency
As regards to the priorities of the Hellenic Presidency of CEPOL Governing Board, these have been drawn according to the priorities set by the Hellenic Presidency of the Council of the E.U. (mentioned in Chapter II of this document) and always within the Trio Programme, the Stockholm Programme and CEPOL’s Strategy. The most important of them were the following:
1. **Exchange Programme**: The continuation of the implementation of this programme, while making it sustainable, oriented and cost-efficient. Possible financial support should be sought from 2015 on, in order to strengthen its learning impact.
**Result**: The implementation of the Exchange Programme was once again guaranteed, achieving remarkable results so far and involving for the first time all the EU Member – States as well as an important number of Countries related to the EU.
The European Police Exchange Programme has also been extended for the second time to partners in the European Neighbourhood Policy (ENP) area and the Candidate / potential Candidate countries in the Western Balkans as well as Turkey (ENP/WB segment).
2. **European Law Enforcement Training Scheme**: CEPOL’s participation in a decisive role, in the “European Law Enforcement Training Scheme”.
**Result**: In the Post – Stockholm environment, CEPOL’s coordinating involvement has been pursued on the field of the LETS, at all relevant political and discussion levels.
3. **CEPOL’s target group**: Examination of the needs for the enlargement of the target - group of participants in CEPOL’s educational activities, while deepening the analysis of the training needs.
**Result**: CEPOL’s remit, including its target – group, will be reconsidered with the modification of the CEPOL Founding Decision of the Council (681/2005), following its relocation, in order to adapt to the educational needs, as they will be determined based on the development of the European Law Enforcement Training Scheme.
4. **External Relations**: Further development of cooperation with E.U. Candidate Countries, Balkan Countries, Neighborhood Policy Countries and countries such as Russia, China, etc. Initiation of communication for the possibility of cooperation with the Law enforcement training institutes in the USA.
**Result**: Further discussions took place with training institutions from various countries like Armenia. CEPOL has also been active, in close cooperation with the
Hellenic Presidency, towards signing a cooperation agreement with an organization from the United States of America, primary on Law enforcement training. At first discussions took place identifying possible cooperation with the International Law Enforcement Academy (ILEA), seated in Budapest, Hungary, but finally during the 31st GB the voting members gave head to the Director of CEPOL in order to start negotiations with the Federal Law Enforcement Training Center (FLETC).
5. **Development of CEPOL’s e-net**: Further promotion and development of CEPOL’s e-net, utilizing the evolution of Internet Learning.
**Result:** Greece actively supported the implementation of CEPOL’s webinars both with a large number of participants (first among MS) and by implementing a series of webinars in cooperation with CEPOL Secretariat (most from all MS). On a further note, the Decision laying Down the Administrative Rules, Commitments and Guidelines for CEPOL’s Webinars was adopted in connection with an updated Decision on the administration of the e-Net which is about to be put in a Written Procedure, thus guaranteeing an up-to-date environment for CEPOL’s distance learning products.
6. **Common Curricula – Research and Science**: Continuation of the integration of existing CEPOL Common Curricula Programs into the MS Police Colleges’ Training Programmes and identification of the way forward; Further development and integration of the Police Research and Science in Law enforcement education.
**Result:** Support was provided regarding the Common Curricula and the development of the Research and Science as well as the promotion of e-Journals. A dialogue has been initiated regarding the way forward for the use of the Common Curricula.
7. **Enhancing the connection among** CEPOL’s educational product services, aiming at an optimal overall educational outcome.
**Result:** Efforts have been devoted in order to reinforce the connection among CEPOL’s educational products and a dialogue has opened towards this direction.
8. **Further improvement of procurement procedures and funding of the educational activities of CEPOL (Grant Agreement Process)**.
Result: The process for the Framework Partnership Agreements was concluded successfully. The provision for a possible examination regarding a central process for organizing CEPOL activities for 2015 was included in CEPOL’s Programme.
9. Facilitation of the daily work of the network and CEPOL Secretariat: The Hellenic Presidency of CEPOL Governing Board, focused on facilitating the daily work of the network and CEPOL Secretariat. Therefore, amendments to important GB Decisions have been discussed in all relevant fora and brought forward for adoption.
10. Other topics: Special focus was given to the work completed by CEPOL’s Working Groups, the initiation of CEPOL’s Master Course, the revision of CEPOL’s evaluation system, the planning of a future Police Leadership Course as well as CEPOL’s planning and budgeting cycle.
IV. Chairing Network meetings
Further to the Governing Board meeting, as mentioned previously representatives of the Hellenic CEPOL Presidency Team chaired meetings of the National Contact Points, the e-Net Managers and the Research and Science Correspondents. More specifically:
1. 10th NCP meeting: The meeting took place during the period 8-10 April, in Bramshill and was chaired by the Hellenic Presidency. The NCP’s were informed in detail for CEPOL’s future relocation, the status quo of the offered training activities and its planning and budgeting cycle. In addition, they had the chance to discuss and propose amendments to the following fundamental GB Decisions: 30/2006, 08/2007, 29/2008, 33/2011, 18/2013.
Their proposals were brought to the Governing Board for discussion and adoption, thus empowering the network and its parts.
2. 6th e-Net Managers meeting: The meeting took place during the period 5-7 May 2014, in Bramshill and was chaired by the Hellenic Presidency. The e-Net managers were informed on the latest updated regarding CEPOL’s e-Net and the LMS. On a further note, they had a unique opportunity to discuss in detail a possible amendment of Decision 29/2008GB “Concerning the administration of the e-net”. Their
useful proposals were taken on board and brought forward for adoption by the Governing Board Members in a Written Procedure.
3. 9th Research and Science Correspondents meeting: The meeting took place during the period 22-23 May and was also chaired by the Hellenic Presidency. The Correspondents where informed in detail for the current Research and Science projects such as the new e-Journals page, the Survey on Scientific Police Journals in Europe – Implementation, the European Police Science and Research Bulletin and the CEPOL Lecturers, Teachers and Researchers Database.
V. Future Challenges:
The biggest challenge that CEPOL has to face for the period to come is its relocation. The change of CEPOL’s seat from Bramshill to Budapest will affect all the levels of its core business and its own operation.
Part of this challenge is the management of issues deriving from the staff relocation as well as the stable continuation of CEPOL’s workings regarding the support for the Work Programme, for the current and the year to come.
The support from all the Member States, the network as well as the forthcoming Presidency is necessary in order to secure CEPOL’s present and to design its future on a stable basis that will allow CEPOL to continue offering its qualitative services regarding the European Law Enforcement Training.
Adopted Governing Board Decisions under the Hellenic Presidency:
01/2014/GB, CEPOL Financial Regulation
02/2014/GB, CEPOL Multi-annual Staff Policy Plan 2015-2017
03/2014/GB, on Approving the Meeting Calendar for the First Half of 2014
04/2014/GB, Appointing the Accounting Officer and Repealing Decision 24/2012/GB
05/2014/GB, Adopting the Estimate of Revenues and Expenditures for the Financial Year 2014 and Repealing Decision 30/2013/GB.
6/2014/GB, Adopting the Annual Report 2013
7/2014/GB, Establishing the Analysis and Assessment of the Authorising Officer's Annual Activity Report 2013
8/2014/GB, Delivering an Opinion on the Final Annual Accounts 2013
9/2014/GB, Concerning its Rules of Procedure, amending Decision 33/2011/GB of the Governing Board of the European Police College
10/2014/GB, Adopting the European Police College's Internal Control Standards and Amending Decision 8/2011/GB
11/2014/GB, Laying Down the Administrative Rules, Commitments and Guidelines for its Webinars
12/2014/GB, Adopting the Draft CEPOL Short-term strategy for 2015-2016
13/2014/GB, Adopting the Draft Work Programme 2015
Pending issues to be fulfilled during the Hellenic Presidency or incoming Italian Presidency:
- Written procedures related to the amendment of CEPOL Decisions 30/2006, 8/2007, 29/2007.
- Written procedures related to: Working Arrangement with EIT, amending the mandate of the Working Group on Short-term strategy for 2015-2016, Headquarter Agreement, Revised version of the Master Programme, Research & Science Award, Working arrangements with Armenia and USA, Two Implementing Rules to Staff Regulations (teleworking and promotions), Common Curricula for adoption.
Done at Rome on the 17th June 2014
For the Hellenic Presidency
Vasilios Kontogiannis
Chair of the Governing Board
For the (incoming) Italian Presidency
Rossanna Farina
NCP of Italy
Dr. Ferenc Banfi
Director of CEPOL |
Enjoying the countryside
Hampshire boasts an extremely rich and diverse countryside and an extensive network of public paths which provide a range of opportunities for enjoying the great outdoors. Rights of way are linear routes, often ancient trackways through deep countryside; there are over 3,000 miles of these in Hampshire. The map in this leaflet may also show access to other areas of land, such as common land, parks, nature reserves, or conservation areas, and your Town Council may know of guided walks or events. Many people reach the countryside within a few hundred yards of home and the plants, trees and views along the same paths often change dramatically through the seasons. We hope that this leaflet will encourage you to explore and enjoy your local countryside.
Using local paths
Many rights of way cross private land and we ask you to bear this in mind by keeping to the path and being responsible when on the team. There are four types: please check which paths you are entitled to use (for example, cyclists cannot use footpaths). Wheelchairs, pushchairs and dogs are allowed on all types of right of way. Any permissive paths or areas marked are not rights of way, but the landowner has given permission for the public to use them.
To ensure that the countryside is protected for future generations be sure to:
- Be safe – wear suitable clothing and shoes and take care when crossing roads
- Plan ahead and follow any signs
- Leave gates and property as you find them and take your litter home
- Protect plants and animals
- Keep dogs under close control
- Consider other people
Maintaining rights of way
Hampshire County Council:
- Ensures that rights of way are not obstructed
- Maintains the surface in a fit condition for its intended use
- Maintains some bridges
- Signposts and waymarks paths
- Authorises stiles and gates
- Keeps the definitive map up-to-date
Landowners:
- Keep back side growth and overhanging vegetation
- Reinstate paths across fields after ploughing or planting crops
- Maintain most stiles and gates
- Should not obstruct paths or deter use of them
- Should not plough paths at field edges
- Should not keep dangerous animals (including certain bulls) on paths
A brief history of the walks around Alton
Along the Haybourne walk you will encounter a number of timber framed houses dating from the 17th Century. At this time the ‘Alton Machine’ stage coach drawn by six horses may have passed en route for London or Southampton. Neatham is included in the Domesday Book and appears to have been more important than Alton, having its own market. Prior to this, the area was the Roman settlement, Vindomia, and earlier still evidence of a Middle Palaeolithic site (50,000 BC).
The Flood Meadows walk takes you alongside the River Wey watercress beds. There is evidence of Saxon and Roman settlements here. Indeed one derivation of the name “Alton” comes from the Saxon ex-al-tun “the place of the water spring”. It was at Flood Meadows that the brutal murder of a young girl Sarah Farmer Adams took place in 1867 and her well tended grave is in the old cemetery. Further along you will see the valley in which the Parliamentarian forces surprised and defeated the defending Royalist army in 1643 when they stormed St Lawrence Church.
The walk around Winchfield Hill gives extensive views of the surrounding countryside, much of which would have been covered with forest where Kings would have hunted wild boar, wolves and deer. The railway line was laid in 1865 connecting Alton to Winchester, extended later to Gosport, Basingstoke and the London Line. The water works were constructed in 1876 with a 547 ft well.
Useful Contacts
Alton Town Council, (and further copies of this leaflet)
Town Hall, Market Square,
Alton GU34 1HD
01420 83986
www.alton.gov.uk
Public Transport
Traveline 0871 200 22 33 (code 83)
Stagecoach 0871 200 22 33
Countryside Information
Alton Tourist Information Centre 01420 88448
Hampshire County Council Information Centre 0845 603 5636
For further information on access to the countryside please contact Hampshire County Council on the above number or visit www.hants.gov.uk/countryside
This leaflet was produced with the assistance of the Alton’s Parish Path Footpath Wardens
Walking in Hampshire www.hants.gov.uk/walking
Cycling in Hampshire www.hants.gov.uk/cycling
Rights of Way Maps on-line: www.hants.gov.uk/row
OS Explorer map no 144 covers this area
Cover painting by Pam Pell
Photography by Steve Cooksey email@example.com
Disclaimer: Published by Alton Town Council and Hampshire County Council, through the Small Grants Scheme. The routes described here may be altered by the Town Council whilst the County Council endeavours to maintain all rights of way in high standard, additional resources are not available to maintain the paths. The Council accepts no responsibility for accidents or loss or damage to property or the infringement whilst on the paths.
**Windmill Hill Walk**
(Allow 1½ hours)
*A delightful, undulating walk, with fine views to the South. Some long grass but rarely muddy.*
Start from the lay-by at the beginning of Salisbury Close. Take the tarmac path uphill and through kissing gate at top. Immediately leave the field corner through lift-stile on left. Go along the edge of copse, through the remains of a kissing gate, and straight ahead, joining a tarmac drive. At the end turn right across two entrances and through a gate/stile to footpath along right hand edge of field. Continue to road. Cross hedge diverging left and continue straight on down field to kissing gate ahead at its southern end. Go through and down steps, then bear right, along hedge to the end. Follow hedge right and up to the corner (ignore path on through kissing gate) turn left again along contour above lavender field. Turn right again when you reach the end and go steeply uphill to the corner and a three way finger post (See Shortcut 1). Turn left, following windmill lane between two hedges and across field to fingerpost at metalled road (Borovere Lane). Follow lane, passing converted farm buildings on right. As lane bears left take narrow, sign-posted footpath straight on between hedges. In a few yards, at the junction with the corner of the tarmac path, turn right, keeping the houses on your left. Follow on along tarmac path, curving left around the houses, and on down past green space to the road (Ridgeway). (See Shortcut 2.) Take care crossing the road into Kempton Close and after 60 yards take first tarmac path to the right just as the road bears left. Go down the path and straight across Goodwood Close into the inconspicuous tarmac footpath ahead (between Nos 14 and 15). Follow the footpath, which becomes gravel, to end. Turn right up road (Mount Pleasant) and continue past New Barn Lane, to end.
At the next finger post take the straight on through trees, with vehicle barriers on either side, to a public footpath you can see on far side but turn left along road (Ridgeway). Your starting point in Salisbury Close is the next turn after Wincanton Close.
**Shortcut 1.** Straight on, under trees, to road (Ridgeway). Turn right and then right again into Salisbury Close.
**Shortcut 2.** Turn right, straight along road (Ridgeway) and right again into Salisbury Close.
---
**Holybourne Walk**
(3½ miles. Allow 2 hours)
Start at the Pavilion changing rooms in Ansty Park and cross playing fields between rugby pitches keeping Ansty Road to the right. At hedge turn to the left along the hedge until reaching a gap. Go through this gap and turn left. On reaching the corner of the Ansty school playing field turn right and continue to park and reach a road (Hollybourne Road). Turn right and follow the road as it bends right passing a church (Norman nave and tower and 13th C. Chancel). At end of lane cross Church Lane and take fenced track ahead. Proceed until you reach a gap in a hedge at the end of the first field. Instead of continuing along wide track ahead, turn left (slightly uphill) keeping to the exact centre of the field, and fade into a narrow path that runs along the field and turn left. Continue uphill with the hedge on your left (note the lovely landscape on your right); over the rise and downhill until you reach a bridleway.
Turn right and follow this sunken path down to the next junction and turn right towards the main road. At the junction with the main road (observe the sign indicating the Cuckoo’s Corner Roman Site) opposite Vindomus Close, turn right and follow the main road towards Holybourne with a children’s play area on the right. Continue on past Holybourne Forge. 18th C. Which is now obscured by a tall hedge.
Turn left into Lower Nesham Mill Lane and downhill until you nearly reach the Alton bypass. Turn right just before the bypass through kissing gate. Continue along the edge of the field on gravel track keeping to the right, past a small brick pumping house to another kissing gate. Cross the wooden bridge over the River Wey and continue along the river on your left towards row of brick houses. At the end of the row keep to Mill Lane on your left. After about 40 metres go through a gate and passing Upper Nesham Mill Farm on your right, turn right at the Old Forge (timber clad building). Continue along grass path under concrete bridge, bear left up steep path, (BEWARE: steep drop to river) keeping the river to your right. Descend to tarmac road and turn right along estate road to Mill Lane. Turn right onto Mill Lane and go through bollards into lower end of Ansty Mill Lane. Note the remains of Ansty Mill 19th C. which still retains its cast iron water wheel. Continue across the estate road with Malby’s on your right and again through bollards into the continuation of Ansty Mill Lane passing under railway bridge to reach Ansty Road. Take care crossing road and return to your departure point in Ansty Park.
---
**Flood Meadows Walk**
(Approx 3 miles. Allow 1 to 1½ hours to include variations)
*Market Square with the historic Town Hall is the ideal place to begin a varied walk with fine views of Alton and the countryside.*
Anery Street is opposite leading to “Cut Pound” and the River Wey, then left into Tanhouse Lane and Flood Meadows; pause to note the information boards. Follow the left path adjacent to the old watercress beds.
At the next cross-roads continue on the incline to the right and take the right fork, past a brick wall and Westmoor Gardens which joins Greenfields Avenue, (opposite is a bus shelter). Walk straight ahead up a broad and rising tarmac path to a children’s playground. Continue on the grass path with hedge on the left. The adjacent fields on the right belong to the Town Council and afford views of the town.
Go through a kissing gate and continue downhill slope to Greenmeat Farm and two wooden gates at the edge of New Oldham Road. Beware of fast traffic, coming around a bend. Continue up Southwood Road; note that this is a steep climb for 500 metres to a sign post. Turn left and follow Brick Kiln Lane back with the barn on the right. Enjoy the splendid views of Alton and the open country. The hedge lined Lane gently descends and becomes tarmaced. Walk a further 200 metres turn left, up some steps through a gap in the hedge. The path leads down slightly across fields to New Oldham Road. (An alternative route to continue along the Lane turn left into Basingstoke Road, then left into New Oldham Road which you need to cross for both routes.) Take the narrow path between numbers 16 and 18 into Flood Meadows. Follow the tarmac path, houses on the left turn right down hill over grass towards a bridge over the River Wey. The path alongside the Wey goes to Tanhouse Lane.
Enjoy the choice of refreshments in one of Alton’s many excellent cafes and public houses, or relax in the delightful Public Gardens. |
State Water Resources Control Board
Division of Water Rights
ATTN: California WaterFix Hearing Staff
P. O. Box 2000
Sacramento, CA 95812-2000
By Hand Delivery/UPS: Joe Serna Jr. CalEPA Building, 1001 “I” Street, 2nd Floor,
Sacramento CA 95814 (ALL PERSONAL DELIVERIES must be timestamped at delivery
on the 2nd Floor by the Division of Water Rights).
Via email: firstname.lastname@example.org
Subject: California WaterFix Hearing (Change Petition) - Protest of the City of Antioch
Dear State Water Resources Control Board:
Thank you for allowing the City of Antioch to submit the following information in
support of its Protest to the Change Petition for the WaterFix Project. The City of Antioch
has read the proposed Change Petition as well as the RDEIR/SDEIS for the WaterFix
Project. The City’s Protest is based upon Antioch’s rights to water from the San Joaquin
and Sacramento Rivers (and Delta) and our concern and belief that the WaterFix Project will
adversely impact the City’s beneficial rights to use water from these sources.
1. Basis of Antioch’s Claim of Right to Use Water
Antioch has pre-1914 appropriative water rights. (Statement of Diversion and
Use #S009352) The City of Antioch, located along the San Joaquin River in the western
portion of the Sacramento and San Joaquin River Delta (“Delta”), is one of the oldest towns
in California. Since at least the 1860s, Antioch has obtained all or part of its freshwater
supply directly from its intake on the San Joaquin River (and from the tributary flow of the
Sacramento River) pursuant to a pre-1914 appropriative water right with a priority of at least
1868. Antioch’s water rights are adjudicated. In Antioch v. Williams Irrigation District
(1922) 188 Cal. 451 (“Antioch case”) the California Supreme Court confirmed the validity
of Antioch’s pre-1914 water rights to the San Joaquin and Sacramento Rivers holding:
The City of Antioch, continuously and under a claim of right, for more than five years before the action was begun, has been diverting from said river, at a point immediately above the city limits, and applying to said public use . . .
The status of the city of Antioch in this action, therefore, and its rights in the San Joaquin River are those of a diverter and user of the water thereof for beneficial purposes . . .
The fact that the city has never posted a notice of appropriation, as provided in section 1415 of the Civil Code, is likewise immaterial. "Where there has been actual appropriation of water, a right to it is acquired, without following the course laid down in the code. *Id.* At 454-456
Antioch’s date of priority is at least 1868.\(^1\) In 1968, the State of California by way of a substitute water agreement recognized both the validity Antioch’s Pre-1914 appropriative water rights and the priority date of at least 1868.\(^2\) The Department of Water Resources is bound to recognizing the validity of the City’s water rights and the date of priority as a signatory to this agreement. (The 1968 Agreement is attached to this Protest separately as Attachment C to the City’s “Technical Comments” from Exponent).
**1968 Water Agreement with the State of California:** As noted above, Antioch entered into an agreement with the State of California (via the Department of Water Resources) in 1968 (*Attachment C* to the City’s “Technical Comments” from Exponent). The purpose of the Agreement was to mitigate impacts to the City from the operation of the State Water Project by reimbursing the City for substitute water purchases made necessary when the salinity levels are too elevated for the City to use its own water rights. The original Agreement was in effect for 40 years from 1968 and was recently
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\(^1\) Although individuals had diverted water from the San Joaquin River and the Delta since the City was first established in 1850, the first known facilities intended to serve the entire City for municipal purposes appear to have been constructed in the mid-1860s (e.g. a private water company pump and municipal reservoir to store and serve river water in the City). Antioch was formally incorporated in 1872. In 1903-1904, the City by ordinance formed its own municipal water department constructing a water diversion and acquiring long existing privately owned municipal water facilities and rights including those belonging to the Belshaw Water Company (City of Antioch Ordinance 61, 1903).
\(^2\) The 1968 Agreement provides: “Whereas, for over 100 years [from 1968] water has been diverted from the San Joaquin River for municipal and industrial use in and around the area which is not in the corporate limits of the City.”
extended for another 15 years on October 29, 2013.\(^3\) There are however significant issues with respect to the WaterFix Project’s adverse impacts on the 1968 Agreement:
- The 1968 Agreement has a remaining term of less than 15 years and the Waterfix Project is anticipated to extend indefinitely;
- The 1968 Agreement is not based on the projected additional adverse impacts from the WaterFix Project (which again will continue beyond the agreement’s 15-year term);
- The 1968 Agreement between Antioch and DWR does not obligate the federal government (e.g. United States Bureau of Reclamation), and does not mitigate whatsoever for impacts from any CVP operations;
- The 1968 Agreement anticipated some continuing opportunity by the City to use its own water rights in many years and during certain times of any given year. However, based on the WaterFix Project’s impacts and flawed modeling (see attached “Technical Comments” from Exponent) it is not possible for the City to determine the impacts to the City’s ability to use its own water rights under the Agreement. It is possible that such impacts could be so extensive as to eliminate all the City’s benefits under the 1968 Agreement.
- The analysis of the impacts from the WaterFix Project (see attached “Technical Comments” from Exponent) indicate potential impacts to Antioch’s primary substitute water source (Contra Costa Water District) in the form of diminished flow and adverse water quality impacts, which would affect the City’s ability to purchase substitute water possibly thus nullifying all benefits of the 1968 Agreement.
**Salinity Protection:** Antioch is also the beneficiary of the various salinity protection statutes found in the water code. These protections were put in place in part following the adverse impacts to the City from upstream water diversions early 1900s and from the anticipated impacts of water exports by way of the CVP and SWP. See for example Water Code sections 12202 and 11207(c). In *United States v. State Water Resources Control Bd.*, (1986) 182 Cal. App. 3d 82 (commonly referred to as the “Racanelli” decision after the appellate justice who wrote the opinion) the court held that the SWRCB was mandated by law to protect the beneficial uses of water from saltwater intrusion in the Delta:
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\(^3\) In 2013, the City requested the extension of the Agreement include mitigation for the Central Valley Project impacts and an extension of up to 80 years but the Department of Water Resources declined to agree to these terms.
existing constitutional and legislative authorities encompass the Board's obligation to protect the quality of the Delta waters from saltwater intrusion. As mentioned above, the water quality legislation unmistakably requires the Board to formulate water quality standards to provide salinity control to "ensure the reasonable protection of beneficial uses" (§ 13241),
Public Resource Code section 29702: sets forth the dual/co-equal goals of providing a more reliable water supply and “protecting, restoring, and enhancing the Delta ecosystem.” Section 29702, as part of the Delta Reform Act of 2009 provides further that achieving the co-equal goals shall include protecting and enhancing the “unique cultural, recreational, natural resource” values of the Delta. Notably, the Delta Reform Act does not limit water supply reliability to the Project alone, and protection of in-delta water supply reliability is a critical component of complying with the co-equal goals. The City is a direct and intended beneficiary of the “co-equal” goals as a Delta community and water supplier. However, as discussed in the City’s attached “Technical Comments” from Exponent, the WaterFix Project will adversely impact the City’s water supply reliability and the unique cultural and recreational resources of the City as a fresh water-based community for the past 150 years.
Reasonable use: Antioch is entitled to the protection of the Constitutional provision prohibiting the unreasonable use of water. The Proposed WaterFix Project is Unreasonable in that it will harm Antioch’s senior municipal and domestic use water rights (See attached “Technical Comments” from Exponent) and cause uncertainty. The WaterFix Project indicates that certain studies and certain operational aspects of the Project remain incomplete and will be analyzed at some unknown point in the future:
- The recent Change Petition for the WaterFix Project submitted to the SWRCB references additional studies regarding the operation and design of the project that are as yet uncompleted (see pg. 14 of the original Supplemental Information Attachment to the WaterFix Change Petition). Because these studies will “inform design and operation of the diversion structures,” the proposed Project is currently incomplete and fails to properly inform Antioch of the scope of the actual harm from the Project.
- Adaptive management and operating scenarios for the Project are indicated in the RDEIR/SDEIS to be developed at a later time, thus improperly deferring a critical
aspect of the project.\(^4\) It is impossible to know the full extent of water quality and flow impacts on the City’s water supply and Delta public trust resources without this critical information being fully disclosed and analyzed in the Project’s description and environmental impact analysis.
The fact that these details of WaterFix Project design and operation are currently unknown or not yet disclosed indicates that the Project’s description and impact analysis are incomplete, because all the potential impacts of the Project to water users and to fish and wildlife remain unknown and therefore undisclosed at this time. The uncertainty of such future operational impacts in relation to the City’s superior water rights for municipal and domestic purposes (a City of over 100,000), renders the Project unreasonable per se under the California Constitution and Water Code section 100. See generally *In re Waters of Long Valley Creek Stream System* (1979) 25 Cal.3d 339 [creating uncertainty with respect to the exercise of water rights is unreasonable].
2. **Scope of Antioch’s use of water** *(Statement of Diversion and Use #S009352)*
The basis of Antioch’s diversion of water under the rights set forth above are for Municipal, Industrial and Domestic use on a year-round basis. As noted above, the source of the City’s water diversion is the San Joaquin River and the tributary flow of the Sacramento River.\(^5\) Antioch has a present estimated population of 108,930 (2014).
The City can divert up to 16 million gallons of water per day with an average of 10,500 gallons per minute during a typical year. Total diversions yearly vary depending on salinity levels and a number of other factors. Antioch’s Statements of Diversion and Use (#S009352) illustrate the City’s diversion amounts in different year types due to salinity
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\(^4\) As noted by the Delta Independent Science Board in comments submitted to the Delta Stewardship Council on September 30, 2015 (*attachment D* to Exponents Technical Comments attached to this Protest) and in the DSC’s WaterFix Comments: “There is a very general and brief mention of the steps in the adaptive management process in Section 4 (p. 4.1-6 to 4.1-7), but nothing more about the process… We did not find examples of how adaptive management would be applied to assessing—and finding ways to reduce—the environmental impacts of project construction and operations… The current draft of the RDEIR/SDEIS defers details on how adaptive management will be made to work: ‘An adaptive management and monitoring program will be implemented to develop additional scientific information during the course of project construction and operations to inform and improve conveyance facility operational limits and criteria’ (p. ES-17). This is too late.” The City agrees.
\(^5\) Antioch’s rights to the tributary flow of the Sacramento River via Georgiana and Three Mile Sloughs was determined as a matter of law by the California Supreme Court in the case of *Town of Antioch v. Williams Irrigation District et al.* (1922) 188 Cal. 451, 455.
and other water quality issues. Below is a table showing diversions in recent years and substitute water purchases from Contra Costa Water District (CCWD) made necessary due to salinity levels:
| YEAR | Water Rights (MG) | CCWD purchase (MG) |
|------|------------------|--------------------|
| 1998 | 4,110.167 | 1,219.007 |
| 1999 | 2,689.806 | 3,164.606 |
| 2000 | 2,061.592 | 4,236.095 |
| 2001 | 1,484.193 | 5,047.222 |
| 2002 | 2,298.523 | 4,513.649 |
| 2003 | 2,848.746 | 3,882.856 |
| 2004 | 1,795.688 | 5,050.868 |
| 2005 | 2,606.593 | 3,918.041 |
| 2006 | 2,653.585 | 3,731.479 |
| 2007 | 1,566.797 | 5,248.175 |
| 2008 | 1,783.915 | 4,665.788 |
| 2009 | 1,675.600 | 4,332.902 |
| 2010 | 2,481.360 | 3,069.813 |
| 2011 | 3,575.551 | 2,207.148 |
| 2012 | 1,673.851 | 4,006.599 |
| 2013 | 1,537.816 | 3,400.644 |
| 2014 | 583.852 | 4,716.501 |
| 2015 | 408.723 (YTD) | 3,419.396 (Jan – Oct) |
The City’s diversion facility is located within the City’s boundaries at: NW ¼ of SW ¼; Sec. 18; T2N; R2E; MDB&M. The City’s diversion facilities are located downstream of the proposed WaterFix Project diversion.
The City’s place of use is within its municipal boundaries and sphere of influence in Contra Costa County (approx. 29 to 30 square miles). The City’s place of use is shown in the map attached to the 2013 extension of the 1968 Agreement (attached separately to this protest as Attachment C to the City’s “Technical Comments” from Exponent).
3. Harm to the City from the WaterFix Project
The City and its citizens have diverted water from the Delta for over 150 years. Antioch was able to use its water rights prior to the 1920s year-round, and 208 to 225 days or more a year on average since the 1930s and often year around. The harm to the City from the
WaterFix Project is set forth in detail in the “Technical Comments” from Exponent attached to the City’s protest. This harm includes the Project’s impacts to the City’s 1968 Agreement, the impacts of uncertainty from the WaterFix Project to the City’s water use and supply to a population of over 100,000 citizens, and the adverse impacts to water supply reliability as mandated in the Delta Reform Act discussed above.
4. Conditions under which this Protest may be dismissed
Antioch could potentially consider dismissing its Protest if the impacts were fully mitigated. This could occur through modifications to the existing 1968 Agreement to extend the length of that agreement and to increase the amount of reimbursement to the City under that agreement, as were previously proposed to DWR by the City. This could also occur through reimbursement to the City for the construction of a brackish water treatment plant.
Thank you again. If you have any questions or need additional information, please contact Ron Bernal at (925) 779-6820 or email@example.com.
Sincerely,
Ron Bernal, P.E.
Public Works Director/City Engineer
PROTEST– PETITION
This form may also be used for objections
PETITION FOR TIME EXTENSION, CHANGE, TEMPORARY URGENT CHANGE OR TRANSFER ON
APPLICATION ___________ PERMIT Attached______ LICENSE ___________
OF WaterFix Project
I (We) have carefully read the notice (state name): City of Antioch
Address, email address and phone number of protestant or authorized agent: ________________________________
P.O. Box 5007, Antioch, CA 94531-5007; (925) 779-6820 Attn: Ron Bernal
Attach supplemental sheets as needed. To simplify this form, all references herein are to protests and protestants although the form may be used to file comments on temporary urgent changes and transfers.
Protest based on ENVIRONMENTAL OR PUBLIC INTEREST CONSIDERATIONS (Prior right protests should be completed in the section below):
• the proposed action will not be within the State Water Resources Control Board's jurisdiction □
• not best serve the public interest □
• be contrary to law □
• have an adverse environmental impact □
State facts which support the foregoing allegations ______________________________________________________
______________________________________________________________________________________________
______________________________________________________________________________________________
______________________________________________________________________________________________
Under what conditions may this protest be disregarded and dismissed? (Conditions should be of a nature that the petitioner can address and may include mitigation measures.)
______________________________________________________________________________________________
______________________________________________________________________________________________
Protest based on INJURY TO PRIOR RIGHTS:
To the best of my (our) information and belief the proposed change or transfer will result in injury as follows: See the City of Antioch's attachments and in particular the technical analysis of the City's consultant, Exponent.
Protestant claims a right to the use of water from the source from which petitioner is diverting, or proposes to divert, which right is based on (identify type of right protestant claims, such as permit, license, pre-1914 appropriative or riparian right): Adjudicated pre-1914 appropriative right. See attachments.
List permit or license or statement of diversion and use numbers, which cover your use of water (if adjudicated right, list decree). Statement of Diversion #S 009352
Where is your diversion point located? NW¼ of SW ¼ of Section 18, T 2N, R 2E, MDB&M
If new point of diversion is being requested, is your point of diversion downstream from petitioner's proposed point of diversion? Yes
The extent of present and past use of water by protestant or his predecessors in interest is as follows:
a. Source San Joaquin and Sacramento Rivers
b. Approximate date first use made 1868
c. Amount used (list units) 16 million gallons per day
d. Diversion season Year-round
e. Purpose(s) of use Municipal, domestic, industrial
Under what conditions may this protest be disregarded and dismissed?
Mitigation of harm from the WaterFix project, which could include modification of an existing substitute water purchase agreement or funding to construct a brackish water treatment plant.
All protests must be signed by the protestant or authorized representative:
Signed: [Signature] Date: 12/31/15
All protests must be served on the petitioner. Provide the date served and method of service used: Hard copy submittal by FEDEX to arrive on Jan. 4 or earlier (email submittal as well)
DWR AND RECLAMATION WATER RIGHTS INVOLVED IN THE PETITION
The Projects operate pursuant to water right permits and a license issued by the State Water Board that authorize the Projects to either (1) divert water to storage, which is released later in the year and re-diverted downstream or (2) directly divert water for beneficial use, or both. The Petition involves four of DWR’s six permits for the SWP and 11 of Reclamation’s 32 permits and one license for the CVP. Tables 1 and 2 below summarize DWR’s and Reclamation’s subject permits, respectively and the permit changes requested in the Petition.
Table 1
Summary of DWR’s Subject Water Rights and Requested Changes
| App No. | Permit No. | Source(s) | Direct Diversion Amount (cfs) | Direct Diversion Season | Diversion to Storage Amount (TAF) | Diversion to Storage Season | Combination Export Amounts (cfs) | Complete Use Date | Petition Request to Add: |
|---------|------------|----------------------------|------------------------------|--------------------------|----------------------------------|-----------------------------|---------------------------------|-------------------|------------------------|
| 5630 | 16478 | Feather R. | 1,400 | Year-Round | 380 | 9/1 - 7/31 | 10,350 | 12/31/09 | PORD |
| 14443 | 16479 | Feather R. | 1,360 | Year-Round | 3,500 | 9/1 - 7/31 | 10,350 | 12/31/09 | PORD |
| | | Delta Channels | 6,185 | Year-Round | 42.1 | Year-Round | | | POD |
| 14445A | 16481 | Old River\(^{12}\) & Delta Channels | 2,115 | Year-Round | 44.0 | Year-Round | 10,350 | 12/31/09 | POD |
| 17512 | 16482 | Old River,\(^{12}\) Delta Channels, & San Luis Cr. | -- | -- | 1,100 | Year-Round | 10,350 | 12/31/09 | POD |
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\(^9\) Tables 1 and 2 do not reflect any regulatory constraints that may limit the Projects’ ability to exercise their water rights to the fullest extent, including D-1641, the USACE’s River and Harbors Act permits, or the 2008 USFWS and 2009 NMFS Biological Opinions on the coordinated operations of the Projects.
\(^{10}\) TAF refers to thousand acre-feet; TAFA refers to thousand acre-feet annually, and cfs refers to cubic feet per second.
\(^{11}\) Water right permits issued by the State Water Board specify a development schedule to complete construction and beneficial use of water. When a permit development schedule has elapsed, no further development of water use may occur. The permittee is limited to the maximum annual quantity put to use during the permit development schedule unless the permittee is granted an extension of time to extend the development schedule. DWR’s time to complete construction and beneficial use of water for its subject permits elapsed on December 31, 2000, and December 31, 2009, respectively. On December 31, 2009, DWR filed petitions to extend the development schedule until December 31, 2015, for the subject four permits and two additional DWR permits. The State Water Board noticed all six DWR petitions on August 19, 2010, and received eight protests. The protests have not been resolved and the petitions for time extensions are still pending.
\(^{12}\) On Page 2 of the addendum and errata to the Petition, DWR and Reclamation list Italian Slough as an existing source of water for Permits 16481 and 16482. In D-1641, the State Water Board approved the addition of the intake to Clifton Court Forebay on Old River to Permits 16481 and 16482 as a point of diversion. Therefore, D-1641 also added Old River as an additional source to these permits even though it is not expressly listed in the permit. DWR has not developed Italian Slough as a source of water under these permits.
Table 2
Summary of Reclamation’s Subject Water Rights and Requested Changes
| App No. | Permit No. | Source(s) | Direct Diversion Amount (cfs) | Direct Diversion Season | Diversion to Storage Amount (TAF) | Diversion to Storage Season | Combination Exports Amounts (cfs / TAFA) | Complete Use Date | Petition Request to Add: |
|---------|------------|-----------------|-------------------------------|--------------------------|----------------------------------|-----------------------------|------------------------------------------|-------------------|---------------------------|
| 5626 | 12721 | Sacramento R. | 8,000 | 9/1 - 6/30 | 3,190 | 10/1 - 6/30 | -- | 12/1/90 | POD and PORD |
| 9363 | 12722 | Sacramento R. | 1,000 | Year-Round | 310 | 10/1 - 6/30 | -- | 12/1/90 | POD and PORD |
| 9364 | 12723 | Sacramento R. | 9,000 | Year-Round | 1,303 | 10/1 - 7/1 | -- | 12/1/90 | POD and PORD |
| 13370 | 11315 | American R. | 8,000 | 11/1 - 8/1 | 1,000 | 11/1 - 7/1 | -- | 12/1/90 | PORD |
| 13371 | 11316 | American R. | 700 | 11/1 - 8/1 | 300 | 11/1 - 7/1 | -- | 12/1/90 | PORD |
| 5628 | 11967 | Trinity R. | 2,500 | Year-Round | 1,540 | Year-Round | 3,200 cfs / 2,500 TAFA | 12/1/90 | PORD |
| 15374 | 11968 | Trinity R. | 300 | Year-Round | 200 | Year-Round | 3,200 cfs / 2,500 TAFA | 12/1/90 | PORD |
| 15375 | 11969 | Trinity R. | 1,700 | Year-Round | 1,800 | Year-Round | 3,200 cfs / 2,500 TAFA | 12/1/90 | PORD |
| 16767 | 11971 | Trinity R. | -- | -- | 700 | Year-Round | 3,200 cfs / 2,500 TAFA | 12/1/90 | PORD |
| 17374 | 11973 | Trinity R. | 1,500 | Year-Round | -- | -- | 3,200 cfs / 2,500 TAFA | 12/1/90 | PORD |
| 17376 | 12364 | Clear Cr. | 3,600 | 11/1 - 4/1 | 250 | 11/1 - 4/1 | -- | 12/1/90 | PORD |
The State Water Board has issued various water right decisions and orders conditioning the Projects’ permits and license. Most notable of the State Water Board decisions is D-1641, which placed conditions on Project operations necessary to implement the Bay-Delta Plan. Project operations also are subject to ESA and CESA, and USACE permitting requirements. DWR and Reclamation have stated in their Petition that they are not proposing to modify any of these requirements as part of the California WaterFix Project. It is anticipated that there will be new operational requirements for the Projects associated with the CESA and ESA process, as discussed above, and possibly the USACE permit.
**COMPLIANCE WITH CEQA, ESA AND CESA**
As stated in the introduction, in July 2015, DWR and Reclamation released a RDEIR/SDEIS pursuant to CEQA and NEPA that analyzes the California WaterFix portion of the former BDCP. CEQA requires the State Water Board, as a responsible agency with jurisdiction over the water rights and water quality in the Bay-Delta, to consider the environmental effects of the project identified in the Final EIR certified by the lead agency prior to reaching a decision on whether and under what conditions to approve the project. To the extent feasible, the State Water Board is responsible for mitigating or avoiding the significant environmental impacts identified in the resource areas within the State Water Board’s jurisdiction, specifically for the water right petition components of the California WaterFix Project. (Cal. Code Regs., tit. 14, §15096.) When considering the Petition, the State Water Board must make independent findings concerning significant environmental effects within the State Water Board’s jurisdiction, and may require additional or different mitigation measures for impacts in those resource areas.
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13 Water right permits issued by the State Water Board specify a development schedule to complete construction and beneficial use of water. When a permit development schedule has elapsed, no further development of water use may occur. The permittee is limited to the maximum annual quantity put to use during the permit development schedule unless the permittee is granted an extension of time to extend the development schedule. Reclamation’s time to complete construction for the subject permits elapsed on a range of dates from December 1, 1964 through December 1, 1985. Reclamation’s time to complete beneficial use of water for its subject permits elapsed on December 1, 1990. On September 19, 1985, Reclamation filed a petition for an extension of time to the year 2030. On June 26, 2009, Reclamation filed a petition to extend the development schedule until December 1, 2030, for the subject 11 permits and 21 other Reclamation permits. The June 26, 2009 petition superseded the September 19, 1985 petition. The State Water Board noticed all 32 Reclamation petitions on September 3, 2009, and received 17 protests, of which 11 were accepted, in whole or in part, as valid protests. The protests have not been resolved and the petitions requesting time extensions are still pending.
NOTICE OF INTENT TO APPEAR
City of Antioch plans to participate in the water right hearing regarding
CALIFORNIA WATERFIX HEARING
California Department of Water Resources and U.S. Bureau of Reclamation
The Public Hearing scheduled to commence on Thursday, April 7, 2016
1) Check all that apply:
☒ I/we intend to participate in Part I of the hearing
☐ I/we intend to participate in Part II of the hearing
2) Check the applicable boxes below. Be sure to accurately describe your participation in the hearing. (Please refer to Enclosure D of the October 30, 2015 Notice of Petition, Public Hearing, and Pre-Hearing Conference (Hearing Notice) for descriptions of “parties” and “interested persons”):
☐ I/we intend to participate in the hearing as an interested person and present a policy statement only. ☐ Part I ☐ Part II
☐ I/we intend to participate in the hearing as a party by cross-examination and/or rebuttal only and may present an opening statement.
☐ Part I ☐ Part II
☒ Part I: I/we plan to participate in Part I as a party and call the following witnesses to testify at the hearing. (Fill in the following table for Part I of the hearing only)
| NAME | SUBJECT OF PROPOSED TESTIMONY (Please indicate Application Number if Appropriate) | ESTIMATED LENGTH OF DIRECT TESTIMONY | EXPERT WITNESS (YES/NO) |
|---------------|----------------------------------------------------------------------------------|--------------------------------------|-------------------------|
| Susan Paulsen | Harm to Antioch; Analysis of water quality and flaws in WaterFix Modeling | 20 mins | Yes |
| Ryan Thacher | Harm to Antioch; modeling | 10 mins | Yes |
| Matthew Emrick| Antioch’s Water Rights | 10 mins | Yes |
| Ron Bernal | Antioch’s water supply system and harm to Antioch | 10 mins | Percipient/expert |
| Tim Coley | Antioch’s water supply system and harm to Antioch | 10 mins | Percipient/expert |
(If more space is required, please add additional pages.)
☒ Part II: I/we plan to participate in Part II as a party and will call witnesses to testify at the hearing. Please note that you will be required to submit a Supplemental Notice of Intent to Appear at a date to be determined for Part II of the hearing that lists your witnesses, subject of proposed testimony, etc.
3) Check if applicable:
☒ I/we have also protested the Petition in accordance with Water Code section 1703.2.
Note: If you have protested the Petition, you must also fill out sections 1 and 2 of this form above and indicate your intent to appear at the hearing to present evidence in support of your protest. If you do not resolve your protest with the petitioners prior to the hearing, and then do not
present a case supporting your protest at the hearing, your protest will be dismissed. It is not necessary to file a protest to participate in the hearing.
Continued to next page
4) Fill in the following information of the Participant, Party, Attorney, or Other Representative:
Name (Print): Ron Bernal for the City of Antioch
Mailing Address: P. O. Box 5007, Antioch, CA 94531-5007
Phone Number: (925) 779-6820 Fax Number: (925) 779-6897
E-mail: firstname.lastname@example.org
Optional:
☐ I/we decline electronic service of hearing-related materials. If you are unable to accept electronic service for any reason, please contact the hearing team by Tuesday, January 5, 2016, at 916-319-0960 or by email at email@example.com.
Signature: RON BERNAL, CITY OF ANTIOCH
Date: DECEMBER 31, 2015
1. Executive Summary — Harm to Antioch from the WaterFix Project
The City of Antioch (the City) retained Exponent to evaluate the Notice of Petition requesting changes (the Change Petition) in water rights of the Department of Water Resources (DWR) and U.S. Bureau of Reclamation for the California WaterFix Project. Exponent has also assisted the City in evaluating and preparing comments on the Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement (RDEIR/SDEIS) for the WaterFix Project. As detailed below, Exponent’s analysis of the WaterFix Project and the Change Petition included a review of the RDEIR/SDEIS documentation, and analysis of the modeling performed to support the technical evaluation of potential impacts. Also, Exponent reviewed historical information related to the City’s operations at its drinking-water intake, and the City’s Agreement with the State, which partially reimburses the City for water that the City must purchase when water quality at its intake is insufficient for municipal use as a result of the operations of the State Water Project.
Exponent has concluded that, although it is difficult to assess the impacts of the proposed project on water quality at Antioch, the proposed project will have significant impacts on water quality at the City’s intake. The difficulty in assessing the impacts of the proposed WaterFix Project arises because the proposed project was not modeled, and there are major differences between the model runs used to assess impacts and the features of the proposed WaterFix Project. In addition, neither the Change Petition nor the RDEIR/SDEIS provides sufficient detail to understand how the proposed WaterFix Project will be operated initially, or how the adaptive management process will be employed to change project operations in the future.
Even based on incomplete information, it is clear that the water quality impacts at the City’s intake will result in the need to purchase additional water from the Contra Costa Water District (CCWD), and that the City’s Agreement with the State is insufficient to reimburse the City for these purchases. Our preliminary calculation indicates that the present value of the excess water that will have to be purchased by the City from CCWD to meet demand over a 50-year period will range from $6 million to $39.5 million, depending on WaterFix Project operations.
2. Introduction
The City of Antioch (the City) retained Exponent to evaluate and prepare technical comments on the Notice of Petition requesting changes (the Change Petition) in water rights of the Department of Water Resources (DWR) and U.S. Bureau of Reclamation for the California WaterFix Project (WaterFix). The Change Petition would add three new points of diversion and/or points of rediversion of water to specific water rights permits for the State Water Project (SWP) and the Central Valley Project (CVP). Exponent evaluated whether the proposed WaterFix Project would be likely to result in significant impacts on water quality at Antioch’s drinking-water intake on the San Joaquin River.
The change in point of diversion would result in changes to the hydrodynamics of the Delta, because water would be diverted from the Delta at locations within the Sacramento River—i.e., Sacramento River water that would have flowed into and through the Delta would be removed from the Delta far upstream of the current points of diversion. Not only would diversions from the Delta contain a higher proportion of Sacramento River water, but overall flow and mixing patterns within the Delta would change as well. The changes in mixing within the Delta that would be caused by the proposed project would result in water quality impacts that otherwise would not have occurred. In addition, if more water is exported and/or diverted from the system than under current conditions, greater volumes of saline water will enter the Delta from San Francisco Bay than would otherwise, absent the project. Although future sea-level rise will also affect water quality at the City’s intake, changes in the point of diversion will result in impacts independent of, and in addition to, impacts caused by sea-level rise.
The City’s analysis of the impacts of the WaterFix Project relies on the City’s prior analyses of the modeling of Alternative 4, which was conducted in 2013 by DWR, and which formed the basis for the current RDEIR/SDEIS. We have referred to those prior comments, which are attached to the City’s comment package in Attachments A and B, rather than repeat our concerns with the 2013 modeling exercise, and its application within the 2015 RDEIR/SDEIS, in their entirety here. For the purpose of the City’s information in support of its Protest of the WaterFix Project, the term RDEIR/SDEIS shall be used occasionally to refer to the WaterFix Project, because this environmental document forms the basis for the WaterFix Project subject to the Change Petition.
3. **Antioch’s Water Rights**
The City is located along the San Joaquin River in the western portion of the Sacramento and San Joaquin River Delta (Delta). Since the 1960s, Antioch has obtained all or part of its freshwater supply directly from its intake on the San Joaquin River,\(^1\) pursuant to a pre-1914 appropriative water right with a priority of 1867.\(^2\) Contrary to incorrect statements contained in the RDEIR/SDEIS, Antioch continues to obtain much of its water supply from its own diversion facility.\(^3\) Antioch has an agreement with the Department of Water Resources (DWR) that partially compensates the City for supplemental water that must be purchased from the Contra Costa Water District (CCWD) when the operations of the State Water Project degrade water quality at the City’s intake to a point where that water is not suitable for diversion and use. That agreement currently has a 15-year term, which will end at approximately the same time the BDCP is anticipated to begin operations.\(^4\)
4. **The evaluation of the proposed project is inadequate.**
4.1. **The baseline condition used to evaluate the proposed project is flawed and inappropriate, and results in an underestimation of project impacts.**
The WaterFix Project’s analysis of adverse impacts to water quality relies on a flawed and inappropriate baseline condition for analyzing such impacts. This results in harm to Antioch, in that the number of usable days for the City to divert water is underpredicted by about 15 days per year (more than 9%), or about 245 days during the simulation period. As explained below,
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\(^1\) Much of the water in the western Delta (including the City’s water supply) comes from the Sacramento River. Historically, significant amounts of Sacramento River water flowed into the San Joaquin River east of Antioch at Three Mile and Georgiana Sloughs. Sacramento River water also reaches Antioch where the river merges with the San Joaquin River just west of the City, and via tidal action.
\(^2\) Antioch has vested pre-1914 water rights to water from the San Joaquin River, as well as to the tributary flow of the Sacramento River via Georgiana and Three Mile Sloughs. This was determined as a matter of law by the California Supreme Court in the case of *Town of Antioch v. Williams Irrigation District et al.* (1922) 188 Cal. 451,455.
\(^3\) The City of Antioch uses water from its intake as its main source of supply when salinity at the intake is below specified thresholds. The 2013 EIR/EIS stated that Antioch’s intake is “seasonal” and used “infrequently” (EIR/EIS Chapter 8 at p. 8-185, lines 13-14), which is not true. Rather than address the impact of reduced water quality on the City’s ability to use water at its intake, the 2015 RDEIR/SDEIS states, for example (see p. 4.3.4-10), that “the use of seasonal intakes at Antioch and Mallard Island is largely driven by acceptable water quality, and thus has historically been opportunistic, and opportunity to use these intakes would remain. Thus, these increased bromide concentrations would not be expected to adversely affect MUN beneficial uses, or any other beneficial use, at these locations.” Thus, it appears that the RDEIR/SDEIS both misrepresents the facts with respect to Antioch’s use of its intake, and further downplays the effect of any worsening of water quality on the City’s ability to use its intake.
\(^4\) On October 29, 2013, the term of the agreement between the State of California and the City of Antioch was extended through September 30, 2028.
this failure to implement a Fall X2 condition in the “Existing Conditions” model runs artificially biases the model results with respect to the current condition at Antioch’s intake, and in effect gives the proposed project an unwarranted “free pass” for 245 days during the 17-year model simulation period.
The RDEIR/SDEIS indicated that two baselines were used in the current analysis: the “Existing Conditions” baseline defined in the 2013 Draft EIR/EIS was used for the CEQA impact analysis, and the “No Action Alternative Early Long-Term” (NAA-ELT) scenario was used for the NEPA impact analysis. The 2013 Draft EIR/EIS used a model run previously called “EBC1” to simulate the existing condition, and the 2015 RDEIR/SDEIS continues to use the same “Existing Conditions” model run (i.e., “EBC1”).
As noted by the City and its technical consultants in prior documentation (see Attachment A), the EBC1 existing conditions scenario used to evaluate project impacts is flawed and does not accurately represent existing conditions with respect to salinity at Antioch. In contrast, a second existing conditions model run, called “EBC2,” was also conducted and was available for use at the time the 2013 Draft EIR/EIS was prepared, and more accurately represents existing conditions.\(^5\) The primary difference between EBC1 and EBC2 is whether Delta outflows are managed to achieve the Fall X2 provision (hereafter referred to as “Fall X2”) of the 2008 U.S. Fish and Wildlife Service Biological Opinion (the “2008 BiOp”): the EBC1 scenario does not operate to Fall X2, whereas the EBC2 scenario \textit{does} operate to Fall X2.
As described in the City’s prior comments (see Attachment A), the City’s consultants obtained from DWR the modeling results from the Delta Simulation II (DSM2) model, which was used to simulate hydrodynamics and water quality throughout the Delta for a range of model scenarios. Model results for EBC2 agree well with salinity measurements made near Antioch. By contrast, the EBC1 scenario (the 2015 and 2013 “Existing Conditions” scenario) showed poor agreement, particularly in the fall of 1974, 1975, 1978, 1980, 1984, and 1986, or 6 of the 17 years modeled, when modeled salinity values were significantly greater than measured salinity values.\(^6\)
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\(^5\) The March 2013 Revised Administrative Draft used both EBC1 and EBC2, while both the 2013 Draft EIR/EIS and the 2015 RDEIR/SDEIS use only the EBC1 scenario, which has been renamed as the “existing conditions” scenario.
\(^6\) Note that the time period evaluated in the RDEIR/SDEIS appears to have changed. Whereas the 2013 EIR/EIS evaluated the full modeled period, the current 2015 RDEIR/SDEIS appears to have evaluated a shorter time period, as indicated on p. ES-26: “Chloride modeling results were updated: New calculation of exceedances of the 150 mg/L chloride objective were prepared based on calendar years 1976-1990 of the original modeled results (i.e., 15 years instead of 16) because the objective applies on a calendar year basis.” The City’s prior analysis evaluated model results provided by DWR for the 1974–1991 time period.
To further illustrate the impacts of selecting a biased and incorrect baseline, Table 4-1 shows the conditions that were modeled for each scenario and the number of usable days\(^7\) for each scenario. For example, the incorrect “Existing Conditions” baseline (EBC1) predicts that, for the modeled time period of 1974–1991, usable water will be available for 149 days, while the correct “Existing Conditions” baseline (EBC2) predicts that usable water will be available for 164 days; thus, the incorrect choice of the baseline condition means that the number of usable days is underpredicted by about 15 days per year (more than 9%), or about 245 days during the 17-year simulation period. The failure to implement a Fall X2 condition in the “Existing Conditions” model runs artificially biases the model results with respect to the current condition at Antioch’s intake, and in effect gives the proposed project an unwarranted “free pass” for 245 days during the 17-year period.
Failing to include Fall X2 in the Existing Conditions scenario makes the baseline condition appear to be more saline than it actually is, so that the potential impacts of the BDCP appear to be significantly smaller than they would be with an appropriate baseline.
**Table 4-1.** Description of available baseline scenario model runs, together with DSM2 model results showing the number of days Antioch will be able to use water at its intake under EBC1, EBC2, and NAA ELT scenarios (1974–1991) by year type
| Year Type | EBC1 2015 CEQA Baseline Existing Condition Does not include Fall X2 No sea-level rise | EBC2 “Correct” Existing Condition Includes Fall X2 No sea-level rise | NAA_ELT NEPA baseline condition in 2015 RDEIR/SDEIS Includes Fall X2 15-cm sea-level rise |
|----------------------------|----------------------------------------------------------------------------------------|---------------------------------------------------------------------|------------------------------------------------------------------------------------------|
| All years | 149 | 164 | 155 |
| Critical years | 56 | 64 | 59 |
| Dry years | 123 | 145 | 133 |
| Above- and below-normal years | 177 | 188 | 171 |
| Wet years | 246 | 265 | 257 |
* Salinity threshold 976 µS/cm.
\(^7\) Consistent with the City’s Agreement with DWR, water at the City’s intake was defined as usable when salinity is below 250 ppm chloride, equivalent to an electrical conductivity of about 976 µS/cm. This conversion was made using the relationship between chloride concentration and EC for “normal” years in Guivetchi (1986). See Attachment C for detail.
4.2. The proposed project was not modeled.
As discussed below, the preferred Alternative 4A—the project scenario upon which the Change Petition and WaterFix Project are based—was not modeled. As a result, the harm to the City and other downstream beneficial uses, and the environmental impacts of the WaterFix Project (Alternative 4A), cannot be determined based on the existing modeling. For the purpose of the Protest process, the SWRCB does not have sufficient information on which to base any determination of harm. In addition, harm will reach beyond Antioch and its population, as the City will become more reliant on water supplied by CCWD with the implementation of the proposed project. This will place additional stress on CCWD and Central Valley Projects water.
The RDEIR/SDEIS identifies Alternative 4A, also known as the “WaterFix” and presented for the first time in the 2015 RDEIR/SDEIS, as the preferred alternative. However, Alternative 4A was not explicitly modeled. Instead, the environmental impacts of Alternative 4A were assessed using modeling of Alternative 4 (first presented in the 2013 Draft RDEIR/SDEIS) and a limited sensitivity analysis.
Although the RDEIR/SDEIS states, “Lead agencies have determined that they may reasonably rely on modeling conducted for Alternative 4 to accurately predict the environmental effects of Alternative 4A,”\(^8\) the differences between Alternative 4 and proposed project Alternative 4A are significant, as shown in Table 4-2. As detailed in Section 5.3, three of the differences between the models—the amount of tidal restoration, the salinity objective compliance location, and the operation of the Suisun Marsh salinity control gates—have direct and immediate impacts on the salinity levels predicted to occur at Antioch’s intake. In addition, salinity within the Delta often behaves in a non-linear fashion, such that without being modeled, it is not possible to reliably infer the effects of multiple changes in model assumptions on model output.
In summary, the differences between Alternative 4A and Alternative 4 are significant, such that the environmental impacts of Alternative 4A cannot be determined based on the existing modeling.
\(^8\) See *New Alternatives: Alternatives 4A, 2D and 5A* (Chapter 4 of the Bay Delta Conservation Plan/California WaterFix RDEIR/SDEIS) at page 4.1-43, lines 17–19 (“Physical Modeling”).
Table 4-2. Comparison of modeled conditions and conditions of proposed project Alternative 4A
| Condition | Model Parameters for Alternative 4 (2013) | Proposed Project Alternative 4A (2015) |
|------------------------------------------------|------------------------------------------|---------------------------------------|
| CEQA baseline | Existing conditions (EBC1) | Existing conditions (EBC1) |
| NEPA baseline | NAA ELT | NAA ELT |
| Sea level rise | 15 cm (ELT) | 15 cm (ELT) |
| Fall X2 | Included | Included |
| Conservation measures/Environmental commitments| 25,000 acres of tidal restoration of wetlands (at ELT), and 65,000 acres at LLT | Up to 59 acres of tidal wetland restoration |
| Yolo Bypass Restoration | 8,000 acres of restoration included | 0 acres |
| EcoRestore | No separate project — Alternative 4 included restoration commitment | Separate project |
| Salinity objective compliance location | Three Mile Slough | Emmaton |
| Suisun Marsh salinity control gates | Not operated | Operated |
4.3. Operations of the proposed project, Alternative 4A, are not defined.
One of the major problems with the WaterFix Project, as proposed and as analyzed in the RDEIR/SDEIS, is that it does not define or disclose certain Operating Scenarios. This failure by the WaterFix Project makes it impossible for the City to analyze the potential impacts of the Project on its water rights and water supply. This failure also makes it impossible for the SWRCB to make a proper determination of harm to downstream beneficial uses.
The RDEIR/SDEIS states that operational scenario H3+, which is bounded by Operations Scenarios H3 and H4 from the 2013 Alternative 4, is representative of the operations proposed under Alternative 4A. As with Alternative 4 Operations Scenarios H3 and H4, the operations scenario described for the proposed project includes both Fall X2 operations and criteria for spring outflow, bounded by the criteria associated with H3 and H4.
However, these operations will be modified via the use of an Adaptive Management and Monitoring Plan (AMMP). The AMMP is to be implemented to develop additional science during the course of project construction and operation, to inform and improve conveyance facilities operational limits and criteria, and the AMMP is anticipated to result in modifications to operations of the North Delta bypass flows, South Delta export operations, head of the Old
River barrier operations, spring Delta outflows, and the Rio Vista minimum flow standard in January through August.\(^9\) No operational “limits” are provided in the RDEIR/SDEIS that would inform the City regarding how the project may be operated, and no additional model runs are provided that would indicate the water quality impacts that may result from modified operations. Thus, the operational conditions described for Alternative 4A are essentially unconstrained, providing an undefined degree of flexibility that can be expected, based on model runs for Alternative 4 Operations Scenarios H1 and H2 (which do not include Fall X2) to result in significant impacts to water quality at Antioch’s intake.
Further, the criteria for some operational parameters, such as winter and summer outflow, are worded vaguely: “Flow constraints established under D-1641 will be followed if not superseded by criteria listed above.”\(^{10}\) It is difficult to discern the proposed water operations flow criteria with this lack of clarity in description.
Particularly noteworthy to the City is the fact that the very limited discussion of operational flexibility that does exist indicates that operations will be modified based solely on impacts to fish species, including critically important operations parameters for both spring outflow (to be managed for longfin smelt)\(^{11}\) and Fall X2 (to be managed for delta smelt).\(^{12}\) No mention is made of the importance of spring outflow and Fall X2 to water quality in the western Delta, and no indication is given that operations would be constrained to avoid a worsening of water quality in the western Delta.
As detailed below, operations criteria are vitally important as a determinant of water quality at Antioch’s intake. For this reason, the City requests that project proponents make a direct and binding commitment to operate the project in such a manner that water quality degradation in the western Delta is limited to the range evaluated in the RDEIR/SDEIS, or to full mitigation of any potential impacts from such operations.
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\(^9\) RDEIR/SDEIS at p. ES-18.
\(^{10}\) RDEIR/SDEIS at p. 4.1-10, regarding the operations parameter “winter and summer outflow.”
\(^{11}\) For example, p. 4.1-9 of the RDEIR/SDEIS indicates that, for spring outflow, “To ensure maintenance of longfin smelt abundance, initial operations will provide a March-May average outflow bounded by the requirements of Scenario H2, which are consistent with D-1641 standards, and Scenario H, which would be scaled to Table 3-24 in Chapter 3, Section 18.104.22.168 of the Draft EIR/EIS… Adjustments to the criteria above and these outflow targets may be made using the Adaptive Management Process and the best available scientific information available [sic] regarding all factors affecting longfin smelt abundance.”
\(^{12}\) For example, p. 4.1-9 of the RDEIR/SDEIS indicates that “September, October, November implement the USFWS (2008) BiOp Fall X2 requirements. However, similar to spring Delta outflow and consistent with the existing RPA adaptive management process, adjustments to these outflow targets may be made using the Adaptive Management and Monitoring Program described below and the best available scientific information regarding all factors affecting delta smelt abundance.”
4.4. The Adaptive Management and Monitoring Program is undefined.
The Adaptive Management and Monitoring Program (AMMP) is undefined, and is likely to produce adverse environmental impacts, including impacts to water quality. The AMMP is included within the RDEIR/SDEIS as a means to accommodate flexibility in the proposed project that is required due to the “considerable scientific uncertainty… regarding the Delta ecosystem, including the effects of CVP and SWP operations and the related operational criteria.”\(^{13}\) It is well established that there is substantial uncertainty in the Delta ecosystem, and an adaptive management strategy is necessary. However, an adaptive management strategy should not be used as a means to circumvent project planning.
Proposed project Alternative 4A relies heavily on the AMMP to dictate changes in operation of water conveyance facilities, habitat restoration, and other factors during project construction and operation. The AMMP is a central component of Alternative 4A, yet remains almost wholly undefined. Beyond an introduction to basic principles of adaptive management, there is little discussion of how the AMMP will be implemented, nor does it appear that there will be a review process for the considerable changes that may be recommended as a result of the AMMP. Although the AMMP is described as a means of making adjustments to operations criteria, there is no discussion of how this iterative process will occur. In addition, no operational boundaries are defined with regard to potential application of the AMMP within Alternative 4A that would operate to reduce increased salinity caused by WaterFix and the operations of the State and Federal Projects.\(^{14}\)
The RDEIR/SDEIS indicates that “collaborative science and adaptive management will, as appropriate, develop and use new information and insight gained during the course of project construction and operation to inform and improve… the operation of the water conveyance facilities under the Section 7 biological opinion and 2081b permit…”\(^{15}\) As with the discussion of project operations, the RDEIR/SDEIS appears to indicate that the only factor that will be considered in modifying operations will be impacts to fish. The City is concerned that an AMMP focused solely on fish will fail to consider the potentially substantial water quality impacts that could be induced by even modest changes to project operations.
\(^{13}\) RDEIR/SDEIS at p. 4.1-18, line 17.
\(^{14}\) See also the September 30, 2015, report of the Delta Independent Science Board, which noted at p. 5, “There is a very general and brief mention of the steps in the adaptive management process in Section 4 (p. 4.1-6 to 4.1--7), but nothing more about the process… We did not find examples of how adaptive management would be applied to assessing—and finding ways to reduce—the environmental impacts of project construction and operation… To be effective in addressing unexpected outcomes and the need for mid-course corrections, an adaptive-management team should evaluate a broad range of actions and their consequences from the beginning, as plans are being developed, to facilitate the early implementation and effectiveness of mitigation activities.” The Delta Independent Science Board report is attached to the City’s comments as Attachment D.
\(^{15}\) RDEIR/SDEIS at p. 4.1-18.
Considering the previous discussion, it is unreasonable and without foundation for the RDEIR/SDEIS to state, “For the purposes of analysis, it is assumed that the Collaborative Science and Adaptive Management Program (AMMP) developed for Alternative 4A would not, by itself, create nor contribute to any new significant environmental effects.”
4.5. The appropriate timeframes for the proposed project were not evaluated.
The RDEIR/SDEIS indicated that two baselines were used in the current analysis: the “Existing Conditions” baseline defined in the 2013 Draft EIR/EIS was used for the CEQA impact analysis, and the “No Action Alternative Early Long-Term” (NAA-ELT) scenario was used for the NEPA impact analysis. The impacts of the proposed project were evaluated quantitatively only in the Early Long-Term (ELT) timeframe. Long-term impacts of the proposed project were evaluated only qualitatively, even though the 2013 EIR did evaluate Alternative 4 (the 2013-proposed project) for a Late Long-Term (LLT) timeframe quantitatively, even though the project documents note that the project “would continue indefinitely.” As detailed below, the City’s consultants previously evaluated water quality impacts for the LLT using DSM2 model runs provided by DWR, and those model results at LLT (see Attachment B) showed significant water quality impacts at LLT, which would have significant impacts on the City’s ability to utilize its intake. Because the project “would continue indefinitely,” a quantitative analysis of the long-term impacts of the project is needed, and the SWRCB cannot properly determine harm to beneficial uses such as Antioch (or compliance with D-1641) until such analysis is performed.
5. Even given concerns with the modeling analysis, it is clear that water quality impacts to Antioch are significant.
5.1. Salinity Thresholds and Relevance
Three salinity thresholds were used to evaluate the potential impacts of the WaterFix Project on the City:
1) 486 µS/cm (equivalent to 100 mg/L chloride)
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16 RDEIR/SDEIS at p. 4.1-18.
17 The RDEIR/SDEIS states, on p. 4.1-42, “The same ‘Existing Conditions’ baseline defined in the Draft EIR/EIS applies to Alternatives 4A, 2D, and 5A, for the purposes of the CEQA impact analysis… Because Alternatives 4A, 2D, and 5A, contemplate a shorter permit period for project implementation than the other alternatives, the new “No Action Alternative Early Long-Term” (No Action Alternative ELT) is used as the NEPA point of comparison for these alternatives. The No Action Alternative ELT is described and analyzed in Section 4.2. However, because the project would continue indefinitely, the analysis qualitatively examines impacts at the Late Long-Term timeframe for Alternative 4A, 2D, and 5A, but does not make a CEQA or NEPA conclusion based off the No Action Alternative LLT baseline” (emphasis added).
2) 642 µS/cm (150 mg/L chloride)
3) 976 µS/cm (250 mg/L chloride)\(^{18}\).
The 100- and 250-mg/L chloride thresholds are based on a simplified and preliminary evaluation of the City’s intake operations, as follows:
- At chloride levels of 100 mg/L or less, it was assumed that the City would use only water from the intake at the San Joaquin River.
- At chloride levels of 250 mg/L or greater, it was assumed that the City would stop using the intake entirely.
- At chloride levels between 100 and 250 mg/L, it was assumed that the City would blend water from the intake with water purchased from CCWD.
In addition, a chloride level of 250 mg/L (equivalent to 976 µS/cm as EC) is identified as the threshold for usable water in the City’s agreement with DWR. An analysis to describe the City’s operations in greater detail, and to refine the evaluation of impacts and harm, will follow this submission.
Finally, the 150 mg/L chloride threshold is the water quality objective for municipal and industrial beneficial uses described by the State Water Resources Control Board (SWRCB) in Water Right Decision 1641 (D-1641), “Implementation of Water Quality Objectives for the San Francisco Bay/Sacramento-San Joaquin Delta Estuary.”\(^{19}\) The principal however that D-1641 protects all beneficial uses, particularly the 150 mg/L standard for urban water use is questionable given the drinkability of the water with this level of chlorides.
### 5.2. Evaluation of Water Availability at Salinity Thresholds
Operational scenarios H3 and H4, together referred to as H3+, are discussed in the RDEIR/SDEIS as representative of the proposed WaterFix Project. Because scenario H3+ was not modeled explicitly, scenarios H3 and H4 were considered to represent the potential range of operations of the project. Operational scenarios H1 and H2 were included in the 2013 DEIR and are discussed in the 2015 RDEIR/SDEIS; however, they are not discussed in the context of the WaterFix Project. Exponent used model results from scenarios H1 and H2 to illustrate the range of water quality impacts that may result from changes in project operations.
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\(^{18}\) Conversions between chloride concentration and electrical conductivity (EC) were made using the relationship for “normal” years in Guivetchi (1986).
\(^{19}\) Table 1 of D-1641 includes chloride thresholds to be met at either Contra Costa Pumping Plant #1 or the San Joaquin River at Antioch Water Works Intake. Table 1 of D-1641 requires the maximum mean daily 150- mg/L Cl\(^-\) threshold to be met for a specified number of days, depending upon the hydrologic classification of the water year, in time periods of no less than two continuous weeks.
As discussed in Section 4.1, Exponent used the EBC2 scenario as the appropriate benchmark for evaluating water quality impacts of various operational scenarios. Tables 5-2 through 5-5 provide the number of days, calculated from DWR’s model results, that water quality is predicted to be above the specific chloride benchmark value of either 100 mg/L or 250 mg/L evaluated for early long-term (ELT) and late long-term (LLT) conditions.\(^{20}\) Under the baseline scenario, salinity is above the 100-mg/L chloride threshold 65% of the time, and water is above the 250-mg/L usability threshold 55% of the time.
**Table 5-1 Number of days per year chloride is above 100 mg/L for the ELT condition from DWR model results for the time period 1974–1991**
| Year Type | EBC2 | H1 | H2 | H3 | H4 | NAA |
|-----------|------|------|------|------|------|-----|
| All | 237 | 248 | 244 | 235 | 232 | 249 |
| Critical | 337 | 345 | 338 | 345 | 342 | 341 |
| Dry | 277 | 280 | 280 | 281 | 280 | 286 |
| Normal | 206 | 210 | 206 | 203 | 197 | 217 |
| Wet | 125 | 151 | 146 | 116 | 114 | 145 |
**Table 5-2 Number of days per year chloride is above 100 mg/L for the LLT condition from DWR model results for the time period 1974–1991**
| Year Type | EBC2 | H1 | H2 | H3 | H4 | NAA |
|-----------|------|------|------|------|------|-----|
| All | 237 | 263 | 259 | 247 | 245 | 258 |
| Critical | 337 | 347 | 347 | 338 | 341 | 341 |
| Dry | 277 | 299 | 297 | 282 | 281 | 299 |
| Normal | 206 | 225 | 216 | 216 | 211 | 225 |
| Wet | 125 | 173 | 167 | 147 | 141 | 160 |
\(^{20}\) As detailed in the RDEIR/SDEIS, the early long-term (ELT) scenario corresponds to conditions during years 11 through 15 following project implementation, and incorporates 15 cm of sea-level rise. The late long-term (LLT) scenario corresponds to conditions during years 16 through 50.
Because Alternatives 4A, 2D, and 5A, contemplate a shorter permit period for project implementation than the other alternatives, the new “No Action Alternative Early Long-Term” (No Action Alternative ELT) is used as the NEPA point of comparison for these alternatives. The No Action Alternative ELT is described and analyzed in Section 4.2. However, because the project would continue indefinitely, the analysis qualitatively examines impacts at the Late Long-Term timeframe for Alternative 4A, 2D, and 5A, but does not make a CEQA or NEPA conclusion based off the No Action Alternative LLT baseline” (emphasis added).
Table 5-3 Number of days per year chloride is above 250 mg/L for the ELT condition from DWR model results for the time period 1974–1991
| Year Type | EBC2 | H1 | H2 | H3 | H4 | NAA |
|-----------|------|------|------|------|------|-----|
| All | 201 | 214 | 209 | 194 | 190 | 211 |
| Critical | 302 | 311 | 301 | 313 | 307 | 306 |
| Dry | 220 | 231 | 229 | 230 | 227 | 232 |
| Normal | 177 | 188 | 184 | 166 | 161 | 194 |
| Wet | 100 | 124 | 148 | 78 | 75 | 107 |
Table 5-4 Number of days per year chloride is above 250 mg/L for the LLT condition from DWR model results for the time period 1974–1991
| Year Type | EBC2 | H1 | H2 | H3 | H4 | NAA |
|-----------|------|------|------|------|------|-----|
| All | 201 | 225 | 223 | 203 | 202 | 216 |
| Critical | 302 | 308 | 309 | 301 | 305 | 303 |
| Dry | 220 | 249 | 250 | 217 | 218 | 247 |
| Normal | 177 | 190 | 187 | 174 | 169 | 187 |
| Wet | 100 | 145 | 138 | 111 | 105 | 116 |
Using the data from Tables 5-1 through 5-4, the difference in the number of days per year that water quality is above threshold values for various operational scenarios relative to the EBC2 scenario was calculated. The difference in number of days per year is shown in Tables 5-5 and 5-6 for both ELT and LLT conditions. A positive value indicates that salinity will remain below the threshold for that many more days per year under the specific scenario—i.e., model results predict an improvement in water quality relative to the baseline scenario. A negative value indicates that salinity will be above the threshold for that many more days—i.e., model results predict adverse impacts relative to the baseline scenario.
Tables 5-5 and 5-6 show that, during dry and critical years, operational scenarios H3 and H4 are predicted to result generally in degradation of water quality relative to the EBC2 scenario. The analysis shows that, overall, under the ELT condition, the threshold values will be exceeded less frequently than the under the baseline condition, and under the LLT condition, the threshold values will be exceeded more frequently. More specifically, analysis of the 100-mg/L benchmark (Table 5-5) shows the following:
- Water quality degradation for H3 and H4 operational scenarios during dry and critical years
- Water quality improvement for above-normal, below-normal, and wet years for operational scenarios H3 and H4 for the ELT condition
Water quality degradation for above-normal, below-normal, and wet years for operational scenarios H3 and H4 for the LLT condition.
NAA always results in water quality degradation, exacerbated by LLT condition.
Analysis of the 250-mg/L benchmark (Table 5-6) shows the following:
- Salinity exceeds the threshold value more frequently during dry and critical years for the ELT condition than for the LLT condition.
- Salinity exceeds the threshold value more frequently during wet, above-normal, and below-normal years for the LLT condition than for the ELT condition.
- During wet and above- and below-normal years, operational scenarios H3 and H4 maintain salinity below the threshold value between 11 and 25 more days per year than the baseline scenario.
- NAA always results in water quality degradation, exacerbated by LLT condition.
**Table 5-5. The difference in number of days per year total chlorides are under 100 mg/L (equivalent to 486 µS/cm) between the EBC2 scenario and operational scenarios H3, H4, and NAA for sea-level rise of 15 cm (ELT) and 45 cm (LLT)**
| Water Year Type | Difference in number of days [Cl] <100 mg/L between operational scenario given and EBC2 for ELT condition | Difference in number of days [Cl] <100 mg/L between operational scenario given and EBC2 for LLT condition |
|--------------------------|--------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------|
| | H3 | H4 | NAA | H3 | H4 | NAA |
| All | 3 | 6 | -11 | -10 | -7 | -20 |
| Critical | -8 | -4 | -4 | -1 | -3 | -4 |
| Dry | -4 | -3 | -9 | -5 | -4 | -23 |
| Above and Below Normal | 3 | 10 | -11 | -10 | -5 | -19 |
| Wet | 9 | 11 | -20 | -22 | -16| -35 |
*(No. of days/year below threshold at H3, H4, or NAA) - (No. of days/year below threshold at EBC2) = No. of days/year difference. A positive value indicates that salinity will remain *below* the threshold for that many more days per year under the specific scenario—an improvement in water quality. A negative value indicates that salinity will be *above* the threshold for that many more days, showing adverse impacts relative to the baseline scenario.*
Table 5-6. The difference in number of useable per year (days total chlorides are under 250 mg/L, equivalent to 976 µS/cm, the benchmark for water usability) between the EBC2 scenario and operational scenarios H3, H4, and NAA for sea-level rise of 15 cm (ELT) and 45 cm (LLT)
| Water Year Type | Difference in number of days [Cl⁻] < 250 mg/L between operational scenario given and EBC2 for ELT condition | Difference in number of days [Cl⁻] < 250 mg/L between operational scenario given and EBC2 for LLT condition |
|--------------------------|-------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------|
| | H3 | H4 | NAA | H3 | H4 | NAA |
| All | 7 | 11 | -9 | -2 | 0 | -15 |
| Critical | -11 | -6 | -5 | 1 | -3 | -8 |
| Dry | -11 | -7 | -12 | 3 | 2 | -27 |
| Above and Below Normal | 11 | 16 | -17 | 3 | 8 | -10 |
| Wet | 22 | 25 | -7 | -11 | -5 | -16 |
*(No. of days/year below threshold at H3, H4, or NAA) - (No. of days/year below threshold at EBC2) = No. of days/year difference. A positive value indicates that salinity will remain below the threshold for that many more days per year under the specific scenario—an improvement in water quality. A negative value indicates that salinity will be above the threshold for that many more days, showing adverse impacts relative to the baseline scenario.*
As discussed in Section 4.4, operations may be adjusted under the proposed AMMP. If operations were adapted to resemble operational scenarios H1 or H2, more severe adverse impacts to water quality at Antioch would be observed. The analysis below supports the previous discussion regarding the importance of modeling the proposed project, and shows that operational changes have a substantial impact on water quality in the Delta.
Tables 5-7 and 5-8 show the number of days below threshold values of 100 and 250 mg/L chloride for scenarios H1 and H2 compared with the number of days below threshold values for the EBC2 condition at ELT and LLT. As discussed previously, values indicate additional (positive numbers) or fewer (negative numbers) days per year that water quality meets the threshold value). Tables 5-7 and 5-8 show that, under all scenarios (with two exceptions), the benchmark chloride values will be exceeded by as many as 48 days per year (13.2% of the time) for a 100-mg/L threshold, and 47 days (12.8% of the time) for a 250-mg/L threshold.
Table 5-7. The difference in number of days per year total chlorides are under 100 mg/L (equivalent to salinity of 486 µS/cm) between the EBC2 scenario and operational scenarios H1, H2, and NAA for sea-level rise of 15 cm (ELT) and 45 cm (LLT)
| Year Type | Difference in number of days [Cl⁻]<100 mg/L between operational scenario and EBC2 for ELT condition | Difference in number of days [Cl⁻]<100 mg/L between operational scenario and EBC2 for LLT condition |
|-----------|--------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------|
| | H1 | H2 | NAA | H1 | H2 | NAA |
| All | -11 | -7 | -11 | -26 | -22 | -20 |
| Critical | -8 | -1 | -4 | -10 | -10 | -4 |
| Dry | -4 | -3 | -9 | -23 | -20 | -23 |
| Normal | -4 | 0 | -11 | -19 | -10 | -19 |
| Wet | -26 | -21| -20 | -48 | -41 | -35 |
*(No. of days/year below threshold at H1, H2, or NAA) - (No. of days/year below threshold at EBC2) = No. of days/year difference. A positive value indicates that salinity will remain below the threshold for that many more days per year under the specific scenario—an improvement in water quality. A negative value indicates that salinity will be above the threshold for that many more days, showing adverse impacts relative to the baseline scenario.*
Table 5-8. The difference in number of useable per year (days total chlorides are under 250 mg/L, equivalent to 976 µS/cm, the benchmark for water usability) between the EBC2 scenario and operational scenarios H1, H2, and NAA for sea level rise of 15 cm (ELT) and 45 cm (LLT)
| Year Type | Difference in number of days [Cl⁻]<250 mg/L between operational scenario and EBC2 for ELT condition | Difference in number of days [Cl⁻]<250 mg/L between operational scenario and EBC2 for LLT condition |
|-----------|--------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------|
| | H1 | H2 | NAA | H1 | H2 | NAA |
| All | -13 | -8 | -9 | -24 | -22 | -15 |
| Critical | -9 | 0 | -5 | -7 | -7 | -8 |
| Dry | -11 | -9 | -12 | -29 | -31 | -27 |
| Normal | -11 | -7 | -17 | -13 | -10 | -10 |
| Wet | -24 | -47| -7 | -45 | -38 | -16 |
*(No. of days/year below threshold at H1, H2, or NAA) - (No. of days/year below threshold at EBC2) = No. of days/year difference. A positive value indicates that salinity will remain below the threshold for that many more days per year under the specific scenario—an improvement in water quality. A negative value indicates that salinity will be above the threshold for that many more days, showing adverse impacts relative to the baseline scenario.*
5.3. Water quality impacts are expected to be more significant than shown by modeling.
As noted throughout this memo, there are significant differences between the 2013 Alternative 4 (which was modeled) and the proposed project (2015 Alternative 4A, which was not modeled). However, the 2013 EIR/EIS identified “significant and unavoidable” impacts with respect to chloride concentrations in the western Delta as a result of implementing Alternative 4 (the 2013 proposed project).\(^{21}\) Even though the current RDEIR/SDEIS envisions that Alternative 4A would use preliminary project operations based on Operations Scenarios H3 and H4 (which would have lesser impacts on salinity than Operations Scenarios H1 and H2), these scenarios were part of the original project modeling, and thus, the basis for a shift from “significant and unavoidable impacts” to “no significant impacts” is unclear. (In fact, effects on chloride concentrations are listed as “LTS,” or “less than significant,” for Alternative 4 in the RDEIR/SDEIS Executive Summary,\(^{22}\) even though the same alternative was determined, using the same model runs, to have “significant and unavoidable” impacts to salinity in the western Delta in 2013; the basis for this change relative to the findings for Alternative 4 in the 2013 EIR/EIS is also unclear.)
As noted in previous comments (see Attachment A), the severity of impacts at Antioch’s intake is concealed, because the RDEIR/SDEIS presents model results as daily, monthly, or yearly averages. Antioch’s use of its intake does not rely on average salinity, but rather, on salinity measured at each instant in time. Thus, it is only through a detailed examination of model results that Antioch can evaluate the water quality impacts that the proposed project is expected to induce.
In addition, the sensitivity analyses performed in support of the RDEIR/SDEIS appear to indicate significant increases in chloride concentrations in the western Delta, including at Antioch, under certain conditions. For example, the Supplemental Modeling for New Alternatives indicates that the proposed project (Alternative 4A, Operations Scenario H3) would cause increases in chloride concentrations at Antioch relative to the existing condition run (which, as noted above, is biased toward higher-than-actual salinity) in drought years during the months of March (19% higher), April (+25%), May (+22%), June (+11%), July (+6%), August (+20%), and September (+14%). Similarly, in all year types during the 1976–1991 simulation period, salinity would increase in the months of March (+9%), April (+16%), May (+9%), June (+2%), and August (+9%). Even relative to the No Action Alternative-Early Long Term, salinity would increase at Antioch in nearly all of these months by as much as +15% (in August of drought years).\(^{23}\)
\(^{21}\) See prior comments submitted by the City in Attachment A, and p. 8-429 of the 2013 EIR/EIS.
\(^{22}\) RDEIR/SDEIS at p. ES-43.
\(^{23}\) See RDEIR/SDEIS Appendix B at p. B-94.
In addition to increases in chloride concentrations (i.e., salinity), the City is concerned about increases in bromide concentrations that will be caused by the proposed project. The RDEIR/SDEIS notes that “multiple interior and western Delta assessment locations would have an increased frequency of exceedance of 50 µg/L, which is the CALFED Drinking Water Program goal for bromide as a long-term average applied to drinking water intakes… These locations [include] San Joaquin River at Antioch… Similarly, these locations would have an increased frequency of exceedance of 100 µg/L, which is the concentration believed to be sufficient to meet currently established drinking water criteria for disinfection byproducts… The greatest increase in frequency of exceedance of 100 µg/L would occur at Franks Tract (6% increase) and San Joaquin River at Antioch (4-5% increase depending on operations scenario).”\(^{24}\) Appendix B to the RDEIR/SDEIS presents the results of sensitivity studies showing estimated bromide concentrations at Antioch for “periods of historically acceptable water quality for withdrawal.” The sensitivity studies show that bromide concentrations would increase significantly at Antioch; for example, in February through April of wet and above-normal year types, model analyses indicate that bromide concentrations are expected to increase from below the 100-µg/L threshold for both the Existing Conditions and the No Action Alternative-ELT scenarios to levels well above the 100-µg/L threshold for Alternative 4 Operations Scenarios H3 and H4, respectively.\(^{25}\) Yet the RDEIR/SDEIS concludes that impacts due to bromide are “less than significant.”\(^{26}\) This conclusion is not credible.
Two differences between the model runs and the proposed project will have particularly significant impacts on salinity at Antioch’s intake, and these are not disclosed in the RDEIR/SDEIS. The first is the impact of tidal marsh restoration. The model runs for the proposed project include 25,000 acres of tidal marsh restoration at the ELT timeframe and 65,000 acres of tidal marsh restoration at the LLT timeframe, but this restoration is not part of the proposed project (Alternative 4A includes only “up to 59 acres” of marsh restoration; see Table 1). Model runs were conducted in 2013 as part of the 2013 EIR/EIS process to evaluate the impact of tidal marsh restoration on salinity levels within the Delta; those model runs determined that tidal marsh restoration under ELT conditions is expected to decrease tidally
---
\(^{24}\) RDEIR/SDEIS at p. 4.3.4-9. The RDEIR/SDEIS discussion regarding bromide states (incorrectly) that “the use of seasonal intakes at these locations is largely driven by acceptable water quality, and thus has historically been opportunistic. Opportunity to use these intakes would remain, and the predicted increases in bromide concentrations at Antioch and Mallard Slough would not be expected to adversely affect MUN beneficial uses, or any other beneficial use, at these locations.”
\(^{25}\) See RDEIR/SDEIS Appendix B at p. B-87. Note that two methods were used to evaluate bromide concentrations (the “mass-balance modeling approach” and the “EC to chloride and chloride to bromide” modeling approach), and results from the two methods differ. However, 18 of 24 entries in Tables Br-5 and Br–6 at RDEIR/SDEIS Appendix B at p. B-87 show predicted bromide concentrations for Alternative 4, Scenarios H3 and H4 (ELT) greater than 100 µg/L, with the highest value of 178 µg/L; only 6 of 24 entries for either the Existing Conditions or No Action Alternatives show concentrations greater than 100 µg/L. Despite differences in results obtained using the two methods, it is clear that bromide concentrations are expected to increase significantly and to exceed applicable thresholds a much greater percentage of the time.
\(^{26}\) RDEIR/SDEIS at p. ES-43.
averaged EC (surrogate for salinity) by 5.49% at Antioch, compared to the base case.\textsuperscript{27} In contrast, because the proposed Alternative 4A ELT does \textit{not} include 25,000 acres of the tidal marsh, it is reasonable to assume that salinity levels at Antioch during the subject time period would be at least 5% higher than disclosed in the RDEIR/SDEIS. This inaccuracy in predicted salinity levels would apply to bromide as well. Thus, salinity and bromide impacts that are disclosed in the RDEIR/SDEIS are almost certainly underestimated because of the failure to conduct model runs that accurately represent the limited tidal marsh restoration contemplated by the proposed project.
A second major concern with the modeling is the treatment of the Suisun Marsh Salinity Control Gates. The RDEIR/SDEIS indicates that “Modeling of all alternatives assumed no operation of the Suisun Marsh Salinity Control Gates, but the project description for all alternatives now assumes continued operation of the Salinity Control Gates, consistent with assumptions included in the No Action Alternative.”\textsuperscript{28} Chapter 2 of the RDEIR/SDEIS states that a sensitivity analysis was conducted to evaluate the impacts of operational Suisun Marsh Salinity Control Gates on EC (a surrogate for salinity) under Existing Conditions and the No Action Alternative for several locations in the Marsh and for several months. The sensitivity analysis found that operating the Suisun Marsh Salinity Control Gates resulted in freshening (lower salinity) within the Suisun Marsh. However, model results describing predicted salinity in the western Delta were not provided, to our knowledge, anywhere within the RDEIR/SDEIS. Our evaluation of those model runs indicates that salinity at Antioch is higher when the Suisun Marsh Salinity Control Gates are operated. If actual Suisun Marsh Salinity Control Gate operations had been modeled, salinity values at Antioch would almost certainly be higher than disclosed in the RDEIR/SDEIS. Once again, salinity and bromide impacts in the RDEIR/SDEIS have been underestimated because of the failure to conduct model runs that included operation of the Suisun Marsh Salinity Control Gates.
6. Compliance with Water Right Decision 1641
Water quality objectives for municipal and industrial beneficial uses described in SWRCB D-1641 states that water quality at Contra Costa Canal at Pumping Plant #1 or San Joaquin River at Antioch Water Works Intake must meet specific criteria for chloride. The “maximum mean daily” chloride concentration must be below the threshold of 150 mg/L for at least 240 days during wet water years, 190 days during above-normal water years, 175 days for below-normal water years, 165 days for dry water years, and 155 days for critical water years. As noted previously, the 150 mg/L standard is questionable given the drinkability of the water with this high of salinity. In addition, the compliance point at Contra Costa Canal is east of Antioch and is less affected by tidal salinity, thus compliance with the standard is likely achieved at that location and not at Antioch.
\textsuperscript{27} See Figure 6-26 in the 2013 Draft BDCP EIR/EIS Appendix 5A, Section D, Attachment 2, which presents the percent increase in tidally averaged EC for the ELT scenario compared to baseline for September 2002.
\textsuperscript{28} RDEIR/SDEIS Chapter 2 at p. 2-8, lines 30-32.
The DSM2 model runs performed by DWR were used to calculate the number of days per calendar year that compliance is achieved at Antioch by water year for the 17-year record from 1974 to 1991 for each operational scenario, including both baseline conditions and the no-action-alternatives. Tables 6-1 and 6-2 show that only occasionally during wet years for any operational scenario is water quality in compliance with D-1641 at Antioch. For critical, dry, and above- and below-normal years, water quality is never in compliance with D-1641 at Antioch.
Table 6-1. Number of years meeting salinity criteria (<150 mg/L) for baseline and SLR15 scenarios based on DWR model results for the 17-year time period 1974–1991
| Water Year Type | Total Years | EBC1 | EBC2 | H1 | H2 | H3 | H4 | NAA |
|-----------------|-------------|------|------|----|----|----|----|-----|
| All | 17 | 2 | 2 | 2 | 2 | 2 | 4 | 2 |
| Critical | 5 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Dry | 4 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Normal | 3 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Wet | 5 | 2 | 2 | 2 | 2 | 2 | 4 | 2 |
Table 6-2. Number of years meeting salinity criteria (<150 mg/L) for baseline and SLR45 scenarios based DWR model results for the 17-year time period 1974–1991
| Water Year Type | Total Years | EBC1 | EBC2 | H1 | H2 | H3 | H4 | NAA |
|-----------------|-------------|------|------|----|----|----|----|-----|
| All | 17 | 2 | 2 | 2 | 2 | 2 | 2 | 2 |
| Critical | 5 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Dry | 4 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Normal | 3 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Wet | 5 | 2 | 2 | 2 | 2 | 2 | 2 | 2 |
7. Anticipated Harm to Antioch
As shown in Section 5, the salinity will increase at the City’s intake as a result of the WaterFix Project. When the salinity at Antioch’s intake exceeds the threshold value for domestic water use, the City must purchase water from CCWD. Because the number of days per year the City can use water at its intake will decrease with the WaterFix Project, the City will be compelled to purchase more water each year as a direct consequence of the WaterFix Project.
It is difficult to determine the impacts of the proposed project on water quality; however harm will be caused to Antioch with every small increase in salinity that occurs—regardless of compliance with D-1641 or fish and habitat protection criteria. With increasing salinity, harm is caused to Antioch based on their need to purchase more water from CCWD for blending, and also from customer response to saltier tasting water. To evaluate the expected harm to Antioch, Exponent performed a preliminary calculation of the present value of additional water that will need to be purchased over a 50-year period as a result of the WaterFix Project.
Antioch’s operations were simplified for this preliminary analysis. Specifically, it was assumed that Antioch purchases 100% of the City’s water supply from CCWD when chloride is above 250 mg/L at the City’s intake on the San Joaquin River. When chloride is between 100 and 250 mg/L at their intake, it was assumed that the City’s supply would consist of 50% water from the City’s intake and 50% water purchased from CCWD. Finally, it was assumed that the City’s supply would be pumped entirely (100%) from the City’s intake when chloride is less than 100 mg/L. In reality, the City’s operations are more complex, and calculations will be refined in the future to more accurately reflect the City’s operations.
The present-value calculation relies on the following assumptions:
- The base cost of purchasing water from CCWD in 2015 ($C_{2015}$) was $2,300 per million gallons (i.e., $766 per acre-foot)\textsuperscript{29}
- The cost of water will increase 3% annually. This uniform rate of change defines a geometric gradient series of cash flows, which was used to calculate the present value of the cost of purchasing water over a 50-year period.
- Because a city may invest in other capital projects, a municipal bond rate was used as the discount rate (or interest rate) in this calculation. Municipal bond rates vary depending on issuer credit rating and maturity range of the bond. Currently, these values range from about 2.0% to 3.5%. A 3.0% discount rate was used, which represents the yield for a 30-year national municipal bond.\textsuperscript{30}
- The annual water demand for the City will remain constant at 5,000 million gallons (MG).\textsuperscript{31}
- Water quality impacts, as shown in Section 5.2, were used as the basis for the cost computations, which were performed, as follows:
\textsuperscript{29} Value provided by the City of Antioch based on average amount paid in 2015.
\textsuperscript{30} Bond yield quote from http://www.bloomberg.com/markets/rates-bonds/government-bonds/us retrieved on December 29, 2015.
\textsuperscript{31} Based on average water usage provided by the City for years 2013, 2014, and 2015 (year to date for 2015, through November 2015)
The number of days that water must be purchased by the City under each operational scenario (call this value D) is equivalent to the amount of time (in days) the average chloride concentration exceeds 250 mg/L, and 0.5 times the number of days chloride falls between 100 and 250 mg/L.\(^{32}\)
The cost for water in the year 2028 (\(C_{2028}\)) was calculated as \(C_{2028} = D \times (C_{2015} \times 1.03^{13})\)
Estimated costs were calculated for a 50-year period beginning in 2028, when the WaterFix project may become operational. The 2028 value of the cost of water (\(PV_{2028}\)) was calculated as\(^{33}\) \(PV_{2028} = 50 \times C_{2028} \div 1.03\)
The \(PV_{2028}\) value for each operational scenario was subtracted from the \(PV_{2028}\) value for the EBC2 scenario to determine the cost difference from the baseline (\(PV_{2028,\text{diff}}\))
\(PV_{2028,\text{diff}}\) for each operational scenario was discounted to present (2016) value as \(PV_{2016} = PV_{2028,\text{diff}} \div 1.03^{12}\)
- Section 5.3 shows that WQ impacts were likely underestimated because of differences between the model results and the proposed project, and thus, these values should be regarded as minimum additional expenditures that will result from the project.
- Each operational scenario was evaluated for the ELT (sea-level rise of 15 cm) and LLT (sea-level rise of 45 cm) condition.
- Because the City’s current Agreement with DWR will expire in 2028, it was assumed that no reimbursement would be received by the City pursuant to this Agreement.
Table 7-1 presents the difference in cost between the EBC2 baseline scenario and each of the operational scenarios. Positive numbers indicate that the operational scenario will result in costs greater than the baseline scenario, and negative numbers indicate the opposite—that money will be saved relative to the baseline scenario. The results show that, for any operational scenario evaluated at LLT (sea-level rise of 45 cm), Antioch will incur additional costs ranging from about $6M to $39.5M over the 50-year period. For operational scenarios H1 and H2, evaluated
\(^{32}\) DSM2 simulations performed by DWR for the period 1974-1991 provide salinity data at 15 minute intervals, and intervals in exceedance of threshold values were summed for all water year types over the 17 year period, converted to days, then divided by 17 to get an average annual number of days.
\(^{33}\) Expression for present value of a geometric gradient where the geometric gradient factor (annual water rate increase) is equivalent to the discount rate
at ELT (sea-level rise of 15 cm), Antioch would expect to pay an additional $12-18M, however would save on the order of $8-14M for operational scenarios H3 and H4. Sea-level rise is a consequential factor in the determination of harm based on DSM2 model results. This calculation is based on the known and disclosed impacts—these amounts could be far greater but cannot be determined based on the modeling flaws, invalid baseline condition, and undisclosed operating scenarios. Because the 1968 Agreement with DWR does not compensate for impacts from the Central Valley Project Operations, and is set to expire in 13 years, such impacts on the City will not be mitigated.
Table 7-1. Present value of minimum anticipated incurred costs for purchased water relative to the EBC2 scenario (millions of dollars)
| | All WYT | H1-EBC2 | H2-EBC2 | H3-EBC2 | H4-EBC2 |
|----------------|---------|---------|---------|---------|---------|
| LLT | | $39.5 | $34.5 | $9.1 | $6.2 |
| ELT | | $18.6 | $11.6 | -$7.7 | -$13.5 |
8. Summary
It is difficult, if not impossible, to assess the impacts of the proposed project on water quality at Antioch, because the proposed project was not modeled, and because there are major differences between the model runs used to assess impacts and the proposed project. Even so, our analysis of the modeling indicates that the proposed project will have significant impacts on water quality at Antioch’s intake, and these impacts are not disclosed in the RDEIR/SDEIS. The diversion of fresh Sacramento River water from the Delta will result in additional saltwater entering the Delta through Suisun Marsh. Compounded with anticipated sea-level rise, this will result in substantial impacts to water quality in the western Delta. In addition, the removal of flow from the Sacramento River to the Delta will impact Delta hydrodynamics, resulting potentially in further adverse impacts.
The modeling performed to support the proposed project used an inaccurate baseline condition; because the CEQA “Existing Conditions” model run does not include Fall X2 operations, the baseline is not representative of current conditions and results in worse water quality in the western Delta than actually occurs, thereby masking the impacts of the proposed project. These comments have been provided previously but have not been addressed to date, despite the fact that an accurate “Existing Conditions” model run was conducted by DWR and has been available for use since at least 2013.
In addition, certain features of the proposed project that were not evaluated (e.g., the model runs include 25,000 acres of tidal marsh restoration that is not part of the proposed project, and the model runs did not simulate operation of the Suisun Marsh Salinity Control Gates) are expected to result in significantly higher salinity in the western Delta than is shown in the model runs.
Finally, the proposed project operations are not defined, and the Adaptive Management and Monitoring Program (AMMP) that will be used to modify project operations has not been defined. There appear to be no constraints that would be imposed on project operations, and modifications to operations appear to be designed to protect fish species, without consideration of water quality impacts. As detailed in prior comments, and as is apparent from existing model runs, even small changes in project operations can cause significant impacts to water quality in the western Delta, including at Antioch’s intake.
The water quality impacts at the City’s intake will result in the need to purchase additional water from CCWD. The present value of the anticipated excess water that will need to be purchased by the City from CCWD to meet demand over a 50-year period was calculated to range from $39.5M to $6.2M, depending on WaterFix Project operations.
Attachment A
Technical Comments on the BDCP and Associated EIR/EIS Letter Prepared by Flow Science Incorporated
July 17, 2014
BDCP Comments
Ryan Wulff, NMFS
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
Via email: firstname.lastname@example.org
Subject: Appendix A to the City of Antioch Comment Letter
Technical comments on the Draft Bay Delta Conservation Plan (BDCP) and associated Draft Environmental Impact Report and Environmental Impact Statement (EIR/EIS)
Dear Mr. Wulff:
On behalf of the City of Antioch (the City), Flow Science is pleased to submit comments on the Bay-Delta Conservation Plan (BDCP) and Associated Environmental Impact Report/Environmental Impact Statement (EIR/EIS) during the public review period. These technical comments constitute Appendix A to the City’s comment letter.
SUMMARY OF TECHNICAL COMMENTS
Flow Science has reviewed the BDCP Plan and EIR/EIS, and has evaluated the impacts that are likely to occur at the City of Antioch. Flow Science’s key findings regarding the technical analysis presented in the EIR/EIS can be summarized as follows:
- The baseline condition (“Existing Conditions”) scenario used to evaluate project impacts is flawed and inappropriate, and does not accurately represent current salinity conditions at Antioch. Use of an incorrect baseline conditions results in an understatement of the impacts of the BDCP Proposed Project.
- The BDCP Proposed Project will cause salinity at Antioch to increase significantly, and will significantly reduce the City’s ability to use its intake to supply water within its service area. Contrary to assertions in the EIR/EIS, these impacts will result from the Proposed Project and not from sea level rise.
The BDCP Proposed Project assumes a change in water quality standards that has not yet happened and that would require State Water Board action. Given that historical, natural salinity in the western Delta was far lower than current levels, Antioch believes that changes in water quality standards would be inappropriate and detrimental to the health of the Delta.
Because project operations have not been clearly defined, it is not possible to determine with any certainty the impacts of the Proposed Project.
Mitigation for the significant impacts that are expected to occur at Antioch is not detailed within the EIR/EIS. The EIR/EIS finds that water quality impacts are “considered to remain significant and unavoidable.” Despite statements in the EIR/EIS that the assistance provided by BDCP proponents is intended to “fully offset” increased treatment or delivery costs, the BDCP and EIR/EIS suggest no concrete measures that will be implemented to accomplish this.
Additional detail is provided below and in Appendix C to the City’s comment letter.
**BACKGROUND**
As detailed in the City’s comment letter, the City is located along the San Joaquin River in the western portion of the Sacramento and San Joaquin River Delta (Delta). Since the 1860s, Antioch has obtained all or part of its freshwater supply directly from its intake on the San Joaquin River\(^1\) pursuant to a pre-1914 appropriative water right with a priority of 1867.\(^2\)
Contrary to incorrect statements contained in the EIR/EIS, Antioch continues to obtain much of its water supply from its own diversion facility.\(^3\) Antioch has a substitute
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\(^1\) Much of the water in the western Delta (including the City’s water supply) comes from the Sacramento River. Historically, significant amounts of Sacramento River water flowed into the San Joaquin River east of Antioch at Three Mile and Georgiana Sloughs. Sacramento River water also reaches Antioch where the river merges with the San Joaquin River just west of the City.
\(^2\) Antioch has vested pre-1914 water rights to water from the San Joaquin River as well as to the tributary flow of the Sacramento River via Georgiana and Three Mile Sloughs. This was determined as a matter of law by the California Supreme Court in the case of Town of Antioch v. Williams Irrigation District et al. (1922) 188 Cal. 451,455.
\(^3\) The City of Antioch uses water from its intake as its main source of supply when salinity at the intake is below specified thresholds. Although the EIR/EIS states that Antioch’s intake is “seasonal” and used “infrequently” (EIR/EIS Chapter 8 at p.8-185, lines 13-14), this is not true.
water agreement with the Department of Water Resources (DWR) that partially compensates the City for water purchases from Contra Costa Water District (CCWD). That agreement presently has a 15-year term, which will end at approximately the same time the BDCP is anticipated to begin operations.\(^4\)
Because of its position in the western Delta and its legacy as a fresh water Delta town, the City is also particularly concerned with the ecological health of the Delta, the City’s long-term viability as a recreational destination, and the potential significant adverse impacts of urban decay resulting from the BDCP.
**DETAILED TECHNICAL COMMENTS RELATED TO WATER QUALITY IMPACTS**
The baseline condition used to evaluate the BDCP Proposed Project is flawed and inappropriate. A modeling study was used to delineate the potential effects of the proposed BDCP project on salinity at locations throughout the Delta, including at Antioch’s drinking water intake in the western Delta. Our review of the impacts to water quality (Chapter 8 of the EIR/EIS) indicates that two different baseline scenarios were used—the “Existing Conditions” scenario was used to represent baseline for the CEQA evaluation, and the “No Action Alternative” (NAA) was used to represent baseline for the NEPA evaluation. The main differences between these two scenarios appear to be (a) whether Delta outflows are managed to achieve the Fall X2 provision (hereafter referred to as “Fall X2”) of the 2008 US Fish and Wildlife Service Biological Opinion (the “2008 BiOp”); and (b) whether the impacts of sea level rise are included. The Existing Conditions scenario does not include Fall X2 or sea level rise, while the No Action Alternative includes both. As detailed below, failing to include Fall X2 in the Existing Conditions scenario makes the baseline condition appear to be more saline than it actually is, so that the potential impacts of the BDCP appear to be significantly smaller than they would with an appropriate baseline.
As noted in prior comments submitted by the City and its consultants to the BDCP and to the State Water Resources Control Board (SWRCB)\(^5\), the western Delta historically exhibited freshwater conditions. In 1928, “Carquinez Strait marked
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\(^4\) On October 29, 2013, the term of the agreement between the State of California and the City of Antioch was extended through September 30, 2028.
\(^5\) See Appendix D to the City’s comment letter.
approximately the boundary between salt and fresh water under natural conditions,” and “[p]rior to diversions for irrigation, Suisun Bay was brackish in the late summer and salt water may have penetrated as far as Antioch, but only for a few days at a time in years of lowest run-off”\(^6\). Such conditions no longer exist, as saline water is now common at Antioch. However, historic salinity conditions should be considered when assessing the impacts of proposed actions on the fish and wildlife that live in the Delta and that were historically adapted to fresher conditions.
The City asserts that Fall X2 should be included in both baseline conditions, including the Existing Conditions. Legally, the 2008 BiOp represents the requirement to operate to achieve Fall X2, and predates the NOP for the BDCP. Technically, and as discussed further below and in Appendix C to the City’s comments, simulated water quality is more representative of measured (historic) data with the inclusion of Fall X2.
Antioch and its consultants have received from DWR modeling results\(^7\) obtained from the Delta Simulation Model II (DSM2) model, which was used to simulate hydrodynamics and water quality throughout the Delta for a range of model scenarios. These model runs included two scenarios that were representative of “existing conditions.” The “existing biological conditions 1” (EBC1) scenario included current sea levels but not Fall X2, while the “existing biological conditions 2” (EBC2) scenario included current sea levels and Fall X2. The March 2013 Revised Administrative Draft made use of both EBC1 and EBC2, while the current BDCP EIR/EIS utilizes only EBC1, which is renamed as the “Existing Conditions” scenario. Model results for the EBC2 scenario agree well with salinity measurements made near Antioch (see Figure 1, Appendix C), while the EBC1 scenario showed poor agreement, particularly in the fall of 1974, 1975, 1978, 1980, 1984, and 1986, or 6 out of the 17 years modeled. The plots of EBC1 shown in Appendix C are consistent with Figures 5C.A-104 through 5C.A.-107 of Attachment 5C.A to Appendix 5C of the Draft BDCP (confirming that EBC1 is the “Existing Conditions” scenario defined in the EIR/EIS), which show substantial increases in salinity in the western Delta in the fall of 1978, 1980, 1984, and 1986. These periods
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\(^6\) Means, Thomas. “Salt Water Problem: San Francisco Bay and Delta of Sacramento and San Joaquin Rivers. San Francisco, CA: Thos. H. Means, Consulting Engineer - 1928. p. 57.
See also CCWD, 2010, Historical Fresh Water and Salinity Conditions in the Western Sacramento-San Joaquin Delta and Suisun Bay: A summary of historical reviews, reports, analyses and measurements; Technical Report WR10-001, available at [http://www.ccwater.com/salinity/HistoricalSalinityReport-2010Feb.pdf](http://www.ccwater.com/salinity/HistoricalSalinityReport-2010Feb.pdf).
\(^7\) Flow Science Incorporated received modeling results from DWR via mailed hard-drives in January 2012, April 2013, and May 2013.
of higher salinity are not consistent with field measurements, further confirming that the omission of Fall X2 from the Existing Conditions scenario is not technically appropriate to represent the existing water quality in the Delta.
The data contained in Appendix 8G of the EIR/EIS show a significant difference in chloride concentrations in the San Joaquin River at Antioch between the Existing Conditions and the No Action Alternative (NAA) scenarios. Specifically, the average chloride concentrations are higher under the Existing Conditions, particularly in the late summer and fall. Table C1-1 shows that the mean chloride concentration is higher under the Existing Conditions scenario than under the NAA scenario by 447 mg/l and 382 mg/l in October and November, respectively. Because there are two significant differences between these scenarios—i.e., Fall X2 and sea level rise—the data do not indicate which of these factors is responsible for the differences in simulated salinity levels.
Generally, the impact of a project is determined by comparing the Proposed Project scenario and the Existing Conditions scenario, and the impacts of non-project factors are determined by comparing the NAA scenario and the Existing Condition scenario. Here, we cannot make the latter comparison, as the Existing Conditions and No Action Alternative scenarios are not on common ground regarding Fall X2. In order to determine the impacts of sea level rise alone, the NAA scenario must be compared to the EBC2 scenario, since both the NAA scenario and the EBC2 scenario include operations to meet Fall X2. Once the impact of sea level rise has been determined, the impacts of BDCP could be more accurately delineated.
While the EBC2 scenario was not provided in the December 9, 2013 DRAFT BDCP and EIR/EIS, it was previously provided to Flow Science by DWR. Figure 3 of Appendix C shows that, from September through November of above normal, below normal, and wet years, the availability of usable water at Antioch is higher under the EBC2 scenario than under the Existing Conditions (EBC1) and NAA scenarios; this is expected, as EBC2 includes Fall X2. These same plots also show that usability is greater under the NAA than under Existing Conditions (EBC1). Thus, the exclusion of Fall X2 (Existing Conditions) decreases usability more than sea level rise (captured in the NAA) during the fall of above normal, below normal, and wet years. This comparison highlights the importance of Fall X2, and further supports that it should be included in the CEQA baseline scenario.
As the City has noted in prior comments on the BDCP process and in testimony to the SWRCB, salinity levels in the western Delta, including at Antioch’s intake, will be
substantially higher if Fall X2 is not included in the Existing Conditions model runs. (See Appendix D to the City’s comments.) The exclusion of Fall X2 from the Existing Conditions will increase the salinity simulated under this condition and thus downplay the impacts of the BDCP Proposed Project on salinity in the western Delta; in fact Table Cl-28 in Appendix 8G of the EIR/EIS shows that annual mean chloride concentrations decrease relative to Existing Conditions (i.e., EBC1) for all Operational Scenarios, which is misleading—relative to EBC2, mean annual usability decreases at Antioch for all year types under Scenarios Alt4-H1 and Alt4-H2. Ultimately, the use of the Existing Conditions scenario without Fall X2 would be neither legally nor technically appropriate, and misrepresents the anticipated impacts of the BDCP project.
In summary, Flow Science’s analysis shows that the “Existing Conditions” scenario used to represent baseline conditions in the EIR/EIS does not accurately represent current conditions because it does not include Fall X2. Even though model scenario EBC2, which does include Fall X2, was used in prior drafts of the EIR/EIS and was made available to Flow Science and others as early as 2012, it was not used in the CEQA analysis. Because the incorrect existing conditions baseline scenario was used in the CEQA analysis, impacts to the City of Antioch have been underestimated significantly.
Thus, Antioch requests that Fall X2 be included in all modeling scenarios used to describe baseline conditions.
Please note that, because the City asserts that the Existing Conditions scenario is an inappropriate baseline, the impacts of BDCP in this comment letter will be assessed compared to the EBC2 and the No Action Alternative scenarios.
The BDCP will cause salinity at Antioch to increase and will reduce the City’s ability to use its intake significantly. Appendix 8G of the EIR/EIS shows the predicted impact to chloride concentrations in the San Joaquin River at Antioch, both in terms of the monthly and daily mean concentration and in terms of compliance with the Bay-Delta Water Quality Objective (250 mg/l as a daily average). However, these metrics do not describe Antioch’s ability to use the water\(^8\), as its ability depends only on the instantaneous chloride concentration and not on daily or monthly averages. Thus, the
\(^8\) The 1968 Agreement defines “usable river water” as occurring when the “chloride ion content in the surface zone at slack current after daily higher high tide (HHT) is 250 parts per million [ppm] or less.” Throughout these comments, “usable water” is the term applied to water with a chloride content of 250 ppm or less.
potential impacts described in Appendix 8G significantly underestimate the impacts to Antioch.
To determine the actual impacts to the City’s municipal water supply, Antioch and its consultants evaluated salinity impacts using DSM2 model results obtained from DWR. Specifically, Flow Science assessed the instantaneous salinity concentration (i.e., model results at 15-minute intervals) to determine how the BDCP Proposed Project is predicted to impact the usability of water at the City’s intake. Flow Science compared the percent of time that water can be diverted under the worst-case project conditions (Scenario Alt4-H1) to the EBC2 scenario and to the No Action Alternative. (As noted above, the EBC2 scenario is most representative of existing conditions and should be used as the baseline for CEQA analysis of the BDCP project.)
The increased salinity in the western Delta that is predicted to occur due to the BDCP Proposed Project will significantly impact Antioch’s ability to use water. However, the severity of this impact is concealed in the EIR/EIS because model results are presented in the form of annual, monthly and daily averages. For example, Table C1-28 of the EIR/EIS shows that, under worst-case operations and evaluated as a long-term average, compliance with the chloride objective will decrease by only 2% (the difference between Scenario Alt4-H1 and the No Action Alternative). However, as demonstrated below and in Appendix C to the City’s comments, the decrease in usable water will be far more severe. On an annual basis, the impacts to usability at Antioch are significant. Over the 17 years modeled, the availability of usable water decreased by 6%, or 9.2 days per year on average as a result of BDCP Proposed Project Scenario Alt4-H1. The availability of usable water is expected to decrease even more during wet years; in these years, usability could decrease by 12%, or over 28 days per year. Importantly, and as detailed in Appendix C, these changes result from the BDCP Proposed Project alone, not from sea level rise.
The BDCP Proposed Project is simulated to have the most significant impacts during the fall months, where on average the availability of usable water at Antioch may decrease by up to 64% (Appendix C) with Operational Scenario Alt4-H1 relative to the No Action Alternative (i.e., without the impacts of non-project factors such as sea level rise). Evaluating results by month indicates potentially even greater effects. Under all year types, usability during September is simulated to decrease from 5.3 days to 0.8 days, an 85% decrease. The largest loss of usable days is predicted to occur in October, and totals 6.6 days on average.
Breaking the results down by year type also shows significant impacts during the fall months. For example, excluding wet years, the availability of usable water under Operational Scenario H1 from September through November is predicted to decrease from 13.1 to 1.7 days\(^9\), a loss of 11.4 days relative to the NAA; in non-wet years, there are only 0.3 to 3 days of usability in the fall under Proposed Operational Scenario Alt4-H1. The percent difference is most significant during critical and dry years, at 97% and 93% of usable days lost, respectively, in the September through November time period (Table 4, Appendix C). The most significant losses are simulated to occur during dry and wet years, when 23.0 and 22.7 days of usable water, respectively, are anticipated to be lost over this three-month period. Thus, the impacts of the BDCP Proposed Project to the City of Antioch, especially during the fall, are much greater than reported in the EIR/EIS.
The modeling performed to assess the water quality impacts of BDCP assumes full implementation of restoration measures—that is, 65,000 acres of tidal marsh restoration. This amount of tidal restoration is expected to occur in year 2060 and beyond, if at all. None of the model results characterizes the potential impacts of restoration on salinity in the years prior to 2060. Because the tidal marsh restoration will be phased, there will be several intermediate conditions during which the hydrodynamics may differ significantly from both the current conditions and the conditions under full tidal marsh restoration. Depending on the design and location of restoration efforts, and the sequence in which restoration is conducted, the volume of water that “sloshes” into and out of the Delta on every tidal cycle may be increased, thus increasing salinity in the western Delta.
Although the City’s primary concern is with salinity at its intake, the City would like to incorporate by reference the comments of others that suggest that concentrations of other water quality constituents (e.g., bromide, mercury) may increase as a result of implementation of the Proposed Project. The City is concerned with any degradation of water quality at its intake. In addition, changes in water quality may affect the treatment options available to the City.
\(^9\) These numbers are the arithmetic averages of the non-wet years (i.e., critical, dry, above and below normal years) from Table 4, Appendix C
The BDCP Proposed Project assumes a change in water quality standards that has not yet happened and that would require State Water Board action. One aspect of the Proposed Project (represented by Scenarios H1 through H4) is the proposed change of “water quality requirements criteria” in the Delta. The Draft BDCP document states that the BDCP operations “include water operations in accordance with State Water Board D-1641 related to north Delta and western Delta agricultural and municipal and industrial requirements, except that the Sacramento River compliance point for the agreement with the North Delta Water Agency would be moved from Emmaton to Threemile Slough” (p. 3-188, emphasis added). Moving the compliance point landward by about 2.5 miles (the approximate distance from Emmaton to Threemile Slough), as proposed, would allow salinity in the western Delta to increase and thus would further impair Antioch’s ability to use the water for municipal purposes. Further, the 2008 BiOps include requirements to meet Fall X2 under certain conditions, as described above, and two of the operational scenarios (Scenarios Alt4-H1 and Alt4-H2) eliminate the Fall X2 requirement; eliminating the Fall X2 requirement would also allow salinity to increase still farther in the western Delta.
Given the fact that historical, natural salinity in the western Delta has been far lower than current levels, and given the serious impacts that may occur to Antioch’s water supply and to the ecosystem if salinity is allowed to increase further, Antioch asserts that such a change in water quality standards would be inappropriate. For this reason, the BDCP EIR/EIS should be amended to include scenarios that do not involve changes in water quality standards.
Because project operations have not been clearly defined, it is not possible to determine the impacts of the Proposed Project. Under the Proposed Project as described in the Plan and EIR/EIS, Delta outflow requirements in the spring and fall would be determined using a decision tree. There are four possible combinations of spring and fall outflow criteria, which define four operational scenarios (H1 through H4). Model runs were performed for each of these scenarios, as any of the four may be used each year. However, the decision tree that describes Operational Scenario H—specifically, what “triggers” each operational scenario—has not been defined in the Draft BDCP nor in the EIR/EIS and is “subject to a new determination by the fish and wildlife agencies” (p 3-207). Regarding spring outflows, the EIR/EIS states that “uncertainty exists regarding the mechanism through which higher Delta outflow improves the production and survival of early life stages of longfin smelt. Results of [future] investigations, including those directly related to the decision-tree process, will continue
to be revealed and considered in the coming years” (p 3-208). However, neither the future studies nor their potential outcomes are discussed.
Regarding fall outflows, the EIR/EIS presents two hypotheses: first, that the fall habitat objective will be accomplished by providing flows necessary to position X2 in or near Suisun Bay in wet years; alternatively, that the new shallow-water habitat areas created through restoration of tidal communities (CM4) could accomplish this objective with lower outflows during the fall. Additional “scientific research to test each of these hypotheses will be conducted before initial operations of the north Delta facility” (p 3-208). Ultimately, neither the spring nor the fall portions of the outflow decision tree have been determined for the proposed BDCP project; thus, the potential impacts of the project cannot be determined with confidence.
Mitigation for water impacts is not provided. Chapter 8 of the EIR/EIS proposes mitigation measures for each foreseeable impact. For chloride (a surrogate for salinity), however, the proposed mitigation strategy consists entirely of additional study, with actions to be taken if identified. Because salinity in the western Delta originates primarily from the ocean, with salty water brought into the estuary by tidal action, Antioch and its consultants know of no such actions that would directly mitigate the impacts of the project on salinity in the western Delta, and none are identified in the EIR/EIS. In fact, the EIR/EIS states that, “because the effectiveness of [Mitigation Measure WQ-7] to result in feasible measures for reducing water quality effects is uncertain, this impact is considered to remain significant and unavoidable” (p, 8-429, emphasis added).
At the same time, and contrary to assertions that impacts are significant and unavoidable, the EIR/EIS expresses BDCP proponents’ commitment to “assisting in-Delta municipal, industrial, and agricultural water purveyors that will be subject to significant water quality effects … The assistance provided by the BDCP proponents is intended to fully offset any increased treatment or delivery costs attributable to CM1” (p. 3B-42, emphasis added). For municipal users, the proposed assistance includes providing funding assistance to acquire alternative in-basin water supplies, storage, conjunctive uses, or develop water transfers; develop water supply connections to SWP facilities or BDCP intertie; or develop demand management and/or conservation/recycling projects to extend available water supplies.
However, the methods to “fully offset” any water quality impacts as a result of CM1 may require changes to contracts already in place between DWR and municipal
agencies. For example, California Department of Water Resources (DWR) has agreement contract with the City in which it has agreed to reimburse the City for only one-third of the cost it incurs to import water when water quality at its diversion point is unusable, as specified by formulae contained in the agreement. The EIR/EIS does not reference this contract, nor how it will distinguish BDCP CM1 impacts to water quality (for which the City should be fully compensated) from other instances of water quality degradation (for which the City should be reimbursed one-third, per the Antioch-DWR contract).
Antioch requests that BDCP proponents specify how they intend to identify and to fully offset the impacts of BDCP CM1 in a manner that is fair and just to all parties.
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Please contact me at (626) 304-1134 or email@example.com if you have any questions regarding these comments. We appreciate the opportunity to submit these comments, and we look forward to seeing these comments addressed in the final EIR/EIS for the BDCP.
Sincerely,
Al Preston, Ph.D., P.E.
Project Engineer
Reviewed by:
E. John List, Ph.D., P.E.
Principal
Attachment B
Analysis of Water Quality Impacts to Antioch — Evaluation of DSM2 Modeling Performed in Support of the BDCP Proposed Project by Flow Science Incorporated
As detailed in Appendix A to the City of Antioch’s comments on the BDCP and associated EIR/EIS, Flow Science has conducted a detailed review of hydrodynamic and water quality modeling performed by DWR to characterize the potential impacts of the BDCP Proposed Project on water quality at the City of Antioch’s drinking water intake. This document (Appendix C to the City’s comments) provides additional detail regarding Flow Science’s technical analysis.
DSM2 model results were provided by DWR to Flow Science via hard drive in January 2012, April 2013, and May 2013. Flow Science analyzed these model results in order to assess the effects of the proposed BDCP project on salinity and usability of water at Antioch. The following analyses indicate that a technically inappropriate simulation was used for the baseline condition in the ADEIR, and that the proposed BDCP project is simulated to have significant impacts on the ability of Antioch to draw and use water from the San Joaquin River.
DATA SOURCES
The DSM2 simulation results used in the analyses are listed in Table 1. Each simulation used hydrology from WY1975-WY1991. Results for electrical conductivity (EC) at Antioch (RSAN007) were extracted on a 15-minute basis and used for Flow Science’s evaluation. In addition to the model results, measured conductivity data\(^1\) were obtained for RSAN008, located approximately one mile from the Antioch intake.
| Name | Scenario | Sea Level Rise (SLR) (cm) | Fall X2 | Notes |
|-----------------------|-------------------|---------------------------|---------|----------------------------------------------------------------------|
| Existing Condition | baseline | 0 | No | Referred to as EBC1 in April 2013 EIR/EIS. |
| (EBC1)\(^1\) | | | | |
| EBC2\(^2\) | baseline | 0 | Yes | Not used in December 2013 EIR/EIS. |
| NAA\(^2\) | No Action | 15\(^4\), 45 | Yes | |
| Alt4-H1\(^3\) | Low Outflow | 15\(^4\), 45 | No | Proposed project can operate within (and beyond) the space defined |
| Alt4-H2\(^3\) | Spring High Outflow| 15\(^4\), 45 | No | by these four scenarios. |
| Alt4-H3\(^3\) | Evaluated Starting Ops.| 15\(^4\), 45 | Yes | |
| Alt4-H4\(^3\) | High Outflow | 15\(^4\), 45 | Yes | |
1. Received from DWR on May 6, 2013.
\(^1\) http://www.water.ca.gov/iep/products/data/dssnotice.cfm (accessed 3/7/2012).
2. Received from DWR in January 2012.
3. Received from DWR in April 2013.
4. Results for SLR = 15 cm are not presented here.
ANALYSES
Baseline in EIR/EIS should incorporate Fall X2 provisions
The December 2013 EIR/EIS uses the “Existing Conditions” simulation for baseline purposes. As indicated in Table 1, the “Existing Conditions” simulation does not include Fall X2 provisions. By contrast, the “EBC2” simulation (a simulation used in the March 2013 Draft BDCP document, and received by Flow Science from DWR in January 2012) does include Fall X2.
The DSM2 modeling performed to evaluate water quality impacts of the proposed project simulated electrical conductivity (EC), which is a measure of salinity. Figure 1 presents daily average simulated EC at Antioch for both Existing Conditions (Ex. Cond./EBC1) and EBC2, along with historical measured EC data. Simulation results were compared with historical measured EC. As shown in Figure 1, the exclusion of Fall X2 (i.e., the Ex. Cond./EBC1 simulation) results in EC at Antioch that is not representative of historical conditions. Specifically, salinity in the fall of 1974, 1975, 1978, 1980, 1984, and 1986 is substantially overestimated in simulation EBC1, when Fall X2 is excluded.
By contrast, the EBC2 simulation shows good agreement with measured EC at Antioch, indicating that the inclusion of Fall X2 into any baseline scenario is necessary in order to accurately represent current (pre-project) conditions at Antioch. In summary, the EBC2 scenario is the appropriate baseline model simulation for CEQA purposes, and EBC1 does not accurately represent current conditions and should not be used as the CEQA baseline for the BDCP project.
Figure 1. Measured and simulated daily average electrical conductivity (EC) at Antioch. Measured data are from station RSAN-008, located approximately one mile upstream from Antioch’s intake. DSM2 simulations (EBC1 and EBC2) were provided by DWR.
BDCP Salinity Impacts at Antioch
In the December 2013 EIR/EIS, the preferred project is represented by the four Alt4 simulation scenarios listed in Table 1, with each scenario representing different operating regimes as determined by a “decision-tree” process that has yet to be explicitly defined. The H1 and H2 scenarios do not include Fall X2, whereas the H3 and H4 scenarios do include Fall X2 (Table 1).
To evaluate the anticipated impacts of the Proposed Project on salinity at Antioch, Flow Science plotted model results for salinity at Antioch using the EBC2 scenario, the NAA scenario, and the four Alternative 4 (Alt4) scenarios that represent the BDCP Proposed Project. Flow Science’s evaluation focused on the EBC2 scenario (the most accurate representation of current conditions because it includes Fall X2), the NAA scenario (which includes both Fall X2 and anticipated sea level rise), and the Alt4 scenarios. The NAA scenario can be compared to the EBC2 scenario to examine the impact of sea level rise (SLR) alone on salinity at Antioch (i.e., without the BDCP Proposed Project). The BDCP Alt4 scenarios can then be compared to the NAA scenario to tease out the difference between increased salinity due to SLR and increased salinity due to the BDCP Proposed Project.
As shown below, the inclusion or exclusion of Fall X2 in the operating rules to be followed by the Proposed Project will have a substantial impact on the salinity at Antioch. DWR’s model results indicate that the BDCP project may result in a substantially lower usability of water at Antioch, particularly in the fall months.
Figure 2 plots the percent of time that the salinity at Antioch is less than the usable threshold\(^2\) in each month as computed from the DSM2 simulations for the simulation period 1975-1991\(^3\). Since the Ex. Cond. (EBC1) simulation is not an appropriate baseline (see above), the effect of sea level rise (SLR) was assessed by comparing the EBC2 and NAA simulations, and the effect of the proposed BDCP project (independent of SLR) was assessed by comparing the NAA and the four Alt4 scenario simulations.
Impact of Sea Level Rise. Comparison of the EBC2 simulation to the NAA simulation indicates that a SLR of 45 cm results in decreased usability in all months except July and October, when the usability under the NAA scenario is slightly higher than under the EBC2 scenario. As a long-term average over the simulation period, a SLR of 45 cm is predicted to result in a 15-day-per-year decrease in usability (i.e., Antioch
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\(^2\) Consistent with Antioch’s agreement with DWR (first signed in 1968 and extended on October 29, 2013.), the usable threshold is 250 ppm as chloride (Cl\(^-\)), which corresponds to an EC of 976 µS/cm. This conversion was made using the relationship between chloride concentration and EC for “normal” years in Guivetchi (1986).
\(^3\) Computed using the 15-minute DSM2 output at Antioch (RSAN007).
will be able to use their intakes 15 days less on average each year, see Table 2); as Figure 2 shows, the decrease in usability is spread relatively uniformly over the year. The impact of sea level rise is most significant during dry years, when it accounts for over 26 days of usability lost, or a 19% decrease in usability.
Table 2. Annual usability at Antioch under EBC2 and the No Action Alternative for the entire simulation period and for different year types within the simulation period
| Year Type | # of Usable Days Per Year Under EBC2 | # of Usable Days Per Year Under NAA | Usable Days Lost Per Year | Percent Decrease |
|----------------------------|--------------------------------------|-------------------------------------|---------------------------|------------------|
| All Years | 163.7 | 148.5 | 15.2 | 9% |
| Critical Years | 63.1 | 55.6 | 7.5 | 12% |
| Dry Years | 144.6 | 117.9 | 26.7 | 19% |
| Above & Below Normal Years | 188.1 | 177.7 | 10.4 | 6% |
| Wet Years | 264.8 | 248.5 | 16.3 | 6% |
Impact of BDCP. Figure 2 also shows that, relative to both EBC2 and NAA, BDCP Scenario Alt4-H1 is predicted to result in a significant decrease in usability, particularly during the fall months. The average decrease in usability during the fall months, relative to the NAA, for the entire 17-year simulation period is presented in Table 3. On average during the September-November timeframe, simulation results anticipate that usability will decrease by 15.3 days. Simulated usability is almost completely lost during September, which corresponds to an 85% decrease. The largest predicted number of days lost (6.6 days) in one month occurs in October. Note that these impacts of the proposed BDCP project are due entirely to the project, as the effect of SLR has been accounted for by comparing results from Scenario Alt4-H1 to the NAA scenario, which incorporates SLR.
Figure 2. Percent of time water at Antioch’s intake can be used for supply (i.e., when the simulated salinity is less than usable threshold at Antioch) by month as computed from DSM2 model results for the simulation period 1975-1991. SLR is zero for Ex. Cond. (EBC1) and EBC2, and 45 cm for all other simulations. Note that Fall X2 provisions are included in EBC2, NAA, Alt4-H3, and Alt4-H4.
Table 3. Decrease in usability at Antioch during the fall months simulated to occur as a result of implementation of the BDCP project (Scenario Alt4-H1)
| Month | # of Usable Days/Year Under NAA | # of Usable Days/Year Under Alt4 (Operational Scenario H1) | Usable Days Lost/Year$^1$ | Percent Decrease$^1$ |
|-------------|---------------------------------|----------------------------------------------------------|---------------------------|-----------------------|
| September | 5.3 | 0.8 | 4.5 | 85% |
| October | 9.9 | 3.3 | 6.6 | 67% |
| November | 8.5 | 4.4 | 4.1 | 48% |
| Sept-Nov | 23.8 | 8.5 | 15.3 | 64% |
$^1$Results reflect changes resulting from BDCP project only, and not changes due to SLR. That is, BDCP project simulations with SLR = 45 cm were compared with NAA simulation, which also includes SLR = 45 cm.
Breaking the results down by year type (instead of presenting results in aggregated fashion) reveals that usability is almost completely lost during fall months of all year types except wet years. Also, the predicted salinity impacts, as expressed in terms of the number of days lost, are greatest during dry and wet years. These results are presented graphically in Figure 3 and numerically in Table 4.
Figure 3 shows that usability under scenarios Alt4-H1 and Alt4-H2 during September through November is always less than 10%, and generally less than 5%, for all year types except for wet years. The number of usable days during the September-November simulation period (excluding wet years) ranges from 0.3 to 3 under Scenario Alt4-H1.
Figure 3 shows that the number of usable days during the fall months decreases significantly under Scenario Alt4-H1 compared the NAA, especially in dry and wet years. During dry and wet years, simulated usability decreases by 23 and 22.7 days in the fall, respectively. The largest percent decrease in usability occurs in critical and dry years, when usability decreases by 97% and 93%, respectively. These model results indicate that, in wet and dry year types, the City of Antioch would need to find alternative water supplies (because water at its intake would be unusable) for an additional 23 days in the fall months of each year, likely at significant cost.
Figure 3. Percent of time water at Antioch’s intake can be used for supply (i.e., when the simulated salinity is less than usable threshold at Antioch) by month and by year type as computed from DSM2 model results. SLR is zero for Ex. Cond. (EBC1) and EBC2, and 45 cm for all other simulations.
Table 4. Decrease in usability at Antioch in the Fall (September – November) predicted to occur as a result of the BDCP project scenario Alt4-H1 by year type
| Year Type | # of Usable Days/Year Under NAA | # of Usable Days/Year Under Alt4 (Operational Scenario H1) | Usable Days Lost/Year<sup>1</sup> | Percent Decrease<sup>1</sup> |
|----------------------------|---------------------------------|----------------------------------------------------------|-----------------------------------|-----------------------------|
| All Years | 23.8 | 8.5 | 15.3 | 64% |
| Critical Years | 10.6 | 0.3 | 10.3 | 97% |
| Dry Years | 24.8 | 1.8 | 23.0 | 93% |
| Above & Below Normal Years | 3.8 | 3.0 | 0.8 | 23% |
| Wet Years | 48.1 | 25.4 | 22.7 | 47% |
<sup>1</sup>Results reflect changes resulting from BDCP project only, and not changes due to SLR. That is, BDCP project simulations with SLR = 45 cm were compared with NAA simulation, which also has SLR = 45 cm.
Finally, the model results were used to compute the number of days of usable water over the entire simulation period, as an annual average. As Table 5 indicates, model results show that the BDCP Proposed Project is simulated to cause a significant decrease in annual usability – 9.2 days per year – over all years. The loss is most significant during wet years, when more than 28 days of usability are lost; the highest percent decrease also occurs during wet years.
Table 5. Annual usability at Antioch under EBC2, No Action Alternative, and BDCP project scenario Alt4-H1 by year type
| Year Type | # of Usable Days/Year Under NAA | # of Usable Days/Year Under Alt4 (Operational Scenario H1) | Usable Days Lost | Percent Decrease |
|----------------------------|---------------------------------|----------------------------------------------------------|------------------|------------------|
| All Years | 148.5 | 139.3 | 9.2 | 6% |
| Critical Years | 55.6 | 56.4 | -0.8 | -1% |
| Dry Years | 117.9 | 115.6 | 2.2 | 2% |
| Above & Below Normal Years | 177.7 | 175.0 | 2.7 | 2% |
| Wet Years | 248.5 | 219.7 | 28.8 | 12% |
<sup>1</sup>Results reflect changes resulting from BDCP project only, and not changes due to SLR. That is, BDCP project simulations with SLR = 45 cm were compared with NAA simulation, which also has SLR = 45 cm.
Attachment C
Agreement between the State of California and the City of Antioch
AMENDMENT NO. 1
TO THE APRIL 11, 1968 AGREEMENT BETWEEN
THE STATE OF CALIFORNIA
AND
THE CITY OF ANTIOCH
THIS AMENDMENT is made and entered into this 29th day of October, 2013, between the Department of Water Resources of the State of California (DWR), and the City of Antioch (City).
AGREEMENT
1. The 1968 Agreement between DWR and the City is amended as follows:
Article 1 is amended to read in its entirety: “The term of this agreement shall begin on the first day of October 1968, and shall continue in effect until terminated by either party by written notice to the other party given at least 12 months prior to the effective date of such termination. The effective date of termination shall be the last day of a year (September 30) and no termination shall be effective prior to September 30, 2028.”
Article 3 is amended to read: “V is the total quantity of water in acre-feet introduced into the City's transmission facilities, including water diverted by the City and substitute water purchased by the City, for delivery within the City's service area, which shall be the most expansive of the Antioch City Boundary or Antioch Urban Growth Boundary or Antioch Sphere of Influence (“SOI”) as shown on Exhibit “A” attached hereto and by this reference made a part hereof from 8:00 a.m. on December 9, to 8:00 a.m. on July 6.”
Article 4 is amended to read: “Such measurements will be made at such intervals as shall reasonably be necessary and as mutually agreed upon. DWR and the City have negotiated and agreed that such measurements will be made at slack current, which shall be deemed to occur two hours after daily higher high tide, effective January 1, 2013.”
Exhibit A is replaced with attached map “City of Antioch Boundary, SOI, and Urban Growth Boundary” as created by the Contra Costa County Community Development, GIS group on 7/13/2009.
2. The parties waive any and all claims either one may have against the other for past actions or activities arising out of this 1968 Agreement.
3. The existing Tolling Agreement, effective May 22, 2013, terminates upon the date of full execution of this Amendment.
4. All other provisions of the 1968 Agreement, except those modified by this Amendment, remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto, by their authorized representatives, have executed this Amendment No. 1 to the April 11, 1968 Agreement between the State of California and the City of Antioch, which Amendment becomes effective on the date first set forth above.
Approved as to legal form and sufficiency
Chief Counsel
Department of Water Resources
Date 10/28/13
STATE OF CALIFORNIA
DEPARTMENT OF WATER RESOURCES
Mark W. Cowin
Director
Date 10/29/13
Approved as to legal form and sufficiency
Name
Title
Date 10-22-13
CITY OF ANTIOCH
Name
Title
Date 10-22-13
City of Antioch Boundary, SOI, and Urban Growth Boundary
- **Antioch City Boundary**
- **Antioch Urban Growth Bnd**
- **Antioch Sphere of Influence**
This map was created by the Contra Costa County Community Development Department with data from the Contra Costa County GIS Program. Some boundaries may not be current due to changes in the County's tax rate areas. While obligated to use this data the County assumes no responsibility for accuracy or completeness of the information. The information is provided "as is" and is reproduced in its current state if the source is intact. Users of this map agree to read and accept the County of Contra Costa disclaimer of liability for geographic information.
Map created 7/13/2009
by Contra Costa County Community Development, GIS Group
601 Pine Street, Suite 100, Richmond, CA 94803-0205
37°59'48.45"N 121°38'35.38"W
Miles
AGREEMENT
THIS AGREEMENT made this 11th day of April, 1968, between the STATE OF CALIFORNIA, acting by and through its Department of Water Resources, hereinafter referred to as the "State" and the CITY OF ANTIOCH, a municipal corporation, hereinafter referred to as the "City",
WITNESSETH:
WHEREAS, for over 100 years water has been diverted from the San Joaquin River for municipal and industrial use in and around the area which is now in the corporate limits of the City, and
WHEREAS, since 1904 such water has been diverted at a pumping plant located near the foot of A Street and has been treated and distributed to users by the City, and
WHEREAS, the City diverts such water whenever the chloride ion content in the surface zone at slack current after daily higher high tide (HHT) is 250 parts per million or less, hereinafter called "usable river water", and
WHEREAS, the average number of days per water year (October 1 to September 30, hereinafter referred to as "year") that usable river water has been available to the City at said point of diversion is 208 and the median period of said availability is from December 9 to July 5, both days inclusive, and
WHEREAS, during each day usable river water has been and will in the future be available to the City the quantity thereof has been and will be adequate to meet the water requirements of
the City during such day, and
WHEREAS, in the future the average number of days per year that usable river water will be available to the City will be caused to decrease, and such decrease will be due in part to operation of the State Water Resources Development System, as defined in Section 12931 of the Water Code, and
WHEREAS, it is contemplated that the Contra Costa Canal, supplemented by the Kellogg Unit or other facilities to be constructed by the Bureau of Reclamation, will meet the City's future water requirements which are not met by usable river water. If such facilities are not constructed by the Bureau of Reclamation, water supply facilities will have to be constructed by another agency or agencies to meet the City's future requirements including a substitute water supply equal to the City's water deficiency entitlement as defined in this agreement.
NOW, THEREFORE, the parties agree as follows:
1. The term of this agreement shall begin on the first day of October 1968, and shall continue in effect until terminated by either party by written notice to the other party given at least 12 months prior to the effective date of such termination. The effective date of termination shall be the last day of a year (September 30) and no termination shall be effective prior to September 30, 2008.
2. The State shall reimburse the City in a manner hereinafter provided for any decrease in availability to the City of usable river water during the term of this agreement caused by
operation of the State Water Resources Development System. Such decrease in availability of usable river water is hereinafter referred to as the City's "water deficiency entitlement".
3. The quantity of the City's water deficiency entitlement shall be determined for each year during the term of this agreement by the formula
\[ E = \frac{(208-D)}{3} - \frac{(V)}{208} \]
where \( E \) is the City's water deficiency entitlement for such year in acre-feet, \( D \) is the number of days during such year that usable river water is available to the City in the San Joaquin River at its pumping plant, and \( V \) is the total quantity of water in acre-feet introduced into the City's transmission facilities for delivery within the City's service area as shown on Exhibit "A" attached hereto and by this reference made a part hereof from 8:00 a.m. on December 9, to 8:00 a.m. on July 6: Provided, That \( \frac{V}{208} \) shall not exceed the maximum diversion rate of the City's San Joaquin River diversion facility in acre-feet/day as such facility exists in such year. If in any year \( D \) exceeds 208, the City shall have no water deficiency entitlement for such year and the amount of such excess shall offset any water deficiency entitlement of the City for an equal number of days in the next succeeding year or years when \( D \) is less than 208.
4. For the purpose of computing the City's water deficiency entitlement, the City at no cost to the State, shall provide:
(a) A covered facility or facilities wherein
the State can install devices to measure the chloride ion content of water in the San Joaquin River at or in the vicinity of the City's pumping plant,
(b) Sufficient power to operate all necessary measuring devices, and
(c) Sufficient right-of-way to such facilities to enable the State to install, service, remove, and take readings from any such devices.
The size of such facilities and the amount and type of power to be supplied shall be as mutually agreed upon.
The State shall be responsible for the actual measuring of the chloride ion content; all such measurements will be made available to the City.
Such measurements will be made at such intervals as shall be reasonably necessary and as mutually agreed upon.
The City shall have the right, at its expense, to verify the accuracy of the State's measurements and any inaccuracy thus disclosed shall be corrected by the State.
5. Each year during the term of this agreement that the City has a water deficiency entitlement it shall purchase substitute water from a project or projects constructed by an agency or agencies to supply the supplemental water requirements of an area including the City. For the purposes of this agreement, substitute water shall be deemed to have been purchased during the period beginning at 8:00 a.m. on December 9 and ending
at 8:00 a.m. on July 6 of such year and the price paid by the City for substitute water shall be deemed to be the average price per acre-foot paid by the City for all untreated water purchased by it for introduction into its water transmission facilities during said period.
6. Each year during the term of this agreement that the City purchases substitute water for its water deficiency entitlement, the State will pay the City an amount of money computed in accordance with the formula $M = E (C_W + C_e - 4.90)$ where $M$ is the amount in dollars to be paid by the State, $E$ is the City's water deficiency entitlement for such year determined in the manner provided in Section 3 hereof, $C_W$ is the amount per acre-foot paid by the City for substitute water delivered to the City as provided in Section 5 hereof, and $C_e$ is the average amount (if any) per acre-foot paid by the City for electric energy to transport substitute water from the point of delivery thereof to the City to a storage reservoir or treatment plant operated by the City. The State shall pay said amount to the City not later than October 31 of the following year. Such payments are hereby determined to be reasonable costs of the annual maintenance and operation of the State Water Resources Development System and shall be disbursed from the California Water Resources Development Bond Fund pursuant to subsection (b) (1) of Section 12937 of the Water Code.
7. The City, in consideration of the payments by the State herein provided,
releases the State from any liability due to
any change in regimen of flows of water in the Delta or the San Joaquin River and the effects of such changes caused by operation of the State Water Resources Development System: Provided, That nothing herein shall be deemed to be a release of State liability resulting from the utilization by the State of any facilities for removal of drainage water from the San Joaquin Valley.
8. The obligations of the State herein shall not be affected by any modification of the City's facilities to divert river water, except as provided in Section 3 hereof.
9. Nothing herein shall be deemed to be a release or waiver of any right of the City to purchase supplemental water supplies from the State with the priorities established by Water Code Sections 11460, 12201 to 12204 inclusive, and 12931.
10. State agrees that other municipal and industrial entities in the Delta will not be granted compensation for damages caused by the State Water Resources Development System under substantially more favorable terms than those used to compensate the City hereunder.
IN WITNESS WHEREOF, the parties hereto have executed this agreement by their respective officers thereunto duly authorized on the date first above written.
STATE OF CALIFORNIA
DEPARTMENT OF WATER RESOURCES
By ____________________________
Director
Approved as to legal form and sufficiency:
By ____________________________
Chief Counsel
CITY OF ANTIOCH
By ____________________________
Mayor
ATTEST:
______________________________
City Clerk
Antioch-218
SERVICE AREA BOUNDARY
CITY OF ANTIOCH
EXTENT OF SERVICE AREA
SCALE IN FEET
0 2000 4000 6000
Attachment D
Review by the Delta Independent Science Board of the Bay Delta Conservation Plan/California WaterFix Partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement
We have reviewed the partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement for the Bay Delta Conservation Plan/California WaterFix (herein, "the Current Draft"). We focused on how fully and effectively it considers and communicates the scientific foundations for assessing the environmental impacts of water conveyance alternatives. The review is attached and is summarized below.
The Current Draft contains a wealth of information but lacks completeness and clarity in applying science to far-reaching policy decisions. It defers essential material to the Final EIR/EIS and retains a number of deficiencies from the Bay Delta Conservation Plan Draft EIR/EIS. The missing content includes:
1. Details about the adaptive-management process, collaborative science, monitoring, and the resources that these efforts will require;
2. Due regard for several aspects of habitat restoration: landscape scale, timing, long-term monitoring, and the strategy of avoiding damage to existing wetlands;
3. Analyses of how levee failures would affect water operations and how the implemented project would affect the economics of levee maintenance;
4. Sufficient attention to linkages among species, landscapes, and management actions; effects of climate change on water resources; effects of the proposed project on San Joaquin Valley agriculture; and uncertainties and their consequences;
5. Informative summaries, in words, tables, and graphs, that compare the proposed alternatives and their principal environmental and economic impacts.
The effects of California WaterFix extend beyond water conveyance to habitat restoration and levee maintenance. These interdependent issues of statewide importance warrant an environmental impact assessment that is more complete, comprehensive, and comprehensible than the Current Draft.
Review by the Delta Independent Science Board of the Bay Delta Conservation Plan/California WaterFix Partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement
September 30, 2015
Contents
Expectations for impact assessment of California WaterFix ................................................................. 1
Background of this review .................................................................................................................. 1
Differences between the BDCP and California WaterFix ................................................................. 2
Improvements on the Previous Draft ............................................................................................... 3
Current concerns .............................................................................................................................. 4
Missing content ............................................................................................................................. 4
Adaptive management .................................................................................................................. 5
Restoration as mitigation .............................................................................................................. 6
Levees .......................................................................................................................................... 7
Long-term effects ......................................................................................................................... 8
Informative summaries and comparisons .................................................................................... 9
Prior concerns and their relevance to the Current Draft ................................................................. 10
Effectiveness of conservation actions .......................................................................................... 10
Uncertainty ................................................................................................................................... 10
Effects of climate change and sea-level rise on the proposed actions ........................................... 11
Interactions among species, landscapes, and the proposed actions ............................................. 12
Effects on San Francisco Bay, levees, and south-of-Delta environments ....................................... 12
Implementing adaptive management .............................................................................................. 13
Reducing and managing risk .......................................................................................................... 13
Comparing BDCP alternatives ........................................................................................................ 13
Comments on individual sections and chapters .............................................................................. 14
Alternatives 4A, 2D, and 5A (Section 4) ..................................................................................... 14
Water quality (Chapter 8) ........................................................................................................... 16
Fish and aquatic resources (Chapter 11) .................................................................................... 17
Terrestrial biological resources (Chapter 12) ............................................................................ 18
Land use (Chapter 13) ............................................................................................................... 19
EXPECTATIONS FOR IMPACT ASSESSMENT OF CALIFORNIA WATERFIX
The Sacramento – San Joaquin Delta presents interconnected issues of water, biological resources, habitat, and levees. Dealing with any one of these problem areas is most usefully considered in light of how it may affect and be affected by the others. The effects of any actions further interact with climate change, sea-level rise, and a host of social, political, and economic factors. The consequences are of statewide importance.
These circumstances demand that the California WaterFix EIR/EIS go beyond legal compliance. This EIR/EIS is more than just one of many required reports. Its paramount importance is illustrated by the legal mandate that singles it out as the BDCP document we must review.
It follows that the WaterFix EIR/EIS requires extraordinary completeness and clarity. This EIR/EIS must be uncommonly complete in assessing important environmental impacts, even if that means going beyond what is legally required or considering what some may deem speculative (below, p. 4). Further, the WaterFix EIR/EIS must be exceptionally clear about the scientific and comparative aspects of both environmental impacts and project performance (p. 9).
These reasonable expectations go largely unmet in the Bay Delta Conservation Plan/California WaterFix Partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement Draft (herein, “the Current Draft”). We do not attempt to determine whether this report fulfills the letter of the law. But we find the Current Draft sufficiently incomplete and opaque to deter its evaluation and use by decision-makers, resource managers, scientists, and the broader public.
BACKGROUND OF THIS REVIEW
The Delta Reform Act of 2009, in §85320(c), directs the Delta Independent Science Board (Delta ISB) to review the environmental impact report of the Bay Delta Conservation Plan (BDCP) and to provide the review to the Delta Stewardship Council and the California Department of Fish and Wildlife. On May 14, 2014, we submitted our review of the BDCP’s Draft Environmental Impact Report/Draft Environmental Impact Statement (herein, the “Previous Draft”), which had been posted for review on December 9, 2013. This review\(^1\) contained three main parts: an extended summary, detailed responses to charge questions from the Delta Stewardship Council, and reviews of individual chapters. Although the Previous Draft considered vast amounts of scientific information and analyses to assess the myriad potential environmental impacts of the many proposed BDCP actions, we concluded that the science in the Previous Draft had significant gaps, given the scope and importance of the BDCP.
The proposed BDCP actions have now been partitioned into two separate efforts: water conveyance under California WaterFix\(^2\) and habitat restoration under California EcoRestore\(^3\). Environmental documents in support of California WaterFix (the Current Draft) were made available for a 120-day comment period that began July 10, 2015. The Current Draft focuses on three new alternatives for conveying Sacramento River water through the Sacramento – San
---
\(^1\) http://deltacouncil.ca.gov/sites/default/files/documents/files/Attachment-1-Final-BDCP-comments.pdf
\(^2\) http://www.californiawaterfix.com/
\(^3\) http://resources.ca.gov/ecorestore/
Joaquin Delta. One of them, Alternative 4A, is the preferred alternative, identified as California WaterFix.
The Delta Stewardship Council asked us to review the Current Draft and to provide our comments by the end of September 2015. We are doing so through this report and its summary, which can be found in the cover letter.
The review began in July 2015 with a preliminary briefing from Laura King-Moon of California Department of Water Resources (three Delta ISB members present). The Delta ISB next considered the Current Draft in a public meeting on August 13–14 (nine of the ten members present)\(^4\). The meeting included a briefing on California EcoRestore by David Okita of California Natural Resources Agency and a discussion of the Current Draft and California WaterFix with Cassandra Enos-Nobriga of California Department of Water Resources (DWR) and Steve Centerwall of ICF International.
The initial public draft of this review was based on our study of Sections 1-4 of the Current Draft and on checks of most resource chapters in its Appendix A. This public draft was the subject of a September 16 meeting that included further discussions with Cassandra Enos-Nobriga\(^5\) and comments from Dan Ray of the Delta Stewardship Council staff. Additional comments on that initial draft were provided by DWR in a September 21 letter to the Delta ISB chair\(^6\). These discussions and comments helped clarify several issues, particularly on expectations of a WaterFix EIR/EIS.
This final version of the review begins with a summary in the cover letter. The body of the report continues first with a section on our understanding of major differences between the BDCP and California WaterFix. Next, after noting examples of improvement in the Current Draft, we describe our main concerns about the current impact assessments. These overlap with main concerns about the Previous Draft, which we revisit to consider how they are addressed in the Current Draft. Finally, we offer specific comments on several major Sections and Chapters.
**DIFFERENCES BETWEEN THE BDCP AND CALIFORNIA WATERFIX**
The project proposed in the Current Draft differs in significant respects from what was proposed as the BDCP in December 2013. Here we briefly state our understanding of some main differences and comment on their roles on this review:
- The time period for permitting incidental take under Section 7 of the federal Endangered Species Act (ESA) and Section 2081(b) of the California Endangered Species Act (CESA) is substantially less than the 50 years envisioned as part of a Habitat Conservation Plan (HCP) and Natural Community Conservation Plan (NCCP) in BDCP. As a result, the science associated with many impacts of climate change and sea-level rise may seem less relevant. The permitting period for the project proposed in the Current Draft remains in place unless environmental baseline conditions change substantially or other permit requirements are not met. Consequently, long-term effects of the proposed project remain important in terms of operations and expected benefits (p. 8).
---
\(^4\) [http://deltacouncil.ca.gov/docs/delta-isb-meeting-notice-meeting-notice-delta-isb/delta-independent-science-board-isb-august-13](http://deltacouncil.ca.gov/docs/delta-isb-meeting-notice-meeting-notice-delta-isb/delta-independent-science-board-isb-august-13)
\(^5\) Written version at [https://s3.amazonaws.com/californiawater/pdfs/63qnf_Delta_ISB_draft_statement_-_Enos_-_FINAL.pdf](https://s3.amazonaws.com/californiawater/pdfs/63qnf_Delta_ISB_draft_statement_-_Enos_-_FINAL.pdf)
\(^6\) [http://deltacouncil.ca.gov/docs/response-letter-dwr](http://deltacouncil.ca.gov/docs/response-letter-dwr)
In this shortened time frame, responsibility for assessing WaterFix’s effects on fish and wildlife would fall to resource agencies (National Marine Fisheries Service, U.S. Fish and Wildlife Service, California Department of Fish and Wildlife). Other impacts would be regulated by a variety of federal and state agencies (Current Draft Section 1).
The proposed habitat restorations have been scaled back. The Current Draft incorporates elements of 11 Conservation Measures from BDCP to mitigate impacts of construction and operations. Most habitat restoration included in the Previous Draft has been shifted to California EcoRestore. Our review of the Previous Draft contained many comments on the timing of restoration, species interactions, ecological linkages of conservation areas, locations of restoration areas and the science supporting the efficiency and uncertainty of effective restoration. Some of these comments apply less to the Current Draft because of its narrower focus on water conveyance.
There remains an expected reliance on cooperative science and adaptive management during and after construction.
It is our understanding that the Current Draft was prepared under rules that disallow scientific methods beyond those used in the Previous Draft. The rules do allow new analyses, however. For example, we noticed evidence of further analyses of contaminants, application of existing methods (e.g., particle tracking) to additional species (e.g., some of the non-covered species), and occasional selection of one model in place of the combined results of two models (e.g., fish life cycle models SALMOD and SacEFT).
**IMPROVEMENTS ON THE PREVIOUS DRAFT**
A proposed revamping of water conveyance through the Sacramento-San Joaquin Delta involves a multitude of diverse impacts within and outside of the Delta. Unavoidably, the EIR/EIS for such a project will be complex and voluminous, and preparing it becomes a daunting task in its own right. The inherent challenges include highlighting, in a revised EIR/EIS, the most important of the changes.
The new Sections 1 through 4 go a long way toward meeting some of these challenges. Section 1 spells out the regulatory context by discussing laws and agencies that establish the context for the Current Draft. Section 2 summarizes how the Previous Draft was revised in response to project changes and public input. Section 3 describes how the preferred alternative in the Previous Draft (Alternative 4) has been changed. Section 4 presents an impressive amount of detailed information in assessing the sources of habitat loss for various species and discussing how restoration and protection can mitigate those losses. Generally comprehensive lists of “Resource Restoration and Performance Principles” are given for the biological resources that might be affected by construction or operations. For example, page 4.3.8-140 clearly describes a series of measures to be undertaken to minimize the take of sandhill cranes by transmission lines (although the effectiveness of these measures is yet to be determined).
Section 4 also contains improvements on collaborative science (22.214.171.124, mostly reiterated in ES.4.2). This part of the Current Draft draws on recent progress toward collaborative efforts in monitoring and synthesis in support of adaptive management in the Delta. The text identifies the main entities to be involved in an expected memorandum of agreement on a monitoring and adaptive-management program in support of the proposed project.
Appendix A describes revisions to the resource chapters of the Previous Draft. Track-changed versions of the chapters simplify the review process, although this was not done for the
key chapter on aquatic resources (p. 17). We noticed enhanced analyses of contaminants and application of methods such as particle tracking to additional species, including some of the non-covered taxa; a detailed treatment of *Microcystis* blooms and toxicity; more information about disinfection byproducts; improved discussion of vector control arising from construction and operational activities; and revised depiction of surficial geology. Potential exposure of biota to selenium and methylmercury is now considered in greater detail. Evaluations will be conducted for restoration sites on a site-specific basis; if high levels of contaminants cannot otherwise be addressed, alternative restoration sites will be considered (page 4.3.8-118). Incidentally, this is a good example of adaptive management, although it is not highlighted as such. Explanations were provided for why the nitrogen-to-phosphorus ratio was not specifically evaluated, why dissolved vs. total phosphorus was used in the assessment, and how upgrades to the Sacramento Regional Wastewater Treatment Plant would eventually affect phosphorus concentrations.
**CURRENT CONCERNS**
These and other strengths of the Current Draft are outweighed by several overarching weaknesses: overall incompleteness through deferral of content to the Final EIR/EIS (herein, "the Final Report"); specific incompleteness in treatment of adaptive management, habitat restoration, levees, and long-term effects; and inadequacies in presentation. Some of these concerns overlap with ones we raised in reviewing the Previous Draft (revisited below, beginning on p. 10).
**Missing content**
The Current Draft lacks key information, analyses, summaries, and comparisons. The missing content is needed for evaluation of the science that underpins the proposed project. Accordingly, the Current Draft fails to adequately inform weighty decisions about public policy. The missing content includes:
1. Details on adaptive management and collaborative science (below, p. 5).
2. Modeling how levee failures would affect operation of dual-conveyance systems (below, p. 7). Steve Centerwall told us on August 14 that modeling of the effects of levee failure would be presented in the Final Report.
3. Analysis of whether operation of the proposed conveyance would alter the economics of levee maintenance (below, p. 7).
4. Analyses of the effects of climate change on expected water exports from the Delta. "[A]n explanation and analysis describing potential scenarios for future SWP/CVP system operations and uncertainties [related to climate change] will be provided in the Final Report" (p. 1-35 of the Current Draft).
5. Potential impacts of climate change on system operations, even during the shortened time period emphasized in the Current Draft (below, p. 8 and 11).
6. Potential effects of changes in operations of the State Water Project (SWP) and Central Valley Project (CVP), or other changes in water availability, on agricultural practices in the San Joaquin Valley (p. 12).
7. Concise summaries integrated with informative graphics (below, p. 9 and 13). The Current Draft states that comparisons of alternatives will be summarized in the Final Report (p. 1-35).
While some of the missing content has been deferred to the Final Report (examples 2, 4, and 7), other gaps have been rationalized by deeming impacts “too speculative” for assessment.
CEQA guidance directs agencies to avoid speculation in preparing an EIR/EIS\(^7\). To speculate, however, is to have so little knowledge that a finding must be based on conjecture or guesswork. Ignorance to this degree does not apply to potential impacts of WaterFix on levee maintenance (example 3; see p. 7) or on San Joaquin Valley agriculture (example 6; p. 12).
Even if content now lacking would go beyond what is legally required for an EIR/EIS, providing such content could assist scientists, decision-makers, and the public in evaluating California WaterFix and Delta problems of statewide importance (above, p. 1).
**Adaptive management**
The guidelines for an EIR/EIS do not specifically call for an adaptive-management plan (or even for adaptive management). However, if the project is to be consistent with the Delta Plan (as legally mandated), adaptive management should be part of the design.
The Current Draft relies on adaptive management to address uncertainties in the proposed project, especially in relation to water operations. The development of the Current Draft from the Previous Draft is itself an exercise in adaptive management, using new information to revise a project during the planning stage. Yet adaptive management continues to be considered largely in terms of how it is to be organized (i.e., coordinated with other existing or proposed adaptive-management collaborations) rather than how it is to be done (i.e., the process of adaptive management). Adaptive management should be integral with planned actions and management—the Plan A rather than a Plan B to be added later if conditions warrant. The lack of a substantive treatment of adaptive management in the Current Draft indicates that it is not considered a high priority or the proposers have been unable to develop a substantive idea of how adaptive management would work for the project.
There is a very general and brief mention of the steps in the adaptive management process in Section 4 (p. 4.1-6 to 4.1-7), but nothing more about the process. We were not looking here for a primer on adaptive management. Rather, we expected to find serious consideration of barriers and constraints that have impeded implementation of adaptive management in the Delta and elsewhere (which are detailed in the Delta Plan), along with lessons learned on how adaptive management can be conducted overcome these problems.
The Current Draft contains general statements on how collaborative science and adaptive management under California WaterFix would be linked with the Delta Collaborative Science and Adaptive Management Program (CSAMP) and the Collaborative Adaptive Management Team (CAMT). These efforts, however, have taken place in the context of regulations and permits, such as biological opinions and biological assessments required under the Endangered Species Act. We did not find examples of how adaptive management would be applied to assessing—and finding ways to reduce—the environmental impacts of project construction and operations.
Project construction, mitigation, and operations provide many opportunities for adaptive management, both for the benefit of the project as well as for other Delta habitat and ecosystem initiatives, such as EcoRestore. To be effective in addressing unexpected outcomes and the need for mid-course corrections, an adaptive-management management team should evaluate a broad range of actions and their consequences from the beginning, as plans are being developed, to facilitate the early implementation and effectiveness of mitigation activities.
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\(^7\) [https://s3.amazonaws.com/californiawater/pdfs/b00lx_Delta_ISB_Draft_Statement_&_Response_Letter_-_Enos_-_FINAL.pdf](https://s3.amazonaws.com/californiawater/pdfs/b00lx_Delta_ISB_Draft_Statement_&_Response_Letter_-_Enos_-_FINAL.pdf)
The Current Draft defers details on how adaptive management will be made to work: “An adaptive management and monitoring program will be implemented to develop additional scientific information during the course of project construction and operations to inform and improve conveyance facility operational limits and criteria” (p. ES-17). This is too late. If adaptive management and monitoring are central to California WaterFix, then details of how they will be done and resourced should be developed at the outset (now) so they can be better reviewed, improved, and integrated into related Delta activities. The details could include setting species-specific thresholds and timelines for action, creating a Delta Adaptive Management Team, and capitalizing on unplanned experiments such as the current drought\(^8\). Illustrative examples could use specific scenarios with target thresholds, decision points, and alternatives. The missing details also include commitments and funding needed for science-based adaptive management and restoration to be developed and, more importantly, to be effective.
The protracted development of the BDCP and its successors has provided ample time for an adaptive-management plan to be fleshed out. The Current Draft does little more than promise that collaborations will occur and that adaptive management will be implemented. This level of assurance contrasts with the central role of adaptive management in the Delta Plan and with the need to manage adaptively as climate continues to change and new contingencies arise.
**Restoration as mitigation**
Restoration projects should not be planned and implemented as single, stand-alone projects but must be considered in a broader, landscape context. We highlighted the landscape scale in our review of the Previous Draft and also in an earlier review of habitat restoration in the Delta\(^9\). A landscape approach applies not just to projects that are part of EcoRestore, but also to projects envisioned as mitigation in the Current Draft, even though the amount of habitat restoration included (as mitigation) in the Current Draft has been greatly reduced. On August 13 and 14, representatives of WaterFix and EcoRestore acknowledged the importance of the landscape scale, but the Current Draft gives it little attention. Simply because the CEQA and NEPA guidelines do not specifically call for landscape-level analyses is not a sufficient reason to ignore them.
Wetland restoration is presented as a key element of mitigation of significant impacts (example below in comments on Chapter 12, which begin on p. 18). We noticed little attention to the sequence required for assessing potential impacts to wetlands: first, avoid wetland loss; second, if wetland loss cannot be avoided, minimize losses; and third, if avoidance or minimization of wetland loss is not feasible, compensate. Much of the emphasis in the Current Draft is on the third element. Sequencing apparently will be addressed as part of the permitting process with the US Army Corps of Engineers (USACE) for mitigation related to the discharge of dredged or fill material.\(^{10}\) However, it is difficult to evaluate the impacts on wetlands in advance of a clarification of sequencing and criteria for feasibility.
**Mitigation ratios**
Restoring a former wetland or a highly degraded wetland is preferable to creating wetlands from uplands\(^{11}\). When an existing wetland is restored, however, there is no net gain of
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\(^8\) [http://deltacouncil.ca.gov/docs/adaptive-management-report-v-8](http://deltacouncil.ca.gov/docs/adaptive-management-report-v-8)
\(^9\) [http://deltacouncil.ca.gov/sites/default/files/documents/files/HABITAT%20RESTORATION%20REVIEW%20FINAL.pdf](http://deltacouncil.ca.gov/sites/default/files/documents/files/HABITAT%20RESTORATION%20REVIEW%20FINAL.pdf)
\(^{10}\) Letter from Cassandra Enos-Nobriga, DWR, September 21, 2015.
\(^{11}\) [http://www.nap.edu/openbook.php?isbn=0309074320](http://www.nap.edu/openbook.php?isbn=0309074320)
area, so it is unclear whether credits for improving existing wetlands would be considered equivalent to creating wetlands where they did not recently exist.
In view of inevitable shortcomings and time delays in wetland restorations, mitigation ratios should exceed 1:1 for enhancement of existing wetlands. The ratios should be presented, rather than making vague commitments such as “restore or create 37 acres of tidal wetland....” The Final Draft also needs to clarify how much of the wetland restoration is out-of-kind and how much is in-kind replacement of losses. It should examine whether enough tidal area exists of similar tidal amplitude for in-kind replacement of tidal wetlands, and whether such areas will exist with future sea-level rise. We agree that out-of-kind mitigation can be preferable to in-kind when the trade-offs are known and quantified and mitigation is conducted within a watershed context, as described in USACE’s 2010 guidance for compensatory wetland mitigation.\(^{12}\) Since then, many science-based approaches have been developed to aid decision-making at watershed scales, including the 2014 Watershed Approach Handbook produced by the Environmental Law Institute and The Nature Conservancy.\(^{13}\).
**Restoration timing and funding**
To reduce uncertainty about outcomes, allow for beneficial and economical adaptive management, and allow investigators to clarify benefits before the full impacts occur, mitigation actions should be initiated as early as possible. Mitigation banks are mentioned, but are any operational or planned for operation soon? The potential for landowners to develop mitigation banks could be encouraged so restoration could begin immediately, engendering better use of local knowledge, financial profit, and local support for the project. We are told that the timing of mitigation will be coordinated with other review processes that are currently ongoing.\(^6\)
**Levees**
A comprehensive assessment of environmental impacts should relate California WaterFix to levee failure by examining the consequences each may have for the other. The interplay between conveyance and levees is receiving additional attention through the Delta Levee Investment Strategy.
On the one hand, the Current Draft fails to consider how levee failures would affect the short-term and long-term water operations spelled out in Table 4.1-2. A rough estimate was proposed under the Delta Risk Management Study\(^{14}\) and another is part of a cost-benefit analysis for the BDCP\(^{15}\). The Final Report should provide analyses that incorporate these estimates.
On the other hand, the Current Draft also fails to consider how implementing the project would affect the basis for setting the State’s priorities in supporting Delta levee maintenance. This potential impact is illustrated by a recent scoring system of levee-project proposals that awards points for expected benefits to “export water supply reliability”\(^{16}\). Further efforts to quantify these benefits have been recommended as part of a comprehensive risk assessment that
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\(^{12}\) [http://www.sac.usace.army.mil/Portals/43/docs/regulatory/Guidelines_for_Preparing_a_Compensatory_Mitigation_Plan.pdf](http://www.sac.usace.army.mil/Portals/43/docs/regulatory/Guidelines_for_Preparing_a_Compensatory_Mitigation_Plan.pdf)
\(^{13}\) [https://www.eli.org/sites/default/files/eli-pubs/watershed-approach-handbook-improving-outcomes-and-increasing-benefits-associated-wetland-and-stream_0.pdf](https://www.eli.org/sites/default/files/eli-pubs/watershed-approach-handbook-improving-outcomes-and-increasing-benefits-associated-wetland-and-stream_0.pdf)
\(^{14}\) [http://www.water.ca.gov/floodmgmt/dsmo/sab/drmsp/docs/Delta_Seismic_Risk_Report.pdf](http://www.water.ca.gov/floodmgmt/dsmo/sab/drmsp/docs/Delta_Seismic_Risk_Report.pdf)
\(^{15}\) [http://baydeltaconservationplan.com/Libraries/Dynamic_Document_Library/Draft_BDCP_Statewide_Economic_Impact_Report_8513.sflb.ashx](http://baydeltaconservationplan.com/Libraries/Dynamic_Document_Library/Draft_BDCP_Statewide_Economic_Impact_Report_8513.sflb.ashx)
\(^{16}\) [http://www.water.ca.gov/floodsafe/fessro/docs/special_PSP14_final.pdf](http://www.water.ca.gov/floodsafe/fessro/docs/special_PSP14_final.pdf)
would guide the Delta Levees Investment Strategy\textsuperscript{17}. Public safety, a focus of the Delta Flood Emergency Management Plan,\textsuperscript{18} is just one asset that levees protect. The Current Draft does not evaluate how the proposed project may affect estimates of the assets that the levees protect.
The Current Draft cites levee fragility mainly as a reason to build isolated conveyance for Sacramento River water (examples, p. 1-1, 1-7, 1-9). In a similar vein, the California WaterFix website states, “Aging dirt levees are all that protect most of California’s water supplies from the affects [sic] of climate change. Rising sea levels, intense storms, and floods could all cause these levees to fail, which would contaminate our fresh water with salt, and disrupt water service to 25 million Californians”\textsuperscript{19}. Neither the Previous Draft nor the Current Draft, however, provides a resource chapter about Delta levees. Such a chapter would be an excellent place to examine interacting impacts of conveyance and levees.
**Long-term effects**
With the shortened time period, several potential long-term impacts of or on the proposed project no longer receive attention. While these effects may not become problematic during the initial permit period, many are likely to affect project operations and their capacity to deliver benefits over the long operational life of the proposed conveyance facilities. In our view, consideration of these long-term effects should be part of the evaluation of the science foundation of the proposed project.
The No-Action alternative establishes the baseline for evaluating impacts and benefits of the proposed alternative(s). It is therefore important to consider carefully how the baseline is established, as this can determine whether particular consequences of the alternatives have costs or benefits. Climate change, for example, is considered under the No-Action alternative in the Current Draft, as is sea-level rise. Climate change is expected to reduce water availability for the proposed northern intakes, and both climate change and sea-level rise are expected to influence tidal energy and salinity intrusion within the Delta\textsuperscript{20}. Changes in water temperature may influence the condition of fishes that are highly temperature-dependent in the current analyses. These environmental effects, in turn, are likely to influence environmental management and regulation; from the standpoint of water quality they may even yield environmental benefits if agricultural acreage decreases and agricultural impacts are reduced.
Rather than consider such effects, however, the Current Draft focuses on how the proposed project would affect “the Delta’s resiliency and adaptability to expected climate change” (Current Draft section 4.3.25). Quite apart from the fact that “resiliency” and “adaptability” are scarcely operational terms, the failure to consider how climate change and sea-level rise could affect the outcomes of the proposed project is a concern that carries over from our 2014 review and is accentuated by the current drought (below, p. 11).
The Current Draft states that “Groundwater resources are not anticipated to be substantially affected in the Delta Region under the No Action Alternative (ELT) because surface water inflows to this area are sufficient to satisfy most of the agricultural, industrial, and municipal water supply needs” (p. 4.2-16). This conclusion is built on questionable assumptions; the current drought illustrates how agriculture turns to groundwater when surface-water availability diminishes. Groundwater regulation under the recently enacted Sustainable
\textsuperscript{17} \url{http://deltacouncil.ca.gov/docs/delta-levee-investment-strategy/dlis-peer-review-technical-memorandum-31}
\textsuperscript{18} \url{http://www.water.ca.gov/floodmgmt/hafoo/fob/dreppr/InterdepartmentalDraftDFEMP-2014.pdf}.
\textsuperscript{19} \url{http://www.californiawaterfix.com/problem}
\textsuperscript{20} \url{http://journals.plos.org/plosone/article?id=10.1371/journal.pone.0024465}
Groundwater Management Act (SGMA) can also be expected to have long-term effects on the proposed project—effects that the Current Draft does not assess. Ending of more than a million acre-feet of overdraft in the southern Central Valley under the SGMA is likely to increase demand for water exports from the Delta in the coming decades. The Current Draft discusses the potential effects of the project on groundwater (for example, in Sections 4.3.3 and 126.96.36.199), but we found only two brief, descriptive mentions of SGMA in the 235 pages of Section 5. The implications of prolonged droughts (e.g., on levee integrity) and of the consequences of SGMA receive too little attention in the Current Draft.
The Current Draft suggests that unnamed “other programs” that are “separate from the proposed project” will use elements of the Previous Draft to implement long-term conservation efforts that are not part of California WaterFix (Current Draft, p. 1-3). The Final Report should provide assurances that such other programs will step in, and could go further in considering their long-term prospects.
**Informative summaries and comparisons**
According to guidance for project proponents, “Environmental impact statements shall be written in plain language and may use appropriate graphics so that decision-makers and the public can readily understand them” (Code of Federal Regulations, 40 CFR 1502.8). Far-reaching decisions should not hinge on environmental documents that few can grasp.
This guidance applies all the more to an EIR/EIS of the scope, complexity, and importance of the Current Draft. It demands excellent comparative descriptions of alternatives that are supported by readable tables and high-quality graphics, enumeration of major points, well-organized appendices, and integration of main figures with the text. For policy deliberations, the presentation of alternatives should include explicit comparisons of water supply deliveries and reliabilities as well as economic performance. For decision-makers, scientists, and the public, summaries of impacts should state underlying assumptions clearly and highlight major uncertainties. The Current Draft is inadequate in these regards.
The Previous Draft provided text-only summaries for just the two longest of its resource chapters (Chapters 11 and 12). A fragmentary comparison of alternatives was buried in a chapter on "Other CEQA/NEPA required sections" (part 3 of Chapter 31) but fell far short of what was needed. Both the Previous and Current Drafts have been accompanied by a variety of outreach products for broad audiences (e.g., the descriptive overview of the BDCP Draft EIR/EIS\(^{21}\)). These products do little to compensate for the overall paucity of readable summaries and comparisons in the Previous and Current Drafts.
For over three years, the Delta ISB has been specifically requesting summaries and comparisons: first in June 2012\(^{22}\), then in June 2013\(^{23}\), and again in a review of the Previous Draft in May 2014 (footnote 1, p. 1). Appallingly, such summaries and comparisons remain absent in the Current Draft. The generally clear writing in Sections 1 through 4 shows that the preparers are capable of providing the requested summaries and comparisons. Prescriptions in CEQA and NEPA in no way exclude cogent summaries, clear comparisons, or informative graphics. And three years is more than enough time to have developed them.
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\(^{21}\) Highlights+of+the+Draft+EIS-EIR+12-9-13.pdf
\(^{22}\) http://deltacouncil.ca.gov/sites/default/files/documents/files/DISB_Letter_to_JMeral_and_DHoffman-Floorke_061212.pdf
\(^{23}\) http://deltacouncil.ca.gov/sites/default/files/documents/files/DISB%20Comments%20on%20Draft%20BDCP%20Document.doc_.pdf
On August 14, 2015, representatives of California WaterFix assured us that this kind of content would eventually appear, but only in the Final Report. That will be far too late in the EIR/EIS process for content so critical to comprehending what is being proposed and its potential impacts.
**PRIOR CONCERNS AND THEIR RELEVANCE TO THE CURRENT DRAFT**
The Delta ISB review of May 14, 2014 emphasized eight broad areas of concern about the scientific basis for the Previous Draft. Each is summarized below, followed by a brief appraisal of how (or whether) the concern has been dealt with in the Current Draft. While the reduced scope of the proposed project has reduced the relevance of some issues, particularly habitat restoration and other conservation measures, other concerns persist.
Our persistent concerns include the treatment of uncertainty, the implementation of adaptive management, and the use of risk analysis. These topics receive little or no further attention in the Current Draft. We also found few revisions in response to points we raised previously about linkages among species, ecosystem components, or landscapes; the potential effects of climate change and sea-level rise; and the potential effects of changes in water availability on agricultural practices and the consequent effects on the Delta. Our previous comments about presentation also pertain.
**Effectiveness of conservation actions**
Our 2014 review found that many of the impact assessments hinged on optimistic expectations about the feasibility, effectiveness, or timing of the proposed conservation actions, especially habitat restoration.
This is arguably less of a concern now, given the substantially shorter time frame of the revised project and narrower range of conservation actions designed for compensatory restoration. Nonetheless, the Current Draft retains unwarranted optimism, as on page 4.3.25-10: “By reducing stressors on the Delta ecosystem through predator control at the north Delta intakes and Clifton Court Forebay and installation of a nonphysical fish barrier at Georgiana Slough, Alternative 4A will contribute to the health of the ecosystem and of individual species populations making them stronger and more resilient to the potential variability and extremes caused by climate change.” A scientific basis for this statement is lacking, and an adaptive or risk-based management framework is not offered for the likely event that such optimism is unfulfilled.
Is it feasible for even the reduced amounts of mitigation and restoration to be completed within the time period proposed? Perhaps yes. Is it feasible that these actions will mitigate impacts over the long term? This is more problematic. To be effective, mitigation actions should deal with both the immediate and long-term consequences of the project. The proposed permitting should allow for monitoring long enough to assess the effectiveness of habitat restoration measures, which will need to extend beyond the initial permitting period.
**Uncertainty**
The 2014 review found the BDCP encumbered by uncertainties that were considered inconsistently and incompletely. We commented previously that modeling was not used effectively enough in bracketing uncertainties or exploring how they may propagate or be addressed.
In the Current Draft, uncertainties and their consequences remain inadequately addressed, improvements notwithstanding. Uncertainties will now be dealt with by establishing “a robust program of collaborative science, monitoring, and adaptive management” (ES 4.2). No details about this program are provided, so there is no way to assess how (or whether) uncertainties will be dealt with effectively. Although sensitivity modeling was used to address the effects of changes in the footprint and other minor changes of the revised project, full model runs were not carried out to assess the overall effects of the specific changes. Consequently, modeling that would help to bracket ranges of uncertainties or (more importantly) assess propagation of uncertainties is still inadequate.
Many of our prior concerns about uncertainties pertained to impacts on fish. If those uncertainties have now been addressed in Chapter 11, they are difficult to evaluate because changes to that chapter have not been tracked in the public draft (below, p. 17).
There are also uncertainties with the data generated from model outputs, although values are often presented with no accompanying error estimates. This situation could be improved by presenting results from an ensemble of models and comparing the outputs.
**Effects of climate change and sea-level rise on the proposed actions**
Our 2014 review stated concerns that the Previous Draft underestimated effects of climate change and sea-level rise across the 50-year timeline of the BDCP. With the nominal duration shortened substantially, most of the projected impacts of climate change and sea-level rise may occur later. But climate-related issues remain.
First, the Current Draft is probably outdated in its information on climate change and sea-level rise. It relies on information used in modeling climate change and sea-level rise in the Previous Draft, in which the modeling was conducted several years before December 2013. The absence of the climate-change chapter (Chapter 29) in the Previous Draft from Appendix A in the Current Draft indicates that no changes were made. In fact, the approaches and assumptions in the Current Draft remained unchanged from the Previous Draft in order to ensure consistency and comparability across all the Alternatives, even though newer scientific information had become available.\(^6\) Yet climatic extremes, in particular, are a topic of intense scientific study, illustrated by computer simulations of ecological futures\(^{24}\) and findings about unprecedented drought\(^{25}\). The Current Draft does not demonstrate consideration of recently available climate science, and it defers to the Final Report analysis of future system operations under potential climate and sea-level conditions. In fact, the Current Draft generally neglects recent literature, suggesting a loose interpretation of “best available science.”
Second, climate change and sea-level rise are now included in the No-Action Alternative, as they will transpire whether or not WaterFix moves forward. A changed future thus becomes the baseline against which Alternative 4A (and the others) are compared. Changes in outflow from the Delta due to seasonal effects of climate change and the need to meet fall X2 requirements are considered in Section 4.3.1. The difference in outcomes then depends on assumptions about the facility and operations of Alternative 4A and the other Alternatives. Sensitivity analyses indicate that the impacts of the different Alternatives are generally similar in comparison to the No Action Alternative under the range of climate projections considered.\(^6\) Thus, “Delta exports would either remain similar or increase in wetter years and remain similar
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\(^{24}\) [http://journals.plos.org/plosone/article?id=10.1371/journal.pone.0024465](http://journals.plos.org/plosone/article?id=10.1371/journal.pone.0024465)
\(^{25}\) Cook, B.I., Ault, T.R., and Smerdon, J.E., 2015, Unprecedented 21st century drought risk in the American Southwest and Central Plains: *Science Advances*, v. 1, doi:10.1126/sciadv.1400082.
or decrease in the drier years under Alternative 4A as compared to the conditions without the project.” (p. 4.3.1-4). Such an inconclusive conclusion reinforces the need to be able to adapt to different outcomes. Simply because the Alternatives are expected to relate similarly to a No Action Alternative that includes climate change does not mean that the Alternatives will be unaffected by climate change.
**Interactions among species, landscapes, and the proposed actions**
The Previous Draft acknowledged the complexities produced by webs of interactions, but it focused on individual species, particular places, or specific actions that were considered in isolation from other species, places, or actions. Potential predator-prey interactions and competition among covered and non-covered fish species were not fully recognized. Confounding interactions that may enhance or undermine the effectiveness of proposed actions were overlooked. In our 2014 review we recommended describing and evaluating the potential consequences of such interactions, particularly in Chapters 11 (Fish and aquatic resources) and 12 (Terrestrial resources).
The Current Draft recognizes that mitigation measures for one species or community type may have negative impacts on other species or communities, and mitigation plans may be adjusted accordingly. But the trade-offs do not seem to be analyzed or synthesized. This emphasizes the need for a broader landscape or ecosystem approach that comprehensively integrates these conflicting effects.
**Effects on San Francisco Bay, levees, and south-of-Delta environments**
In 2014 we pointed to three kinds of impacts that the Previous Draft overlooked: (1) effects on San Pablo Bay and San Francisco Bay in relation to Delta tides, salinity, and migratory fish; (2) effects of levee failures on the proposed BDCP actions and effects of isolated conveyance on incentives for levee investments; and (3) effects of increased water reliability on crops planted, fertilizers and pesticides used, and the quality of agricultural runoff. The Current Draft responds in part to point 1 (in 188.8.131.52) while neglecting point 2 (above, p. 7) and point 3.
On point 3: Although the Current Draft considers how the project might affect groundwater levels south of the Delta (7.14 to 7.18), it continues to neglect the environmental effects of water use south of (or within) the Delta. Section 184.108.40.206 describes how increased water-supply reliability could lead to increased agricultural production, especially during dry years. Elsewhere, a benefit-cost analysis performed by ICF and the Battle Group\(^{26}\) calculated the economic benefits of increased water deliveries to agriculture in the Delta. The Current Draft does not fully consider the consequences of these assumptions, or of the projections that the project may enhance water-supply reliability but may or may not increase water deliveries to agriculture (depending on a host of factors). We have been told that to consider such possibilities would be “too speculative” and that such speculations are explicitly discouraged in an EIR/EIS. Yet such consequences bear directly on the feasibility and effectiveness of the project, and sufficient information is available to bracket a range of potential effects. Our previous concerns are undiminished.
The impacts of water deliveries south of the Delta extend to the question of how each intake capacity (3,000, 9,000, or 15,000 cfs) may affect population growth in Southern
\(^{26}\) Hecht, J., and Sunding, D., Draft Bay Delta Conservation Plan statewide economic impact report, August 2013.
California. Section 4.4.1-9 treats the growth-enabling effects of alternative 2D lightly, saying that additional EIS review would be needed for future developments.
**Implementing adaptive management**
In the Previous Draft, details about adaptive management were to be left to a future management team. In our 2014 review we asked about situations where adaptive management may be inappropriate or impossible to use, contingency plans in case things do not work as planned, and specific thresholds for action.
Although most ecological restoration actions have been shifted to California EcoRestore (p. 5), we retain these and other concerns about adaptive management under California WaterFix. If the mitigation measures for terrestrial resources are implemented as described, for example, they should compensate for habitat losses and disturbance effects of the project. The test will be whether the measures will be undertaken as planned, be as effective as hoped, and continue long enough to fully mitigate effects. This is where adaptive management and having contingency plans in place becomes critically important. It is not apparent that the mitigation plans include these components.
**Reducing and managing risk**
Our 2014 review advised using risk assessment and decision theory in evaluating the proposed BDCP actions and in preparing contingency plans. We noticed little improvement on this issue, just a mention that it might be considered later. This is not how the process should be used.
**Comparing BDCP alternatives**
The Previous Draft contained few examples of concise text and supporting graphics that compare alternatives and evaluate critical underlying assumptions. Rudimentary comparisons of alternatives were almost entirely absent. The Current Draft retains this fundamental inadequacy (p. 9).
Our 2014 review urged development and integration of graphics that offer informative summaries at a glance. We offered the example reproduced below. If the Current Draft contains such graphics, they would need to be ferreted out from long lists of individual pdf files. Because they are not integrated into the text where they are referenced in the Current Draft, the figures cannot readily illustrate key points.
COMMENTS ON INDIVIDUAL SECTIONS AND CHAPTERS
This final section of the review contains minimally edited comments on specific points or concerns. These comments are organized by Section or Chapter in the Current Draft. Many are indexed to pages in the section or chapter named in the heading.
Alternatives 4A, 2D, and 5A (Section 4)
It is good that the proposed alternatives are seen as flexible proposals, as it is difficult to imagine that any proposal for such a complex and evolving system could be implemented precisely as proposed. Some initial and ongoing modifications seem desirable, and unavoidable.
The operating guidance for the new alternatives seems isolated from the many other water management and environmental activities in and upstream of the Delta likely to be important for managing environmental and water supply resources related to Delta diversions. While it is difficult to specify detailed operations for such a complex system, more details on the governance of operations (such as the Real Time Operations process) would be useful. The operational details offered seem to have unrealistic and inflexible specificity. Presentations of delivery-reliability for different alternatives remain absent. Environmental regulations on Delta diversions have tended to change significantly and abruptly in recent decades, and seem likely to change in the future. How sensitive are project water supply and environmental performance to changes in operating criteria?
The collaborative science ideas seem philosophically attractive, but are not given much substance. Monitoring is mentioned, but details of organization, intent, and resources seem
lacking. Adequate funding to support monitoring, collaborative science, and adaptive management is a chronic problem. Section ES.4.2 states that “Proponents of the collaborative science and monitoring program will agree to provide or seek additional funding when existing resources are insufficient.” This suggests that these activities are lower in priority than they should be.
The three new alternatives, 4A, 2D, and 5A, seem to have modest changes over some previous alternatives, with the exception of not being accompanied by a more comprehensive environmental program. In terms of diversion capacities, they cover a wide range, 3,000 cfs (5A), 9,000 cfs (4A), and 15,000 cfs (2D). The tables comparing descriptions of the new alternatives to previous Alternative 4 are useful, but should be supplemented by a direct comparison of the three new alternatives.
The new Sustainable Groundwater Management Act (SGMA) seems likely to increase demands for water diversions from the Delta to the south to partially compensate for the roughly 1.5-2 maf/year that is currently supplied by groundwater overdraft.
The State seems embarked on a long-term reduction in urban water use, particularly outdoor irrigation. Such a reduction in urban water use is likely to have some modest effects on many of the water-demand and scarcity impacts discussed.
The climate change analysis of changes in Delta inflows and outflows is useful, but isolating the graphs in a separate document disembodies the discussion. The fragmentation of the document by removing each Section 4 figure into a separate file is inconvenient for all, and makes integrated reading practically impossible for many.
The details of the alternative analyses seem mostly relevant and potentially useful. Much can be learned about the system and the general magnitude of likely future outcomes from patient and prolonged reading of this text. An important idea that emerges from a reading of the No Action Alternative is that the Delta, and California water management, is likely to change in many ways with or without the proposed project. The No Action and other alternatives also illustrate the significant inter-connectedness of California’s water system. The range of impacts considered is impressive, but poorly organized and summarized.
The discussion of disinfection by-product precursor effects in Delta waters is improved significantly, but could be made more quantitative in terms of economic and public-health impacts.
The discussion on electromagnetic fields is suitably brief, while the tsunami discussion could be condensed.
The effects of the likely listing of additional native fish species as threatened or endangered seems likely to have major effects on project and alternative performance. These seem prudent to discuss, and perhaps analyze.
Is Alternative 2D, with 15,000 cfs capacity, a serious alternative? Does it deserve any space at all?
Table 4.1-8 implies that tidal brackish/Schoenoplectus marsh. Should some of this be considered tidal freshwater marsh?
The dynamics of the Delta are largely determined by water flows. The Current Draft acknowledges that water flows and salinity will change in complex ways. There are statements about how inflows, outflows, and exports will change in Alternative 4A in relation to baseline (No-Action) conditions (p. 4.3.8-13). What is the scientific basis on which these changes will be managed? Will models be used? What confidence should we have in current projections? Have the effects of droughts or deluges been considered?
4.3.7-10, line 13: Text on disturbing sediments and releasing contaminants needs to add nitrogen and phosphorus to the concerns.
**Water quality (Chapter 8)**
8-3, line 13: *Microcystis* is singled out as a cyanobacterium that can (but doesn’t always) produce the toxin, myrocystin; however, there are other cyanobacteria that sometimes produce other toxins. Different genera can differ in the nutrient that limits their blooms (see 2014 letter by Hans Paerl in Science 346(6406): 175-176). For example, *Microcystis* blooms can be triggered by N additions because this species lacks heterocysts, while toxin-producing *Anabaena* blooms can be triggered by P additions, because *Anabaena* has heterocysts and can fix N. The frequently repeated discussion of cyanobacteria blooms needs to be updated. Also cite Paerl on page 8-45 line 8. Ditto on page 8-103 and 8-106 line 34.
8-8. In our earlier comments, we recommended that carbon be separated into its dissolved and particulate forms for consideration of water quality impacts because dissolved organic carbon (DOC) is the form most likely to react with chloride and bromide and result in formation of disinfection by-products. The section on bromide focuses on interactions with total organic carbon (TOC), rather than DOC. Carbon is primarily considered with respect to formation of disinfection by-products but carbon plays a central role in the dynamics of the Delta, affecting processes such as metabolism, acidity, nutrient uptake, and bioavailability of toxic compounds. Carbon cycling determines ecosystem structure and function in aquatic systems. It also modifies the influence and consequences of other chemicals and processes in aquatic systems. Dissolved organic carbon (DOC), for example, influences light and temperature regimes by absorbing solar radiation, affects transport and bioavailability of metals, and controls pH in some freshwater systems. Respiration of organic carbon influences dissolved oxygen concentrations and pH.
8-18, line 12 says that salt disposal sites were to be added in 2014; were they?
8-19 and 8-20: “CECs” is not defined and seems to be used incorrectly. Change “CECs” to “EDCs” on page 8-19 and to “PPCPs” on page 8-20.
8-21, line 18-19: Such a statement should be qualified. The conclusion that marine waters are N-limited and inland waters are P-limited is outdated. Recent papers, including the above, find more complex patterns.
8-22, lines 18 and 30: Choose either “cyanobacteria” or “blue-green algae;” using both will confuse readers who may perceive them as different.
8-23, lines 15-16: Say how the N:P ratio changed composition, not just that it did change composition.
8-23 through 8-25: Uncertainties (e.g., standard deviation or standard error of the mean) associated with the mean concentrations of DOC should be presented. It is impossible to interpret differences between the values that are presented without knowledge of the variation around the mean values (e.g., without knowledge of variation around the mean, it is difficult to evaluate whether DOC concentrations at south vs. north-of-Delta stations and Banks headworks differ from one another; 3.9 to 4.2 mg/L vs. 4.3 mg/L).
8-65, line 12: Specify if DO is for daytime or night, and for surface, bottom or mid-water column.
8-75, line 6: The failure to consider dissolved P (DP) should be addressed; there is much greater uncertainty. The adherence of some P to sediment does not prevent considerable
discharge of P as DP. Also on page 8-95 line 40, qualify predictions due to lack of consideration of DP.
8-82, line 4-5: It seems unlikely that current levels of *Microcystis* growth in the Delta are dependent on the exclusive uptake of ammonia. Temperature is one of the primary factors driving *Microcystis* blooms and global warming could promote bloom occurrence. Consider revising this section to, “Because it seems unlikely that current levels of *Microcystis* growth in the Delta are dependent on the exclusive uptake of ammonia, the frequency, magnitude and geographic extent of *Microcystis* under future scenarios is difficult to predict.”
8-105, line 8: Would total nitrogen be dominated by nitrate just by increasing ammonia removal? Depending on redox and microbiota, why wouldn’t nitrate be converted to ammonium?
A lot of attention is given to factors controlling *Microcystis* blooms in this chapter but little attention is given to its toxicity. Just as factors controlling blooms are not fully understood, the regulating factors of cellular toxin contents remain poorly understood. As a result, the impact of blooms on the environment can vary (e.g., large blooms of non-toxic or low toxin organisms may have impacts on environmental variables such as nutrient uptake and dissolved oxygen consumption while small blooms of highly toxic organisms could impact food webs) [see: Ma et al. (2015) Toxic and non-toxic strains of *Microcystis aeruginosa* induce temperature dependent allelopathy toward growth and photosynthesis of *Chlorella vulgaris*. Harmful Algae 48: 21–29].
**Fish and aquatic resources (Chapter 11)**
We found individual conclusions or new analyses difficult to identify in this key chapter because changes to it were not tracked in the public version of the Current Draft and there was no table of contents that could have assisted in side-by-side comparison with the Previous Draft.
*Effects of temperature*
We noticed more emphasis on temperature concerning the fish ‘downstream’ impacts (but without tracked changes this becomes difficult to document).
The main temperature variable used expresses the percentage of time when monthly mean temperatures exceed a certain rate or fall within a certain boundary. The biological impact, however, is difficult to assess with these numbers. If all of the change occurred just during operations or just during one day, the biological impact could be much different than a small change every day (provided by using means). Graphs of changes and listing of extreme highs and lows during a model run would have more biological meaning. Also, comparisons were made using current baseline conditions and did not consider climate change effects on temperatures.
*Fish screens*
It is unclear how (and how well) the fish screens would work. The description of fish screens indicates that fish >20 mm are excluded, but what about fish and larvae that are <20 mm, as well as eggs? Table 11-21 seems out of date, because some fish screens appear to have been installed, but data on their effects are not given. Despite the lack of specific data on how well screens function, the conclusion that there will be no significant impact is stated as certain (e.g., page 1-100 line 38).
Here, as in many other places, measures are assumed to function as planned, with no evidence to support the assumptions. The level of certainty seems optimistic, and it is unclear whether there are any contingency plans in case things don’t work out as planned. This problem persists from the Previous Draft.
Invasive plants
Cleaning equipment is mentioned, but it is not specifically stated that large machinery must be cleaned before entering the Delta. Section 4.3.8-358 says equipment would be cleaned if being moved within the Delta. Cleaning is essential to reduce transfer of invasive species; a mitigating measure is to wash equipment, but it must also be enforced.
Weed control (fire, grazing) is suggested, but over what time frame? It may be needed in perpetuity. That has been our experience at what is considered the world’s oldest restored prairie (the 80-yr-old Curtis Prairie, in Madison, WI).
Weed invasions can occur after construction is completed; how long will the project be responsible for weed control? 3-5 years won’t suffice.
4.3.8-347. Herbicides are prescribed to keep shorebird nesting habitat free of vegetation, but toxic effects of herbicides on amphibians etc. are not considered.
4.3.8-354. Impacts of invasive plants seem underestimated. Impact analysis implies that the project disturbance area is the only concern, when dispersal into all areas will also be exacerbated. At the Arboretum, a 1200-ac area dedicated to restoration of pre-settlement vegetation, invasive plants are the main constraint. A judgment of no significant impact over just the disturbance area is overly optimistic.
4.3.8-356. Does not mention need to clean equipment to minimize import of seeds on construction equipment.
Cryptic acronym and missing unit
Figure 2: SLR x year: y axis lacks units; reader has to continue on to table 11-20 to find that it is cm.
Terrestrial biological resources (Chapter 12)
Effects on wetlands and waters of the United States (WOTUS)
Page 12-1, line 18-19 says: “Under Alternatives 2D, 4, 4A, and 5A, larger areas of non-wetland waters of the United States would be filled due to work in Clifton Court Forebay; however, the Forebay would ultimately expand by 450 acres and thus largely offset any losses there.” Is the assumption that, acre for acre, all jurisdictional waters are interchangeable, whether of different type or existing vs. created? The literature does not support this assumption.
The text argues that the wetlands would be at risk with levee deterioration, sea-level rise, seismic activity, etc. But the solution is for “other programs” to increase wetlands and riparian communities. What if this project causes the problem, e.g. via vibration?
CM1 alternative 4A would fill 775 acres of WOTUS (491 wetland acres); Alt 2D would fill 827 (527 wetland) + 1,931 ac temporary fill at Clifton Court Forebay; Alt 5A would fill 750 (470 wetland). That’s a lot of area. The timing and details of mitigation measures are not provided. References to the larger Delta Plan suggest that compensations would come at unknown times. Piecemeal losses such as indicated here: “Only 1% of the habitat in the study area would be filled or converted” (Chapter 12, line 29, page 12-22) is how the US has lost its historical wetlands. What are the overall cumulative impacts of wetland losses in the Delta? What is the tipping point beyond which further wetland losses must be avoided? The proposed project is one part of the broader array of management actions in the Delta and should be considered in that broader context.
Habitat descriptions
How will mudflats be sustained for shorebirds? Exposed mud above half-tide can become vegetated rapidly. In the Delta, the bulrush *Schoenoplectus californicus* tolerates nearly continuous tidal submergence.
Are soils clayey enough for the proposed restoration of up to 34 acres of vernal pool and alkali seasonal wetland near Byron? These areas will need to pond water, not just provide depressions.
12-243, line 18: How would adding lighting to electrical wires eliminate any potential impact to black rails? This mitigation is overstated.
Several of the species accounts (e.g., bank swallow) indicate that there is uncertainty about how construction or operations will impact the species. In most cases, monitoring is proposed to assess what is happening. But to be effective, the monitoring results need to be evaluated and fed into decision-making, as visualized in the adaptive-management process. There is little explicit indication of how this will be done or funded.
Land use (Chapter 13)
Alternative 4A would allow water diversion from the northern Delta, with fish screens, multiple intakes, and diversions limited to flows that exceed certain minima, e.g., 7000 cfs. This would reduce flood-pulse amplitudes and, presumably, downstream flooding. How does this alter opportunities for riparian restoration? Which downstream river reaches are leveed and not planned to support riparian restoration? Where would riparian floodplains still be restorable?
Over what surface area does the pipeline transition to the tunnel? At some point along the pipeline-tunnel transition, wouldn’t groundwater flow be affected?
Up to 14 years of construction activities were predicted for some areas (e.g., San Joaquin Co.); this would have cumulative impacts (e.g., dewatering would affect soil compaction, soil carbon, microbial functions, wildlife populations, and invasive species). What about impacts of noise on birds; e.g., how large an area would still be usable by greater sandhill cranes?
State how jurisdictional wetlands have been mapped and how the overall project net gain or net loss of wetland area has been estimated. If mitigation consists only of restoration actions in areas that are currently jurisdictional wetlands, then there would be an overall net loss of wetland area due to the project. A mitigation ratio >1:1 would be warranted to compensate for reduced wetland area. This was also a concern for Chapter 12.
Up to 277 ac of tidal wetlands are indicated as restorable; text should indicate if these are tidal freshwater or tidal brackish wetlands (or saline, as is the typical use of “tidal wetlands”).
13-19. On the need to store removed aquatic vegetation until it can be disposed: there are digesters for this purpose, and they might be efficient means of mitigation if management of harvested aquatic plants will be long-term. A waste product could be turned into a resource (methane fuel).
13-19, line 12: Text says that “predator hiding spots” will be removed. What are these?
13-19, line 20: What are the E16 nonphysical fish barriers? An electrical barrier?
13-20, line 19: Boat-washing stations are mentioned; would these discharge pollutants (soap, organic debris?)
Testimony by City of Antioch
For SWRCB Delta Flow Criteria
Informational Proceeding
Submitted February 16, 2010
For hearings beginning March 22, 2010
Overview
- Antioch has taken fresh drinking water from the Delta since the 1860s
- Infrastructure and flow diversions have changed distribution and timing of freshwater flows
- Historic conditions were far fresher than current conditions
- Quality of water at Antioch has declined markedly
Why Is This Important?
- Characterizations of the Delta as “historically saline” are false
- Native species are adapted to historical conditions, so historic salinity and flow patterns must be considered in establishing appropriate flow and salinity standards
What Should Happen?
- SWRCB should review and incorporate historic salinity data into its analyses
- SWRCB should use historic data to establish an historic baseline of water quality and flows for both fisheries and drinking water quality standards
What Should Happen?
- SWRCB should ensure that flows are not reduced, nor salinity increased, beyond levels assured by D-1641 and current X2 requirements
- In fact, the City of Antioch asks the SWRCB to establish flow and salinity standards in line with the Delta’s historic fresh condition
- SWRCB should state that characterizations of the Delta as “historically saline” are false
- SWRCB should consider using Antioch’s gauging station as a ‘point of interest’ to gauge flow and salinity conditions
Systemic Changes Have Influenced Flows and Salinity
Factors Influencing Salinity
- Hydrology
- Changes to the Delta landscape
- Water Management
- Exports
- Diversions
- Reservoir Storage
The Delta Landscape is Dramatically Different
1873
2010
Approximate location of City of Antioch’s water intake
Source: left panel: DWR archives presented to Delta Vision (2008) final report; right panel: Delta Vision (2008)
Water Exports Have Increased and Remove Fresh Water from Delta
State and Federal Annual Delta Exports (1955-2008)
Central Valley Project
State Water Project
Exports (MAF/yr)
Data from IEP's DAYFLOW Program
| Location | Quotation |
|---------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Antioch, CA | “From early days, Antioch has obtained all or most of its domestic and municipal water supply from the San Joaquin River immediately offshore from the city… However, conditions were fairly satisfactory in this respect until 1917, when the increased degree and duration of saline invasion began to result in the water becoming too brackish for domestic use during considerable periods in the summer and fall.” (DPW, 1931, pg. 60) |
| Western Delta | “The dry years of 1917 to 1919, combined with increased upstream irrigation diversions, especially for rice culture in the Sacramento Valley, had already given rise to invasions of salinity into the upper bay and lower delta channels of greater extent and magnitude than had ever been known before.” (DPW, 1931, pg. 22)
“It is particularly important to note that the period 1917-1929 has been one of unusual dryness and subnormal stream flow and that this condition has been a most important contributing factor to the abnormal extent of saline invasion which has occurred during this same time.” (DPW, 1931, pg. 66). |
| Carquinez Strait (Western Delta) | “Under natural conditions, Carquinez Straits marked, approximately, the boundary between salt and fresh water in the upper San Francisco Bay and delta region…” (Means, 1928, pg. 9)
“For short intervals in late summer of years of minimum flow, salt water penetrated at lower river and delta region, and in wet seasons the upper bay was fresh, part of the time, to the Golden Gate.” (Means, 1928, pg. 9 & pg. 57) |
DPW (1931). Bulletin No. 27. State of California, Department of Public Works. See http://www.archive.org/details/variationcontrol27calirich
Means, T. (1928). Salt Water Problem: San Francisco Bay and Delta of Sacramento and San Joaquin Rivers, San Francisco, California, April 1928. A report prepared for the Association of Industrial Water Users of Contra Costa and Solano Counties.
| Location | Quotation |
|-------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Benicia, CA | “In 1889, an artificial lake was constructed. This reservoir, filled with fresh water from Suisun Bay during the spring runoff of the Sierra snow melt water …” (Dillon, 1980, pg. 131)
“…in 1889, construction began on an artificial lake for the [Benicia] arsenal which would serve throughout its remaining history as a reservoir, being filled with fresh water pumped from Suisun Bay during spring runoffs of the Sacramento and San Joaquin Rivers which emptied into the bay a short distance north of the installation.” (Cowell, 1963, pg. 31) |
| Pittsburg, CA | “From 1880 to 1920, Pittsburg (formerly Black Diamond) obtained all or most of its domestic and municipal water supply from New York Slough [near Pittsburg at the confluence of the Sacramento and San Joaquin Rivers], but in the summer of 1924 this river water showed a startling rise in salinity to 1,400 ppm of chlorine, the first time in many years that it had grown very brackish during the dry summer months.” (Tolman and Poland, 1935, pg. 27) |
Cowell, J. W. 1963. History of Benicia Arsenal: Benicia, California: January 1851 – December 1962. Berkeley, Howell-North Books
Dillon, R. 1980. Great Expectations: The Story of Benicia, California, Fresno, California, 241 pp.
Tolman, C. F. and J. F. Poland. 1935. Investigation of the Ground-Water Supply of the Columbia Steel Company Pittsburg, California. Stanford University, California, May 30, 1935
Testimony from Antioch Lawsuit: Pre-1918, Fresh Water was Available at Antioch Year-round
• Antioch lawsuit in 1920: Town of Antioch [plaintiff] v. Williams Irrigation District et al. [defendants] (1922, 188 Cal. 451)
• Plaintiff alleged that the upstream diversions were causing increased salinity intrusion at Antioch
• Testimony from defendants in the Antioch lawsuit (from the supporting Supreme Court record on file at the State Archives) (CCWD, 2010)
• In the late 1800s, water at Antioch was known to be brackish at high tide during certain time periods.
• Antioch was able to pump fresh water at low tide throughout the year, with the possible exception of the fall season during one or two dry years.
• Water at Antioch was apparently fresh at low tide at least until around 1915 (when the pumping plants started pumping continuously, regardless of tidal stage).
Testimony from plaintiff in the Antioch lawsuit (from the supporting Supreme Court record on file at the State Archives)
• Antioch’s freshwater supply was obtained directly from the western Delta from about 1866 to 1918 (pg. 47-48).
• Prior to 1918, freshwater was available at Antioch even during dry years and in the fall (pg. 23-24).
| Date | Location | Salinity (ppm) |
|-----------------------|----------|----------------|
| 1913 (Sept; a dry year) | Antioch | 66 |
| 1916 (Aug. 5th; wet year) | Antioch | 22.3 |
| 1916 (Aug. 9th; wet year) | Antioch | 12.3 |
| 1916 (Sept. 19th; wet year) | Antioch | 101.3 |
| 1917 (Sept. 14th; wet year) | Antioch | 141.6 |
Testimony from plaintiff in the Antioch lawsuit (continued)
• After 1918, salinity abruptly increased during irrigation (rice cultivation) season, and returned to a potable level after irrigation ceased (pg. 18-20)
| Date | Location | Salinity (ppm) |
|-----------------------------|--------------|----------------|
| 1918 (Sept. 25th; dry year) | Antioch | 1360 |
| 1920 (mid-July; critical year) | Pittsburg, CA | 4500 |
| 1920 (end-July; critical year) | Pittsburg, CA | 6000 |
| 1920 (mid-Aug.; critical year) | Pittsburg, CA | 9500 |
| 1920 (end-Sept.; critical year) | Pittsburg, CA | 2500 |
| 1920 (during rice irrigation; critical year) | Antioch | 12,500 |
| 1920 (end-Oct, after irrigation; critical year) | Pittsburg, CA | fresh |
Measurements at Pittsburg, CA, are from the Great Western Electro Chemical Co.
• Information on the effect of upstream diversions is also confirmed by records in the plaintiff’s testimony from C&H Sugar (see CCWD 2010).
• Plaintiff testimony asserted that in 1920 “the amount of water which the San Joaquin carried was dependent entirely upon the amount of water in the Sacramento,” and that “the San Joaquin itself carried practically no water at all. In other words, it was demonstrated that the amount of fresh water which came into the San Joaquin and down as far as the Town of Antioch was practically all Sacramento River water.” (pg. 15)
• Water was delivered to the San Joaquin River from the Sacramento River via two main conduits: Georgiana Slough and Three Mile Slough. 1920 flow rates in these sloughs were the basis of the assertion quoted above.
Testimony from Antioch Lawsuit: Water at Antioch is from Sacramento River
“It is necessary here to state some additional facts to explain how this pollution comes about and why diversions from the Sacramento River may or do affect the volume and quality of the water flowing down the San Joaquin River . . . From the Sacramento River at two points, one about eight [Three Mile] and the other about twenty - three miles [Georgiana] above its mouth, sloughs diverge, into which parts of its waters escape and flow through the said sloughs and into the San Joaquin River at points several miles above the place of the diversion by the city of Antioch.” Town of Antioch v. Williams Irrigation District et al. (1922) 188 Cal. 451, 455
Freshwater Availability has Declined
DWR (1960, pg. 13) found that freshwater was available at San Joaquin River at Antioch:
- 85% of the time under “natural” conditions
- 80% of the time in 1900
- 60% of the time by 1940
- 50% of the time by 1960
Note: report did not include effects of reservoir releases for salinity control.
DWR (1960), Bulletin No. 76, State of California. See http://www.deltacorridors.com/uploads/Bulletin_No._76_Delta_Water_Facilities-Color.pdf
Salinity Intrusion Occurred Earlier by 1975
Distance to freshwater from Crockett (~25 miles west of Antioch)
C&H observations (1908-1917) vs. IEP data (1966-1975)
Source: CCWD Salinity Report (2010)
Salinity Intrusion Occurred Even Earlier and Extended Farther by 2004
Distance to freshwater from Crockett (~25 miles west of Antioch)
C&H observations (1908-1917) vs. IEP data (1995-2004)
Source: CCWD Salinity Report (2010)
Freshwater Availability at Antioch Continues to Decline
Percentage time with daily EC < 1000 µS/cm is decreasing
Data from IEP & CDEC
10%-20% data missing
80% data missing
Even in Above Normal Years, Freshwater is Now Unavailable in Summer/Fall
Measured Salinity in the San Joaquin River at Antioch, WY 2000 (Above Normal Year)
Freshwater Criterion < 1000 EC
Water Year 2000
Historical (pre-1918)
Pre-1918, freshwater was available year-round
Data from CDEC
Freshwater is Now Available at Antioch Far Less Often
Measured Low Tide Salinity at Antioch (7-day running average), WY 1985-2009
Low Tide EC (µS/cm)
Present (1985-2009)
Historical (pre-1918)
Pre-1918, freshwater was available year-round at low tide in all but driest years.
Data from CDEC
Summary: The Western Delta Was Historically Fresher
- Pre-1918, freshwater was almost always available at least at low tide.
- Between 1918 and the late 1930s, drought conditions, upstream water diversions, and channelization increased the salinity of water at Antioch.
- By 1940 the drought receded, but salinity at Antioch remained elevated.
- Salinity continues to increase in recent years at Antioch.
- The fraction of time that water at Antioch is suitable for use (when salinity is < 250 mg/L chlorides or 1000 µS/cm EC) has declined significantly.
- “Historic” Delta was significantly fresher than the current Delta.
Consider historic fresh conditions to:
Establish Delta outflows and inflows to protect species adapted to these conditions.
Establish the criteria (volume, timing, quality) required by SB 7X1.
Establish drinking water quality standards for the Delta. |
PHILLIPINE PHILATELIC JOURNAL
Vol. XXIV No. 2
Second Quarter 2002
PHILIPPINE PHILATELIC JOURNAL
Official Publication of
International Philippine Philatelic Society
Dedicated to the Study and Advancement of Philippine Philately
American Philatelic Society Affiliate No. 54
Vol. XXIV No. 2 Second Quarter 2002
President Philippine Operations: Pio S Rodrigues
Coordinator-U. S. Operations: Robert F. Yacano
Vice President: Robert V. Araos
Secretary: Ruben A. Cruz Jr.
Treasurer: Antonio So
Senior Editor
Robert F. Yacano
P. O. Box 100
Toast, N. C. 27049
News Letter Editor
Richard D. Miggins
P. O. Box 8335
Universal City, CA 91618
Auditor: Mario Que
P.R. O: Larry Carino
US Auction Chairman
Donald J. Peterson
7408 Alaska Ave NW
Washington, DC 20012
APS Representative
David S. Durbin
3604 Darice Lane
Jefferson City, Mo 65109
Librarian
Daniel F. Ring
P. O. Box 113
Woodstock, IL 60098
IPPS Membership Dues Structure
United States
| Category | Amount |
|--------------|----------|
| Regular | US $20.00|
| Contributing | US $25.00|
| Sustaining | US $30.00|
Overseas (i.e. Philippines, Canada)
| Category | Amount |
|--------------|----------|
| Regular, via Air Mail | US $25.00|
| Contributing | US $30.00|
| Sustaining | US $35.00|
The Philippine Philatelic Journal is published quarterly by the International Philippine Philatelic Society. A non-profit, non-stock, educational organization, the IPPS was incorporated in the City of Manila on September 24, 1978, as per SEC registration No. 58004. PPJ Purpose: "to publish, on a quarterly basis, original and reprinted material pertaining to the philately of the Philippines." Manuscripts and submissions should be typed and double spaced on one side of the page only. Illustrations should be black and white photographs or very clear photocopies. Send all material to the Editor.
Philippine Philatelic Journal
THE FIRST FILIPINO INFANTRY
by Richard D. Miggins
The free-franked cover in Figure I was sold on ebay in 2001. Seeing it for the first time, I was intrigued. What was the First Filipino Infantry and why was it stationed in Salinas, California?
THE 1st & 2nd (Laging Una-Sulung) Filipino Infantry Regiments were units of the Army of the United States (AUS) inducted into service during World War II. They were wholly manned by Filipino citizens in this country and Hawaii and officered by both Filipinos and Americans, the only non-citizen units in the American Citizen Army. They were similar to the Philippine Scouts in that the latter were also wholly manned by Filipino citizens with both Filipino and American officers, but the similarities ended there. The Scouts were professional soldiers in the Philippine Department of the United States Regular Army (USA). Most of the men were married and enjoyed a high economic and social status in the Philippines in contrast to the mostly single discriminated against (in the U.S.) "laborers" and students of the Filipino Regiments. Each group of Filipino soldiers played important but different roles in World War II.
TABLE OF CONTENTS
THE FIRST FILIPINO INFANTRY
Richard Miggins........................................Page 1
DISINTECTED MAIL OF THE SPANISH PHILIPPINES
Don Peterson.............................................Page 8
PHILIPPINE POSTAL SLOGANS PART V
Pablo M Esperidion.................................Page 14
After the Japanese sneak attack on Pearl Harbor and Clark Field, Filipinos residing in the United States wanted to show their loyalty to America by enlisting in the Armed Forces of the United States. Although the Philippines was a U.S. territory, the men were initially denied enlistment because of the Tydings-McDuffie Act, which designated Philippine-born residents as aliens and restricted their immigration quota to 50 immigrants a year. However, on December 20, 1941, President Franklin Roosevelt signed the Selective Training and Service Amendments Act, Public Law 77-360, which, among other things, allowed Filipinos in the United States to enlist, and also provided them with the opportunity to become United States citizens by virtue of the fact that they were serving in the military.
The mobilization of forces included the activation and assumption of command of the First Filipino Infantry Battalion on April 1, 1942 at Camp San Luis Obispo with four officers and twelve enlisted personnel. There were so many recruits, orders were issued to activate the First Filipino Infantry Regiment and Band at Salinas, California, effective July 13, 1942, with 143 officers, 6 warrant officers, and 3,019 enlisted men. The Second Filipino Infantry Regiment was activated on November 21, 1942 at Fort Ord, California. In all, approximately 7,000 Filipinos and Filipino Americans fought in the U.S. Army 1st and 2nd Filipino Infantry regiments. If created earlier, the Battalion very well could have become a Division. By the time it was activated hundreds had already joined the Navy and Army Air Corps. With an average age of over 30, they more than made up this overage by their spirit and enthusiasm. In no other units of the AUS in VMI, including the much publicized 442nd Regimental Combat Team (NISEI), was the motivation greater and the morale higher than in the 1st & 2nd Filipino Regiments. About the end of 1942 and in early 1943, these Filipino soldiers became American citizens under a new United States Naturalization Law in mass oath taking ceremonies which made headlines throughout the country.
After two years of intensive training in California without a single Court Martial case, these units went to New Guinea to prepare for their landings in the Philippines.
Here the 2nd Regiment was split up into the Counter-Intelligence Units (CIC), the Alamo Scouts and the Philippine Civil Affairs Unit (PCAU) all of which played important roles during the liberation.
The 1st Regiment remained intact as a combat team but for some unknown reason was not with the initial landing forces in Leyte. Instead it was relegated to the minor (but more dangerous against a fanatical enemy) role of mopping-up operations in Samar and Leyte. In accomplishing this difficult mission with minimum casualties, it earned the reputation of being the "most decorated regiment in the Pacific". It remained for a "child" of the regiments, 1st Reconnaissance Battalion (Bahala-na) known only as "commandos" in the Philippines, whose operations during the occupation had been kept secret until recently, to really "spearhead Mac Arthur's return to the Islands".
This secret organization was conceived by General MacArthur and his staff even as they were being evacuated from the Philippines to Australia in March 1942. They knew that parts of the Islands remained under guerilla control and somehow a link must be established between them and his headquarters. The problem was where to procure the personnel for this "clandestine" unit, the nucleus of which was already in Australia with a handful of officers and men - patients and crew from a hospital ship- who volunteered to go back.
The problem was conveniently solved by the 1st and 2nd Filipino Regiments. In early 1943 Maj. Gen. (then Colonel) Courtney Whitney, MacArthur's closest adviser, came to the regiments to ask for volunteers. From among the many who
volunteered, were picked the Filipino officers and men of this elite organization. Soon a few officers and men were sent directly to Australia to join the volunteers from the Philippines to form the 5217th Reconnaissance Battalion, clandestine" which later became the 1st Reconnaissance Battalion (Special). They set up camp in Tagragalba just outside Beaudesert, fifty miles south of Brisbane. After weeks of training and operating under Allied Intelligence Bureau (AIB) the first party was sent to the Philippines in October 1943.
Meanwhile, in California a group of enlisted men were sent to the Army Signal School at Camp Crowder, Missouri, from there they were sent to Australia to man the Signal Co., one of the two companies of the 5217th Battalion. A larger group of officers and men were sent to the Army Language School at the Presidio of Monterey. Here they learned elementary Japanese, Japanese ship and aircraft recognition and sailing. These were the officers and men who formed the other bigger company, the Reconnaissance Co. After three months this first big contingent of officers and men were shipped to Australia, arriving there in November 1943 just before the second party left for the Philippines. Other groups followed them from the Regiments through Monterey until the company was brought up to its authorized strength.
In Australia, with their war cry "Bahala-Na" (Come What May!), they went through intensive and extensive training under the Australian Army. First they went to the tough jungle school of Canungra where they set new hiking endurance records through mosquito and leech infested mountains and rivers. From there they went to the equally tough SEA WARFARE School on Frazer Island where they learned swimming, underwater demolition, sabotage and guerilla tactics.
In July 1944, a cadre of one officer and five non-commissioned officers arrived from the 82nd Airborne Division in Italy to train
a group of men for a pre-invasion mission of sabotage and communication disruptions. Now hardened, the men were ready for the toughest of all their training. But they lacked adequate facilities and proper training aids (they improvised their own C 47 mock door and didn't have a tower to practice jumping) and this coupled with the Australian pilot's inexperience caused the large number of "casualties", probably a record, in the first class' qualifying jumps. But this didn't daunt the volunteers, for the bigger second class fared better.
While all this training was going on, more parties were being sent to the Islands. Parties of ten to thirty officers and men were outfitted in Brisbane and flown to Darwin where they took the submarines - the same ones which evacuated President Quezon and his exiled Commonwealth Government and the gold bullion from Corregidor to the U. S. A few Philippine Army officers were brought back to Australia from the guerrilla bands to lead some of the parties back to the Islands.
There were nine parties sent, the last one in a Destroyer. This was the party that raised the American flag in Homonhom Island three days before MacArthur landed in Leyte on October 27, 1944. The eighth and last submarine was sunk without a survivor by our own planes in the Battle of the Philippine Sea, the greatest Naval battle in history. The paratroopers who were supposed to be the last and biggest party were never dropped because the invasion was advanced two months ahead of the original MacArthur planned invasion in Mindanao.
After the long and dangerous voyage through the Japanese blockade, the submarines landed in guerrilla controlled areas (as depicted in the motion picture "Back to Bataan"), although in some cases the reception was not quite as pleasant as in the picture. But this was the best part of this mission. After landing the soldiers became civilians and disguised as fishermen, they fanned out through the length and breadth of the Islands in sail
or just plain row boats.
In co-operation with the guerrillas whom they supplied with much needed medicines, small arms, ammunition, food, cigarettes and that rare wartime commodity called whiskey (later they brought and circulated the "I shall Return" magazine and the new and legal "Liberty" peso bills to further confuse the enemy) the men of the Signal Company set up radio stations while the men of the Recon Co., posing as fishermen, farmers, merchants, taxi and caretela drivers and mess boys working in Japanese officers clubs, including Yamashita's, gathered the information. A few were caught and paid the supreme penalty meted out to spies. This information was sent to guerrilla headquarters in Mindinao which relayed it through Darwin and to MacArthur's headquarters in Brisbane.
On this military intelligence was based MacArthur's strategy for the invasion of the Islands. When he "returned" to Leyte, the 1st Recon Bn's mission was practically over. But the men didn't stop there. They went on to supply important information which led to decisive battles and engaged in commando tactics, blowing up bridges and ammo dumps.
For their splendid accomplishments, the "Commandos" of the "Balaha-Na!" Battalion earned General MacArthur's individual and Unit Commendations and the U. S. Presidential Unit Citation. But curiously enough it was awarded the Philippine Presidential Unit Citation for it's work in the Resistance Movement.
Because of the limited space in the submarines (started with three and ended up with one) which were loaded with supplies and because the invasion was advanced two months ahead, not all the officers and men saw action in the Philippines. It was for the Korean War to prove the mettle of these well trained but battle untested men. Besides two who were killed,
that unexpected war produced four outstanding "Bahala-Na!" officers, two of them paratroopers - all heroes in their own right.
While not as significant as their military feats, these soldiers were equally as accomplished in the field of romance. These gallant soldiers literally chased the shy, coy and above all, suspicious Filipino girls even as the war was going on. Having won them, they had to go through much Army red tape to get married. But marry they did and when the war was over, they brought their war brides back to the U. S. Those who didn't have the patience for the hard to get "Pinays" came back to the U. S. but later returned as civilians to bring back their post-war brides. Now it was for them to be regarded so highly, who before the war were looked down on so lowly. As respected U. S. citizens they settled down to bring up the second generation of Filipino Americans, many of whom have already served in Viet Nam in the spirit of the 1st and 2nd Filipino Infantry Regiments.
Authors's Footnote:
When dealing with historical dates, the need for accuracy is critical. However, different sources provided conflicting dates for some of these events. I chose those dates which were confirmed by more than one source. Should they be error, I apologize.
Author's Note: As indicated at the beginning of this article, my interest began upon seeing the cover offered on eBay. In keeping with the electronic nature of the piece, I conducted all of my research on the web. I did searches for keywords on both www.google.com and www.dogpile.com, powerful and extensive search engines. I then pieced together the article using multiple hits from the results obtained.
DISINFECTED MAIL OF THE SPANISH PHILIPPINES
by Don Peterson
Mail contaminated by anthrax spores! Million dollar decontamination machines at post offices! How our modern world has changed. Although not a topic of discussion by generations of Americans until after September 11, the spread of infectious diseases by mail and the decontamination of mail by various means was a major concern to mail handlers in the 18th and 19th century. In fact, from the 15th until the end of the 19th century, mail was regularly decontaminated at one location or another in the world to prevent the spread of infectious diseases.
Bevoise (1995) provides a detailed discussion of epidemic disease and crises mortality in the colonial Philippines, which first occurred soon after the Spaniards arrived in the 16th century. In the colonial Philippines, crises mortality episodes primarily occurred as a result of the spread of small pox and cholera. Other "epidemic-like" diseases also occurred, but were the result of environmental conditions, rather than being spread by the contact of humans. These other diseases included beri-beri (lack of vitamin B in diet of highly-milled rice) and malaria (spread by certain mosquitoes), etc.
Records of crises mortality episodes in the colonial Philippines are fairly well known. From the 16th century, provincial physicians (medicos titulares) were required to prepare annual reports (Memorias medicas) of prevailing diseases and causes of death. As a result of these reports, Bevoise (1995) documented crises mortality episodes from small pox and cholera that caused the loss of thousands of lives in the Philippines. With a substantial increase in shipping beginning in the 1840s, cargo and sailors infected with small pox, cholera, and other diseases became a serious problem in the Philippines and elsewhere.
In late 1820, cholera struck Manila for the first time (Bevoise, 1995). Based on studies by Bevoise (1995), Smith (1978), and Worcester (1909), cholera epidemics occurred in the Philippines (colony-wide) in 1821-1823, 1830, 1842, 1854, 1863-1865, 1882-1883, 1888-1889, and later. Bevoise (1995) reports that in 1863, imported cholera struck Manila, where it was transported by steamship to Zamboanga and other islands. McCoy et al. (1982) stated that "cartfuls" of Filipinos were dumped into common graves as a result of a severe cholera epidemic in 1882. Worldwide cholera epidemics occurred throughout this period. For example, cholera epidemics occurred in Madras, Bombay, and Arabia in 1846; and in Spain in 1848. Genetic and acquired resistance were the only defenses against cholera in the Philippines in the 19th century.
Small pox epidemics occurred sporadically in the Philippines prior to 1870, but almost annually after 1871. In many instances, the records reveal the loss of thousands of native Filipinos shortly after the arrival of a ship from a foreign destination. For example, the *Memorias medicas* reports that small pox epidemics in 1872, 1880, and 1891 killed 45,000 people in Iloilo Province (Bevoise, 1995). McCoy et al. (1982) stated that "thousands died of small pox) in 1894." Also, serious small pox epidemics resulted in the death of thousands of Filipinos following the arrival of American troops in 1898 and 1899. This pattern repeated itself over and over again in various provinces in the Philippines. Vaccine for small pox first appeared in the Islands in 1805. However, it was always scarce and generally unavailable to large portions of the population in the 19th century.
Meyer's (1962) classic study of disinfected mail makes no mention of the Philippines, but goes into great detail about the disinfection process, disinfection stations for ship mail, and mail markings that occurred primarily in Europe and the Americas in the 19th century. In spite of the fact that the Philippines were frequently infected with small pox and cholera from arriving ships, I am not aware of any disinfection stations established in the Philippines for incoming ships to treat cargo, passengers, or mail.
Many businessmen in the Philippines were opposed to establishing disinfection stations because they believed that quarantining ships would impede business. However, the Spanish authorities were not lax in taking steps to control local outbreaks. For example, Bevoise (1995) reports that in July 1873, the Spanish consul in Singapore notified Manila that all ships arriving from Bangkok had been put under strict quarantine because of a cholera outbreak in Bangkok. The Spanish Philippine Board of Health (*Junta Superior de Sanidad*) in Manila immediately imposed a 15-day quarantine on all ships from Thailand and reserved the power to decide on what further measures should be taken to protect the health of Manila's citizens. In some cases, temporary disinfection stations may have been established in the Philippines. For example, in the 1870s, the military governor of Zamboanga described plans to dock any ship from an infected area at Santa Cruz island, within sight but an hour's distance from the port, where the vessel and the crew were to be quarantined until health officials determined that no danger existed. However, I know of no markings on any incoming mail indicating that it passed through a temporary quarantine station anywhere in the Islands.
This was not true in Europe, the Americas, and other parts of the world where disinfection stations were formally established to disinfect ship cargo, passengers, and mail, particularly during periods of known disease episodes. Disinfection stations for incoming mail were located in Italy, France, Germany, Great Britain, Greece, Austria, Russia, Japan, the Americas, and other countries. Disinfected mail from these stations often showed the results of disinfection, in the form of slits on the front or back of the letter to allow fumigants (e.g., sulphuric acid, herbs, camphor, etc.) to enter the letter, vinegar stains on the letters, and handstamps or wax seals certifying that the letter was "clean" or had been disinfected at a particular disinfection station.
**FIGURE 1** is an 1848 Manila to Cadiz, Spain, letter, via Gibraltar, that shows a disinfection handstamp (**FIGURE 2**) from the Malta disinfection station. This cover (dated-lined May 24,
1848), from the businessman Juan Marcaida in Manila, was hand-carried to a British ship in the harbor, bypassing the Manila Post Office. Based on Kirk (1982), the cover connected with the British P&O steamer PEKIN in Singapore, was transferred to the P&O BENTINCK at Suez, went overland to Alexandria where it was placed on the P&O RIPON enroute to Malta (arrived July 18). It arrived at Gibraltar on July 24 and at Cadiz (destination) probably a day later. Since the letter spent little or no time at Malta, I suspect the ship was certified as "clean" (no disinfection was required), the handstamp was applied to the letter, and the ship quickly departed enroute to Gibraltar.
The black Malta handstamp in FIGURE 2 contains the words PURIFIE AU LAZARET in the circle and MALTA in the center. This handstamp was in use at the Malta Lazaret from 1838 through 1879 (Meyer, 1962). A brief article of this cover was previously published by the author in IPPS News (Peterson, 1983).
I am aware of only four Spanish Philippine covers with the Malta disinfection station handstamp. Another interesting disinfected cover is an 1883 Manila to Rome, Italy, cover from the Italian Consulate in Manila, with two slits on the front indicating fumigation (Philstamps Auction, February 16, 1991).
The recent loss of Americans as a result of intentional anthrax contamination of mail has raised the anxiety level of a threat not experienced in the United States for many decades. However, generations ago, thousands of people died annually in the colonial Philippines due to epidemics, such as cholera and small pox. It is interesting, then and now, that mail was and still remains a connecting link between people and some infectious diseases.
If anyone has any additional information on Spanish Philippine disinfected mail, contact IPPS or Don Peterson at 7408 Alaska Ave., NW, Washington, DC 20012.
FIGURE 1. 1848 Manila to Cadiz, Spain, via Gibraltar, With a black Malta disinfection station handstamp, PURIFIE AU LAZARET MALTA (Don Peterson Collection).
FIGURE 2. Malta disinfection station handstamp, PURIFIE AU LAZARET MALTA, used from 1838 through 1879 (Meyer, 1962).
REFERENCES:
Bevoise, K. de. AGENTS OF APOCALYPSE: EPIDEMIC DISEASE IN THE COLONIAL PHILIPPINES. Princeton University Press, Princeton, NJ. 1995.
Kirk, R. BRITISH MARITIME POSTAL HISTORY: VOLUME 2 - THE P&OINES TO THI FAR EAST. London. 1982.
McCoy, A.W. and Ed. C. de Jesus. PHILIPPINE SOCIAL HISTORY: GLOBAL TRADE AND LOCAL TRANSFORMATIONS. Ateneo de Manila University Press. Quezon City, Philippines. 1982.
Meyer. K.F. DISINFECTED MAIL. Holton, KS 1962
Peterson, D.J. "A Disinfected Cover from the Spanish Period." IPPS NEWS. Vol. III. No. 2 March-April 1983.
Philstamps Auction. San Bernardino, California. February 16, 1991
Smith P.C. "Crisis Mortality in the Nineteenth Century Philippines: Data from Parish Records JOURNAL OF ASIAN STUDIES. Vol. XXXVIII. No. 1. November 1978.
Worchester, D.C. A HISTORY OF ASIATIC CHOLERA IN THE PHILIPPINE ISLANDS Manila. 1909.
Philippine Postal Slogans
By Pablo M. Esperidion
111) "CHARTER NIGHT - JUNE 19, 1949 - MANILA LIONS CLUB." ~J' Fancy type - Handstamp. Slogan cancel in 3 lines with Lions Club insignia before the legend. First day use, June 19/49. Last day. July 18/49.
112) "CHARTER NIGHT - JUNE 19, 1949 - RIZAL CITY LIONS CLUB." Fancy type - Handstamp. Slogan cancel in 3 lines with Lions Club insignia before the legend. First day use, June 19/49, Last day, July "18/49. Used in Rizal City.
113) "CHARTER NIGHT - JUNE 19, 1949 - QUEZON CITY LIONS CLUB." Fancy type - Handstamp. Slogan cancel in 3 lines with Lions Club insignia before the legend. First day use, June 19/49. Last day, July 18/49. Used in Quezon City. Note: - Slogans Nos, 111-113 used. June 19/49, as First Day Use, coincided with the 88th Birthday Anniversary of Dr. Jose P. Rizal.
114) "LONG LIVE - THE REPUBLIC OF-THE PHILIPPINES." Fancy type - Handstamp. Slogan cancel in 3 lines with motif showing a man pulling a wheel. First day use, July 4/49. Last day, July 10/49. Used also as backstamp on domestic airmail.
115) "THE PHILIPPINES -SITE OF THE - 1950 JAYCEE INTERNATIONAL-WORLD CONGRESS." Fancy type - Handstamp. Slogan cancel in 4 lines with design bearing the head of Mercury. First day use, Aug. 1/49. Last day, Aug. 18/49. Used also as backstamp on domestic airmail. Note: - This slogan cancel is Type I.
116) "THE PHILIPPINES-SITE OF THE - 1950 JAYCEE INTERNATIONAL-WORLD CONGRESS." Fancy type -- Handstamp. Slogan cancel in 4 lines with design bearing a map of the Philippines. First day use, Aug. 19/49. Last day, Aug. 31/49. Used also as backstamp on domestic airmail. Note: - This slogan cancel is Type II. First day use, Aug. 19/49, coincided with the 71st Birthday Anniversary of President Quezon and the First Day Issue of the 2¢ green Rizal, in booklet panes.
117) "HELP - FIGHT - TUBERCULOSIS."
118) "HELP -- the 1949 - ANTITUBERCULOSIS - DRIVE."
119) "Give Enough - FOR TB- CAMPAIGN."
Fancy types - Handstamp. Slogan cancels Nos. 117 and 118, in 3 lines. No. 119, in two lines. Each bears a double-barred cross before the legend. First -day use, Aug. 19/49. Last day. A It Sept. 19/49. Slogans Nos. 117, 118 and 119 were used in Manila, but No. 117 was used in 21 chartered cities and 42 provincial capitals, or 63 different places in all.
120) "Visit your Schools - EDUCATION WEEK - SEPT. 12 TO 17, 1949." Fancy type - Handstamp. Slogan cancel in 3 lines with a design showing an open book and a torch above, before the legend. First day use, Set. 12/49. Last day, Sept. 26/49. Used in 21 chartered cities and 42 provincial capitals, or 63 places in all.
121) "1949 - BOY SCOUT WEEK - OCT. 31-NOV. 6." Fancy type –handstamp. Slogan cancel in 3 lines with Boy Scout insignia before the legend. First day use, Oct. 31/49. Last day. Nov. 6/49.
122) "FAMILY WEEK - DEC. 1-7, 1949 - Healthy Families - Make a Strong Nation." Straight-line type - Handstamp. Slogan cancel in 4 lines. First day use. Dec. 1/49. Last dale Dec. 7, but extended up to Dec. 14/49.
123) "COMMUNITY CHEST - Everybody Gives - Everybody Benefits - OF GREATER MANILA." Fancy type - Handstamp. Slogan cancel in 4 lines with design showing a feather in the center of legend. First day use, Dec. 16/49. Note: -Press release for this slogan cancel was published in Manila newspapers, too late (Dec. 19/49).
124) 1950-HELP-NATIONAL FUND CAMPAIGN - PHILIPPINE NATIONAL - RED CROSS." Boxed type - Handstamp. Slogan cancel in 4 lines with a Red Cross sign before the legend. First day use, Feb. 1/50. Last day, March 31/50. Used in 51 provincial capitals.
125) "CHARTER NIGHT - TARLAC JAYCEES." Straightline type - Handstamp. Slogan cancel in 2 lines. First day use, Feb. 4/50, and used for one day only in Tarlac, Tarlac.
126) "1945 LIBERATION DAY 1950 - CENTRAL LUZON - AGRICULTURAL SCHOOL" Fancy type - Handstamp. Slogan cancel in 4 lines with vignette of a carabao and a farmer plowing a field portrayed under the legend. First day use, Feb. 7/50, and used for one day only in Agricultural School, Nueva Ecija.
127) "FIRST ANNIVERSARY -MANILA LIONS CLUB." Fancy type - Handstamp. Slogan cancel in two lines with the Lions Club insignia between the lines of the legend. Used for one day only, March 23/50.
128) "EXHIBITION HALL - AFF -- POSTAL STATION." Straightline type - Handstamp. Slogan cancel in 3 lines. Used for one day only, May 22/50, on covers cancelled with the Roosevelt stamps (2, 4, & 18c stamps and 80c Souvenir Sheet) on the First Day Issue, the cancellation done at the Exhibition Hall of the National Philatelic Exhibition held on the occasion of the Silver Jubilee of the Asociacion Filatelica de Filipinas.
129) "HELP - FIGHT - TUBERCULOSIS."
130) "JOIN THE 1950 - ANTITUBERCULOSIS - DRIVE FOR FUNDS."
131) "HELP RAISE FUNDS - TO FIGHT - TUBERCULOSIS."
Boxed types - Handstamp. Slogan cancels in 3 lines with a doublebarreled cross before each legend. First day use, Aug. 19, Sept. 1, and Sept. 11/50, respectively. Last day, Aug. 31, Sept. 10, and Sept. 19/50, respectively. Used by the Manila Post Office only. Also used as backstamps on domestic airmail.
132) "Fish Wisely - THE CONSERVATION WAY - OCTOBER 22-28, 1950." Fancy type - Handstamp. Slogan cancel in 3 lines with legend superimposed on a design bearing a-fish, the first line in script. First day use, Oct. 22/50 (Sunday). Last day, Oct. 28/60. Used in Manila, Baguio City, Iloilo City, Cebu City, Davao City, and Zamboanga City. Used also as backstamp on domestic airmail.
133) "RIZAL PROVINCIAL CAPITAL - INAUGURATION."
Boxed type - Handstamp. Slogan cancel in 2 lines with two stars at each end of the second line. First day use, Oct. 28/50. Used in Pasig, Rizal, for one day only.
134) "1950 -- Boy Scout Week - OCT. 31-NOV. 6." Boxed type Handstamp. Slogan cancel in 3 lines, the second line in script. First day use, Oct 31/50. Last day, Nov. 6/50
135) "Strengthen Home-and Family Defenses-NATIONAL FAMILY WEEK-Dec. 1-7" Straightline type-Handstamp. Slogan cancel in 4 lines, the 1st and 2nd lines in script, and the rest all in caps. First day use, Dec 1-50 last day, Dec. 7/50.
MANILA
FEB 15
1949
PHILIPPINES
PHILIPPINE NATIONAL RED CROSS
SECOND ANNUAL FUND CAMPAIGN
FEB. 15 - MAR. 15, 1949
(106)
TUGUEGARAO
MAR 1
1949
CAGAYAN
BPSIAA Meet
TUGUEGARAO, CAGAYAN
MARCH 5-12, 1949
(107)
MANILA
MAR 16
1949
PHILIPPINES
THE JAYCEES
TRAIL-BLAZERS IN
CIVIC CONSCIOUSNESS
(108)
PHILATELIC
N Literary-Musical
AIRCAST
DZFM Every FRIDAY
5:00
(109)
CEBU CITY
JUN 15
1949
A.M.
PHILIPPINES
FIRST ANNIVERSARY
CEBU JAYCEES
(110)
(111) CHARTER NIGHT
JUNE 19, 1949
MANILA LIONS CLUB
(112) CHARTER NIGHT
JUNE 19, 1949
RIZAL CITY LIONS CLUB
(113) CHARTER NIGHT
JUNE 19, 1949
QUEZON CITY LIONS CLUB
(114) ★ LONG LIVE ★
THE REPUBLIC OF
THE PHILIPPINES
(115) "THE PHILIPPINES
SITE OF THE
1950 JAYCEE INTERNATIONAL
WORLD CONGRESS"
HELP FIGHT TUBERCULOSIS
(117)
HELP the 1949 ANTI-TUBERCULOSIS DRIVE
(118)
Give Enough FOR TB-CAMPAIGN
(119)
Visit your Schools EDUCATION WEEK SEPT. 12 TO 17, 1949
(120)
1949 BOY SCOUT WEEK OCT. 31 - NOV. 6
(121)
FAMILY WEEK
DEC. 1-7, 1949
Healthy Families
Make a Strong Nation
COMMUNITY CHEST
OF GREATER MANILA
1850 NATIONAL FUND CAMPAIGN
PHILIPPINE NATIONAL RED CROSS
CHARTER NIGHT
TARLAC JAYCEES
1945 LIBERATION DAY - 1950
CENTRAL LUZON AGRICULTURAL SCHOOL
International Philippine Philatelic Society
(A non-profit, non-stock, educational organization incorporated in the City of Manila, Philippines, on September 24, 1974 as per SEC Registration #58004.)
P.O. Box 100
Toast, NC 27049
First Class
Address Correction Requested |
sky waves
GLEASON H. LEDYARD
the incredible far east broadcasting company story
Reviewers Comment on
SKY WAVES
"This fast-moving, well-told story of the mission outreach of the Far East Broadcasting Company is another thrilling demonstration of the inter-dependence of dedicated men upon God, and of God upon dedicated men to accomplish His purposes... It is totally contemporary—therefore is pertinent information for everyone interested in God's working today."—Free Methodist
"A tremendous blessing to every Christian who reads it... This book can be given the very highest recommendation. It adds one more proof to the long series of evidences of the transforming power of the Gospel of Christ."—Global Gospel Broadcasts, Inc.
"Missionary radio has an important job to do, and FEBC is well worth reading about... It is popularly written and stresses what all Christians can understand; the amazing provision of God for every emergency and the miracles of grace worked through the means of radio."—The Alliance Witness
SKY WAVES
The Incredible Far East Broadcasting Co. Story
by Gleason H. Ledyard
Reading Sky Waves is like "reading a chapter added to the Book of Acts," writes Billy Graham.
This is the story of three men, one thousand dollars, and the challenge of unnumbered millions of people in the Far East who had never heard the Gospel. The three men, John C. Broger, Robert Bowman and William J. Roberts, in 1945 pooled their total resources—$1000.00—to begin shortwave radio station FEBC.
They knew that millions of people the world over depended on shortwave radios for news and entertainment, that radio receivers outnumbered copies of newspapers printed each day. They met the challenge with all they had—and God honored their dedicated faith. In less than two decades the Far East Broadcasting Company has become one of the world's greatest missionary arms, spreading the Gospel message to all of the Far East and Russia, and even as far north as Scandinavia.
Sky Waves is the story of a war with an aggressive Communism. It is a testimony of faith, a call to missions. It presents letters of praise from listeners who tell of heart-warming conversions, of veritable miracles; from multitudes who had never heard the Gospel before they heard FEBC.
Missionary radio goes where no missionary could. "Dipping into hidden valleys; circling thousands of isolated islands; invading the privacy of guarded homes; finding an open heart in the lonely byways or in the teeming cities — here and there the Gospel light touches a heart, and it bursts into flame."
MOODY PRESS
Chicago
SPLENDOUR FROM THE SEA
The Saga of the Shantymen
by W. Phillip Keller
The exciting record of faith mission work carried on by the Shantymen who, writes Mr. Keller, "engage in the most deadly serious business in all the world; that of bringing human beings into a proper relationship with God." The setting is the rugged coastline of the Pacific northwest, an area called "the graveyard of the Pacific."
Splendour from the Sea relives the story of the labors of four men whom God called to be Shantymen for Him, and portrays the tender love, devotion, and selflessness of their wives as they worked together for their Lord. This book was written as a challenge "to warm your heart toward God . . . to give more of yourself to Him for His service . . . to make you proud to be His child—to love and to trust Him more."
"Splendour from the Sea is a moving story of the work of the Shantymen's Mission. Heroism, dedication, prayer power and fruitfulness in an exceedingly difficult field is here narrated. This is a tonic to one's faith, will bring tears to one's eyes and provide a spiritual catharsis for the reader.
"I enjoyed Splendour from the Sea so that I simply had to read on about this amazing modern apostolic work."
—Dr. Harold John Ockenga
A MOODY PRESS PUBLICATION
50-8135
MP350
SKY WAVES
SKY WAVES
The Incredible Far East Broadcasting Company Story
By
GLEASON H. LEDYARD
WITHDRAWN
MOODY PRESS • Chicago
PORTLAND CENTER LIBRARY
GEORGE FOX UNIVERSITY
PORTLAND, OREGON 97223
OTHER BOOKS BY THE AUTHOR
And to the Eskimos
Husky Talk
Arctic School Days
American Boys Sail Arctic Waters
Adrift on Hudson Bay
Copyright ©, 1963, by
THE MOODY BIBLE INSTITUTE
OF CHICAGO
Library of Congress Catalog Card Number: 63-23170
Second Printing, 1965
Photographs are all by courtesy of the Far Eastern Broadcasting Company
Printed in the United States of America
Dedicated to
the national workers—men and women—who labor tirelessly in programming, studio work and engineering. Missionary radio could not be effective without their valuable help.
The heavens declare the glory of God; and the firmament sheweth his handiwork.
Day unto day uttereth speech, and night unto night sheweth knowledge.
There is no speech nor language, where their voice is not heard.
Their line is gone out through all the earth,
And their words to the end of the world.
—PSALM 19:1-4
# CONTENTS
| CHAPTER | PAGE |
|---------|------|
| Foreword | 9 |
| Preface | 11 |
| One | The Genesis of FEBC | 15 |
| Two | The Exodus | 20 |
| Three | On the Air | 31 |
| Four | Forty Tons of Steel | 49 |
| Five | Disappointment | 57 |
| Six | Portable Missionaries | 65 |
| Seven | Booster Shot | 74 |
| Eight | Follow-up | 80 |
| Nine | Jamming | 84 |
| Ten | The Whys and Wherefores | 90 |
| Eleven | To the Regions Beyond | 94 |
| Twelve | Coincidence or Divine Plan? | 100 |
| Thirteen | The Batia Crisis | 110 |
| Fourteen | Operation Dismantle | 117 |
| Fifteen | Russian Prayer Meeting | 126 |
| Sixteen | Unlimited Power | 142 |
| Seventeen | End of the Western World | 154 |
| Eighteen | Unusual Provisions | 166 |
| Nineteen | Fire! Fire! | 174 |
| Twenty | Mighty Voice to China | 182 |
| Twenty-one | Programming Problems | 192 |
| Twenty-two | Miracle Station | 198 |
| Twenty-three | Urgency | 205 |
FOREWORD
When I read Gleason H. Ledyard’s book, *Sky Waves*, I felt as if I were reading a chapter added to the Book of Acts. The surprising succession of events that brought into being the Far East Broadcasting Company reminded me of the resurrection power of Christ.
This book is easy reading. Once you begin it, you will want to finish it. Throughout the entire story, the reader is carried along, wondering how God will work in one difficult situation after another, doing things which even the most dedicated Christian cannot do.
In this day of population explosion, an age-old message must be borne to the earth’s millions through the most modern media. This is exactly what the men of the Far East Broadcasting Company have done.
I urge the reading of this book because I know that no person can remain the same afterward. Here is a story that smashes right through all the skepticism and secularism of our times and forces the reader to say, “Without God, things like this just don’t happen!”
BILLY GRAHAM
PREFACE
To stand on the grounds of Christian Radio City in Manila makes one feel like Moses of old—God saying to him, "Put off thy shoes from off thy feet, for the place whereon thou standest is holy ground." To be electrified at the sight of white-hot filaments in the transmitter tubes; to gaze skyward into the maze of antenna wires and steel towers; to watch Filipino and American technicians work side by side; to stand on the shores of Okinawa in the shadow of KSBU's antenna array and to realize that of seven million Chinese bound in custody by Communism across the China Sea some are hearing the Gospel nightly; to see dedicated missionaries and nationals preparing programs in studios operated in Hong Kong, Viet Nam, Singapore, Thailand and India to be aired over FEBC's stations; to see the miracle station KGEI in San Francisco; to fellowship and share the burdens of consecrated staff members—these experiences and many more were the rare privileges of the author and his wife on a recent extended world tour.
These rich experiences, combined with the Far East Broadcasting Company's need for a written record of its incredible story (its beginnings as well as the way God has undertaken down through the years), resulted in this volume.
The author feels this preface should be in the form of an apology. After being challenged with what he saw overseas, he offered to undertake this writing. In a spirit of humility and with a very grave sense of responsibility, he started the work. Other efforts of writing done before were child's play compared to this undertaking. Previous books were written from the author's own experiences and flowed from
his mind to the paper. However, this story was different. Reams of papers and letters had to be studied carefully. Back copies of the *Far East Broadcaster* were read and material cataloged. It wasn’t long before the job looked overwhelming.
Several natural conditions have made the writing extremely difficult. Alternately, one or the other of the directors has spent six months in the Far East. The stories they told or put on recording tape have been either firsthand or second-hand accounts and there is a decided difference! In the first years, the records kept were not too accurate concerning minute facts which are important for a documentary record. What a perplexing problem to classify the power of certain transmitters! One time a transmitter would be listed as 2,000 watts. The next time it was mentioned, it would be 5,000 watts. Later 3,000 watts would be seen in some printed matter, and then 4,000 watts. All this time the author was listing these as separate transmitters, only to find in other material that the same transmitter was being referred to! Light finally dawned! The unit was homemade in the Philippines, and the engineer who built it probably overrated its capacity. The next engineer coming along said, “Why, that isn’t 5,000 watts; it’s closer to 3,000 watts.” With constant modifications being made on the field, the home office actually didn’t know at times what power they were using in Manila. (Evidently they didn’t know themselves!) These conditions existed only in the early years. However, there were other problems.
Confusion of thought was dominant after two or three people told the same story. Prices, dates, watts, places, and numbers were often different. While driving to the FEBC office one morning, the author noticed a minor accident at the corner of Whittier and Washington Boulevards, within sight of the home office. At such a busy intersection and at that time of the morning, there were many witnesses. Without a doubt, if those witnesses would have been summoned to testify in court, few testimonies—if any—would have been identical. In fact, it could be presumed each testimony would present a different facet of the truth. Therefore, the reader can see how this narrative of FEBC might vary slightly from the story which could be related by some of the staff members—some who have come and gone through the years of FEBC’s existence.
Unfortunately, not all the miraculous stories (or complete stories) can be told in a volume of this kind, because of the danger of implicating certain personalities and government officials.
Hundreds—yes, thousands—of letters have come to the hands of program personnel of FEBC stations, as well as missionary producers, in response to programs heard. Many of these are answers to requests for listener response with station-testing in mind. Others come from people, especially in some foreign lands, who enjoy writing letters and receiving replies. But the most important ones come from people who have been touched with the vital Message of Life. A very limited amount of these letters have been included in the pages of this volume—just a cross section. However, the reader should be cautioned that many of these letters came from poorly educated people or from those who had no education at all. Other letters were received from the educated class, and a high percentage were written in a foreign language and had to be translated into English by the local missionary.
In such translations, rich meaning and heart-warming expressions are often lost. Many letters written in English were poorly written with mistakes in grammar and spelling, but they were fragrant expressions of satisfaction in hearing the broadcasts. It is strongly suggested that the letters (which for the most part are unedited) be thoroughly digested to catch the full significance of how listeners are responding.
Grateful acknowledgment is made to Robert Bowman and William Roberts for their help in reiterating favorite stories that have been told many times in missionary meetings and conferences, also to Richard Bronson, who has been labeled FEBC’s chief storyteller, and to Miss Terry Brennen for her work in typing the final manuscript.
It is the heartfelt desire of the author and the entire FEBC staff that Christians shall be challenged to hold the ministry of missionary radio before the Lord in daily prayer.
Gleason H. Ledyard
Chapter One
THE GENESIS OF FEBC
The "Bon Homme Richard" had just catapulted her planes for a night mission. She was the only aircraft carrier for night torpedo and fighter squadrons in Task Force 38. The carrier had just left the main body of ships and was steaming along close to the Japanese mainland.
During the time the planes were away on their mission, the "Bon Homme Richard" ran into typhoon weather. Besides the inky blackness of the night, dense fog lay thick all around and fifty-miles-per-hour rain squalls lashed the flight deck. The huge carrier was being tossed about like a nutshell. The planes were reported to be on their way back to the ship.
By shortwave communication and radar they were guided to the general vicinity of the carrier, but the fog was so thick the pilots could not see the carrier nor could the crew on the deck see the planes. Gas was running low; something had to be done! The crew were forced to try something that had never been tried or tested. They would attempt to guide the seven tons of metal coming in at one hundred miles per hour to that tiny speck on the Pacific—the flight deck of the "Bon Homme Richard"!
Watching by radar, the landing signal officer talked by radio to the pilot. The plane was guided down the side of the carrier some twelve hundred yards off to the port side. The pilot dropped his landing gear, flaps and tail hook. He was flying blind, depending entirely on the voice coming to him through the headphones. Then, as the radar indicated that the plane was opposite the stern, the word was given to
be coming into San Francisco. Soon afterward John Broger would be discharged.
Waiting on the dock were Mrs. Broger and the Bowman's. Little time was wasted in getting together to discuss the future. Night after night the three men talked and prayed. Finally, it was settled; they would pool what money they had—exactly $1,000.00—and form a nonprofit corporation. On December 20, 1945, the incorporation papers were completed. They were in business!
They gratefully appreciated the lift First Mate Bob of the "Haven of Rest" program gave them. He enclosed a copy of the official organ of FEBC, the "Far East Broadcaster," in a letter to his mailing list. He offered to match anything the men could raise; thus, receipt number one was made out to "Haven of Rest" for $1,000.00.
Since Robert Bowman was well known to many people across the United States, and Pastor Roberts was known in the Los Angeles area, the Founding Fathers were far from "unknowns," and Christians had confidence in them. Within three months $10,070.56 had come in toward the first broadcasting station. The proposed amount needed—one hundred thousand dollars!
Talk as you may on these shores, the problems of setting up a radio station in a foreign land cannot be solved here. Bowman was still with the "Haven of Rest" program; Roberts was still pastoring a church. Broger had an offer to enter business with a glassware concern, but the Lord indicated differently.
Since John had just returned from the Far East, Dorothy Broger was a bit reluctant to see her husband leave so soon for another tour of duty—this time for the Lord in behalf of finding a suitable place to establish the work of the Far East Broadcasting Company.
Gathering on pier 55 at Wilmington Harbor, March 25, 1946, members of the FEBC staff and friends prayerfully
waved good-bye to John Broger as he set sail for the Orient aboard an old freighter, the "Lane," a victory ship.
Many thoughts rushed through the minds of those standing there as the last bits of luggage were loaded and the last good-bys were said. In their minds they lived again those years in which God had been preparing the heart of each of them to carry out His purpose of preaching the Gospel to every kindred, tongue, people, and nation.
Again they relived the days of prayer and waiting upon the Lord preceding the incorporation of FEBC. After that the busy days of radio broadcasts and special services, setting up of the FEBC office, passport application, and finally, preparations for this journey itself tumbled through their minds in kaleidoscopic fashion.
As they stood there on the pier, it seemed as if they could see the turning of a new, fresh page in God's great plan for these latter days, for the very purpose of that journey into the Orient was to lay the foundation for the establishment of a radio transmitter which would carry the message of Christ's power to save to the millions of people in those Far Eastern lands who have never known the Saviour. Their hearts were raised in praise and thanksgiving that they were accounted worthy to have a part in the fulfillment of this great purpose.
"Bon voyage, John. The Lord be with you!"
Chapter Two
THE EXODUS
It was a big day at the FEBC office when the phone rang and the operator said, "I have a cable for Far East Broadcasting Company. Shall I read it to you?"
"Yes, please!"
"Arrived Shanghai safely. Lining up appointments. Pray."
JOHN
On the other side of the Pacific, Broger had caught his first glimpse of the China coast. Arriving at the mouth of the Yangtze River, the ship lay at anchor for a day until a pilot took them up the twenty-five miles of river waterways to the sprawling city of Shanghai. In a letter dated April 19, he wrote:
I am now staying at the China Inland Mission and recently had a long talk with James Taylor, grandson of Hudson Taylor. Tomorrow morning I have an appointment with Mr. Peng, who is private secretary to the mayor of Shanghai. He was formerly in the Ministry of Communications in Chungking, and in charge of the station there.
... Prices here are out of this world. Exchange is $2,000.00 Chinese National currency to $1.00 U.S.! A meal is $2,000.00 to $3,000.00 and is about the size of a twenty-five-cent lunch in America. A pair of shoes are $1,000,000.00 or in U.S. currency $50.00. A 1940 Chevrolet is $10,000.00 U.S., and a white shirt is $35.00 U.S.!
... It would be impossible to describe Shanghai in
these days. People are everywhere; the mass of humanity is indescribable. Automobiles and rickshaws just plow between them.
In another letter dated April 22, he added this note:
... I can’t get used to seeing dead children lying on the street. Yesterday morning I saw another dead baby. It was about one and a half years old and had all its clothes on and had just been put out with the garbage on the side of the street. The people are starving, both physically and spiritually.
During the days that followed, Broger had numerous meetings with mission leaders and sought out every opportunity to learn of the possibility of establishing a broadcasting station on China soil.
On May 8 he wrote:
... The sight of this land is enough to warrant the laying aside of all the comfort and ease in America. Just to walk down a little narrow dirty alley and see the mass of humanity—yes, even here in Shanghai, causes a great and heavy oppression to come over one. On every hand is death. In the temples of Hangchow I saw countless numbers prostrate before immense golden gods, bowing their heads to the floor in vain hope that their crops might be watched for the coming year. So is the hope of the millions of China. How can we possibly live a life of ease and plenty when there is anything within our power that we might do to bring them the hope of Christ and His love?
We have another member on our Advisory Board—James Hudson Taylor. He is head of the Northwest Bible Institute in Shensi Province. I have had fine fellowship with the Taylors. They are most interested in radio work. We meet together for prayer about this work every morning before breakfast.
As time went on, Broger had opposition in seeing about a franchise for a broadcasting station. The Nationalists were far from well organized. He was sent from office to office. No one would say "yes" and no one would say "no." The Nationalists, fearing the oncoming Communists, did not want to license a foreign group. Had they given Broger a franchise, they would have had to do likewise to Communist-inspired groups. The only commitment they would make verbally was that an application for 500-watt stations might be considered. But such a weak station for the millions of China would be useless.
One thing was certain—a recording studio was of utmost importance. And it needed to be set up as soon as possible to get some Chinese programming underway. Days were spent in trying to locate a suitable studio. With the complexity of such a city as Shanghai, and with a poor transit system, hours were consumed in trying to find addresses.
Back in America Robert Bowman was being led to make FEBC his fulltime job. He had spent over twelve years with the "Haven of Rest" broadcast, but now it was time to disembark from the "Good Ship Grace," and start an extensive ministry of meetings across the United States, at the same time keeping things in the office shipshape.
After many weeks of traveling and interviews with government officials, and the organization of the China Christian Broadcasting System, it appeared to be the proper time to make application to the National Chinese government for six 500-watt stations to be located in heavily populated areas. The newly formed Board of Directors, five outstanding Chinese laymen and clergy, were enthusiastically working together toward one goal—to send the Gospel out over the ether waves to the millions of Chinese.
In the meantime transcribing equipment* was being prepared in Los Angeles to send to Shanghai.
After six months of negotiations in China, John Broger embarked for Manila on a Chinese tramp freighter and bunked in the hold. Seeing people die on board was not uncommon. Until some firm action was taken by the National government on the request of the franchises, he felt it would be a good time to investigate the same possibilities in the Philippine Islands.
Arriving just two days after the country received its independence, he found Manila still in the midst of its celebrations. The unsightly sunken hulls of Japanese warships in Manila Bay were a grim reminder of the difficult war years. John started at once to set up a Filipino subsidiary of FEBC and probe the feasibility of a broadcasting station on Philippine soil.
Although Manila still had open sores from the war, the problems of meeting the right people to discuss broadcasting were not as great as had been the case in China. Attorney Leon O. Ty, outstanding newsman and publisher of the Philippines, befriended Broger and helped in opening the doors to high government officials. Broger filled out dozens of sheets of paper pertaining to the application and submitted them to the Minister of Communications. Within a few days he was called to the Radio Department office.
"Why didn't you fill in all the questions?" the one in charge asked.
"I just do not know some of the answers," John replied.
"For instance," the interrogator continued, "why didn't you state how you will be financed? And you didn't state the amount of power you will be using. And here is another one—you didn't give the location of the proposed transmitter site. We can't process this application unless all the
*This was back in the days before the advent of the modern tape recorder. Programming had to be done by cutting discs—or records.
questions are answered. So I guess it will have to be denied on those grounds—unless you want to fill out new application papers.”
John left the office with new forms, a bit discouraged with the work ahead of retyping all the material and trying to satisfy the government with answers he didn’t yet know.
Several days later he walked into the Radio Department office with a lighter step in anticipation of the forms being readily accepted. But the same questions were asked when the Filipino behind the desk glanced at the three unanswered questions!
1. How will your proposed station be financed?
2. What is your proposed power?
3. Where will the transmitters be located?
John was a little red with embarrassment for not having answered the questions as requested. But he didn’t know the answers!
“Sir, we have faith in God to meet our needs.”
“Faith! What do you mean?”
“We believe God will supply all the money through dedicated Christians to build this station and keep it on the air. We will not be receiving any money through advertising. God will supply our needs,” John returned, then quoted this verse of Scripture: “Faith is the substance of things hoped for, the evidence of things not seen.”
“Well, I don’t understand what that kind of faith is, but if you think you can manage on that, we’ll give you a try. Now, about the power, how much?”
John’s mind was whirling. He quickly said, “Ten thousand watts,” then held his breath! The man wrote in pencil the words ten thousand watts.
“Where will your equipment be located?” he queried.
And that was where Broger was stumped. He couldn’t fish land out of the sky like he had just latched on to watts of power!
"Could I have two days on that question?" he asked.
Leaving the office with determination to find a suitable piece of property, he contacted real estate men at once. This was not the first time he had thought of this. He had been looking for property for days, but skyrocketed prices were way out of reach.
Within six weeks an answer was received from the Minister of Communications. Broger quickly looked the papers over and his eye fell on one part. Someone had penciled out the words ten thousand watts and over top had written the words in large letters Unlimited Power! (So unorthodox was this that John could hardly believe his eyes.)
There was one condition, however: "Name the site where the station will be established." The paradox was that FEBC still had no land on which to build a station nor the kind of money it was going to take to buy acreage.
The "Go ahead" signal was given to the engineers to start building the transmitter at a concern in the midwest. It was impossible to purchase such items at the close of the war. Only the finest and most highly approved materials would be used. Areas to be reached with the shortwave transmitter were Dutch East Indies, French Indochina, Siam (as Thailand was then known), China, Russia, Korea, and Japan. The medium wave transmitter would be used for local broadcasting and would be first to be put into service. But where would they be located? That was the pressing question!
Broger, with members of the Philippine committee, searched day after day. Postwar prices were prohibitive. Because of the elaborate ground system of literally miles of copper wire that would have to be buried under the surface of the ground directly under the antenna towers (to help radiate the signal away from the ground) a parcel of ground would have to be hand-picked.
In a letter to the home office, John Broger said:
Let me say at the outset that living quarters are almost impossible to find in Manila and land is very expensive. When the permit was granted to FEBC, it was necessary to inform the government as to the exact future location of the transmitters and studios.
The answer to this problem was another of God's answers to prayer. Recent governmental regulations were such that our transmitter would have to be built so far away from the city of Manila that it would be difficult for missionaries to get from the city to the station. Then too, the prices of sufficient land for the station ranged from $40,000.00 to $60,000.00.
Needless to say, these two factors were serious. I had waited upon God to guide in the choice of property and here were these staggering prices to face, as well as the necessity of locating some miles away from Manila's outskirts.
Then God began to work. An earnest Christian businessman in Manila, hearing of our need, inquired as to the specific property requirements of FEBC. I outlined what was necessary, and he replied that he and his business partner, another Christian man, had a piece of property that might be suitable to our needs. We drove out to the land which is just seven miles from the center of Manila and located on the national highway. The regulations on distance from Manila would have ruled out this property, except that previously licensed prewar local stations were close by. Therefore, the government radio commission accepted this piece of property as valid.
But now the question of the cost of the property remained to be settled. This land consisted of twelve and one half acres valued at approximately $50,000.00 U.S. This amount of property not only would be enough for the station and studios but for housing facilities of station personnel, missionaries assigned to FEBC, and visiting missionaries. An ample portion is already under cultivation and will remain so in order that the station personnel may have proper amounts of vegetables and fruits.
After consulting with the two owners of the property and setting before them the aims of FEBC, we were offered the entire plot for $20,000.00. The Far East Broadcasting Company now holds an option to buy the property for that amount!
John Broger used the last fifty dollars in his pocket to bind the option. By November 10, the date on which the option had to be met, $5,000.00 was sent and the land secured. The remaining $15,000.00 had to be paid by December 1!
In the meantime John Broger had returned to the United States. The need for getting the remaining fifteen thousand dollars to Manila on time lay heavily on the hearts of Broger, Bowman and Roberts. Sitting around a table one afternoon, they talked frankly with each other. If they were going to worry about this need being met, it wasn’t faith. If they tried to raise the money by one of many methods, it wasn’t God’s work. If it was a work of God, He would send it in. They would not borrow it. It was decided they have a week of prayer in which time they would commit this problem to the Lord and let Him work.
The closing day of prayer was November 28—Thanksgiving Day! The day before, they still lacked $4,000.00, but God had given them the assurance He would meet the need. That afternoon they sent a cable to the Philippine committee that $15,000.00 would be sent on time. As they closed the office that afternoon, with the thought of the next day being Thanksgiving, there abode in them the peace and assurance of the promise, “If ye abide in me, and my words abide in you, ye shall ask what ye will, and it shall be done unto you.”
Friday morning they went to the post office box to get the mail, but there was none—not a single letter! As they
September 4, 1946—Granting of Philippine franchise to erect two ten-thousand-watt stations (medium and shortwave) in Manila.
October, 1946—Construction of Manila transmitter begun.
October, 1946—Transcription equipment for recording studio in Shanghai purchased and assembled preparatory to shipping.
November 30, 1946—Final payment sent for the twelve and one half acres of property in Manila which would accommodate all radio installations and personnel living quarters.
December, 1946—Passport applications made for first FEBC radio missionary, former Chaplain Arvid Veidmark, of U.S. Army in Philippines, who with his family would soon leave for Manila to begin ground-breaking for transmitter and personnel housing.
A grand total of over fifty-three thousand dollars had been received for the furtherance of this great new endeavor for Christ and His kingdom.
Chapter Three
ON THE AIR
Dark war clouds were hanging heavy over China. Generalissimo Chiang Kai-shek’s Nationalist government was being driven back by Communist forces from the northwest. In fact, a definite war front could not be established; the Reds had infiltrated the government ranks as well as the military forces and no one could trust the person beside him. Christians were being persecuted; churches that had been built with American money were being confiscated. Surely, China was doomed! The days of the foreign missionary working on China soil were numbered.
In the wise providence of God, men are not always permitted to see too far into the future. Had a franchise been granted to Broger by the National Chinese government, it would have meant that all equipment would have been confiscated by the Communists as they swept across China during those dreadful years. Instead of being an instrument for sending the Good News of peace, from its antennas would have sounded forth lies of the men who had plans for conquering the world.
Unknown to the men of FEBC, the Communists held the scheme of using the ether waves in their master plan of propagating Communist doctrine to the Chinese. Though such a plan has never been revealed to the Free World, it must have been something like this:
1. Set up powerful broadcasting stations to teach Communism to the millions of China.
by hand. Although cement was on one of the highest priority lists, not a single day was lost because of not having enough. Through negotiations with the Priority Board, FEBC was placed in the same category as important buildings in Manila. The foundations for the studio and transmitter buildings were poured first, then the floors. Filipinos, working with crude tools, put up the structural parts of the buildings.
A well needed to be drilled, but the cost was estimated at ten dollars a foot, not including the four-inch casing. Finally, an ex-army man, dying of TB and wanting to do something for God which would last after he was gone, offered to do it at a fraction of that cost. And to the surprise of all, perfectly pure water was found in abundance at 750 feet.
And did it ever make a difference to bathe after they had water! Not having procured storage tanks yet, they rigged up a gas engine pump at the well. After a hard day of work, showers were in order, but there was a priority problem! In the dark, one at a time, they would go up to shower under the gushing cold water from the four-inch pipe. The arrangements were: if one heard the engine running at the pump after dark, he should not go near. Someone was taking a shower!
By fall the two main buildings were partially finished. Even though there was correspondence between the office and Manila, it seemed to Viedmark the folks in America had forgotten all about the deadline. Finally, an urgent cablegram was sent to Los Angeles:
"The Philippine Government demands that FEBC go on the air by April 14, 1948!!!"
Already working long hours, the men put the finishing touches on the transmitter and got it crated for shipment. How badly it needed to be thoroughly checked out before sending overseas—but that would have to be put off because
of the time element. Passport applications had to be processed for the new recruits leaving for the field. Mr. and Mrs. Broger would be leaving for Manila to expedite the project. Dick Rowland would be helping set up the transmitter after spending months as one of its builders. The capable Dick Handlos, with his family, would be working at Christian Radio City as chief engineer. Mr. Kreps left a manual arts teacher’s position and the Gearys felt the Lord was leading them from a mechanical engineering position to help establish this new undertaking in the Philippines. Helen Barker was well qualified for her job in directing the health programs so necessary as a public service, and her musical talents would be put to good use.
One of the times the office staff will never forget was when John Broger went to the phone and called the Pacific Far East Steamship Company and said, “I’d like to reserve space for 18 passengers and 52 cubic tons of equipment on your next boat leaving for Manila.”
The voice came back: “Fine. That is 18 passengers at $450.00 a passage, and 52 tons at $40.00 a ton. Altogether that will be $10,180.00. Would you like to send us a check for this amount?”
After a decided pause in the conversation, John finally said, “Would you please reserve that space for us, and the last day you have to have the money or cancel the space, give us a call?”
Every time the phone rang there was a quick rise in pulse, for the bank account stood at $6.00! But on the day the phone did ring and the Steamship Company advised the sailing date, the money was in the bank!
On February 23, 1948, half of the eighteen FEBC staff, plus fifty-two cubic tons of equipment sailed out of San Francisco harbor on the S.S. “Indian Bear,” the other half sailed later on the S.S. “China Bear.” It was humanly impossible to uncrate, set up and test the transmitter, complete the studio, and set up an antenna system by the deadline.
By the time the new personnel arrived, the total had risen to thirty. The Shorts had been transferred from their work in Borneo to work with FEBC. Every man and woman worked as long as they had the strength. Filipino workmen joined in with the Americans to help get the job done. Even the older children could be credited with doing their share. But the deadline—it couldn’t be met!
With building material priced so high, they could not buy enough to finish the buildings already started. During this stage of development, one of the worst typhoons hit Manila and for weeks—one time three weeks straight—rain came in torrents. And when it rains in the Philippines, it often blows. At such times the rain literally is driven horizontally, and since most of the houses had siding but no windows, personal items, such as bedding, books and the like were well soaked. Seven used quonset huts were purchased for $450.00—just a fraction of their value—and rebuilt at Christian Radio City.
John Broger, writing from Manila, said:
... There are many problems, but we know there is victory in Jesus. We gather for prayer at 7:15 A.M. and the Lord has continually reminded us that we are more than conquerors in Christ Jesus! We are few in number and the task is tremendous—greater than we could ever expect to accomplish in the natural—but our heavenly Father will give us strength. We have confidence in Him!
We thank God that everyone is in good health even though we have a 14-hour working day. The quonsets are going up steadily, and the transmitter building is well on the way. The electronic equipment is being installed and already we are beginning to thrill in anticipation of on-the-air-day.
Not only were the transmitter, studio equipment, and electric power supply necessary, but the antenna system could not be slighted. Ninety-foot telephone poles were secured from the U.S. Navy, who were willing to give them away to get them off their lot. But the job of getting the poles down the highway and round the corner onto the road approaching Christian Radio City was no small feat! The shopkeepers at the highway intersection, where the poles had to make the turn, were not so pleased with the deadline-conscious engineers as they saw their petite businesses shoved over in the dust as the ends of the poles swung by!
Lifted into place with the help of a heavy army boom, the poles served to hold the 680 feet of antenna wire in the air. It was far from an ideal antenna but would have to do for the present. The most important thing was to get on the air before the deadline to show proof of performance!
The pleas of Broger and several of his engineering henchmen resulted in an extension to the time limit. How thankful they were for the extra seven weeks, but they didn’t see how they could finish it even then. Days rolled by into weeks and it was soon nearing the day when they were to be on the air or lose the franchise! Could they make it? Only the Lord could bring it about. Their strength was giving out.
Three days before they were to have all equipment ready and on the air, they expected to have the transmitter completely wired and ready to test. But something went wrong with one of the circuits, and it had to be repaired.
At the rate they were going, they couldn’t test it—even briefly—before the deadline. The antenna lead-in wire was hung up temporarily with some crisscross poles for support. The console and turntables were wired together, then to the control room—with wires untidily braided and lying on the floor. Wires from the power plant were strung across makeshift poles to the rear of the transmitter. Wives prayed constantly that their husbands would not be electrocuted. Often working in water ankle deep, the men had to work with high-voltage power lines, which combination was a veritable powder keg!
Telephone service in Manila was worse than poor after the war. Broger drove downtown the morning of June 4. The station was to be on the air by 8:00 p.m. that evening, or they might as well pack up and leave. Their chances of proving themselves capable of operating a radio station in the Philippines would have terminated. John asked for a few more days. But the more he tried, the more he was sure it would not be granted. He decided to call Christian Radio City and tell them they had to be ready to go on the air—but the line was dead! With roads as they were and traffic snarls in every other block in the downtown area, he knew he would have to get going and keep moving or he could not make it back in time.
Racing through back streets and barely missing pull-carts in the roads, Broger burned up every piece of road he could between traffic jams. Finally, just before 6:00 p.m. he raced up the road—dust flying—and came to a sliding stop in front of the transmitter building.
“No extra time granted,” he yelled to the men. “We’ve got to get her fired up right now!”
“But we haven’t even tested it once,” Dick replied.
“We’ll test it on the air!” Broger returned, as he ran to the console to grab a bit of programming he had prepared.
“Handlos, will you start the power plant so that we can get the transmitter warmed up—and don’t forget to throw the master switch out there!”
“Have you finished drying the windings on those power transformers yet, Dick?” John continued.
“Well, we’ve done the best we can but I’m not saying they are right. But we don’t have time to check it now.”
Children who had been playing around the yard in front
of the transmitter building soon realized something was happening inside with all the yelling and bustling around. Some of the older children went to tell their mothers that the radio was going to work! Before long all the families were standing close to the door with a spirit of anticipation and at the same time praying that they could make the grade.
Broger, sorting some papers at the console, called to Handlos to turn on the transmitter and prepare to go on the air. Over on the panel, needles on the numerous dials started to swing to different positions. With a rather modest grin Dick nodded to John. At that moment, John called in all the staff and with heads bowed, they thanked God for His miraculous help and asked Him to undertake for this very first broadcast.
As the entire staff began singing the great hymn, "All Hail the Power of Jesus' Name, Let Angels Prostrate Fall," John gave the nod to Dick to throw the switch and the first of the Far East Broadcasting Company's transmitters hummed with power as it went on the air at 6:00 p.m., June 4, 1948, releasing the words of this majestic hymn to the waiting airways of the Orient.
With tears flowing freely and hearts welling with indescribable joy, the FEBC staff in Manila stood transfixed, American and Filipino together, as the words of this beautiful song rang out clear and strong:
Let every kindred, every tribe,
On this terrestrial ball,
To Him all majesty ascribe,
And crown Him Lord of all!
With a flick of the finger, the engineer at the controls motioned to Broger that he was on the air.
"Ladies and gentlemen—this is the initial broadcast of KZAS,* the new "Call of the Orient" station, located in Manila, Philippines.
*Shortly after, the designation was changed to DZAS.
"At this hour of 6:00 p.m. on June 4, 1948, the Far East Broadcasting Company lays before you the foundation for that which we believe to be the challenge of this generation—the challenge to do a work for God, the challenge of faith!
"If the peoples of the Orient have need of anything in this day and time, it is faith—faith in yourselves and your ability to rise above the problems of this chaotic age, but more than that, faith in an eternally wise and loving heavenly Father.
"To this end we, of the Far East Broadcasting Company, have dedicated ourselves. We will serve you to the best of our ability with whatever knowledge we may have or whatever wisdom we may glean from those of richer experience.
"We, of the Far East Broadcasting Company, pledge ourselves to the highest ideals of culture and dignity. In all phases of broadcasting we shall endeavor to bring to you that which will lend a very real assistance to the threefold nature of man—physical, mental, and spiritual.
"Friends, these are the reasons for the existence of the Far East Broadcasting Company.
"We are here to serve you!
"Thank you, and God bless you."
But alas, after just two short hours of broadcasting, the 1,000-watt transmitter kicked off automatically from an overloaded circuit, and they went off the air. But who could care less now? They had given proof of performance and would not be in danger of losing the precious franchise. It was significant to all who had worked so tirelessly that God had allowed the transmitter to work just long enough to prove itself. After all, it had never been checked before and would have to go through further tests amid a limited broadcasting schedule for the next few weeks.
Aerial view of Christian Radio City, Manila, looking toward Manila.
Studio-administration building and 308-foot antenna tower, Christian Radio City, Manila.
Bowman, Broger and Roberts, founders.
Overseas studios and controls, Christian Radio City, Manila.
Partial view of tape library, Program Department, Christian Radio City, Manila.
Modern "Portable Missionary" radios are located in each of the provinces and on every inhabited island of the Philippines as well as in five additional countries in Asia.
Indian Christians record Gospel programs in New Delhi studio.
50,000-watt RCA overseas transmitter. Chief engineer, Francisco Matias, at controls, Bocau, Philippines.
Villagers gather around "PM" in headhunter country.
Isabelo Montejo, "PM" Department Director, places a "PM" among Ilongot tribesmen in Nueva Dizcaya, Philippines.
Balik Luna, the mayor of 5,000 friendly but extremely shy Mangyan tribesmen in the mountains on the Island of Mindoro. Balik is one of those who have received Christ as Saviour. This “PM” is one of the several that minister to his people.
"Jesus loves me, this I know." Little Filipinos listen to a "PM" radio.
Chapter Four
FORTY TONS OF STEEL
For several years a group of young Filipinos had been meeting together for prayer. Their purpose was to ask the Lord in what direction they should release their spiritual energies. In fact, before they banded together as the Filipino Prayer Band, several of them had carried a burden for a vital work in the Philippines.
One of the group, Max Atienza, had seen much action as a guerilla fighter during the war and had testified often to the fact that listening to the radio had kept his spirit high during those rugged days. From America came the promise by shortwave radio that MacArthur would be coming back. Max wondered if the day would ever come when they might see a Christian radio station set up in the Philippines. To this end, the group of young men prayed.
Without knowing anything about the groundwork being laid by the first FEBC personnel on the Islands, the men not only prayed about it but sought to find out what would be necessary to start such a project. As they met to pray one evening, Max excitedly walked into the room and announced, "What do you know, fellows, a Christian group from America by the name of Far East Broadcasting Company has received a permit from our government to set up a radio station here in Manila."
After some discussion as to what they could do to help, the men prayed earnestly for this new project. At the close of the meeting they took up a collection among themselves, and the sum totalled $20.00 (U.S.), which was no small amount for that place and time.
In two places, 7,000 miles apart, God had challenged men of different nationalities to the practicality of broadcasting in the Orient. Not long after, Max Atienza joined the FEBC staff as a preacher and announcer in the Tagalog language.
With such a poor antenna system KZAS’s signal was not covering too great an area. Even some parts of Manila were not being reached consistently because of physical conditions. And yet, once in a while they would get listening reports from far distances. A captain on a ship 1,500 miles from Manila wrote that he had heard them and had been listening for several days. But they needed a new antenna—and they needed it badly! The station had been such a drain on the home office they felt they shouldn’t ask for that kind of money right now. Besides, they were building two shortwave transmitters in Manila—using mostly surplus parts—to increase their listening audience manyfold.
Driving through the streets of Manila and through the countryside, several of the men spent days making reports on the areas they were covering. But reports, accurate or not, did not satisfy the man at the mike who was wondering if his message was getting out.
It was a thrill when the first letter arrived in FEBC’s Manila post office box. For many days a barber in downtown Manila had been listening to the broadcasts from Christian Radio City. Often the men who had their hair cut would linger behind and listen. José, one of the regular customers, was an atheist—a man who made it clear to everyone he met that he didn’t believe there was a God. Not only did he make his views plain but tried to sell everyone else his bill of goods.
Haircut day came for José. As Filipino barbers take longer in cutting than our superspeed American barbers, José was in the chair for at least a half hour. Added to this, the barber, who was not a Christian, talked his long-haired friend into
a shave and massage. All this time the radio was blaring away with a program he had never heard before.
The shop normally closed at 8:00 p.m., but that night the men sat motionless until KZAS signed off the air. Leaving without saying a word, the atheist started home. The next night he returned to listen to the broadcast. In fact, he was a regular sitter from that time on.
One night, in the privacy of his own room, José was humbled before the One who had borne his sins. Without anyone speaking to him or helping him, he accepted Christ as his personal Saviour as had been presented on the radio. Not long after, the ex-atheist led his barber friend to the Lord, and several of the other barber shop listeners came to know Christ.
Out on the national highway about six miles from the city of Manila lived a man who had been engaged in a rather unusual "profession." For several years he had done very well in robberies. His wife knew what was going on and dreaded the day when he would be caught and sent to prison. The truth was being held from their small children.
During one of his jobs, he had "appropriated" a nice table model battery radio. It was the first he could call his own! Since his "occupation" called for work after dark, his afternoons were spent in listening to his newly acquired radio.
After listening for several hours, he said to his wife, "You know, that must be a strong station. And I can't figure it out. They don't have any commercials." His wife kept on working without looking up.
"And another thing, the music is so nice," he added.
Still looking down at her work, she muttered, "Sure, the music sounds good, but what about the talk? It makes me feel awful when that man speaks about God, and especially when he talks about sin."
"Well, I haven't said anything to you but I've been thinking about finding where this place is and going to see them,” he added.
“You don’t have to go far. It’s right across the field—over there.” Walking over to the open window, she pointed to the unfinished buildings and the ninety-foot antenna poles in the distance.
Hearing there were some foreigners over there, he decided he’d better not go near lest his “profession” be found out. But for days he stayed by the radio listening to every message. Conviction of heart and soul became so strong he had no rest; added, of course, to the constant fear of being caught for one of his robberies, his burden was too crushing to bear. He finally gave up one afternoon. As the Spirit of God dealt with him, he realized he would have to give up his robberies and even pay back his “debts.” The day came when he threw himself down before the radio and confessed his sin to Christ. True, there was a struggle. Making restitution for his misdeeds seemed to be one of the things that held him back. But when he faced this squarely and said, “Yes,” the struggle was over.
Having done some jewelry repair work prior to his robberies, he decided to set up a small business and try to make a living for his growing family, plus paying back the people from whom he had stolen. It was a steep uphill grade, but with victory in every step through the Lord. He never ceased to give thanks to the Lord for the radio broadcasts that were coming in so strong. After all, the new station was less than a mile away!
The problem of a better antenna plagued the radio missionaries as they realized how much better their signal would be getting out if they could dispense with the telephone pole antenna system.
In the meantime, Bob Bowman exchanged places with John Broger in Manila. The engineers put the pressure on
Bowman for a new tower, but the answer was always, "No money."
Diplomatically, Bowman asked the men what they figured they needed for a new tower. The answer was, "We should have a 300-foot steel tower. One from the States, plus freight out here, would run about $25,000.00." And they didn't bat an eye when they gave that estimate!
One day a man called Christian Radio City on the telephone. He was an executive from one of the big wireless companies. He said, "I hear you are looking for an antenna. We bought three of them from war surplus. They are 300 feet high, self-supported by four legs 60 feet apart at the base, and weigh 80,000 pounds apiece. We paid $3,700.00 each for these towers and it cost us $1,500.00 to ship them over here to Manila. Now we find we need only two. Would you like to have the third one for what we have in it?"
Bob returned, "My, we surely would like to have it. That is exactly what we need. But we don't have that kind of money!"
The pleasant voice on the other end continued, "Well, let's talk it over anyway." Bowman went right to his office to see him.
For two hours the executive asked questions. "How is it financed?" he asked. "Where does the money come from?" He had trouble understanding about faith.
Before the conversation was finished that afternoon he asked what they would be willing to pay. Bowman rather sheepishly said, "We have about three hundred dollars in our account at present. That is only peanuts, of course."
"Let me cable my home office in the States and see what they will let it go for," the gentleman returned.
The next afternoon the same man telephoned Bowman and said, "My company advises that you can have the tower for THREE HUNDRED DOLLARS!"
Within a few days heavy trucks were rolling in from the
highway with forty tons of steel precut and formed for a massive tower that would reach into the sky three hundred and eight feet! The wood crating material holding the pieces together would have cost—in Manila—far more than $300.00!
Byrd Brunemeier and his family arrived in Christian Radio City shortly before the antenna was delivered. Being a radio engineer—plus having natural mechanical abilities—he was qualified for the job of setting up the tower. Don Geary and Byrd were in charge of the entire job. Several Filipino men were hired for helpers, and one professional rigger completed the crew. It took days to get the steel sorted.
One phase of the tower project came as a blow to the staff of Christian Radio City. When the contractor submitted his price for the four concrete footings—two thousand dollars—it meant they would have to put off the construction, because they had no such amount on hand.
One day, petite Mrs. Chua Kian Tiong, who was doing the Chinese programs, walked by the piles of steel. Bob Bowman was standing near where the tower footings were to be poured. “Why isn’t the tower being assembled?” Mrs. Chua inquired.
“Only one reason,” Bob replied. “We lack $2,000.00 for the foundations.”
She shook her head as she turned around to leave. Bob heard her murmur, “Too bad, too bad!”
A week later as Mrs. Chua came to the recording studio, she quietly excused herself for a few minutes and went over to Bowman’s office where she laid a white envelope in front of him and departed. When he opened it, he was utterly thrilled beyond words. Before him lay $2,000.00 she had collected from her Chinese Christian friends. By faith (plus a little works) she had removed the last hindrance to the job of erecting the tower.
Week after week the work went on. Every piece of heavy steel angle iron had to be lifted in place by the winch. Men working on the tower were held securely by their safety belts. But at times they had to depend on their hands as they jockeyed around for another position.
Everything was going as usual on the afternoon of May 22, when suddenly there was a screech from the cable and a heavy steel beam swung over on the Filipino rigger. His body went limp! Blood was streaming from his head. Both Don and Byrd shinnied over on the cross-members to see what had happened.
Response to their calls for help brought out men from the studio building. "Get an ambulance quick! Mike is hurt badly!"
Bowman ran to call but the phone was busy! After many attempts, he got through to an ambulance, but they said they didn't want to make the trip because it was too far, and besides, it was across the county line! He called other places and the same excuses were given. Finally, he persuaded one of the hospitals to send its ambulance.
In the meantime the men had made a stretcher and were lowering unconscious Mike down with the use of the winch.
Two hours later the ambulance arrived from downtown Manila about the same time Mike's limp body was lowered to the ground. The next hours were tense. After surgery, the doctors gave him a fifty-fifty chance of recovery. Four days later, as he was showing signs of getting along well, they put him in a room with a fan blowing air directly over him. Two days later he passed away after contracting pneumonia!
Even though this accident was a shock to all, it dared not set them back in the erection of the tower. With safety belts a bit more snug and extra precautions observed at every turn, the tower continued to go skyward until a great day in the second week in June. That was the day when Don
a 30,000-watt generator that we just overhauled. How would you like to have it?"
"What do you mean, like to have it?"
"Just take it."
"You're kidding!"
"No, I'm not. It's yours."
Not long after, they put the generator on their trailer and hauled it down to Christian Radio City in Manila. Again, God had met the need in a miraculous way.
* * * *
Letters were beginning to come in to Christian Radio City. Not only were they an encouragement to the staff but they were used to put impetus on the job of completing the new transmitters. One letter said:
Dear Friends:
I've always listened to dance music on my radio, but last night I happened to turn the dial to your station and was surprised to hear my own language on the air. I live a long way from Manila and this is the first time we have heard DZAS.* I am sorry my language is only on twice a week. We do not have any missionary here. We do not have a pastor. I have never met any Christians. The thing you are talking about thrills my heart. I became convicted by the heaviness of sin in my heart. Last night, when I heard of the Lord Jesus Christ, I wanted Him to help me. Now I feel so happy. Please tell me what has happened to me!
Sincerely,
H. Garcia
Another man wrote:
My whole family has been listening to your broadcast
*By order of the Philippine Radio Control Board the call letters of all Philippine broadcasting stations had been revised. The FEBC station from that time on has been designated as DZAS.
for a year now, and at last we are convinced that Jesus Christ is the Son of God, the true God, and that your religion is correct. We have all accepted Him as our personal Saviour.
Without fanfare, late one afternoon the first shortwave transmitter of 1,000 watts went on the air. The only dedication service held was by the three engineers who stood in front of the panel and bowed for prayer as the tubes were warming up prior to going on the air.
More studio space was urgently needed to handle the extra programming. By this time the tape library was no small department. Three walls in one room—and not a small one—were covered with shelves and lined with boxes of plastic magnetic recording tape, well catalogued and ready for immediate use by any of the staff doing programming. Wives and older girls of the staff graciously accepted the jobs of caring for the libraries. Another wing was built on the studio building to accommodate studio B and offices.
Gilberta Walton, FEBC's first lady engineer and one possessed with a wealth of broadcasting background, arrived in Christian Radio City to take over the directorship of all programming.
As the Far East Broadcasting Company's work became more popular with Christians in America, missionaries, mission leaders and world travelers were sure to include Manila and the side trip to Christian Radio City on their itinerary.
The multiplicity of programs in so many different languages was a nightmare at times to the still fairly new radio missionaries. Limited Gospel programming was being broadcast to China, Russia, Viet Nam, Thailand, Indonesia, and, of course, to the extreme limits of the Philippines.
One of the guests at Christian Radio City was David Morken, who was Youth for Christ director of Shanghai, China. After his return to China, he wrote the FEBC staff a most encouraging letter:
Dear Brothers and Sisters in Christ:
I wish I had words adequate to tell you how I feel about the work of Far East Broadcasting Company. As I listen to the well-planned professionally produced Christian programs coming from Christian Radio City, Manila, I am reminded of the Apostle John’s statement of purpose for writing his Gospel: “These are written, that ye might believe that Jesus is the Christ, the Son of God; and that believing ye might have life through His name.” Even as John had carefully selected the testimonies of competent witnesses in order that we may have life by believing that Jesus is the Christ, the Son of God, so station DZAS is planning each program that men throughout the Far East might have life.
It was indeed one of my great joys to be your guest and see what great things the Lord is doing. It was wonderful to learn how God had been preparing men for this tremendous task since their childhood, yes, even before they were Christians. And how, after much training and preparation, He put the urge down in their hearts to do what He had planned—an urge that would drive them through and over every obstacle; an urge that cries, “There is only one program of importance: the bringing of the Good News of salvation to all men”; an urge that cries, “I am ready not to be bound only, but also to die for the name of the Lord Jesus.”
We thank God for the entire FEBC staff. In the words of Habakkuk, “Stand stark still. Stare. A work is being wrought in your days. Ye will not believe when it is recounted.”
With much love and appreciation,
I am,
Yours in Christ,
David Morken
About one year after DZAS went on the air, a letter which indeed bore sad news arrived in Christian Radio City. The Philippine government was young and struggling. Due to certain technicalities the Radio Control Board did not renew the license on DZAS!* This in no way affected the license on the shortwave transmitters, but to realize the voice being sent out over the Philippines would be hushed was more than the radio missionaries could understand. Humbling periods of prayer followed for days. They contacted certain men who had influence in the government, but to no avail.
As the staff met for prayer one morning, the Lord led Bob Bowman to read a passage of Scripture which seemed to speak to everyone in the room: "Other sheep I have which are not of this fold."
It was a short sentence, but oh, so striking! FEBC dared not confine its efforts of getting the Gospel out to only the Philippines and other countries close by. To the north lay the Japanese Islands with ninety million souls. To the south—hundreds of islands, large and small, with millions of Indonesians, tribesmen, Chinese and Indians—so many without the Gospel. To the west lay the lands of Southeast Asia divided into Viet Nam, Laos, Cambodia, Malaya, Thailand and Burma. Millions speaking a diversity of languages—multitudes without Christ!
Then, to the northwest was the massive land of China. At this very time, missionaries were fleeing from Communist-controlled areas. Literally hundreds of thousands of Chinese were starving to death. In their ruthless attempt to conquer China, nothing stopped the aggressors as they swept through villages and towns, promising a better way of life "for the future," but wounding and killing innocent Chinese every
*It should be noted here that all radio broadcasting stations are licensed on a yearly basis. Only when proof of providing a service is established with the Radio Control Board can the license be extended for another year. This is true in most countries. However, a long-term franchise for continued operation has been granted FEBC by the Philippine Congress.
foot of the way. Across the countryside and massed in the cities were 700 million souls—many of whom knew not Christ, the Son of God, nor had they even heard of Him. They must not forget Russia, the very seat of godless Communism. Millions also, behind the iron curtain, were not permitted to hear the Truth.
Could it be the Lord was forcing FEBC to consider more the possibilities of shortwave radio and concentrate on propagating the Good News of salvation to the whole of Asia? As heads were bowed in prayer that morning, hearts were burdened as they thought of the souls for whom Christ died, yet without knowledge of Him.
What has been the course of Communism? Let’s let history tell the stark truth:
The massacre in 1918 of the entire Russian royal family and their servants in a cellar in Sverdlovsk; mass terrorism against the kulaks and priests; the famine of 1921-23 with 22 million starving; the mass shooting and exile of six million peasants in 1929-32; the famine of 1933 with between five and ten million dying of starvation; the mock trials and executions or deportations to Siberian concentration camps of ten million during 1928-38, the trials and purges of government officials of 1928-38; the debauchery and rapings of the peoples in western Russia by the Red Army in 1943-45—this is only a partial list!
Let’s look at what happened in eastern Europe:
In a few minutes hundreds of men and women were lying dead or wounded on the ground while others crouched for cover behind statuary and columns, or lay flat on the pavement. A column of rioters marched with arms outstretched into machine-gun fire. Students were killed en masse by Soviet tanks. The country’s railroads, factories and mines were at a standstill; the city of Budapest was without light, heat, transportation, communications, or food, with thousands of unburied dead lying in its rubble-filled streets, and fires burning in hundreds of buildings.
Pastor Peter Chu Pong, from Asia, testifies:
The Communists held an accusation meeting to accuse me, my wife, and the elders and deacons in our church of being imperialists. They tied our hands with long rope and forced us to kneel on the platform of our church assembly hall with signs around our necks which said, "Guilty Crime." They slapped our faces, kicked our bodies, and poured cold water on our heads. They made my children stand and watch. If they cried, the Communists beat them. They wanted me to confess that I was an imperialist agent. They wanted me to reject Christ, give up my church, and admit that the only god was Mao Tse Tung...
We often think of Communism as a big political machine. It is more than that. Communism is a religion—a godless religion. It is anti-Christian. And yet, its ardent followers use the very methods the early church employed and which we still use today as means of evangelism. Student movements, youth rallies, conferences, groups, or "cells" organized to promote their cause locally, the use of attractive printed material provided reasonably, propaganda spread round the world by radio are but a few ways this diabolical movement spreads its pernicious doctrines. God and His Son, Jesus Christ, are excluded and not only left out, but those who wish to follow their Master are persecuted even unto death.
From the Kremlin and Peking come lies, yet flowered with appealing ideas and dogmas. In forty short years Communism has swept in its grip one third of the world's population, not by love—but by bloodshed; not by truth—but by lies! The fight against Communism is a spiritual warfare—for the souls of men are at stake!
FEBC engineers were determined to press the unfinished
shortwave transmitters through to completion as soon as possible, while the rest of the staff started working with all their energy to produce programs in the languages of these other countries. They had fine cooperation from missionaries of many denominational and independent missions. Letters were sent out to encourage more national workers to tape programs on their fields.
Chapter Six
PORTABLE MISSIONARIES
As unexpectedly as the first letter had come from the Radio Control Board, just two months later the second arrived. During those two months nothing could seemingly be done to correct the situation. Unceasingly, the staff prayed that God would somehow undertake. No particular ray of hope developed as they ripped open the envelope. The contents appeared to be more or less a form letter, but scanning through the second paragraph, it was evident the letter contained good news.
While not exactly apologizing for the interruption of DZAS’s schedule—but almost—the Radio Control Board was pleased to advise that DZAS was licensed to return to the air immediately! Staff members praised the Lord for His definite answer to prayer.
Within minutes after the license was received, DZAS was back in service broadcasting the Gospel to the Philippines.
* * * *
Generally speaking, the Filipinos would be considered poor people according to American standards. As is seen in so many countries of the world, excluding America and parts of Europe, there are two classes of people: the very rich and the very poor—there is no middle class. Because of better farming conditions in the Philippines, the poor class have a higher standard than in countries like India and China. Though many of the families do not have luxury items, most of them at least have food on their tables, clothes on their backs, and a place to sleep.
The Filipino farmer has to work hard and long hours
for the food he provides for his family. Any surplus can be sold, but the profit is low, and there are so many essential things to buy. The more prosperous farmer may own a worn-out jalopy which saps his pocketbook for repairs, but it gives him prestige. A more sensible farmer will proudly own more water buffalo than he really needs, and then can rent or loan his extra beasts.
Rural Filipino houses are of simple construction. Erected on stilts six to eight feet off the ground, the house is made of rough mahogany lumber with woven bamboo or rattan mats used for walls, and thick grass or cane matted together for a roof. The floor is usually made from home-planed mahogany boards. Windows are open but have a bamboo mat which can be placed over the opening in case of rain and wind. Furniture is on the crude side and pictures of all description adorn the otherwise bare walls. Most urban areas are not blessed with electric power; therefore, kerosene lamps and lanterns are used. Only a few rural homes are able to own a battery-powered radio.
Numerous mission groups have missionaries stationed in scattered places in the Philippines. It is hard to believe there are over 7,083 islands in the Philippine archipelago and only 400 are inhabited. The land area is 115,000 square miles with a population of 28 million. The Filipinos are considered to be of Malayan extraction. There are also a small percent of Chinese and Indonesians living on the islands. To reach all these people with the Gospel would take literally thousands of missionaries and hundreds of thousands of dollars.
As DZAS returned to service after its brief rest, the staff was challenged with the need of reaching more people; but there was one big hindrance—so few radios outside Manila. Two possibilities came to mind: they could encourage people to buy small battery-powered receivers, or they could provide some on a loan basis.
Running into a snag on the first plan, they found very few could afford to own a receiver of their own. The only thing to do was to build well-designed and constructed receivers and put them in villages where no one owned a radio. As the plan was being developed, someone came up with the idea they were "portable missionaries," and that was the very name given them from that time on.
The design of the first PM's, as they were soon nicknamed, underwent numerous changes until a satisfactory circuit proved successful under rigid tests. Due to fungus growth because of high humidity, every part of the set had to receive special treatment. A workshop was set up in one of the buildings where assembly-line methods of construction speeded up the output. Homer Kreps was kept busy building the cabinets out of durable Philippine wood. Because of lack of electricity in most areas, the sets were powered with a heavy-duty battery which would last about six months under normal service. Each PM cost about thirty dollars.
Several reasons were behind the decision to pretune the PM's. Because of the limited life of the batteries, their high cost, and even the weight factor in packing them far upcountry, FEBC staff thought it best to keep the use strictly for their programming. And besides, far too much Communist propaganda was being broadcast to Asian countries. Most certainly FEBC didn't want to provide such a convenience to the Reds! The PM's were put in different barrios* for use by all the people but in the care of one responsible person. Reports had to be filled out each month as to how many villagers listened to the programs.
Someone gave a good description of a PORTABLE MISSIONARY:
1. Preaches the Word of Life many hours daily without tiring.
* Filipino word used for village.
2. Speaks any language or dialect.
3. Gives the best in Gospel music.
4. Needs no allowance!
5. Eats no rice!
6. Will not contract tropical disease.
7. Can be carried to the most remote village by missionaries or native workers and left there to continue to minister when the missionary finds it necessary to travel on. It may be carried by responsible natives into regions inaccessible or hostile to missionaries.
Almost simultaneously with the development and distribution of the PM's, the letters from listeners started to pour into Christian Radio City. A few unedited portions are given:
From Pacita T. Pacheco, Nueva Ecija:
Our hearts overflow with satisfaction whenever we hear your preaching to sinners, for it draws so many of us who forget God to believe in Him. We always tune in your program at 8:00 p.m. and listen to your preaching. Not only we, but also our neighbors are blest, even those with darkened minds and filthy hearts begin to remember Him who hung on the Cross for the sins of mankind.
From S. M. Sison, Pangasinan:
I was really touched by those wonderful messages you have delivered over the radio, and I think it is my prime duty to accept them. I long to become a Christian and I long to serve God in the remaining days of my life.
From Ricardo De La Cruz Paco, Manila:
Truly, sir, my heart is too full of unexplainable emotions that I am utterly wanting for the proper words to use but to no avail. I cannot exactly describe the kind
of emotion that pervades within me that sometimes I feel I would just about burst with it! It is elation, joy, surging happiness, faith, understanding and above all, love that turns everything and gives everything a rosy hue. Ever since I heard your broadcast, as I go about every day hunting work, I am brimming with happiness. I have never been so understanding, or forgiving, never so full of faith. Now I know that to be a believer and to be loving for the teachings of the Lord Himself is to be a Christian.
And from Rev. W. Denton, missionary in Panay:
Just before leaving Canton, China—ahead of the Communist armies—we were in the home of a Christian Chinese. How happy we were to hear the message in Cantonese when we tuned in on DZH6.
Permission to place a PM in Bilidib prison was granted by the warden. He also requested a schedule of programs so he could choose those which he would like the prisoners to hear. These Gospel programs were relayed over the prison’s public address system to the 6,000 prisoners within its historic walls.
In a letter from Christian Radio City to America, Bob Bowman wrote:
Praise God for six hours of daily broadcasting on DZAS, DZH6 and DZH7. (The last two are shortwave stations for the Philippine Service.) The seed of the Word is being sown. Evidences show that God is doing a work in many hearts.
Where the Spirit of God is moving there are also trials. Night before last a tube in the 5,000-watt transmitter blew out. We didn’t have a spare tube on hand but God supplied through a loan of one from another station. This tube must be replaced and a spare purchased in case a similar emergency arises in the future. The two will cost a total of $800.00. Pray the Lord shall
enable us to purchase them so the Gospel will not be hindered for a single hour.
* * * *
An electrical storm was forming upcountry from Christian Radio City. With high steel towers, thousands of feet of copper wire strung in the air, and radio equipment by the ton, engineers are always a bit more on their toes when lightning comes close.
Downpours of rain sent everyone scurrying to close their windows. Along with sheets of rain, streaks of lightning were striking nearer each minute. A bolt from the sky pierced down through the antenna array of one of the short-wave transmitters. With a thud, one end of the wire hit the ground. At that moment Max was preaching in the Tagalog language in studio C.
After waiting for a few minutes, Bob Bowman thought he would make a dash home since he had been up long hours that day. But just as he got outside, he saw the form of a man climbing up the 308-foot tower. Bowman ran over to call him to come down. It wasn’t necessary to fix it during the storm. But as Bob got closer, he decided he better not shout since it might scare Byrd and he would lose his footing. The rain had ceased temporarily but the tower was slippery. Brunemeier was clad in only a shirt with the sleeves removed, slacks, and tennis shoes—his usual working attire.
Bob patiently waited and watched Byrd fasten the antenna back to the top of the tower and start to come down. Jumping from the last steps, Byrd whirled around to make a dash for the transmitter building, but paused as he saw a man standing there. Bob thought he should be gently reproved for risking his life to repair the antenna in such a storm but was unable to get anything out.
With deliberateness, Byrd turned to Bowman and said,
"But Bob, for every minute that antenna was down, someone was not hearing the Gospel."
He ran back to the transmitter building while Bob continued on to his house. Sleep was difficult for awhile as Bob thought of the dedication of the staff. Praise to God welled up within him as he gave thanks for the men and women who would not only risk their lives but work endless hours, day and night, to send the precious Word out in every direction.
* * * *
A letter of appreciation was sent to FEBC for the PM placed in the home of Mrs. Mercedes Benitz Sable who wrote (unedited):
We thank Him who is loving and kind to His people in supplying all the things needed in this world. He gave us this wonderful radio which is a very good instrument in bringing many people to come closer and closer to Jesus.
Since this portable radio was loaned to us, many of the inhabitants of this place and neighboring barrios came to see this radio, the fact that they heard the news which said, "Mr. Sable has a wonderful box that sings and talks!" This was the talk of the barrio people before. We know pretty well that people living in the rural places like our place seldom hear the radio, as most of the people have not yet seen the radio. They hear the word "radio" but they have not seen what the real radio looks like. Some were very ignorant about it.
One day we were surprised to see many people coming at home. We thought they were going to town to shop so that they just dropped in at home for some important matters. When we asked what the matter was, they answered that they came purposely for the radio. "Well," I said, "would you care to hear the Lord speak?" They smiled a great desire.*
*It is worthy to ponder this expression, "They smiled a great desire."
At the first sound from the radio, everybody stood and tried to peep and peep. They were surprised. They thought it was only the box that was talking, but because we could see them very eager to know about it, we explained how the box speaks and sings.
At about five o'clock in the afternoon, many came again. They asked so many questions. The small children came also marching one by one until at last there was no more room in the house. After the Ilocano program was over, they said, "Some more Ilocano; we want to hear what we can understand!" But we could do nothing; there was not more Ilocano program that followed.
Every afternoon although the rains would come, they came, carrying with them their shades and hats. They would come hurrying as if they were very, very hungry for food they had not eaten for a long time.
Last month thieves entered into our house. They were three that came inside the house and one was their guard outside. They had pistols. Before they entered the house we were very happy. We didn't think that such a thing would happen to us. I was singing the Ilocano hymn "Yield Not to Temptation." I had not finished singing the first stanza when the thieves entered. I could not recognize them because they wore big hats. "Oh!" with a surprise, I shouted unconsciously. The first man that entered the house said, "Don't move! Don't talk! If you shout, I'll kill you with this pistol!" We all surrendered!
While we were held at gunpoint, the other thieves looked in our trunk, boxes, and one of them saw the radio on the cupboard. Wondering if it worked, he turned it on and the first thing we heard was Max Atienza preaching in Tagalog! These men understood Tagalog and listened to the whole sermon from one end to the other! As soon as it was finished, they turned off
**A radio engineer would have been interested in that explanation!
***Another language in the Philippines.
the radio, and politely bowed to us and backed out the door!
Really, it’s hard to believe this story but because God is very kind to us, all things are possible. Without this radio, perhaps we would be physically maltreated, because we heard later what they did to all the people in the rest of the houses they went to.
My radio is a comfort and help. I know God has given it to me. I’ll use it to help to save others. If we lose our wonderful radio, I would feel as if we lost a member of the family. We hope for more blessings and hope to pray for His care and guidance to us day by day.
Mrs. Sable was the only Christian in the barrio when the PM was placed in her care. Five years later Mr. Montejo made a PM missionary journey through that part of the country and stopped to visit the Sables. The men of the barrio were busy gathering material for a new church building. Forty families had come to Christ!
"It is not strange that in almost every instance of major wars in the twentieth century one side has represented belief and faith in God, while the opposing side invariably scoffs at a righteous God, and illustrates in almost every phase of its conduct a mockery and derision of every sincere thought or noble action. The leaders of those opposing forces have consistently followed a course evil in design and treacherous in action.
"How necessary then it is that our ideals of what is right be clear-cut and that we be willing to sacrifice any personal desire or interest to the cause of godly truth and right. In the final analysis it makes no difference whether we call it right, truth, conscience, or what you will. The right word, and it must be remembered so, is righteousness.
And before him shall be gathered all nations; and he shall separate them one from another, as a shepherd divideth his sheep from the goats.
And he shall set the sheep on his right hand, but the goats on the left (Matt. 25:32, 33).
"We long today for some plan, some standard by which we may weigh the national conscience of each nation. Of course God will judge individuals, but seemingly the great majority of people in any nation are being driven strongly to a conclusion and a choice between godliness and ungodliness. How is it possible then to set up a principle of judgment? Perhaps this will work. God has allowed a nation to come into existence whose representative government is committed to total violation of conscience. Every action illustrates the spirit of anti-God and anti-Christ.
"This represents an extreme which we will call 'black.' The opposite extreme, which is godly desire and righteousness, we will call 'white.' Nations may find themselves between these two extremes in some shade of 'gray.' The deepness or the lightness of that shade will perhaps depend on
how that nation has followed or rejected its conscience over the past years in its attitude to the people of that nation, and of that nation to other nations and people of the world. If there have been severe violations of this national conscience, there will be less reaction to Communism, and until each nation makes its decision, once and for all, to follow the godly precepts of righteous thought and action, there will continue to be blindness toward ungodly Communism.
"Christians today, in every walk of life, should be the first to sense the issues at stake in this warfare, for it has to do not only with results in this life, but far greater, it has tremendous bearing on the eternal relationship with a just and righteous God. If Christians are not able to fathom the secrets of this warfare, if Christians are not able, by the Spirit of God, to understand the full significance of this battle, who else will be able to point to Him who is the Way, the Truth and the Life?
"Mobilize in a crusade for Christ. Begin by utter commitment of yourself in prayer and obedience to His Word and His Spirit. Then, in utter uncompromising teamwork, let us go forward in the fight for right, discipling all nations, teaching them to observe all which Christ has told us, constantly remembering that He said, 'Lo, I am with you alway.'"
Day after day the seminar went on record as having accomplished its goal in the hearts of men from different races. Open forums were held in the mornings and reports from various fields given in the afternoons. The evenings were given over to devotional meetings.
One thing all the delegates wanted to know was: what about the different transmitters?
On a special tour one of the engineers explained:
"This is the 5,000-watt DZAS transmitter. It is for local listeners only, and is a part of the Philippine Service. It covers the Manila area, and is received on the standard..."
Chapter Eight
FOLLOW-UP
It is one thing to speak into a microphone, another thing to keep the transmitter working properly; but there is still another very important phase in missionary radio—and that is to keep in touch with the listeners. Many who hear the Gospel are hearing it for the first time. Others are just babes in Christ. Few are mature Christians. Those who are young in the faith usually are clamoring for more light.
Prior to the outbreak of war in the Pacific in 1941, a small group of Manila missionaries conducted a weekly Gospel broadcast over one of the local Manila commercial stations, which was operated by a prewar company (not Christian) known as the Far East Broadcasting Company. What a coincidence! The Gospel broadcast as well as the Filipino-owned station were brought to an abrupt halt by the Japanese invasion and occupation. Later, these missionaries were interned by the Japanese. After a miraculous deliverance in early 1945, these workers were repatriated to the United States.
In 1949, Mr. and Mrs. Cyril Brooks returned to Manila with thoughts turned to the possibilities of a Bible correspondence school. Friends had been speaking to them of the fine work of FEBC. Pleasant memories of Max Atienza flashed through their minds: he had been a student of Mr. Brooks in a Bible school in Manila.
Early in 1950, word came to Mr. Brooks of a new Bible course prepared by Emmaus Bible School. This course was
intended to be a means of reaching men for Christ by presenting the truths of the Gospel in a home study course.
After talking to Robert Bowman, who was in Christian Radio City at the time, they decided the two methods could be combined—a radio program of Bible study and a correspondence school, for this is what the FEBC staff had been praying about for some time. As a result, "The Bible School of the Air" was born and correspondence courses were offered free over the air.
A few months later a Tagalog translation was completed and offered in connection with Max Atienza's program, "Bukas Na Aklat" (Open Book). It was arranged that Max would handle Tagalog correspondence and questions, but the lessons would be mimeographed and sent out by the staff of the Bible School of the Air.
A missionary friend remarked to Mr. Brooks one time, "You know, this might develop into a full-time job." How true! In two short years 11,459 English courses and 1,840 Tagalog courses had been requested. The Portable Missionary ministry and the Bible School of the Air were started about the same time. No two ministries could have dovetailed more closely.
Ranging from government officials to ordinary villagers, students taking these courses come from nearly every walk of life. The lessons in Tagalog deal mainly with man and his need of God. Written examinations at the end of each of the twelve lessons gauge the aptitude of the students. Follow-up letters are sent out, together with the corrected and graded examination papers. As a result, definite conversions for Christ are garnered.
Within a short time after the start of the Bible Study Broadcasts they sent nearly 800 New Testaments and Bibles in Tagalog, English, and Ilocano to individuals who had written in their requests. Several thousand Gospel tracts were enclosed with these portions.
Isabelo Montejo, a little man with a big vision, joined the FEBC staff in Manila. His job—to be nursemaid to hundreds of PM's!
There was no letup after the PM ministry got underway. Requests came in from all over the Philippines. There just wasn't enough money to build as many receivers as were wanted. Montejo, or the modern Apostle Paul, as the Manila staff called him, used to start out with nothing but PM's. He carried neither purse nor scrip; extra clothes or shoes he didn't bother with. By living with the people as he went from barrio to barrio, Montejo made better contact with the Filipinos. He would travel by bus or rickety truck as far as the vehicle would go, then start walking until someone picked him up and carried him farther down the road. Many times he ended up riding a water buffalo or walking down a dusty road—or during the rainy season, slipping and sliding on the muddy trails.
A hard life was nothing new to Montejo. He had followed the circus as a fire-eater. When the Lord got hold of his heart, He gained control of a whole life, for Montejo wanted to serve the Lord the rest of his days.
Not only was there much work out in the field; he also had to check the monthly reports. When, through neglect, a report or two would be slow in coming in, Montejo was quick to find what was wrong. Sometimes it was a dead battery, so the person in charge didn't think it was necessary to report. Keeping the PM's operating and new ones distributed was a man-size job and Montejo was just the man!
A necessary sideline developed in Christian Radio City as a result of the PM ministry. The PM Clubs are also literature posts. Each month thousands of tracts are placed in PM Club captains' hands for distribution. Gospel portions and New Testaments by the thousands are printed for the Bible Society.
Bud Jillson, in charge of the printing department, keeps an efficient Filipino staff busy on two printing presses around the clock.
Chapter Nine
JAMMING
With determined efforts the Communists were using every means available to gain the rest of Asia. But something was happening! They were not taking the rest of the southeast Asian countries, the Philippines, and Japan as quickly as they had overrun China. Stiff resistance was felt in some places from groups of people who were learning what was taking place in China. Gospel broadcasts beamed to these countries were helping to deter the advance of the Reds.
The Gospel had been beamed to Russia for many months. It was the only country from which Christian Radio City had not received a listener response. Yet, a few letters had been received from Norway and Sweden which indicated the signal had carried over Russia. In that great distance it would have skipped down on some parts of the Soviet Union. It was a known fact: the Communists were doing all they could to keep the Gospel from entering their country.
To better understand the principle of radio “jamming,” let’s set up a hypothetical case:
In one of the larger cities of Russia, a small group of devout Christians huddle in front of an antiquated radio receiver. The time is 1:00 A.M. One of the men pulls a big thick gold watch from his vest pocket and says, “It won’t be long now, just a few more minutes.”
The man closest to the radio reaches over and turns the off-on dial and adjusts the tuning. The usual rolling sound familiar to shortwave reception indicates the signal is coming a long distance. Everyone holds his breath to catch the first words.
of a loving heavenly Father and His Son, Jesus Christ, and ignore the fact that Christians outside the iron curtain countries do believe in Him.
There are several reasons why the Communists do not jam as badly as they did at first. It is known now that jamming is only about 50 percent effective. Listeners still hear, but with difficulty. The cost is prohibitive! The Communists are telling themselves the Gospel broadcasts are not effective; that nothing is happening to their people because of listening. Basically, the fight against Communism is a spiritual warfare. When the truth of the Gospel gets through, men’s lives are changed. And they don’t want that to happen.
For weeks the engineers at Christian Radio City were aware of their signal being jammed. In a letter from one of their Russian program suppliers, he suggested music as the answer. Russians love music, and after giving this a try for awhile, they found even Gospel hymns were not being jammed. Then it was suggested that very short Gospel messages be interspersed with the music. But the Reds were on their toes! Almost the very instant any speaking came on, the deafening roar blocked out the Gospel message. When the speaking went off, the jamming ceased.
For weeks, the programs that came out of Christian Radio City were made up of light symphony music. Right in the middle of a number, there would be a quick break, with a verse of Scripture given by the Russian announcer! As many times as not, the man at the jamming station switch would not get the jammer turned on in time. But the problem was only partially licked! FEBC needed far more powerful transmitters to penetrate that electronic iron curtain! Some Voice of America stations had to be increased to one million watts in order to override the jamming stations!
Not only Russian broadcasts were being jammed: Peking had to do something about the Gospel getting into China. It wasn’t long until the China releases over FEBC, primarily
news programs, were jammed as badly as the Russian broadcasts.
Jamming is not only expensive but a highly complicated job. The general technique takes the form of superimposing buzz-saw-like noises upon the identical frequency of the offending station. It being impossible to set up the jamming station near the offending station—like Manila—the jammer is built near each large city capable of receiving signals from the offender. Each time programming comes through, the jammer receives the signal on a common radio receiver like those in homes. As soon as offending programming is received, the jamming station switch is turned and the "bagpipes" start playing! Only rarely does the jamming station impose its own program over the other. A radio engineer's ear can quickly catch the sound of a jammer.
Because of medium wave and shortwave, daytime and night broadcasts, each has to be dealt with individually. Therefore, to the jammer, the headaches must be numerous, and the job expensive!
Especially in shortwave jamming—which is the most frequent and potent—the offending signal has been beamed to a target area. Therefore, the jamming stations in that area must go into action. But, in shortwave broadcasts, there is often a splatter of signals. If the offending programs are getting through to other cities, the Communists have a network of stations—as we have in America—and these local broadcast stations have to be converted instantly from their own propaganda programs to a jamming signal. This is very costly to the Communists, and a dead giveaway that they do not want the Truth to be broadcast to their people, for what else can they think when a local station switches from a program to high-pitched noises!
Special transmitters for jamming operations have been developed by Soviet engineers. These machines are designed for rapid frequency shifting and are capable of heavy noise
signals and often fill a band of five or six kilocycles each side of the offending frequency. Jamming transmitters of this type are known to have power levels up to one million watts.
By some shifts in time, frequencies, and program material, many jamming stations were caught off guard and the programming from Christian Radio City got into Russia and China! Down through the centuries, enemies of the Cross of Jesus Christ have tried to suppress His teachings, destroy His written Word and persecute anyone who follows Him.
For all flesh is as grass, and all the glory of man as the flower of grass;
The grass withereth, and the flower thereof falleth away,
But the word of the Lord endureth forever.
Man was not created in the form of a machine. He is capable of thinking and reasoning. Through heaviness caused by sin, he naturally yearns for peace. The Word of God, as it falls on the ear of a person for the first time, usually puts a hunger within him. "This is it! This is what I want," his heart cries. And to the child of God, whether in fellowship with the Lord or backslidden, there comes a strengthening when he hears the Words of Life. Such is the way it affects radio listeners in all lands. The two letters that follow are from listeners in Russia and China. Both names and addresses are withheld to guard against their persecution.
Northeast China
Dear Pastor and Comrades in the Gospel Ministry:
Peace to you—I do not write for anything. I am a Christian. My name is ......... I am now working in ........ cooperative as one who tends the stock and also as a watchman. My home is in .......... My native country is ............ Before the redistribution of land, there was a church in my village. After the redistribution in 1949, the church was changed into a school. I was then discouraged. For fourteen years I have been cut off from communication with the church. Lately I am assigned to this job. I listen to Gospel broadcast. Thank the Lord who gives me a chance to return to the bosom of Jesus, to be close to Him. In the Lord I listen to the voice of pastor and preacher and have spiritual fellowship with the Lord. I live with my wife who is a Christian, my daughter and her husband and child. Two families—five persons live together. In order to help my daughter to believe in the Lord I need a copy of the catechism and a copy of the Gospel notes. I hope, pastor, you will mail them to me. I won’t write about other things now.
May God bless you.
Your brother in the Lord,
(signed) ...............
* * * *
Eastern Russia
Dear Brothers—
I, as the least brother, ..........., like to greet you in the name of our Lord Jesus Christ, who has loved us with eternal love.
I am often listening to your messages over the radio. My heart fills with overflowing joy that the Lord privileged you for this call and the whole world is hearing the message of our Lord Christ. It is written the Gospel shall be preached in all the world for a witness.
It’s the desire of my heart that you may remember Ephesians 5:2.
Dear brothers, please, reply to my petition. You are telling over the radio [broadcasting] [the listeners] may get such free of charge. I am ready to obtain even for pay. I beg you earnestly if only possible.
Good-by. May God help you for success!
Your spiritual brother,
(signed) ..................
Chapter Ten
THE WHYS AND WHEREFORES
The Thai farmer far up in the riverlands, the Burmese government official, the Indonesian clerk, the Ilongot headhunter, the fierce Moro tribesman, the Filipino student, the Hong Kong merchant, the lonely leper on Palawa, the sufferer in a Taiwan hospital, the Ceylon plantation worker, the GI stationed at one of the United States arsenals of defense in the Far East, the Japanese teen-ager, the seaman on the Indian Ocean, the Tibetan trader at the top of the world, the white Russian behind the iron curtain, the Chinese Christian behind the bamboo curtain—how else could all these people and many more be reached, except by the invasive means of radio!
Probably 95 percent of the people who read these pages could not tell a condenser from a resistor, and most of them couldn’t care less. And yet, in the preceding nine chapters we have been telling of the results of radio without telling what it is. At this point, the author is reluctant to display his ignorance, for alas, he too is one of the 95 percent!
Thinking in generalities, the average housewife, clerk, farmer, or businessman in America does not give the mechanics of radio much thought. For years it has been a part of his or her life. Most of us have grown up with it.
One eminent scientist said, “Radio was not invented, it was discovered.” Just as the laws of gravity were discovered, so the laws of radio were unfolded. Radio has been here all the time—since creation!
As we have driven across the country, many of us have
had the experience of noticing our hometown radio station gradually fading away until we could get only a very faint signal with the volume on full. Then we flipped the dial until we were able to pick up a station from the city miles ahead of us. As we approached the city, the signal increased to its maximum and then gradually faded away as we continued on our cross-country trip. The question which has come to many minds at this point is: Since I can’t pick up a station from very far away, how can one broadcast from Manila to Africa, India and Russia?
Probably the biggest reason why this is a problem to many Americans is because shortwave radios are almost an unheard-of piece of living room furniture. Years ago, before the advent of TV, many of the radios had one, two or even three bands of shortwave. But in America, with its thousands of newspapers and excellent coverage of news by local radio stations, the shortwave bands vanished from our dials. However, in most other lands of the world today this is not the case. Multiplied millions of people the world over depend on their shortwave radio for news coverage as well as for general programs. There are many more radio receivers in the world than there are copies of daily newspapers printed each day.
Second, many governments own and control all the radio stations within their respective nations. Therefore, listeners are obliged to swallow only what the government decides to feed them; unless, of course, they have shortwave and can listen to a broadcast from another country. Americans do not realize that countless hours are spent by multitudes round the world listening to shortwave reception.
To continue our nontechnical description of shortwave radio, we go all the way back to creation. God planned from eternity that the world be enclosed in a gaseous envelope, like a cantaloupe suspended in a plastic bag. Approximately forty miles out in space begins what is known as the ionosphere, and this continues on to about four hundred miles, changing in its position during the twenty-four-hour period of the day. This ionosphere is made up of layers, and is ionized by the ultraviolet rays of the sun.
Our local radio stations are known as AM (Amplitude Modulation, whatever that means!), and the signal falls off rapidly. FM and TV signals follow the line of sight and leave the earth at the horizon to go off into space. However, short-wave signals shoot toward the sky, and since the ionosphere acts like a giant mirror, they are reflected or bounced back to earth, where they are reflected back to the ionosphere and back to earth, and so on—following the curvature of the earth.
Since there is more than one layer in the ionosphere, some of the signal pierces through to the second and third layers (each representing a sharper angle up), and returns to earth closer than the signal reaching only the first layer.
As the signal hits the earth on its return from the ionosphere, it splatters like a bucket of roof paint accidentally spilled. Since radio engineers are able to calculate on paper where they want the signal to go, the ionosphere cooperates in returning the waves back to earth to the "target area." The splatter includes a large area. Therefore, a whole country like Thailand, Japan, India, or Korea would be included in the target area. Whole countries like Russia and China would not be reached in the first "splatter" but might have three or more such "dips."
God, in His all-wise foresight and knowledge, created the earth with this layer of ionosphere. Scientists know of no other value it may have to the world than to bounce short-wave signals back to earth. How else could the multitudes in many lands hear the Gospel other than by shortwave radio? How else could people living behind the iron and bamboo curtains hear unless the signals of shortwave were sent up to the ionosphere and bounced back to earth beyond the international boundaries which keep foreign missionaries without?
With the earth's population increasing by the millions each year, shortwave radio is truly a God-given means to reach the masses with the Gospel. Dare we speculate that the Great Commission can be fulfilled in our day by broadcasting the Gospel to every kindred, tongue, people, and nation?
The heavens declare the glory of God; and the firmament sheweth his handiwork.
Day unto day uttereth speech, and night unto night sheweth knowledge.
There is no speech nor language, where their voice is not heard.
Their line is gone out through all the earth, and their words to the end of the world.
—PSALM 19:1-4
Chapter Eleven
TO THE REGIONS BEYOND
While armor plate and gun mounts were being fitted to airplanes of war, a small Piper Cub at Christian Radio City was used to carry Portable Missionaries to different parts of the Philippines much faster than by surface means.
Billy and Janie Reames, who had arrived in Manila sometime before, were challenged with the need of distributing more PM's. Billy was in charge of extension work. Being a pilot, Janie used her Piper Cub to haul these radios to places where it would have taken days to go any other way. However, there was a problem! Janie was so small she couldn't start her own airplane. Not having an electric starter, it had to be "propped" by hand, and that was one job she couldn't handle. Consequently, she had to keep the engine running when she landed or be sure there was a man around who could do the job.*
*Because of very high maintenance costs, the plane was not used over a lengthy period, but it did help distribute many Portable Missionaries. FEBC was not prepared to expedite the PM ministry by this means.
Five hundred million dollars were appropriated annually by Soviet Russia for its radio war against the principles of godly truth and righteousness! Yet, after nineteen centuries of preaching Christ, many millions of the world’s population have not heard the name of Jesus.
The effective radiated power of all transmitters in Christian Radio City amounted to 81,700 watts. This was a dribble compared with what was needed to effectively proclaim the truth to the millions of Asia.
Thrust in thy sickle, and reap:
For the time is come for thee to reap;
For the harvest of the earth is ripe.
The hearts of the directors, Broger, Bowman, and Roberts, were stirred to action! Contracts were signed for two new 10,000-watt transmitters to be built by one of the leading radio companies of America. These new units would boost FEBC’s voice to the effective radiated power of 262,500 watts.
The contract called for a total of $74,184.00 for the two transmitters. God had sent in $53,000.00 the first year to launch this sacred ministry to the world. By faith they would believe God to meet this new need.
For weeks, Byrd Brunemeier worked on the construction of the DZI6 transmitter, and then, on October 25, 1952, at 4:00 p.m. all of the personnel who could momentarily leave their tasks gathered to thank the Lord for this new “voice” in the Orient and to dedicate it to the Lord as it formally hit the air waves, joining with its six sister stations in the opening theme, “All hail the power of Jesus’ name!”
With seven transmitters lined up against the wall and two new larger ones to come, a new transmitter building was the only answer. Work was started in early 1953 on a quonset-type building forty feet by one hundred feet in size.
In the meantime thrilling letters continued to pour in from other countries.
A missionary from India wrote that he went hunting near the Tibetan border on his vacation. On a number of occasions he met Tibetan traders who, upon seeing that he was a Westerner, approached him asking, "Will you tell us about this Jesus we've been hearing about on the radio?" There was only one place where these men could hear that Name, and that was from Manila!
Understanding some of the Indian languages because of their trading activities, the missionary was able to deal with them and point them to Christ.
A letter came from a man of Chiengmai Province, which is far up in the mountains of northern Thailand. He told how he and a friend had been listening to FEBC's broadcasts. They had never seen a preacher or Christian. About three months later he wrote again, stating that his wife and friend and three other couples had accepted Christ as their personal Saviour. They wondered where the nearest Christian pastor was, that they might be baptized and start a church in their village.
A Muslim, who spoke the Thai language, wrote, saying, "I have been listening to the broadcasts from Manila, and I hear that you have a course that I can get by mail to study the Bible. I wonder if you would be so kind as to send me the necessary information." For months that man regularly sent his lessons on the Gospel of John. He was apparently a man originally from Thailand who was stationed in Mecca, the very heart of the Muslim faith—studying the Gospel of John because he had heard the message through the FEBC stations in Manila!
Max Atienza was the Administrative Director of the work in the Philippines, along with doing considerable broadcasting. One of his programs was at 7:00 A.M. on Sunday in the Tagalog language. He had been doing this release for a
long time but did not fully realize what were the results of such a program. Max had an occasion to visit the island of Mindoro and he heard about a village of Nangyan tribesmen who listened to FEBC. These seminomadic people have a very low level of culture. When Max heard they were listening to his program, he was curious and determined to visit them while he was on the island. What he saw completely overwhelmed him.
They had a meeting while he was with them because they wanted him to speak in person. When they started the service, he could hardly believe what he heard.
A man stood up in front of the people who had gathered for the meeting and said, "You are tuned to the stations of the Far East Broadcasting Company, DZAS, DZB2 and DZH6. The time is seven o'clock." From this point they went on with their meeting in a normal manner.
These primitive people had one of the PM's and had listened faithfully to Max every Sunday morning. They had no pastor or teacher; they had no education. Since the program was preceded by a station break and a time check, they assumed that this was the way to start a Gospel service!
Another interesting account comes from Thailand: A missionary paddled his small boat as far as he could go up one of the larger rivers in the northern part of the country, distributing Gospel literature to the villagers. When he came to the mud flats and could not go farther, he turned around to make the long journey back to his mission station. But, as he turned, he spotted a tiny hut on the bank of the river. Not wanting to pass up an opportunity, he paddled over to the bank below the hut and climbed out to greet the Thai farmer. "What brings you up here?" the Thai called to the foreign missionary.
"I have come to bring you a witness of the true God."
Then the farmer surprised him by saying, "Oh, do you have a copy of God's holy Word?"
The missionary replied, "How did you know about God's holy Word?"
The old farmer, far from the last reaches of civilization, said, "Oh, I've been listening to a broadcast in the Thai language, and the broadcaster has told me to get a copy of God's holy Word at my earliest convenience. Do you have one?"
The missionary held up his copy and the old man got so excited, he clapped his hands for joy, for it was the very first time he had seen a copy of the Word of God.
Another thrilling report comes from high in the mountains of Central Laos:
Three days by foot and horseback from the main road is the village of Ben Pho Sang Noy. The people are Meo—tribesmen from China who speak Lao. Ben Pho Sang Nay has a church, a congregation, but no pastor! This is typical, for there are two hundred villages in this mountainous country, about eight thousand Christians in all, but only fourteen Christian workers to minister to them.
The church at Ben Pho Sang Noy has the distinction of having for its minister—a RADIO!
The people are very poor, but Mr. Bah Khu, a rice farmer and Christian, has a radio in his home, and into this humble dwelling the people of the church crowd to hear the radio preach to them in their own tongue. Nearly every night they listen to the broadcasts beamed from Manila. This church would have no minister if Bah Khu had no radio—and if miracles through the gifts of His people had not provided the stations of FEBC in Manila—and if consecrated Christian workers were unwilling to put a lot of time into recording radio programs!
Putting these programs together is not easy. This is the way it is done: once every three months, "Gus" Gustafson, pastor of the church at Vientiane, Laos, leaves his station along with workers who will assist with the programs. The
first part of the trip is by air; then, traveling by bus, by dug-out canoe, and again by bus, they arrive at Udorn, Thailand. All the next day is spent on the train to Korat, where the Paul Johnson memorial studios are located. (This studio also supplies FEBC with Thai language tapes.) Arriving about the same time will be Armand Heineger, Swiss missionary, from Savannakhet. He has spent two or three days on his trip. First he has to ferry his car across the Mekong River, balancing it precariously on two dugout canoes. He drives all day, sleeping when too tired to drive farther. Later in the evening of the second day or on the morning of the third, he arrives in Korat with his party.
About ten days are required to record the programs necessary to fill the radio schedule for the next three months. A good part of the recording is done in the manner called "Lum Lao." This combines music and story-telling with Scripture and poetry in a traditional style utterly indigenous to the Lao people. It is something for which they will stop most anything to enjoy.
Because of the serious shortage of Christian workers to minister to the many villagers, the broadcasts alternate between evangelistic, devotional, and Bible teaching. Thus, the radio serves as actual pastor as well as evangelist. Many Lao have followed Christ. Many have done it in response to the invitation to Christ heard from the voice of the Reverend Radio!
Chapter Twelve
COINCIDENCE OR DIVINE PLAN?
The contract for the two 10,000-watt transmitters being built in the east called for a monthly payment of $2,000.00. Several installments had been made, plus the $8,000.00 downpayment. Then, a letter came from the transmitter company demanding they remain in the United States in a bonded warehouse until final payment was made! That meant, at the rate they were being paid for, they couldn’t be shipped to the Philippines for over two years.
Pages could be written on the struggle that followed, but few people would care to wade through that kind of reading material! Money was slow in coming in. The home staff took a cut of 20 percent in their salaries to help in this emergency.
The first big transmitter had been built and delivered to a west coast warehouse. By March, 1954, only $20,100.00 had come in for the payment of the first unit.
In May, Mr. Roberts was conducting a service in a church on the west coast. During the meeting he mentioned the fact that $12,000.00 was urgently needed to finish paying for the first transmitter and that if this could be done and the transmitter shipped before July, a saving of $1,300.00 could be made on import duty alone.
At the close of the service, a young man, John Ross, who had been a Christian less than six months, came to him and said, “Mr. Roberts, I want to loan the Far East Broadcasting Company $12,000.00 so that transmitter can be released
for shipment immediately instead of standing in the warehouse until November."
Astonished, Roberts said, "What interest do you want?"
"No interest. I want to do it for the Lord. I wish I could make it a gift but I can't right now. But, if you can pay me back at the same rate you are paying the transmitter company, I will make the loan at no interest," he answered.
Just the possibility of shipping the first transmitter was cause for great rejoicing, but it entailed the immediate responsibility for freight to Manila and duty upon arrival. The duty was thought to be 30 percent of the total cost of the transmitter!
Besides the tremendous cost of shipping, duty, and installation of the first, the second transmitter had been delivered to the west coast warehouse and could not be released until the remaining $25,000.00 was paid. Not only were interest charges piling up but the storage bill was no small item!
Don and Helen Smith had arrived in Christian Radio City sometime before. Don was a busy man when the transmitter arrived in seventeen boxes and needed to be carefully unpacked and checked. Being in charge of the electronic department, he had to keep the other units humming. Bob Reynolds, who had been working with FEBC out of the home office, had accompanied the big transmitter to Manila and worked with the others to get it on the air by September, 1954.
* * * *
With so many Chinese having streamed into Formosa from the mainland, a golden opportunity existed for broadcasting to these refugees and to military personnel.
It was decided that Dick Rowland would take over the Formosa project, and it wasn't long before they had a studio set up in Taipei. Being able to purchase time on local stations at a ridiculously low rate—$1.20 for each broadcast hour—they were soon operating 292 hours each month over
five Formosan transmitters. Another 218 hours were made available to them at the same rates, but the budget would not allow it! From Taipei also came tapes for the Chinese releases over the Manila transmitters.
* * * *
As the last payment on the loan was turned over to John Ross, he happened to say, "How are you making out on the second transmitter you expect to ship over to Manila?"
Roberts paused, then with slight hesitation answered, "I believe... yes, I'm sure we still owe about $12,000.00."
"That's a coincidence," Ross said. "That was what you needed to get the first ones moving, and now that same amount will get the second underway." He agreed to loan the same money on the same terms to release the second one for immediate shipment!
Just eight months before, Ross had loaned the money needed to clear the first 10,000-watt transmitter, and now he was willing to loan the same money the second time!
Roberts looked up with a smile on his face and said, "You know, this will save us $625.00 in interest and considerable in storage fees, and get the transmitter on the air six months sooner."
* * * *
Paul Belles, a Christian who was employed by an electronic corporation in the northwest manufacturing testing equipment, mainly oscilloscopes, learned of the work of the Far East Broadcasting Company. Later, when Bob Bowman was in a meeting in that area, Mr. Belles became more interested, and urgings of the Spirit which he had begun to feel were confirmed. He felt led of the Lord to obtain one of those costly and valuable oscilloscopes for the FEBC stations in Manila.
Belles had already launched this project when the FEBC home office received a list of badly needed electronic equipment from Manila. The $4,500.00 transmitter fund had to
be paid off before they could expect to get any of the items on the list—and one thing they needed badly was an oscilloscope! "And it shall come to pass, that before they call, I will answer" (Isa. 65:24).
Through the cooperation of his company, Belles was able to locate a cathode-ray oscilloscope in the east for $350.00—original price, $950.00. Eighteen fellow workers and three outsiders helped Belles purchase this instrument, and the company put it in first-class shape. Flying Tiger Airline flew the delicate instrument to Whittier, California, where the home office crated it for shipment overseas. (To non-technically minded people, such as most of us are, this requires an explanation to share the enthusiasm of the technical men for this complicated bit of machinery. In essence, its function, when placed on any of the eight transmitters of the FEBC stations, is to quickly and accurately pinpoint difficulties which otherwise might cost the technicians hours of troublesome labor to locate, while the signal would continue to go out faulty.)
To Belles, Operation Oscilloscope meant the joy of hearing the voice of the Spirit of God and being able to respond. To listeners in the Orient, it meant a clearer, more perfect Gospel signal through the air waves. A trumpet with a distinct sound.
And even things without life giving sound, whether pipe or harp, except they give a distinction in the sounds, how shall it be known what is piped or harped? For if the trumpet give an uncertain sound, who shall prepare himself to the battle? (I Corinthians 14:7-8).
This is a typical FEBC story, typical of the many times God has shown He is not limited by man's extremities.
Richard Bronson had been a member of the FEBC family from its beginning. Having had experience in business management, he had kept the home office running smoothly. But the day came when he and his family were able to head for Manila for a term of service as general director.
Before World War II, the Bronsons were missionaries in eastern Europe. For a number of years they worked among Slavic people. During that time he learned enough of the Russian language to be able to converse in a limited manner.
As soon as the first overseas transmitter was operational in Manila, Bronson urged the use of Russian language broadcasts, and they were some of the first released on a regular schedule.
As Richard Bronson tells it, "I saw the Communists jamming our signal more and more, until our engineers were able to count as high as eight jammers zeroing in on our 10,000-watt voice. Although the jamming was very serious, still, because of technical reasons, it was only about 50 percent effective. The signal went through and could be heard by those who wanted to listen. It was during this period when jamming was so bad I wondered if it was worth it all.
"At this point, I was considering asking the program department to take off the Russian programs entirely and use that time for more Chinese releases because it is the largest language block in the world. It is said that one out of every four is a Chinese. We were praying to know if we should cut out the Russian and concentrate more heavily on Chinese.
"One afternoon, our daughter, Kay, fell and broke her ankle and had to be taken to the hospital in the south side of Manila. After we were finished at the hospital, we started back toward the city of Manila intending to drive through it, but as we approached the heavy traffic, I told Marge I just couldn't fight that traffic again. I had been in the city three times that day and didn't feel up to an hour
of working my way between and around 'all twenty thousand' jeepneys!*
"We decided to turn round and go to Christian Radio City, which is north of Manila, via the circumferential drive. Because of the extreme heat and high humidity, Marge felt faint and suggested we stop and get some coffee. The nearest place was the Manila international airport. We stopped there.
"Upon entering the airport restaurant, we discovered fifty or sixty European people and, having been so accustomed to seeing black-haired Filipinos, we were completely astounded. Men were wearing heavy wool suits with baggy pants and vests, while the women wore babushka shawls.
"My first thought was that they were probably Hungarian refugees being repatriated out in the Orient, since it was near the end of the Hungarian uprising. But as we sat down at a small table and pulled ours as close as we could to theirs, we discovered they were speaking Russian. Then, I was all the more concerned as to where all these Russians came from!
"Trying to strike up a conversation with an elderly couple, I had little success since we had been away from actual ministry with Russians for so long. Finally, I asked the elderly lady if she could speak German—thinking I could do better with that language. She said, 'Na, vee no speak German, vee no speak English, vee Russians.'
"At that moment a young man about twenty-five years old came over and sat with the elderly couple and told us in very poor English that they were his grandparents and that the whole group were on their way to freedom. And he said that with a great deal of emphasis! Then he added that they were from Manchuria and were on their way to Australia.
*Small buses made from worn-out World War II jeeps. There are still many thousands in use.
“To try to converse any further was no use; he just couldn’t understand my English and I couldn’t understand him. Finally, our conversation degenerated down to my counting from one to twenty in Russian and saying a dozen or more phrases in Russian that I could remember. Then he counted to twenty in English and said a few expressions.
“It came time for them to leave and proceed by plane to their destination. Most of them were getting up and making ready to leave the room. At that moment, I thought of one more phrase—it was ‘Slova Bosia,’ which means something like ‘Praise God!’
“I wish you could have seen the look on their faces! That young fellow jumped from his chair, and the elderly couple beamed from ear to ear as they looked with astonishment at us. The young man pointed to the ceiling and hallooed, ‘Slova Bosia, Slova Bosia,’ then turned to me and pointed to his own chest and cried out, ‘I also! I also!’ At that very moment we realized we were brothers in Christ!
“That young man ran round among those people and gathered together about ten of them and came back to us. We found they too were Christians. When they learned we were Christians, they could hardly believe it because they had been told by the Communists for years that nobody anymore believed in a God. The excitement was tremendous. Although we could not make each other understood, tears began to flow down their cheeks. The little old lady was down on her knees and had her arms round Marge’s legs. And the little old man was searching in his pockets and finally came out with a Russian stamp and gave it to Kay as a souvenir.
“Just then a big, fine-looking Russian came over and, in perfect English, said he had been secretary of the YMCA in Harbin, Manchuria and asked if I were from a radio station in Manila. I said, ‘Yes.’”
"Then he asked, 'Do you broadcast the evangelical religion in Russian?'
"I answered that we did, and he questioned further, 'On twenty-five meters?'
"I said, 'Yes, we sure do!'
"He replied, 'Well, friend, we have been listening to you for years. You have been the only contact we have had with Christians on the outside.'
"'Fine!' I said. 'That is marvelous, but what about the jamming? Don't they jam our signal something terrible?'
"'Oh, yes,' he said, 'the jamming! But, you know, this young fellow you have been talking to took an ordinary radio and converted it to 25 meters. We would go to his home in the middle of the night—two or three at a time—lest we be suspected, sit on the floor, cover our heads with a blanket, divide a set of headphones so that several could listen at one time, and try to hear some message of hope and encouragement from the outside world.' He continued. 'That jamming almost drove us crazy, but you know, it was worth it all if we could only hear just one word, the Name of Jesus, or just one verse of Scripture. It was worth it all! Then we knew that faith wasn't dead; that there were Christians on the outside who believe in God and maybe were praying for us!'
"Almost beside myself with joy, I found we were walking out the gate together, but the customs officers were holding me back from going on out to the plane. As the crowd kept walking slowly toward the transport, the big fellow yelled back, 'Continue the broadcasts. There are many thousands of Russians listening to that broadcast and depending on your message of hope.'
"The farther out he got, the louder he yelled. 'The Communists don't realize the finest Gospel propaganda is in the hymns of the church. Continue to broadcast the music. They don't jam it at all. Don't stop broadcasting. There
are many depending on it. Make it as late at night as you can. God bless you!"
"In a few minutes the door of the DC-6 was closed, the stairs rolled away, propellers were turning, and the plane taxied to the end of the runway.
"This had all happened in less than fifteen minutes! Now it seemed like a dream. We couldn't believe such a thing had happened!
"Later that day I checked with the Philippine Military Intelligence and the American Embassy and no one knew of any Russian refugees going through Manila that day! Not a single newsman or photographer was there to get a story. No one had known of the flight! And yet the Lord caused us to be there at that very time to be encouraged that the Russian broadcasts were going through. You can be sure we didn't take the Russian programs off the air. We increased them instead.
"Sometime after these refugees arrived in Australia they wrote stating they had been in Communist Chinese territory. Russians in Chinese country didn't set well with the Chinese leaders. They wanted to get rid of them because of all the food they were eating and the jobs they were taking away from the Chinese. As long as they left Manchuria, it didn't matter to the Chinese which way they went—east or west.
"The Russian government bid high for them to return to their homeland. Promises of good jobs, lots of food, and everything wonderful were made to them; but the choice was theirs. If they had an invitation from any country, they were free to leave. Some went to Australia, some to Canada, and some to South America. But a few fell for the promises made by the Russians and returned to their native land, never to be heard from again. But before they parted, they all agreed to listen each night to the Russian broadcast coming from Christian Radio City, Manila—those in Australia, those in Canada, those in Russia (if they were able to listen), and
those in South America. And they would have fellowship together in the Gospel through the radio even though they were separated by thousands of miles.
"Let me tell you, this experience made me tingle from head to foot!"
shells exploded, cries of pain were heard from wounded Filipinos. The night was long and agonizing; much property had been destroyed.
As soon as the first rays of sun started to peep over the hills, families whose houses were still standing brought their dead outside. Twelve covered bodies lay on a porch of one of the larger dwellings.
* * * * *
One of the men of Batia, Feliciano Cristobal, had been listening to his radio weeks before. Without fail, each evening, he had his ear near the speaker. What was this new propaganda he was hearing? It couldn’t be Communism—or was it a subtle way for them to present their lies? This new way promised peace—the thing he longed for—through the life of a Man, Jesus Christ.
Communism had made numerous promises. But this voice on the radio spoke of a personal joy and happiness. It almost sounded too good to be true. Not allowing anything to distract him from that evening broadcast, Feliciano listened with a heart warmed by the possibility of his load of sin being taken by the very Son of God. One night the voice said, “Will you come to Jesus as you are, let Him cleanse your heart from sin, and make you a new man?” The voice continued with a verse from the Bible: “If any man be in Christ, he is a new creature. Old things are passed away. Behold, all things are become new.”
Young Feliciano Cristobal, so challenged by the power of the Word, accepted Christ as his personal Saviour. And what a difference it made in his life! Folks in the barrio noticed him and asked one another what had happened. Feliciano’s lips couldn’t remain silent; he told his closest friends what had happened. Nightly, from that time on, the little radio was the most popular means of diversion. But, listening was not only something to pass the time; it was doing something to the villagers.
Could that be the reason Batia would not bear arms against the government? Young as they were, the few Christians, whose lives had been so changed, were a strong influence on the other villagers.
* * * *
About four months after that dreadful shelling experience, six young men made their way from Batia to Christian Radio City in Manila. As they approached the buildings from the road, carrying their bedrolls and rice, they looked as though they were coming to stay awhile—and that was exactly what they had in mind. These young Christians wanted to learn more about the Christ they had recently accepted. Specifically, they wanted training in soul-winning!
The men were permitted to stay at Christian Radio City where they were given training by representatives of different Bible schools in the Manila area. After three weeks of intensive study, they were given diplomas—strictly homemade—in a unique graduation service.
Fired with a vision to return to their barrio and instruct their people in the Word of God, these young firebrands were successful in witnessing and leading other villagers to the Lord.
Nearly eight months later, a letter was received at Christian Radio City from the Christians in Batia. In short it read, "Would Max Atienza come out to Batia?"
Even though the six men who had made their way to Christian Radio City for training in the Word showed every sign of sincerity, Max, who had been the Filipino radio preacher, couldn't erase from his mind the possibility of this being a plot instigated by the Communists. The radio missionaries knew well the potency of the broadcasts. Armed Huks had been active on the road leading into Christian Radio City. Everyone knew the Huks would confiscate the transmitters first if an all-out invasion were made of the
through the homes of Batia and the surrounding countryside. Only through the medium of radio had this fire started burning. Fanned daily by the fresh broadcasts, the embers kept glowing until other fires began. But this is not the end of the Batia story...
Chapter Fourteen
OPERATION DISMANTLE
For some time Richard Bronson, who was general manager of the FEBC stations in Manila, had been a close friend of the Undersecretary of National Defense. This young energetic Filipino was busily engaged in five other positions at the same time, several of which were: head of the Psychological Warfare Department, director of Rural Development Program, member of the President’s Cabinet, and special advisor to the President. This young man often spent several hours at a time at Christian Radio City and seemed to enjoy talking with members of the staff. Being a broad-minded individual in search of truth, he was not cool to the Gospel as it was presented to him occasionally. Another fine characteristic which marked him was his patriotism and love for his people and his country.
This man should be credited with laying strategic plans for breaking the back of the Communist movement in the Philippine Islands and for the apprehension and incarceration of the top Communist leaders. But one day the Justice Department, pressured by outside influence, was forced to release many of the top Communist leaders because of some legal loopholes which were interpreted as the free right of individuals in a free and democratic nation. Thus, these top-ranking Communists were released on bail, pending further legal procedures.
The Undersecretary of National Defense was very much discouraged by this situation because so many of the fine men of the Philippines, including the President, had jeophim we want to do everything we can to help get this story out.”
“But, Mr. President, do you realize what time it is?” the Undersecretary asked.
“It doesn’t matter what the hour is. It’s time we see some action. I’ve never seen a change in people like I saw tonight,” the President continued.
A few minutes later the intercom rang in the Bronson apartment. Supposing it was one of the engineers with some trouble down in the transmitter building, Bronson grabbed the receiver and yawned out, “Yeah.” An urgent phone call was awaiting him in the office.
The perky voice on the other end surprised Bronson by saying, “Can you come to my home right now? I have something important to speak to you about. I shall be expecting you soon!”
Bronson almost thought it was a dream when he listened to the Undersecretary tell him what the President had said.
* * * *
Some months prior to this, Jim and Doris Copal were on their way to serve as radio missionaries in Manila. As the ship sailed from Los Angeles to San Francisco, Jim saw a huge antenna array. With a few days ashore, they were able to take in some of the sights, but Jim kept thinking of the radio towers and decided to investigate. The antenna array covered over twelve acres and consisted of sixteen main towers, twelve of which were over one hundred eighty feet tall.
Inside the transmitter building were two electronic giants. One was a 50,000-watt RCA transmitter having two radio frequency units making it capable of instantaneous band-switching from one frequency to another. The other was a 100,000-watt GE transmitter. Both front panels were sixty-eight feet long! The power supply occupied one entire vault of the transmitter building. The switch for the equipment
stood five feet tall: copper pipe was used instead of wire to run electricity to the switch panel. The plate transformer was ten feet high, weighed eight tons, and held seven hundred fifty gallons of transformer oil!
Jim found out this installation was a part of the international network operated for the Office of War Information and later for Voice of America. When he arrived in Manila he relayed the information back to the home office in Whittier, California.
The United States government had used these stations to broadcast programs in twenty-one different languages—from San Francisco to the Aleutians, all the Orient, Australia and South America. But now they were surplus to government requirements and were up for sale by sealed bids.
From the strength of this information, the Executive Board of FEBC went to San Francisco to make further investigation. They learned that only three days remained before the bids were to be closed in Washington, D.C. The equipment had originally cost over three-quarters of a million dollars. What hope could there be of trying to interest the government in a bid they could afford!
Because of previous commitments, they decided to bid $30,500.00 to be paid over a period of five years, realizing if this equipment could be secured, it would give evangelical Christianity another powerful voice.
The bid was sent to Washington, D.C., to the United States Information Agency.
Then came the time of waiting!
The phone rang one morning. The call came from Washington, D.C. The legal representative of the War Surplus Board expected to be in Los Angeles the following morning and wanted to see Bowman and Roberts!
When he arrived, his first question was, "What in the world possessed you fellows to make such a bid as this?"
Stumbling for an answer, they were too slow, for the man
Voice of America, it would live again to proclaim the words of Him who said, "Ye shall know the truth, and the truth shall make you free."
It was difficult to appreciate the size of the equipment. The main towers, of wood construction, were erected during World War II. A curtain-type antenna was suspended between each set of towers and was designed to concentrate the radio beam in a given direction with an effective radiated power of over one million watts. Heavy equipment was needed to remove the towers. The first contractor insisted the job was worth $17,000.00! Others were sought until they found a man who had suitable equipment and offered to do the job for $6,000.00.
When the original bidding had taken place, the Directors of FEBC actually sent two bids. The first was for $10,000.00 cash (which they didn't have); and on second thought, they decided to offer $30,500.00 to be paid over a period of five years. When the contract arrived, it asked for the $10,000.00 which they had offered in cash (and still didn't have) and the rest to be made in payments!
With the contract came a letter saying that they had received the $1,000.00 with the bid which showed their good faith. Now they were to look over the contract and send another thousand dollars (FEBC men had borrowed the first thousand to send with the bid!) and return the signed contract. They were told to start to dismantle the equipment, and after fifteen days to send another $3,000.00. Then, after another thirty days, they were to send another $5,000.00. That, together with the first thousand dollars, was to make up the $10,000.00 which the government considered to be the downpayment—but, that was not the way FEBC had meant it!
On the desk in the accounting department lay bills amounting to several thousand dollars. All Bowman and Roberts could do was thank the Lord for small favors, for
the government didn’t know they did not have ten thousand dollars in cash!
While they were sitting at the desk, reading all the fine print in the contract, Evelyn Esselstrom, FEBC’s accountant, came to the door and said, “Here’s something I think you ought to see.”
Bowman answered without looking up. “Wait just a little. We are going over this contract right now.”
“But I think you ought to see this now.” Walking over to the desk she held in her hand a stock certificate which had come from St. Petersburg, Florida. A note said, “Sell this J.C. Penney Company stock and use it in the work you are doing.” The Penney stock came in the same mail as the contract asking for $1,000.00.
Not knowing what the stock was worth, they put it in the hands of a broker. It had just gone up in price and they realized from it almost the exact amount they needed for the next payment.
Chapter Fifteen
RUSSIAN PRAYER MEETING
Five years prior to this time, a group of Russian refugees came out of Russian Turkestan, then over into Sinkiang, China, and walked across China during the cold winter months, finally arriving in Shanghai. They became wards of the United Nations and were sent to the Philippines before proceeding to America.
Alex Chernov, one of the young men of the group, was brought to Manila, where he had a leg amputated which had been badly frozen while fleeing from the Communists when crossing China. At this time he was invited to Christian Radio City where he gave his testimony over the radio in the Russian language to be beamed back to his homeland.
Five years later, as Bowman and Roberts were in San Francisco at the beginning of Operation Dismantle, they felt the need to spend some time in prayer. Because most prayer meetings are on Wednesday, and this was Thursday, they had small hopes of sharing their burdens with some group of Christians. In looking through a friend’s church directory they noticed one Russian church which had its prayer service on Thursday. It was in an unfamiliar part of San Francisco, and they wondered if they should try to locate this church. Not knowing what to expect, but having plenty of time, they set out to look for this small Russian church.
About 8:00 p.m. they arrived in front of a large house which had been converted into a church. The meeting was in progress. Both Bowman and Roberts commented as they
got out of the car that they had never been on Russian Hill before and would be total strangers to this group. As they walked in, the pastor was speaking to his people. Then he looked back and briefly murmured something in Russian to those assembled, then said, "Well! Brother Bowman and Brother Roberts, come right up to the platform."
Bill Roberts thought as he walked up the aisle, "Who in the world is this man? I never saw him before in my life, and yet he seems to know us!"
The pastor said, "Brother Bowman, will you sing for us?" Bob walked over to the piano and sang a familiar church hymn.
Then he turned to Bill Roberts. "Now tell us what you are doing in San Francisco."
As he got up to speak, Bill Roberts thought to himself, "Well, I don't know who you are, but you asked for it." He told of how they wanted to increase their power so as to put a more powerful signal into the iron curtain countries. Then he related to them how God had provided the fifty-thousand-watt and one-hundred-thousand-watt transmitters there in San Francisco, and how they were in the very beginning stages of dismantling the equipment.
After Roberts was finished speaking, the pastor got up and spoke to the people in Russian. Both the guests wondered what was going on, but finally it became evident. Reaching down, the pastor placed an open Bible on the altar and invited the members to place their offering on the Bible. Bowman, watching an elderly couple at the rear, could hardly keep a straight face. The man leaned over and evidently asked his wife for some money. She obliged by handing him a one-dollar bill. He immediately shoved it back in her purse, reached over with his big hand, and grabbed a number of bills out of her billfold, then walked down the aisle with the others to place their offering on the Bible.
The pastor turned the meeting over to an elder and took Bowman and Roberts down to the basement where their eyes lit up when they saw some beautiful recording equipment.
Roberts asked, "Where did you get this elaborate equipment?"
Then the amazing story began to unfold.
Bob finally asked, "Let's see, what did you say your name was?" (They hadn't introduced themselves up to this point.)
The Russian pastor answered, "Demetrius."
"Not Paul Demetrius from Philadelphia?"
"Yes, I'm Paul Demetrius who lived in Philadelphia."
This pastor had been challenged by one of FEBC's missionaries who was on furlough some years before. Since then, Demetrius had been producing tapes in the Russian language for release over the Manila stations! What a coincidence. They knew each other but had never met!
Then Paul told how he had been called as a missionary to Russia but couldn't get in because of Communist activities. When he learned of the possibilities of radio, he devoted much of his time to the preparation of tapes.
It had been difficult to get recording material in Philadelphia from lack of suitable personnel. This same group of Russians, who had trekked across China in the winter, had formed a church in San Francisco upon their arrival and had given Russian Paul Demetrius a call to be their pastor. He finished with, "So, here I am."
Then it was revealed to Bowman and Roberts that some of the people still assembled upstairs were of the group that had come out of Russia via China and the Philippines to establish in America. Alex Chernov, who had lost a leg because of the trip, was a member of another Russian church.
Briefly, the pastor told of some of the bitter experiences these Christians had as they came across China. They
Two views of headhunters and their families hearing of Christ for the first time.
Ilongot listeners hear the Gospel. Most of these have professed Christ as Saviour. On extreme left is Dansal, the chief.
Typical village crowd listens to words of life via "PM" radio.
Many Negrito tribes are being evangelized by radio.
Family devotions around "God's box."
Customers of this Sari store are familiar with the Gospel message due to prominently displayed "PM."
Antennas pointing toward China mainland from 100,000-watt station KSBU, Okuma, Okinawa.
The 100,000-watt radio station KSBU, Okuma, Okinawa.
Diesel generator installed. Dick Caruthers, engineer, and his Ryukyuan assistant.
Installation of diesel generator over which building was later erected.
Listening to KSDX, Japanese language station, on "PM" radio.
Aerial view of KSBU antenna area (four towers), Okuma, Okinawa.
buried their dead along the road. But now they had gained their freedom and could serve the Lord they loved without being molested.
Some of the older people in the church that evening were gravely concerned when Bowman and Roberts walked into the meeting. They, of course, did not know the leaders of FEBC, and took them to be secret agents (as the case would be in Russia) to check up on their producing tapes in the Russian language. Then it was explained to them who the strangers were.
* * * *
A heavy crane was brought in sections and assembled to a length of one hundred forty feet. It was hoped the towers could be lowered intact. But before they could be let down, the antenna curtain had to be dismantled and this called for skilled mechanics.
As a youth, Don Geary had fallen forty feet from a windmill tower. His back was broken: doctors said he would never walk again, but God delivered him from the life of an invalid to use him in His service.
As the antenna work progressed outside under Don’s supervision, Norman Blake was busy inside the transmitter building, planning his work in such a way as to utilize all the man-hours possible. Skilled workmen came from every walk of life to give valuable assistance.
The removal of the shorter antenna poles was a comparatively simple operation. A small crane was used to lower the one-hundred-foot poles, but getting rigged for the job was the main task. There were four one-hundred-foot poles holding one of the main antenna curtains. Such poles in the Philippines would cost $3.00 a foot!
The antenna farm contained forty-five telephone poles which carried the transmission lines from the transmitter building to the different antennas. These were thirty feet long, and would be of great value overseas.
Some of the Russian refugees were the most faithful in helping dismantle the equipment. One of the men had night-shift work. He spent most of the day helping the FEBC men, taking just a few hours for sleep.
One cold foggy night, the others had gone home, but Bowman saw a man out where they had just lowered a tower. He wondered who it could be and decided to walk out to see. As he approached the spot, he saw Alex Chernov working hard removing some heavy turnbuckles. Dressed in a topcoat with the collar pulled up round his ears, Bowman spoke to Chernov. "Alex, it's too cold for you to be out here tonight."
Although the cold wind was blowing in off the bay, Alex never lifted his head nor lessened the speed of the wrench. In low tones he replied, "It is not as cold as China!"
Although the others had purpose in their being there, none had the impetus of the Russians, who realized some day this very equipment would be broadcasting the Gospel of Jesus Christ back to their homeland, Russia. Some of those giving assistance were business executives who would put on overalls and work along joyfully with the rest.
Fortunately, the location of the antenna setup was near the shipping dock, and not all of it had to be handled by truck. Shorter poles were snaked across the dock and bundled ready for shipment to the Philippines. A freighter came alongside the pier and loaded the poles and equipment aboard—a total of seventy-two and a half cubic tons. It consisted of seventy-five poles thirty feet long, four poles one hundred feet long, sixteen thousand board feet of structural lumber, and eight tons, or forty-one cases, of insulators and antenna hardware.
Lowering each of the main one-hundred-eighty-foot towers was a major operation. The idea was to lay them down intact. With a crane extended to the height of one hundred forty feet, the tower would be lifted off its base while a
smaller crane would walk the bottom of the tower away from the base. Together they would lay it down on the ground.
As the engines were screaming, cables straining, the huge tower started to lift off its base—but, something happened! The tower snapped! A long bolt kept it from falling clear and caused the top section to swing like a club against the crane, crumpling it like a matchstick. The tower, cables, and crane fell in a twisted mass of wreckage around the cab. The crane operator—was he killed? As the cloud of dust settled, he crawled out of the cab, brushed off the dust, and exclaimed, "That was the roughest ride I have ever had!"
Clearing the wreckage, they found the cause of the accident—dry rot! And that was the tower Don Geary had just climbed. It wasn't possible to remove the towers as they had planned. The only thing to do was pull them over and salvage all the useable materials. The cables, insulators and other hardware were all precious and could be used in reconstruction overseas, but what a mess to be cleared away. A Russian refugee father and his son worked side by side, the father depending on the son for interpretation. Hawaiians, Chinese, Japanese worked hand in hand: it was like a United Nations. Missionary work is everybody's job.
Once a part of the skyline of San Francisco, the towers lay broken in splinters. They had been the Voice of Freedom around the world. But the heart of the voice were the transmitters and they were to be transported across the sea where they would live again. In a sense, that is what had happened to the Russian refugees that were helping. Elderly Pastor Bromanco, a leader of the refugees, who had walked across China, wore the marks of suffering in his face. Hundreds who started for freedom never made it. But of those who did, a new generation was born in the Land of the Free. Those who could, came to fight in the army of the Lord.
Forty-five days were not a long time in which to complete that task. Time was running out. Through the wise direction of the engineers and the consecrated labor of love by the volunteers, the work moved forward with incredible speed. What timbers could be salvaged were prepared for shipment. The rest were cleared from the property in order that the contract with the government might be fulfilled.
In the meantime, the remaining units were being removed from the transmitter building. Everyone worked feverishly hard, feeling the urgency of not only fulfilling the contract, but of getting the material ready for shipment at the earliest possible date. Everything connected with it was work, but there was a peculiar sense of the presence of Him who said, "I must work the works of him that sent me, while it is day: the night cometh, when no man can work."
It was a great day when the men looked out over the area and saw not a single tower standing. The last load of transmitter equipment disappeared out of sight on its way to the export packing company, where it was being prepared for overseas handling. A warehousing company offered to store the many enormous crates of precious equipment free of charge for six months.
Fred Freedmeyer volunteered to document Operation Dismantle with moving pictures. One day he called an old friend of his, who had been an important figure in international affairs, and said, "Why don't you come out with me today and watch the men work on the towers? The sunshine will do you lots of good."
A little later the two men drove into the antenna farm. The friend had spent several years in Moscow and noticed the Russian helpers at once. Being able to speak a limited amount of Russian, he started to converse with them. About this time, Alex Chernov drove up in his Oldsmobile and noticed several of the Russian helpers visiting with this
onlooker. Upon entering the conversation, Alex mentioned how he had only two more payments on his car and how his family was growing. To have freedom and enjoy the things of this country were paramount in his conversation. The visitor turned to the engineers and said, "These men know what freedom is. This is the kind of story we should be getting behind the iron curtain."
All equipment was removed from the buildings and the outside area within the forty-five days! During that time the Lord had sent in $27,000.00 to cover the numerous bills that had piled up daily. As Bowman and Roberts sat at their desk to do some checking, they realized the needs had been met for the removal of the transmitter equipment and antenna, but over on the accountant's desk lay a stack of unpaid bills—the same amount that was owing when the project started—about several thousand dollars!
Strange as it may seem, people often rally to the support of some special project but give little thought to the regular operating expenses. With an operation such as FEBC's, just the cost of keeping the transmitters on the air is high. Monthly bills for power or for fuel oil for diesel generators, as the case may be, eat a big section from the monthly budget. Replacement parts for the equipment are not usually cheap. At one time surplus parts could be obtained, but they were expensive in the long run, and are no longer obtainable. Also, it should be remembered that FEBC does not charge the missionary to broadcast his programs over the stations. Therefore, monthly operating expenses must come through FEBC's home office.
not a single piece of property could be found. When time permitted, engineers literally scoured the countryside.
* * * *
During the months of negotiations and Operation Dismantle, things had by no means been at a standstill in Manila and in areas where FEBC broadcasts were beamed. An interesting mail survey had just been completed. Throughout the previous fifty months, 211,741 letters were received. Of these, 173,741 were written in regard to the Bible Correspondence Course (which now totaled more than 140,000 students). A total of 37,767 casual "tuner-inners" had written from 85 different countries of the world. Of course, that total did not include many who had written directly to the missionary who prepared the programs in other countries.
It is considered by many broadcasters in America that about one tenth of 1 percent of the radio audience will bother to write a letter to the radio station or program supplier. In Asia, it is doubtful if the percentage would be that high. However, using this basis, it means that the lives of almost thirty-eight million people had been reached in some manner by the ministry of Christian Radio City during the preceding four years!
Almost directly west of the Philippines lies the kingdom of Thailand with her nineteen million subjects, 89 percent Buddhist. Besides the Thai-speaking people, there is a large minority group that speaks Chinese. The signal from the FEBC transmitters in Manila covers this country effectively, bringing the only Gospel broadcasts in the Thai language.
Thailand missionaries have supplied FEBC with tape-recorded programs in the Thai language for a number of years. First among those to catch the vision was missionary-martyr Paul Johnson. Since his death others have risen up to carry on and to enlarge this ministry. A special broadcast studio was erected in his memory, and Missionary Webber
has been assigned to the full-time job of preparing broadcast material. These programs aired twice daily from Manila have had rewarding results.
A Thailand missionary translated the following letters into English for the FEBC staff in Manila:
This letter conveys to you the Christian greetings of Yao believers in the mountains of northern Thailand.
Our leading believer, Brother Six, writes to tell you how happy he is to hear the Gospel going out over the air in so many languages. He has a radio in his home and listens quite faithfully to your broadcasts, especially the morning Chinese program. He understands Yunnanese Chinese, so enjoys listening to the various programs. He also understands Thai.
He would like to convey the good wishes of the believers here and assure you that they are praying for you in your good work of spreading the Gospel.
He would much appreciate the prayers of God’s people in Manila for the church here. We trust that many more from among the Yao may soon believe the Saviour.
Your brother in Christ,
Lao Lu
To all the Beloved Friends in Christ:
Although we have not seen each other, we listen to your Gospel broadcast on the radio. We are all very happy about it.
I do not know what all your names are. And I hope that after receiving this letter you will pray for us, so that we and the family of Yao may have the power to labor for the Lord and be able to preach the Gospel to others. Here in our place, we have only very few believers. Those who believe in the devil are many, for they do not understand the light of God nor do they know that the Lord has died for their sins.
I hope you will pray to God to give us strength. It is already about three years since I received Christ as my own Saviour. Hope that you will pray for our Yao people here and also the church here.
Your brother,
Phan Koi Ching
To all the ministers in Christ: We sent a letter before, but we do not know if you have received it or not. I listen to your broadcast and I am well pleased with your messages. I pray that when your broadcast is on the air you may be willing to pray for us, because it was already about three years that we believed on the Lord. We still don’t have the strength to labor for the Lord, and also lack knowledge in the Word of God.
We live in one of the high mountains in Thailand. We are Yao tribe people. The Yao tribe people here in Thailand are many but are not Christians. Now we have more than twenty families that are working in the Lord’s work.*
We were planting opium in order to earn our living before, but now we already have given up our old job, so please do pray for us that the Lord may give us grace and that He may open for us a new livelihood.† After receiving this letter, will you please write to us and also teach us?
Pan Kwei Ching (Christian headman)
Phang Guan Ong
A Buddhist priest from the famous temple of Dawn near Bangkok, Thailand, wrote:
I have listened to your program many times. I feel that the teachings of God are very profound because it
*Shortly after this letter was written, a missionary traveling in this area found thirty families serving the Lord.
†It was learned these people had turned to growing rice, which is far less lucrative.
makes my heart happy and right in a good way. I hope very much that you can enlighten me even more because I have known nothing about this way before.
From Yala, one of the southern provinces of Thailand, a border policeman wrote:
I have believed in Christ for over a year now. I recently led two other policemen to Christ, and praise the Lord that they are already strong in Him. We now have services at my house every Sunday and more people are becoming interested. I have never been to Bible school, so I don't know very much to teach them. I would like to enroll in your Light and Life Correspondence Course so that I will be able to teach them better.
From a province in the northwest, a listener wrote:
We are using the radio the missionary loaned us that receives only the Good News broadcast. We thank God for the opportunity to listen. When we hear the program in the morning we sing along with you and pray with you and listen to the reading of the Bible and the sermon.
At the same time, only several thousand miles farther to the west, a missionary writes a letter with a different sort of news!
Yesterday we were notified that our contracts with Radio Ceylon will not be renewed, so when the present contract expires, it will all be over.* We are happy to hear that FEBC has purchased a 50,000-watt transmitter from the Voice of America. It appears that in the not-too-distant future FEBC will be the only possible means of reaching these areas with the Gospel message.
A situation parallel to this was happening in nearby India. An official committee of the Indian government was study-
*Production of Gospel programs aired over Radio Ceylon.
ing missionary activities in one of India’s central states. The report to the government from that committee was a blow to evangelical Christianity. It urged that foreign missionaries be withdrawn, charging that evangelism in India appeared to be part of the uniform world policy to revive Christendom for reestablishing Western supremacy. The committee also recommended the right to propagate the Christian faith be limited to Indian Christians; and that mission property be turned over to national groups or to Indian Christians.
A missionary who was traveling in the southern part of India was conversing with a Danish missionary concerning missionary conditions in general. The Dane did not know the man to whom he was talking had anything to do with radio. “During the past two years,” he said, “we have had more conversions than in the past twenty years. The people have been coming out of the villages and looking up our national workers. It has made it much easier for us.”
The visiting missionary asked, “To what do you attribute this?”
“We believe it is because so many people are listening to the Gospel over the radio,” he replied.
One of the programs beamed to India is the “Back to the Bible Broadcast,” produced by Theodore Epp in Lincoln, Nebraska. For overseas releases they make special tapes and mail them to Manila. On one particular broadcast, they offered a Light and Life Bible Correspondence Course. These international broadcasts do not use the Lincoln address but ask the listeners to write to their representatives in the country to which the broadcast is beamed from Manila. However, some time ago the Lincoln address was used.
An eager listener in India wanted to enroll in the course, so wrote to the Lincoln office. The staff in Lincoln wrote him telling where he could get the course in India. His letter to Nebraska and their reply to him had traveled about
twenty-four thousand miles. When he opened the letter, he was surprised to find he only had to go two miles down the road to pick up his course.
Back in the Philippines the PM's were continually humming with the Good News. In the southern part of Luzon a Presbyterian missionary had taken two PM's to his mission station to provide Gospel programs for some of the people in the nearby barrios. He planned to deliver them in a few days.
One day when he was gone, someone broke into the house, and among the things stolen were the two PM's. He reported it to the constabulary,* but nothing was heard about the PM's. Some time later, a constabulary officer was walking through a barrio some distance from where the missionary lived. He noticed a large group of people standing round one of the huts listening to a radio which was sitting on the windowsill. The policeman stood on the edge of the crowd for awhile and listened. Then suddenly he thought to himself, "Why, that looks like one of those radios that was reported stolen."
Making his way through the crowd, he reached up on the windowsill and took the radio down. Underneath he located the serial number and, by checking his notebook, found this to be one of the stolen PM's.
"Where did you get this radio?" was the stern question.
The owner answered, "Not long ago a fellow came along with two of them and offered one to me for fifty pesos. It was such a good bargain, I bought it."
When he had purchased the radio, he didn't know it had been pretuned to receive only the broadcasts from Christian Radio City, and was not a little perturbed! He tried to peddle it off on someone else, but was unable to. However since he was stuck with it, he decided he might as well use
*Philippine police force.
it. And the longer he had it, the more he became interested in what the PM had to say. Eventually he and his family were saved. They became so interested in the programs coming over the air, they placed the PM on the windowsill where the neighbors could come and listen.
After this man found out the radio had been stolen, he returned it to the missionary, who in turn reimbursed him the fifty pesos and told him how he could get another PM by applying to FEBC.
The Japanese releases were also showing good response. A missionary from Japan wrote FEBC, asking if they would mind if he came down to visit the station. A cordial welcome was extended to this man who forty years before had gone to Japan as an American businessman and an avowed atheist. He came in contact with the Gospel while there and was converted to Christ, later becoming a missionary.
Knowing the Japanese language well, he was invited to participate on one of the Japanese programs which would be beamed back to Japan. He gave his own testimony of his conversion from atheism to Christianity.
Some time later a letter was received in Christian Radio City from a Japanese telling that he had been listening that afternoon in his little home and heard the ex-atheist give his testimony. The Spirit of God moved upon his own atheistic heart, and he knelt on the floor and gave his heart to Christ.
A missionary writing from Japan told how she was one of those who thought radio couldn’t be used of the Lord—that a personal contact was necessary—but admitted some things had happened in her area that had changed her mind.
One morning a man came to her door and, without the normal polite Oriental greeting, he bluntly said, “What can I do to be rid of the burden of sin?”
The missionary replied, "What has brought this to your attention?"
"I've been listening to a broadcast from the Philippines," was his humble reply, "and I have learned about it from there." She invited him into her home and had the joy of leading this seeking soul to Christ.
A little girl from Hiroshima wrote:*
We have been listening to your broadcasts daily. As you know, Hiroshima experienced the first atom bomb. We learned one lesson from that bomb: Only love can save the peoples of the world. Please continue to send the message of the love of God to the people of my country.
A very wealthy businessman in Japan wrote to Manila telling the FEBC staff he had been moved by the messages he had been hearing. At the same time, a missionary wrote the station asking if he could help in any way with follow-up: "If you receive any letters from people in my area, I'd be happy to look them up and talk with them."
The letter was immediately forwarded to the missionary, who went to see the wealthy man. He was graciously received into the home, but at once learned of the desperate condition of the family. Because of sin, the home had been broken and suicide had been considered several times. The missionary could sense the trouble; it was evident this businessman wanted and needed salvation.
In dealing with the man, the missionary mentioned one touchy subject: "Probably God will require you to make up with your wife and take her back into the home."
*On a television program the pilot whose plane dropped the first atom bomb on Hiroshima was asked to describe what happened, and with quivering voice he replied: "We went in over the target. Looking down we saw a great sprawling city below. Then the bombardier began the countdown. Being dead on target, we heard 'Bombs away.' Turning rapidly we left the area as quickly as possible. Suddenly there was a blinding flash. We turned our plane and flew in over the target again. I looked down and cried, 'Oh, my God, what have we done!' Where a few moments before there had been a great city, now there was nothing but ruins and smoke ascending into the heavens."*
At this the man replied, "If that is what it takes to be a Christian, I'll never be one!"
Feeling that he would be wasting time to further pursue the trouble, the missionary got up and left, saying as he went out the door, "Well, then, you will probably never be one."
Several weeks later the Japanese missionary received a letter saying, "You will never know how happy I am. Christ has changed not only my life but my home. My lovely wife and family are with me again and we all have become Christians. I am so appreciative of the broadcasts from Manila which sparked the desire, and for your frankness as you left my house. It was that last statement you made which caused me to face reality. Thank you so much!"
But along with the blessings and encouragements which come in broadcasting the Gospel, there are problems and headaches. Engineers were almost frantic by this time. Not a single bit of property seemed to be available for the Overseas Service transmitters. Many considerations had to be made in choosing a location. It had to be far enough away from Christian Radio City so that the big transmitters would not interfere with the operation of the Philippine Service transmitters. It had to be far enough away from the metropolis of Manila to be satisfactory to the Radio Control Board, yet easily accessible to FEBC engineers. Geological features for ideal transmission must be considered.
Taking all that into consideration, the matter was placed before friends of FEBC in America who sought the Lord for His help. It is often the case that when people become burdened for some project, they start to react with monetary assistance. Concurrently, Dick Bronson, station director, was beginning to evaluate a piece of property ten miles north of Christian Radio City as money at the same time was being sent to the home office to purchase land.
With salt marshes and tidal river areas, engineers agreed
this land would be ideal for send-off conditions for radio waves coming from the 50,000-watt transmitter. Known as Bocaue, the site for the new transmitter building was very near Batia where the shelling occurred early in FEBC's history. Work was started immediately to build up a one-eighth-mile graded road, over the rice paddies, in from the highway. Three acres, the road, and lease cost $15,000.00. The antennas were to be built on twenty-five acres of rice paddies which were obtained on a long-term lease.
A four-thousand-square-foot building was begun as soon as the purchase was finalized. But, soon after the building started to take shape, no noise could be heard from the hammers. With the bank account depleted, work had to be terminated until more material could be purchased. Two things made it important that the job be finished at once: The transmitter would be arriving soon and it would be advantageous to put it directly into the new building. Second, the rainy season would soon be upon them. If the foundations for the antenna poles were not put in before the rains came, heavy trucks would not be able to get to the area. Work would be stopped until the rainy season was over and the ground hard once again. This would take many months!
Chapter Seventeen
END OF THE WESTERN WORLD
Carefully considering the situation, the directors of FEBC wondered if it were advisable to put both of the giant transmitters in the Philippines. "We're surely putting all our eggs in one basket!" asserted one. The 50,000-watt transmitter had been shipped, but they thought it best to hold the 100,000-watt unit in storage on the west coast until they were sure where it should be placed.
Inspecting a map of Asia, the men spotted the island of Formosa, but because of the fact that Free China, now occupying that island, was constantly in battle-preparedness, it didn't seem feasible to locate there, even though a cordial invitation had been extended to FEBC. Northeast of Formosa lay the small island of Okinawa. After considerable discussion, it was agreed they spend the next days asking the Lord if this was to be the place they were to locate the mightiest voice of the FEBC stations. One thing was sure: This transmitter was to be used to broadcast the Gospel of peace to the enslaved millions in China.
* * * *
On April 1, 1945, the sky fell on Okinawa. It was Easter Sunday. The combined forces of America's military might began to pound hard on the door of the Japanese homeland. Over 1,450 ships rendezvoused off the island's coral reefs. Okinawa was the last main anchor in the Japanese defense of her island empire. The United States and British forces engaged here numbered over a half million men. New recruits received their first baptism of fire. Veterans of other battles in the Pacific theater were moved up for this titanic assault.
First, resistance was deceptively light. Beachheads were secured with relative ease. The northern part of the island was occupied swiftly, but when our forces turned south toward the most heavily populated area, they met fanatical resistance, the ferocity of which had been hitherto unknown.
Okinawa was the last major ground battle of the war. It was also the most costly engagement of the Pacific. Casualties, including those killed, missing, or wounded in action, numbered 80,000. Over 12,000 American boys lost their lives. General Simon Buckner, commander of the Tenth Army, was killed by shell fragments on June 18, just a few days before the Japanese surrendered. Ernie Pyle, heroic news correspondent, also lost his life in this engagement. Okinawa saw action seldom witnessed in military history.
Thousands of GI's remember "Hacksaw Ridge" as the main defense line, where the Japanese made their fanatical stand. The enemy gun emplacements were so arranged that they covered every square foot of the American advance. Veteran Japanese troops moved in from Manchuria and fought side by side with Okinawans in a desperate effort to hold the line, because Okinawa was the last defense of Japan proper. They fought from the tombs and caves, hundreds of which dot the hillsides, but in the end they found no place to hide.
In the extreme south of the island stands Suicide Cliff. It rises sharply, overlooking the Philippine Sea. Shortly after 4:00 A.M. on June 23, 1945, Lieutenant General Mitsure Ushegema, commanding general of the 22nd Japanese Army, leaped to his death from the cliff. He was followed by his staff officers and hundreds of Japanese soldiers and civilians. What needless sacrifice they suffered because they believed a lie!
Finally enemy resistance was completely broken, but not until they had suffered over 120,000 casualties of whom an estimated 90,000 were killed. The thousands taken as prisoners found in the bitterness of defeat the sweetness of life possible only in surrender. Peace finally came to Okinawa.
The capital city of Naha lay in complete devastation. Skeletons from the past bore mute testimony of the bitter struggle. After eighty-two days the island was secure. America paid dearly for Okinawa. But the price for freedom is always high.
Okinawa, the largest island of the Ryukyuan chain, lies 350 miles off the coast of China, and is about halfway between Formosa and Kyushu, Japan. It is securely in the hands of the United States, and is a military protectorate, the status of which was fixed by treaty by the Department of Defense, with the Department of the Army as the executive agent. Authority is exercised by the High Commissioner, who supervises both the military and civil administrations.
Once called "the Rock," or "the Snake," it is fast becoming a "little America" in the Orient. The capital of Naha has been rebuilt into a thriving city of over fifty thousand inhabitants. East and West mingle on its streets. The American dollar is the medium of exchange. The people are friendly and comparatively prosperous, especially when judged by the standard of living in other countries of the Orient.
Prior to American occupation, the island could not boast of one single mile of paved road. Now, a network of paved roads crisscrosses the island, and construction is underway to completely circle the island with pavement.
It is a restless place—this dot in the vast Pacific—often swept by the dread force of mighty typhoons. Winds with gusts reaching nearly 200 miles per hour are not unknown. When a typhoon strikes, about all one can do is fasten everything as securely as possible and then wait out the storm,
hoping that he as well as his belongings will still be there when it is past. Anyone who builds on Okinawa must not fail to reckon with the wind.
Restlessness is by no means confined to typhoons! Politically, the people are easily disturbed. Rabble-rousers have been active, endeavoring to whip up sentiment for reversion of the Ryukyus to Japan.
Communism, like the giant Goliath of old, challenges the world today and camps upon the doorstep of every nation. More than a political ideology, it is the devil’s church in this world. It is a burning faith, proclaiming the coming triumph of man over adversity and evil, and man’s eventual entrance, through science, into earthly paradise. Atheistic Communism worships the god of materialism. It has its prophets: Marx and Lenin; its hated evil: the capitalistic system; its purpose: world domination. But in spite of its successes, Communism also has its fears, one of which is that the Christ whom sinful men crucified, but who rose again, will allow His Word to be carried to hearts enslaved under the yoke of those who say, “There is no God.”
The world stands, as it were, on “Suicide Cliff” today, and if it is not arrested in its mad rush, this generation will plunge into the abyss and perish eternally!
The religious life of the Okinawans shows a strong Buddhist influence, probably the result of the spread of that religion to Japan in the seventh century A.D., when the great Japanese Prince, Shotoku Taishi, was converted to Buddhism. Buddha’s birthday is celebrated each year in tea ceremonies at Naminoure Shrine. However, no single religion can claim the worship of these island people. Never have the Okinawans known a Christian revival. They tend more toward the ancient belief of animism—that all objects possess souls, and that the spirits of the recently deceased remain active round the tomb. Consequently, they honor
the spirits of the departed in annual ceremonies and spend more on construction of the tombs than on their homes.
For over two thousand years the emperors of Japan served as the high priests of the nation. At the close of World War II, Emperor Hirohito abdicated his throne as the "Son of Heaven" and said to the nation, "I am no longer God." General MacArthur cried for a thousand missionaries and millions of Bibles to flood Japan, in order that the vacuum left in the heart of the nation might be filled. His pleas met with pitifully little response. Now, the emperor has resumed his position as the high priest of the nation and again leads his ministers and people in worship at the Shinto shrine, where he prays for the souls of the departed and reports to his ancestors the state of the nation.
Every Shinto shrine is marked by the torii gate. It is a simple skeleton of the lintel and doorpost. Its origin probably dates back to the time of Moses, when God commanded Israel, just before they left Egypt, to sprinkle the blood on their doors. Passing beneath this sacred gate is supposed to purify the worshiper from the contamination of the outside world and prepare him to approach the temple and worship before the gods.
For over one hundred years Christianity has been preached in Japan (of which Okinawa has been a part), and yet, its combined missionary forces cannot boast half a million staunch adherents to the Christian faith. Yet, in the few short years since World War II, a new sect of Buddhism has gained over eight hundred million converts!
Not only religious zeal but extreme nationalism seeks to capture the patriotism of the people. It molds them into a fighting unit that will consider no act a crime if it seems to be committed in the interest of the state. Their lives are so dedicated to the cause in which they believe, that to slay or to be slain for their homeland is the highest honor attainable and a guarantee of future bliss!
One morning, Billy Reames, who was stationed in Japan at the time, and Bill Roberts walked into the office of the commander in chief of the Pacific operation, whose offices were in Tokyo. This officer, by virtue of this post, was also governor of the Ryukyus and was the logical one to contact first about admission to Okinawa.
However, just the day before, Billy Reames had been over to this office on another matter of business and had seen a display in the lobby showing a mimeographed booklet entitled *Militant Liberty* written by John Broger. On the front cover appeared a preface by the United States Secretary of Defense, with the following comment:
"... At my invitation a special conference assembled in Washington in June, 1955, to discuss the optimum aspects of a Free World ideology in connection with a concept called MILITANT LIBERTY—a thesis prepared by Mr. John C. Broger, President of the Far East Broadcasting Company, now serving as consultant in the Office of the Joint Chiefs of Staff..."
On the display were draped American flags and a letter by the officer in charge saying that this should be implemented throughout his command in the Pacific as a training program for military personnel.
Needless to say, it wasn't necessary to give a lengthy introduction of FEBC, as the men were thoroughly acquainted with the work being carried on from Manila. After showing some photos of the 100,000-watt transmitter, the concept of the program was presented. Since the giant voice was to be used in the Overseas Service for China, the purpose was to present the moral and spiritual principles which constitute the foundation of freedom and democracy, and to lay a foundation of understanding. It was suggested by the officer to go to Okinawa and see the High Commissioner.
When Bill Roberts arrived in Okinawa, he found the man in charge engrossed in his own problems. It didn’t appear
there were any objections to establishing the 100,000-watt transmitter there, but what was bothering the High Commissioner was the fact that just two weeks before, the capital city of Naha had elected a Communist mayor! Okinawans had been provided schools, a university, hospitals, clinics, and many other benefits by a democratic system; yet when they were given the freedom of election, they used the liberty to elect a Communist mayor!
The High Commissioner thrust the question at Roberts: "What can we do about this problem? If we cannot reach the minds of these people with some kind of understanding of the responsibility that goes along with their liberties, then we have missed our goal!"
At this, Roberts suggested the possibility of setting up a small transmitter to broadcast to the Okinawans, and the idea was affirmed. This would do the island a great service. It was also agreed that it would be in the interest of the free world if FEBC were permitted to build a powerful radio station on Okinawa, from which the message of hope could be beamed to the enslaved peoples of China—only 350 miles away.
Twelve acres of land were leased out for the first station—the low power for Okinawan service. One of the finest hospitals in the Orient, a multimillion-dollar structure, had just been dedicated. It replaced the old quonsets of Mercy Hospital which served the military personnel and native population for ten years. Two of these quonsets were secured for temporary studios. Within nine months after the initial contacts were made on the island, FEBC's radio station KSAB went on the air bilingually, reaching the English-speaking population as well as the Okinawans who speak Japanese.
Among the guests visiting the station were missionaries working on the island, military personnel interested in such a project, and two Polish refugees who were crew members.
on a ship. When their captain changed orders to head for Shanghai, they refused to sail for fear of being recaptured by the Communists. They said they would jump into the sea rather than take the chance of being forced to return behind the iron curtain.
Frank Ineson, who had spent two years with General MacArthur's staff in Japan, was director of the station. Arthur Austin was in charge of design and construction, while Bob Kellum kept things lit up as chief engineer. Local technicians and office help rounded out the staff.
With the news that a powerful station could be built on Okinawa, Operation Transportation was begun. From the docks of San Francisco, one hundred tons of precious radio equipment were loaded aboard the "Tarheel Mariner," bound for Okinawa. Judging from the various sizes of the crates and the nondescript appearance of some of the gear, such as guy wires, it was difficult to realize the value of the component parts. The power transformer grossed in at nearly eight tons as it was hoisted on the deck. Thousands of pieces, large and small, were crated in heavy overseas packing and carefully marked.* The port authorities in Naha agreed to store the 100,000-watt transmitter, when it arrived from San Francisco, until its permanent home could be prepared. And, again, as had been done on the 50,000-watt unit sent to Manila, free transportation was provided!
Jim Copal, who had first spotted the giants on the San Francisco skyline, and who had been working as engineer in Manila, went up to Okinawa to help Bill Roberts survey the island for a suitable site for the large station.
About fifty miles north of Naha is Okuma, a small neck of land surrounded on three sides by the East China Sea. It is
*An explanation should be given about the words "carefully marked." It is more accurate to say that since it was first believed both transmitters were to go to Manila, parts were not separated as they should have been. Thus, a few parts of the 50,000-watt unit arrived in Okinawa, and some parts for the 100,000-watt unit arrived in Manila.
fastened to the mainland by a low strip of land not more than ten feet above sea level. The road to Okuma winds along a very rugged coastline. Surf rolls in over coral reefs, transforming this coastline into pictures only the Divine Artist could paint. But when typhoons lash the sea, it takes great bites out of the coastline. Often work crews are busy repairing the road which runs along the water’s edge. In the Orient, women share the common labor with men. They know little about the drudgery of housework but talk with authority about gravel and cement!
Buses on their regular schedule pass along beautiful rice fields, wayside shrines, and villages. They are not taken as much for granted as if they had always been there. The last twenty-mile stretch of road is unpaved and narrow, besides having other hazards. There is a small tunnel that would hinder the hauling of high loads, and just beyond this is a bridge which was damaged during the war and has never been completely rebuilt. It was over this road Roberts and Copal watched heavy military vehicles travel and wondered how they could ever transport one hundred tons of bulky radio equipment. It didn’t take long before they were convinced it would have to be brought in by sea.
Okuma was not only the best spot for the transmitter but the only place it could be allowed. On the southern end of the island were literally dozens of important transmitters and receiving stations maintained by the military. The signals from high-power transmitters would interfere with receiving stations. Therefore, the Voice of America megawatt transmitter and FEBC’s 100,000-watt station would have to be isolated on the northern part of the island.
An officer’s rest center was located at Okuma, where they could bring their families on vacation. Next to the center, a golf course had been planned. After scouring the area for the best site, a request was made for outleasing the plot next to the center. “But that is the place we have planned
to put the golf course!” was the immediate reply. “See if you can find some other place.”
More time was consumed looking, but there was no place as suitable as that area. In answer to the next request, this reply came: “Yes, you may lease that area. We will put the golf course some other place.” Thirteen acres of land were available for the site of the giant transmitter.
Other problems were developing. As FEBC engineers sought for a frequency, they found it to be a strangely different setup than in other countries. Okinawa, under military protectorship, did not have a radio control board such as other countries had. Matters like this came under the Far East Command of the U.S. Forces in Tokyo. And when a request was put in for a frequency for the 100,000-watt transmitter, the reply came back: “Please be advised that 3,000 watts of power is maximum for the island of Okinawa.” THREE THOUSAND WATTS! And there on the island, in storage, FEBC had a transmitter that would make a 3,000-watt job look like a midget!
As soon as this reply was made known to the local authorities, a letter was forwarded to the office in Tokyo: “The General is not pleased with your report . . .” Not long after, a letter came from Tokyo stating that 100,000 watts of power would be unreasonable to consider since it would interfere with Japan. However, if they could submit an engineer’s report showing some way to shield Japan, it would be considered.
At once Roberts and Copal sent the necessary information to an engineering firm in San Francisco, who shortly after returned drawings of a four-tower antenna array which would definitely block out any interference with Japan. The plans were immediately forwarded to the High Command Office in Tokyo with a request for 850 kilocycles—medium wave. Without delay, an answer came back saying, “We did not understand you were talking about medium wave.
We thought you were requesting a frequency for shortwave.” This cheerful note was added: “But after carefully looking over the plans, it appears your engineering firm has given sufficient proof that you can keep Japan clear from any interference.”
From Jim Copal’s survey of the land at Okuma, it appeared they would be running into serious trouble, since there were two hills on the property. This would interfere greatly with the four-tower antenna array. There was nothing to do but move those hills away. But what about the cost? The advice of an army engineer was sought. He estimated the job would cost $35,000.00. But on second thought, he had an idea! “Why not see the marines here on the island! They often have large training projects where they teach marines to use heavy earth-moving equipment. You know, they might just be willing to train some young leathernecks on a project like this.”
Bill Roberts went immediately to see the general. He explained thoroughly the purpose for this radio station—to reach China with the message of Christianity. Never flinching an eye nor showing the slightest response, the general sat at his desk looking at some papers. Roberts added, “But, General, we have a problem. There are two hills on this antenna farm and I wonder if we could get your cooperation in pulling them down?”
At this question the general stood up, walked around his desk, and stared Bill Roberts in the eyes. He replied, “Sir! This is not a matter of cooperation. This is a matter of duty. We can boast ourselves of atomic power to grind nations to dust; but if we do not reach their hearts and minds, we will change nothing but the map! Sir! We not only can, but we shall pull those hills down! If you intend to hit the beaches of China with the message of freedom and democracy, we may not have to land our men on them later!”
In a few days, marines were rolling into Okuma as if to
establish an important beachhead! The Bible speaks of faith to move mountains, but sometimes faith and works are a necessary combination to do the job. Literally, the two hills—one 60 feet and the other 40 feet high—were removed and the twelve hundred cubic yards of dirt used to fill in the valley. The building site had to be raised six feet. A quarter-of-a-mile road was built into the property. After the site was finished, the general turned to Bill Roberts and asked, "Now, is there anything else we can do to help?"
Time goes fast. Though it didn't seem like it, a year had gone by since the first contacts were made for establishing the work of FEBC on the island of Okinawa. And now, everything was in readiness to start construction of the transmitter building.
Chapter Eighteen
UNUSUAL PROVISIONS
During the year just expired, things had moved along so well in Okinawa; but the same could not be said for the transmitter project in Bocaue. Money was slow coming in to complete the transmitter building. But more disturbing, the 50,000-watt components were sitting outside in the weather beside the buildings at Christian Radio City, although they were covered to protect them from the downpours of rain. Bob Reynolds was getting grayer by the month, wondering what was happening inside the big crates.
Another international broadcasting station had shipped a 50,000-watt transmitter to the Philippines sometime before and, because of some unavoidable circumstances, they too had to store their unit outside. At the end of the period they found the equipment in bad shape and spent about $10,000.00 to repair and replace parts corroded beyond use. What was happening to FEBC’s transmitter out in the weather? With the rainy season very close, they pushed ahead as fast as the bank account would permit.
Occasionally someone in the Orient would come up with the idea that the Far East Broadcasting Company was nothing but a United States Government front. “No one could be so dedicated as to give their lives to the cause of spreading the Gospel. They surely are deceptive!” Some declared, “This must be a forerunner for the military. The missionaries come first, soften the people with love, then the military comes next and takes over the country after the people
have been taught to love their neighbors! FEBC must be a government front!"
If such characters could have attended some of the prayer meetings where missionaries and leaders were asking God to supply the means to finish some of the pending projects, they wouldn't have wondered about its being associated with the government. The only connection, of course, is that FEBC leaders and staff believe in the principles on which America was founded: freedom, liberty, and justice for all! Our country is great because our forefathers honored God.
Back in the home office there was a desperate need for $20,000.00. With two major projects going on—one in Okinawa and the other in Manila—supporters forgot that a monthly budget had to be met. By now, FEBC had changed their original policy concerning workers' support. At first, FEBC paid all the allowances. Later, each missionary was asked to raise his own support before going to the field. Yet, there were still dozens of drains on the general income. Power bills and maintenance costs were getting higher as they expanded their programs. The monthly budget was $24,000.00 for the entire work, excluding money for different projects.
Seven years before, a wealthy Christian businessman in Shanghai, China, was able to get a part of his savings out of China just before the Communists took over the country. John Broger had met the man and learned of his heavy burden to build Christian radio stations in China. One small station was constructed in Shanghai but operated only a short time after the Communists arrived. This Christian was dragged into court several times because of his testimony and desire to spread the Gospel. Since he had been very much weakened by a prolonged illness, the authorities told his wife she could nurse him until he appeared before the court again. He never entered the courtroom but passed
into the presence of his Saviour. Just before he died, he heard a Christmas program in Chinese coming from Manila—songs of the church he loved so much, and a message from God’s Word. Right away, he sent a coded message to his son living in the United States. It said something to this effect: “Draw all my money out of the bank in Chicago and send it to the Far East Broadcasting Company.” Shortly, a letter from the son said, “My father has requested me to draw the remainder of his savings out of a Chicago bank and send it to you to be used in spreading the Gospel by radio. In a few days I shall be sending you a check for $20,000.00.” God’s ways of working are indeed mysterious.*
With this large gift, the monthly allotment to Manila was full for the first time in months. Work on the transmitter building progressed rapidly. It would soon be ready for the installation of the big transmitter.
One grave concern was facing the directors and engineers of FEBC. None of their men had ever worked on anything bigger than 10,000 watts of power, and there is a considerable difference between that and 50,000 watts!
In Big Rapids, Michigan, a Christian by the name of Clyde Hull was awakened from his sleep. The Lord seemed to be speaking to him about contacting FEBC in Whittier, California and offering his services. Mr. Hull had been employed by Voice of America and had put their one million-watt transmitter on the air in the Philippines, and had helped set up 50,000- and 100,000-watt transmitters in North Africa. He did not know that FEBC had purchased the big giants. Strangely enough, he was led to offer his services to FEBC.
It wasn’t long before Clyde Hull was standing beside the crates in Manila as they started to rip off the first boards.
*This story is being told for the first time. Just recently the aged wife made her escape from Communist China and will be living in America with her son the rest of her life. She reports KSBU is heard loud and clear in Shanghai.
God had met the need for a man capable of assembling equipment of this size. And to the astonishment (and thanksgiving) of all standing there, every piece which was uncrated appeared to be in excellent condition.
Work moved along steadily on the transmitter during the latter part of the dry season. Norman Blake, Mr. Hull, and a Filipino helper were kept busy every day cleaning, polishing, fitting, checking, and sorting. The gutters in the concrete floor were collecting their allotment of wires, and over them various parts of the unit were taking shape.
But outside the building a different picture could be seen! Byrd Brunemeier and Jack Lentz and a big crew of Filipinos were having a frantic race with the weather. The antenna poles had to be set before the rains came—and it would commence to rain any day! Every day the clouds were heavier and darker. Occasionally a few sprinkles would act like a shot of adrenalin to a dying man. There were still five 100-foot poles to go up, and each pole stood on a concrete pedestal with its guy wires attached to huge concrete "dead men" buried in the ground.
Bob Reynolds, director of engineering, wrote:
"Wednesday was the day we had engaged the crane to set the five 100-foot poles for the antenna farm. Tuesday night it started to rain. By Wednesday morning the rice paddies were nice and slippery on top. The rig got stuck twice getting out to the site of the first pole. There were intermittent showers during the five hours the poles were set. As they were setting the last pole, the sky to the east became very dark and it was evident we were in for a severe storm. As soon as the last pole was set, the crane started out of the rice paddy for safety on dry ground. And just as it pulled up on the filled roadway by the transmitter building, the rain really started coming down. As I drove the ten miles back to Christian Radio City, the water was up over the road, so you can imagine what the rice paddies were..."
like by then. If we hadn’t been able to get the poles in just when we did, we wouldn’t have had the antennas up until next year!”
Inside the transmitter building, components were being placed in their proper cabinets. Expectancy was building up fast as the engineers realized it wouldn’t be too long before the power switch could be thrown and this giant would sing with power.
Days of final checking and rechecking followed. Circuits were checked individually. There was no on-the-air deadline such as DZAS had to make when it first hit the air waves! More time than can be imagined was taken to be sure everything was checked out perfectly.
Then the mistake was found—a blunder of the ages. (Fences and gates are installed round the high-power components so that a person will not walk into some of these units and be electrocuted. If a gate is opened while the transmitter is on, it will automatically shut off.) One of the holes in the concrete floor, where a gate lock was to fit, was off two inches! What a blunder! A man quickly chiseled a new hole while the rest of the crew ruefully laughed it down.
Nearly 150,000 to 200,000 watts of power are consumed by a 50,000-watt transmitter. The day the master switch was thrown, the heavy-duty electric meter installed by the power company about went crazy. One of the Filipino boys was heard saying, “Wao! I’d hate to pay that power bill!”
The giant operated normally from the very start, which was a colossal achievement. For the first few days it kicked off because of overloads. The difficulty was found each time and corrected. Then came the time for it to be put into service. This occurred on the tenth anniversary of radio station DZAS. The following official message was sent from the President of the Philippines:
It is with great pleasure that I greet the Far East Broadcasting Company—its management, staff, and millions of listeners—on the occasion of the tenth anniversary of Radio Station DZAS.
I am most gratified to know that this radio station—aside from being an instrument in helping form public opinion and in enabling the masses to appreciate the higher things in life—is proving itself to be a force in strengthening Freedom and Democracy in Asia. This, I understand, it is trying to accomplish through its missionary work of dedicating itself to the service of God and mankind. The DZAS, indeed, is a station with a high mission.
I wish this station greater success.
Carlos P. Garcia
President of the Philippines
What had taken place during a decade of broadcasting the Gospel in the Orient? Staff members were challenged as they searched the files and came up with the following information:
1948 DZAS 680 kc—1,000 watts on the air. Building continues on missionary housing and studios.
1949 DZH6 6.030 mc—First “Call of the Orient” shortwave station on the air. Languages and dialects of Far East for overseas release are added to schedule.
1950 DZH7 9.730 mc—Second shortwave station added. Portable missionary construction is started. First PM travels to island of Panay. 300-foot antenna erected by FEBC staff and Filipinos.
1951 DZH8 11.885 mc
DZB2 3.345 mc
DZH9 15.300 mc—Three more international shortwave stations added. Split service employed, using
one group of transmitters for overseas, another for Philippine coverage simultaneously. 36 languages and dialects of the Far East employed.
1952 DZI6 17.805 mc—Sixth shortwave station added.
1953 Project to purchase two 10,000-watt Collins transmitters.
1954 DZFE 1030 kc—Manila’s “Fine Music” station on the air. First 10,000-watt Collins transmitter on the air.
1955 Second Collins transmitter on the air.
1956 Two giant transmitters, 50,000 watts, purchased and dismantled in San Francisco for shipment to Far East.
DZI8 21.515 mc—Seventh Call of the Orient shortwave transmitter added.
1957 KSAB 1020 kc—On the air on Okinawa for Ryukyuan coverage. 100,000-watt transmitter shipped to Okinawa. 50,000-watt transmitter shipped to Philippines. Bible School of the Air announces “quarter of a millionth student” enrolled. First stereophonic broadcast made in the Orient.
1958 FEBC celebrates its tenth year of broadcasting the Gospel to the Orient and rejoices in God’s goodness. Nine stations on the air at Manila, broadcasting 20 hours daily in 36 languages and dialects. Eleven separate antenna systems. Response letters from 85 countries. Portable Missionary army increased to over 900. Okinawa coverage station on the air. Recording facilities in Hong Kong. 76 staff members in the Philippines. 20 staff members on Okinawa. 3 staff members in Formosa. 2 staff members in Hong Kong. 13 on the home office staff in Whittier, California.
One of the Filipino boys who had become an operator at the Bacaue transmitter site was none other than Feliciano Cristobal, the first convert of Batia. From the transmitter building at Bacaue, Batia could be easily seen across the rice paddies!
Chapter Nineteen
FIRE! FIRE!
Ready-mixed concrete was not available at the western end of the world. Footings for the transmitter buildings were laid five and one half feet below the level of the ground. Cement had to be mixed by hand. Reinforcing steel was welded together. The building, forty by sixty feet, would house just the transmitter.
John Lin, a Chinese from Formosa, was foreman of a Nike installation not far away, and donated many after-working hours as structural engineer. The building had to be well planned. Not only plumbing, but heavy conduit as well had to be laid under the floor to accommodate the intricate wiring of the transmitter.
Missionary Bill Quisenberry volunteered to lay the cement blocks. Talk about a job! Three thousand six hundred forty-six blocks were lifted over the protruding ends of the reinforcing rods and set in place. Wherever two rods crossed, they had to be welded together to completely ground the building from electricity in the air. A total of 14,400 feet of reinforcing steel was used. It’s no wonder Quisenberry wrote on one block near the top “Ebenezer,” as he could say without any doubt, “Hitherto hath the Lord helped us.”
The roof as well as the walls had to be made of concrete, in order that it might be typhoonproof. To insure against cracks, the entire roof was poured at one time. The largest available mixer at the end of the western world was finally obtained, and it looked pitifully small for the job! A hoist lifted the cement thirteen feet to the top of the roof and a faithful crew of Ryukyuans kept it flowing. The twentyfour-hundred-square-foot floor space was finished with a dustproof topping. Within three months to the day from the time it was started, it was completed to the extent that the transmitter could be moved in. Men from the army, air force, marines, navy, seabees, Voice of America—Chinese, Japanese, Okinawans, and Americans, both civilians and service personnel—joyfully and voluntarily labored on the project. Even the weather cooperated! The work was accomplished during typhoon season, but not a single one struck the island throughout the period of construction.
Back in Naha, very early one morning, one hundred tons of precious radio equipment were loaded aboard two utility landing craft which set out in the gray dawn for Okuma, fifty miles north. One carried a bulldozer, heavy trucks, and a mobile crane capable of lifting the eight-ton power transformer!
Since there was no pier at Okuma, the ships had to reach their destination by noon to hit the beach at high tide. One ship started for shore a little early and rammed the coral reefs. The other ship waited and came in without incident. The bulldozer rolled off first so as to push sand up to the ramp of the ship. The heavy crane swung the radio equipment onto the trucks and, with the help of the bulldozer, hauled it ashore.
About one half mile away, another crane was ready to unload the truck at the door of the transmitter building. The entire operation was accomplished without injury to a single workman or damage to a piece of equipment. Once inside, the components were removed from their shipping cases where they had been safely kept for many months.
There was no letup of expense with such massive projects. The estimated cost of changing the shortwave transmitter over to medium wave (or the standard broadcast band) was $8,000.00! Four 260-foot steel antenna towers were to be erected soon. The cost of the steel towers alone was
several years before and was happy to oblige again. But, lo and behold, as he was ready to leave, he took a valuable piece of FEBC property—Lois Viet, a second-term missionary and a worker in the program department of KSAB in Naha.
During the time other major projects took the attention of most of the staff, a second station, KSDX, was added to the service in Okinawa. This would make possible a complete English block for KSAB, and the new station would be devoted entirely to Japanese programming for the 850,000 Okinawans.
* * * * *
After fourteen years of fellowship in the ministry of FEBC, it was with regret that the resignation of John C. Broger was accepted. In May, 1954, Admiral Radford, then Chairman of the Joint Chiefs of Staff, asked Broger to serve as a consultant for a period of forty days. That period turned into six years, the last four of which he was Deputy Director of the Office of Armed Forces Information and Education.
At the time of Broger’s resignation, Robert Bowman became president of the Far East Broadcasting Company, William Roberts was made vice-president and secretary, and Andrew Nelli was added to the three-man Board of Directors as treasurer.
* * * * *
Immediately following a cable telling of the emergency, an airmail letter was sent to the home office by Janie Reames, wife of the director of KSAB and KSDX. It read:
“Last Wednesday morning at 1:00 A.M., we were awakened by the telephone ringing, and the message we heard just dropped the bottom out of our world. Our beautiful studios and offices were going up in flames! Billy was dressed and gone in a few minutes. After he was gone, I dropped to my knees and sought help and comfort and guidance from the Lord.”
"At 2:30 A.M. Billy called me to say the studios and controls and all the electronic equipment were destroyed or badly damaged. The fire started in the KSDX control room evidently from a short in the wiring. Most of the missionary men of our staff were there, frantically trying to save what they could. First thought was to save hundreds of dollars worth of tapes and recordings which were not replaceable. Praise God, they were able to save most of them, though many were damaged by smoke and heat.
"Billy asked me to get coffee and toast ready for the men. He came and got me, and we were at the station the rest of the night and of course all the next day. What a pitiful sight! We went in with flashlights to view the ruins. Some of our men cried like little children to see the work of more than two years burned to a crisp. It would have broken your heart to see those men, blackened with smoke and wet with sweat, with tears running down their cheeks. Not a one of them was discouraged!
"At 2:00 A.M., while the firemen were still fighting the remaining areas of smoldering fire, the men had a prayer meeting in Billy's office and got up and started to rebuild. Immediately, they began to put together another control—pulling out burned pieces of equipment, hunting spare parts from other buildings, patching up a control that would at least allow them to get on the air with something by regular sign-on time in the morning. I have never seen such a demonstration of great faith and determination and love for God.
"We all worked, searching out stuff that could be cleaned up, salvaged, and used in the temporary setup. Try to picture us working through the dark of the night in a burned-out building, wading through water left by the firemen, and picking things up in our arms that were charred and burned! We were a sight to behold. Black, dirty, hot, and tired—but
Chapter Twenty
MIGHTY VOICE TO CHINA
On the island outpost of democracy, Okinawa, KSBU went on the air, proclaiming the Gospel, on the standard broadcast band. The four-tower directional antenna system increased its 100,000-watt power to an estimated effective radiation of over one million watts, centered on Shanghai, China. Fanning out north of Peking and south of Canton, the signal penetrates several thousand miles inland. This means the Chinese who are under the heel of Communism can receive the signal on their millions of standard-broadcast-band radios. There were an estimated 4,500,000 receivers in China in 1961, and there is evidence that China is producing 100,000 new radios each year.
This thirteenth and largest transmitter of the Far East Broadcasting Company stations took the prayers, gifts, and labors of a great number of consecrated men and women. It was an undertaking immense in its scope, impossible in the natural, and foolish to those without faith.
The free world has conceded the loss of the entire nation of China. The Christian world has been forced to acknowledge the formidable barriers to the Gospel that have arisen around China’s seven hundred million souls. No missionary has entered China since the Communists took over. Yet, Christ has not lost the battle. He will not make concession to the enemy grasp on those souls. There are many in China He died to save. His voice must go forth to save them!
Behind the scenes of this mighty voice works an unseen group of young Christian Chinese. Without them, KSBU’s gigantic power would be of no value. In a well-equipped
studio on the eighth floor of a Hong Kong office building, Riley Kaufman and his Chinese staff labor day after day to produce the very best in programs for listeners behind the bamboo curtain. What do the people over there want? Some of these young Chinese well know, for they have come out from the Red regime!
One of the staff tells how she attended a fine church in northeast China until it was degraded to nothing less than a political rally by the Communists. Later she moved to another city where she got a job in an office. One noon, while the girls were eating their lunch, someone turned on a radio and from the speaker came the music and words of the Christian Church. They stopped and listened! Finding it difficult to keep from identifying herself as one who regularly listened to the program from Manila, she noticed the others intent to catch every word. One remarked, "What strange music and words!" Nothing was said, but they listened all the way through the broadcast.
* * * *
The Portable Missionary department with its staff of five, under the capable directorship of Mr. Montejo, has purchased specially made pretuned flashlight-battery-powered transistor receivers from the Philips Company in Holland. That they are much better than the sets assembled in the Philippines can hardly be doubted. Purchased by the hundreds, they are less expensive and come treated for the tropics. Advent of the transistorized circuit did away with the heavy, expensive battery pack. The remarkable stories about the PM's could fill one complete volume!
The Cordillera Mountains separate the Cagayan River valley of northeastern Luzon from the lowland plains of central Luzon. All traffic from Manila to this northern area must pass over a single road through Dalton Pass, a 35-mile stretch of mountain road. The pass is closed after dark, and all traffic is held up to form convoys to go through the pass
every two hours with armed Philippine constabulary escort. At the head of this pass is a café owned by an active Christian lady who holds a PM that is doubtless listened to by more different people in any one month than any other PM in service. Every bus and truck must stop at this café. Passengers are obliged to wait in the café until the convoy is ready to proceed. It would be hard to estimate how many travelers have heard the Gospel in this eating place!
The following letter came from an Igorot village:
Besao Proper
Besao, Mt. Province
Philippines
Dear Friends:
We heard you here very clear and enjoyed your programs. The singing was also well understood, maybe because what we heard was not accompanied with instrumental music.
We have a radio from the Far East Broadcasting Company: they loaned it to us. We enjoy hearing the radio broadcast about the living God and His teaching.
We are Igorots living in this mountain pagan village. This is the only radio in this village of many people. No need for me to tell you what the hearers say: I have no word to describe their joys or feelings to hear a beautiful box talking.
We want to know about your teaching. Ninety eight percent of the people here worship the false god. They do not read the Bible.
We are interested to know about your doctrines and organizations.
May the good Lord bless you and your radio broadcast.
We hope to receive reply from you.
Your hearer,
Juan Gawe
In the valleys of the Sierra Madre Mountains live between five and six thousand Ilongot headhunters. Why are these people killers?
1. To procure a wife. (They must present one head trophy.)
2. To settle a grudge against a neighbor.
3. To please the spirits.
4. For the sport or pleasure of killing.
5. In revenge against lowlanders who drive them from their land.
Armed with a bow and deadly sharp arrows, or a World War II Japanese rifle, and a razor-sharp bolo knife, these men take vengeance, ambush their prey, shoot without warning, and behead their victim.
Isolated from conventional means of travel and communication, the Ilongots live unto themselves. Forced probably by fear of extinction, they have become the natural enemy of the farmers who inhabit the low country at the foot of the Sierre Madre Mountains. With the desire to increase their rice production, the lowland farmers covet the fertile valleys to the east. The Ilongot headhunters have had to hold their grounds by such drastic means that it has made it extremely difficult for anyone to enter their private domain.
Confirmed in the belief that teeth are not a thing of beauty (after all, water buffalo have teeth!), both men and women go through a ceremony, in their teens, at which time the elders of the village file all the teeth near the gum and break them off. Lips and mouth are hideously reddened by chewing betel nut—a common practice of tribal people throughout Asia.
One of the Ilongot chiefs was converted to Christ through the ministry of Florentino Santos, a Filipino missionary working among the headhunters. His was not the only conversion in the small village: his family also chose to follow the Lord.
A custom among Ilongot headhunters when a wedding is about to take place is to send the young groom-to-be out to get a human head to present to his bride. Instead of sending his young son out to kill, the chief sent him to Manila to get a PM. They wanted to hear the Gospel daily! Florentino and two red-lipped Ilongot ex-headhunters stood before Mr. Montejo’s desk asking for a PM for their village. Because the PM’s were temporarily out of stock, he promised to take one up to them on his next PM ministering trip.
Mr. Isabelo Montejo wrote:
“Flying low between mountain peaks, we came to a clearing in the vast jungle of the great Sierra Madre Mountains somewhere between Nueva Ecija and Nueva Viscaya.
“Pilot Lee German banked the Piper Super Cub to the left and said, ‘Look down there,’ and right below us, standing by a grass-roofed house, was Florentino Santos. We made a perfect landing.
“The PM radio which I took attracted their attention and they came from far and near to listen to the music and messages. They were greatly fascinated by the radio and couldn’t seem to understand how a small box could produce such loud music and voice!”
The 50,000-watt transmitter in Manila was steadily sending out the Good News of salvation in the Russian language. The two letters which follow were sent from Russian listeners to the Manila office (unedited):
Dear Director:
Last night I overheard your broadcast directed to the Soviet Union for the first time. I believed with interest that which I heard. You mentioned that whomsoever is interested in Christian literature should send for same.
I work as an actor for a theater in Barnaola. I would love to have books from which I can obtain knowledge. Who wouldn’t like to know more? I am interested in all
peoples' religions, but up to now I can't comprehend why everyone's creed or confession of faith is different.
I have long desired to read the Bible—to know and learn its meaning, but have never seen or had a Bible. I borrowed a Bible commentary and read same.
If you are able I would appreciate having a Bible of my own. Please advise me by mail and not on the radio. I am willing to pay. Tell me where to send remittance.
Yours truly,
(signed) ...............
Hello Friends:
We are writing to you from ........... We are from the western Ukraine.
We are giving you our opinion about your broadcasts. We listen to you with eagerness and thank you from our whole heart.
We beg of you to send us God's Book because it is impossible to get it here.
Good-bye,
(signature illegible)
* * * *
The mighty voice of KSBU had been on the air for a short time. The entire staff of engineers on Okinawa and the programming personnel in Hong Kong could hardly wait until they received their first listener response letter from the mainland of China. Was the signal getting out? How far? Were the jammers at work yet?
Finally, reports started to come in by way of Hong Kong:
Dear Sir,
On October 6 at 4:45 A.M., I received your station broadcasting. You are using records produced by our mother country. This makes me very glad.
My receiving set is a battery, single tube type. At first the signal very strong, quality clear and good, and
no drift of frequency observed. At about 5:30 A.M. volume gradually became small, with level going up and down, and shaky too, until nothing could be heard. Most probably this was due to the time and my receiving set having poor sensitivity.
Besides, I never heard your station before; this was the first time. You keep on saying your call letters, so you must be just beginning and testing. When you are actually getting on the air, please send me a schedule. Hope you will reply.
Pay you attention of respect.
Yours,
(signed) ...............
North China
Greetings to you at the Gospel Studio,
I am a mainland listener in the north, and have been hearing your testing signal quite clearly, including all contents. I am sending you the report of listening as required.
From 4:00 A.M. to 5:00 A.M. I have heard your station many times. It is very near a local station—870 kc. Quality very good. But there is some drifting from the dial setting.
Please tell me the exact frequency, location of transmitter, broadcasting time, and program schedule.
Thank you,
(signed) .............
Dear Brother in the Lord,
Recently I bought a radio set. One day about 11:00 p.m. (Peking time) I received a preaching broadcast accidentally. The frequency is 850 kc. At least, I heard that the communicative address is P.O. Box 5966. Therefore I follow this address and write to you. I write this letter mainly for two reasons: First, I hope you will
let me know the time of your broadcasts. I really hope that I can listen to it regularly. To me, after 11:00 p.m. is not very suitable. It is too late. It may affect my work next morning. I earnestly hope there may be some other time beside this. I believe some other listeners may have this need too.
For certain reasons I have forsaken meetings for several years. I am longing for the message and the preaching of the Gospel as those which I listen from the broadcasts. Usually I just read the Bible and pray at home. I don’t take part in group activities. But in my heart there is a real need for fellowship with brothers and sisters. The second thing is that I hope you can send me some Gospel booklet or magazine.
Pray that the Lord may grant you grace and bless your work. Give my best regards to brothers and sisters of the Hong Kong church.
Brother in the Lord,
(signed) ............
Shanghai, China
Dear Radio Friends,
I am a young man. Almost every morning I listen to your religious broadcast in Cantonese. I am eager to understand the truth of Jesus but what I hear is rather piecemeal and in the local bookstores we cannot buy this type of literature. On December 3 the broadcast you said that you had a book called Youth Companion which was suitable for young folks and would answer questions about Christianity. Therefore I am writing especially to ask you for a copy. I do not know whether you can send me one. When you answer please send me a schedule of your broadcasts with the wavelengths because sometimes I cannot get your program.
God bless you,
(signed) ............
SIR:
When tuning to my radio I listened to the Gospel broadcasts, knowing there is a *Dengta magazine*.
But in mainland we are forbidden to subscribe this magazine. I wonder if you can send me several copies. One sent to my home address ................
But there is a request if you send me the magazine, the wrappings must be ordinary. Please do not use papers printed with—"Believe in Jesus" or "Have eternal life," etc., or any propaganda words. If it is so wrapped, please don't send it. I don't want it.
Please let me know the following address: where is the Far East Broadcasting Bible Correspondence School?
Please let me know. I want to ask them about their time of broadcasts.
Emmanuel,
(signed) .............
In the preceding letters the reader will note the requests for Bibles and other Christian literature. The Far East Broadcasting Company has had to adhere rigidly to a policy made some years ago. No letters are answered which come from Communist China. The reasons are these: Most of the individuals writing do not realize the trouble they are inviting to write such a letter to a foreign country, and especially addressed to an international radio station. To answer the letter could cause the listener untold persecution—even death. Offers for Christian literature are often made by missionaries preparing tapes for release from Manila. Perhaps the primary target area of that missionary is not China, but Chinese within the mainland hear and request the material. Occasionally, FEBC personnel in Manila will forward a request to a missionary or group who have been successful in getting such material behind the "curtains." However, some missions agree with FEBC's policy of not
answering letters coming from the curtain countries. It is a known fact: accusation trials that are held against a person in China are often built around the person listening to international radio broadcasts!
Chapter Twenty-one
PROGRAMMING PROBLEMS
In missionary broadcasting, the number one concern is not necessarily keeping the transmitter operating at peak capacity. Probably the most important phase of this unique ministry is what goes out over the air.
Years of experience have borne out one fact to the program producer: there must be a proper balance between religious and cultural releases. Though most broadcasters would hesitate to use the word "bait," that is what a portion of the programming really is (except KSBU, reaching China, which uses mostly religious programming).
The man who goes fishing means business. He wants to catch fish. But if he uses a shiny steel hook, he may go home without a string of fish. In broadcasting to nations of people who have been slaves to false religions for centuries, the producer is aware that the listener is probably not interested in his presentation of the Gospel of Christ. However, music is something everyone seems to love, and current news is always appreciated. With a relatively low percent of religious programming, the listener will put up with the Gospel to enjoy the other. But as the Spirit of God starts His work in collaboration with the spoken Word, he begins to see his lost condition and need of Christ.
There is a vast difference of opinion among missionary radio enthusiasts concerning the matter of programming. Some believe it is unwise to use time and money to broadcast secular music and cultural material over facilities dedicated to the propagation of the Gospel and supported by
Christians. Other international stations of many times the power of missionary radio stations spend all their time in this sort of programming. Why try to compete with them? The same insist it is the job of missionary radio to preach the Gospel without bait programs and trust the Holy Spirit to work in the hearts of potential millions to respond to the truth. Christ did not prelude his ministry with a secular concert to get a crowd. He taught them straightforwardly. Some believed—others didn’t.
On the other hand, broadcasters generally feel it is hard to hold the attention of the unsaved listening audience with 100 percent Gospel programs. This is no doubt true where many hours a day are devoted to programs in the same language and area. They feel bait programs are necessary to lure the listener into hearing bits of Gospel among secular entertainment. One of the most important workers in missionary radio is the program producer. He needs divine wisdom continually in knowing what is needed in the way of effective programs for millions of potential listeners.
There are programs designed to strengthen the Christian; there are many produced for evangelistic appeal. Religious programs are given prime time. To be a service to the nations FEBC wishes to serve and to conform to the requirements of the franchise, they have tried to develop a type of programming that will reach all classes of people to accomplish the most effective job.
FEBC services feature a well rounded news program to Asia throughout the day and night. Listeners have emphasized their confidence in FEBC news, “because of the type of station you are.”
Special Events Department regularly covers the activities of the president of the Philippines. The regular press conferences are covered as are his speeches to the nation. FEBC’s station DZH6 is the main carrier of nationwide hookups in the Philippines. From off this frequency stations in the
Visayas and Mindanao to the south pick up messages of national significance and rebroadcast them.
"Hello Neighbor" is a program of international good will and friendship and features representatives of various nations, explaining life in their particular countries. These programs are supervised by personnel in embassies located in Manila.
Qualified educators have regularly presented lectures on various subjects through FEBC's facilities. In 1959, the first in a series of broadcasts designed for the classrooms of the Philippines was carried over the nationwide facilities of FEBC in close collaboration with the Philippine Broadcasting Service. An initial number of five hundred receiving sets donated to Philippine public schools by the Australian government and widely distributed throughout the land were a part of this project.
As part of its efforts to reach the people at the "grass roots level," FEBC's Extension Department sets up listening clubs in out-of-the-way areas of the Philippines. Approximately 1,600 clubs are now active in the Philippines. PM's have been loaned to responsible persons who report regularly to the head office in Manila. Many thousands each month receive messages of faith and freedom. There are over two thousand applications on file waiting for PM's when available. In other Asian countries there are listening posts, but not as many as in the Philippines.
* * * *
From the ashes of the disastrous fire which destroyed the facilities of KSAB and KSDX in Naha, Okinawa, emerged a new concrete office and studio building. The wife of a U.S. serviceman wrote:
This is the first time in my life I am able to say that one of the reasons I hate to change military bases is because of a radio station. But I am going to miss KSAB
as much as I will many of my close friends here on Okinawa. Your station has helped me to grow tremendously as a Christian, and I'm sure that this is the most important thing in the world.
* * * *
The following letters received in Hong Kong prove the results of Gospel broadcasts:
Ng Yat Fan
Cell 5
Government Prison
Nung Mo Hill, Macao
Dear Brethren and Sisters of Far East Broadcasting Station:
May peace of our Lord be with you. I am a person who has met with misfortune and am now serving a prison term in the prison of the Macao government. But at the same time I am also a Christian.
When I first entered this place of filth and dirt, I only felt that my surroundings were gray and unreal. Every part of my body seemed to have been bitten by poisonous snakes. I felt I loathed this world and wanted to leave it.
Thank God, He has finally saved me from the clutches of the devil. He made me understand the goal of being a human being correctly. He furthermore enabled me to understand the true meaning of life. Because of His grace, my body which is so near to death has been given a new life (John 14:6).
Though at present I am being incarcerated and have lost my freedom, I am feeling no pain because of the nearness of God. On the contrary, I am at peace and happy.
It was a moonlit midnight when my fellow cell mates were sleeping, but I was suddenly awakened by a faint voice. I rubbed my eyes and to my surprise discovered
the cell mate, who slept by my side, was tuning in his transistor radio. He put the earphone in my ear without my asking, so I discovered your correspondence address. Maybe this was an inspiration from God.
Dear brethren and sisters, I give my sincere call from my heart. I hope most earnestly you will give me your help in the improvement of my soul and I shall also be most grateful if you will send me by post the Holy Bible and other spiritual food.
Finally, let’s all pray together, and may peace be with you.
Yours, respectfully,
Ng Chi
One month later, the following letter was received from Ng Chi:
Your letter, the Holy Bible, and books have all been received last week. I wish to express my sincere thanks. The Bible is the Treasure of Life, and the lighthouse in the ocean. I shall carefully treasure it and from the Lord’s hints discover the spring of my spiritual life.
The program “Bible Drama,” broadcasted by your station from 10:00 to 10:15 in the evening, has become an invaluable and indispensable enjoyment in my life after listening to it for many nights. Its taste is like honey. It can stimulate people who are dispirited, and make unhappy people happy. To those of you, brothers and sisters, who work for the Lord, this is praiseworthy. May the Lord’s grace be with you forever.
Yours in Christ,
Ng Chi
A letter written in Chinese came from an Indonesian listener:
Dear Sirs:
Several months ago your station announced that the Lord Jesus had already come to earth. Please, may I
ask, where is Jesus now? Will you please tell me? Later, your station said that this was the time of the Lord's judgment. Please, may I ask, where is the Lord judging the sinful human race? True, the human race has already reached the limit of its sinfulness. Such things as the war in China, the Dutch-Indonesian war, the war in Viet Nam, and other such conflicts, plus the development of the atom and hydrogen bombs—all these things show that human sinfulness is reaching its final stage. So if the world has a Saviour who has come to serve the human race, I feel I would most surely want to welcome Him. So, I am asking your station to inform me as to the whereabouts of His headquarters.
only member of the staff when FEBC took over. But at that time a young man, Carl Lawrence, who had worked his way up to a high salary in C.B.S. television in Hollywood but was dissatisfied with that kind of life, was led to contact FEBC’s home office. After knowing the salary he had been receiving, they were almost ashamed to say what his allowance would be if he went to work for FEBC as station manager of KGEI! But he accepted it.
Lillian Russell had worked for twenty-eight years as secretary and bookkeeper for a large paint company in Spokane, Washington. She had reached the age of retirement but didn’t want to retire! Offering her services to KGEI as a secretary, she filled a much needed position.
Clyde Hull, who had been so helpful in getting the big giant on the air in Manila, came to the rescue as another engineer. The Lord sent in other staff members as needs arose.
Since the transmitter had been built thirty-one years before, it was using an old-type power tube that cost $835.00 (two were required). One afternoon, Don Smith and several other KGEI personnel stopped by a large international broadcasting station. (The same group had been in the habit of giving the engineers in Manila tubes after they had run their expected life. Many times a tube will operate hundreds of hours after its rated life is completed. But, because of policy, the other organization removed such tubes and replaced them with new ones.) Don asked if they had any expired tubes, but there were none available, nor would there be any for months. As they were leaving the building, Don happened to pass by a trash can where papers and sweepings were placed. On the top of the can lay a big power tube exactly like the type KGEI used. Don asked, “What are you going to do with this tube?”
“It’s no good—filament is broken. We’re throwing it away.” Probably having in mind a unique use for the tube, Don
asked if he could have it. (After all, most people never saw a large power tube. It would make a good display in missionary conferences.) "Sure. Take it. It's no good to us."
Some time later, Clyde Hull was making some tests on the 50,000-watt transmitter during off-the-air time in the morning. He had just pushed the main switch when a meter indicated one of the main tubes had burned out. Being alone and a bit frustrated at the situation, he ran downstairs to get a spare, only to find the new spare had not yet arrived. He was stunned!
Over on the work bench lay the tube which had been taken out of the trash can. It was covered with a layer of dust and, as the engineer said, was worthless because of a broken filament.
Hull grabbed the tube, dusted it off, and carried it up to the rear of the transmitter, not really knowing why he did it. After installing it in the complicated socket, he threw the main switch; but as he expected, nothing happened. The rest of the transmitter hummed with power, but the needle on the meter indicating how much power that tube was putting out was pointing to zero! Just then the phone rang, and being alone in the building, Hull went to the office to answer. After a brief conversation he returned, and to his utter astonishment, the meter indicated the tube was putting out full power! The filament had welded itself together.
Describing this to the staff later, Hull said, "There was a feeling as if it were holy! I was startled! Theoretically, it couldn't happen. I felt like Moses—standing on holy ground."
God met the need. He didn't provide a new tube when it was needed but chose to produce a miracle in restoring usefulness to a damaged one. That tube served faithfully for eleven months!
In the meantime, engineers were busy in the basement, building a unit that would modify and modernize a section
of the transmitter. It would use a new type of tube that is 40 percent more effective, takes less power, and costs $200.00 less. It took months to complete the modification, which moved along as the Lord provided the means. Then, the day arrived when all hands were standing by to help in the changeover. The plans were that as soon as the power was shut off after sign-off, all would work through the night. The section of the transmitter that was to be replaced would be taken out and the new unit installed. If everything went well, they would be on the air the next day without any loss of time.
Tools were close by; the new unit was on the floor near the transmitter. The announcer gave the sign-off and the national anthem was played—but as the last notes were sounding out, the "miracle" tube died, and the transmitter automatically kicked off the air!
By sign-on time the next afternoon, the transmitter had been tested and was ready to go on the air with new modern power tubes!
* * * *
Letters of encouragement arrived from different Latin American countries. A survey of such letters indicated 60 percent were typewritten, showing a more highly educated class of listeners. Letters often come from students, professors, insurance agents, factory executives, office workers, farmers, military personnel, radio men, miners, druggists, bankers, doctors, railroad agents and high school principals.
From Ecuador came a letter of special note:
It will not be very easy for you to imagine the amount of pleasure that comes to me through the medium of your everyday broadcasting reports.
All of the varied sections of the programs you are broadcasting are worthy of special attention; but those that produce a quivering sensation within me are the
religious ones. Why so? It is just because the tunes of many of the songs or hymns sung in the programs are very familiar to me. When a youngster in my native land, British Guiana, I have had the pleasure of singing them myself at Sunday school on repeated occasions; hence, you may easily judge the kind of emotional feelings that assault me upon hearing them sung in a chorus as in former days. Now, I am an aged man past 80 years old, living far away from my original home.
Despiting that, however, it is also pleasing to know that your friendly communications night after night, in addition to the never-failing presence of God are nearby.
Therefore, may God bless and protect you in order you may be allowed to continue for a lengthened period of time broadcasting His precious Word, in addition to the topics that are included in your friendly programs for the benefit of your fellow men.
I am also deeply interested in the story of Communism you lecture upon so often. I therefore kindly implore you to grant me a copy of *El Corazón del Communism* offered by you in your talks.
A captain of an airliner wrote KGEI the following letter:
Buenos Aires, Argentina
**Dear Sirs:**
While we were flying from Sao Paulo, Brazil to Buenos Aires, by some rare chance we turned on our shortwave radio to alleviate a bit of tension that we were feeling since we were flying through the middle of a powerful and dangerous storm.
Suddenly, the voice of the announcer broke through loud and clear with a quote from the Bible, which to both of us resulted as a ray of light in the obscurity of the atmosphere. It was a firm promise, an assurance that I have never experienced during all the years I have been flying. Now I wouldn’t want to be caught guilty
of exaggeration nor of hypersensibility; but the fact is that it seemed to us that the very presence of the Eternal was vibrating in our beings, saying to us, "Fear not, you will arrive without harm . . . am I not traveling with you?"
The odd thing is both of us thought the same thing and at the same time, and felt that sensation of security. Something was there. It wasn't just sensory. It was something profound, unexplainable, yet so sure, that it was worthy of credit as the inevitable daily setting of the sun.
It would seem to me to be some sort of announcement from God, since I have left the Way. I stopped believing in God in 1944 as I was about to cut the throat of a German paratrooper in Italy, in the midst of a beautiful little chestnut forest beneath an entrancing moon. How great an error! There exists a something—a Power that rules the heavens and earth.
To sum it up, the feeling that we now have is not one of just thankfulness for having been delivered from danger, but one of comfort. It's as though suddenly we had an assurance, a new force. Could you perhaps explain to me better this phenomenon?
Chapter Twenty-three
URGENCY
Because of the adventures of Marco Polo and the tales of the Arabian Nights, the Far East and Asia have fascinated adventurers from every quarter of the globe. The picturesque sights and exotic sounds are not the true picture of the Eastern world.
Far beyond the Japanese torii and its Shinto shrine lies disappointment. The Indian returns from his temple worship disillusioned, carrying the same load of sin back home with him. God has created man for Himself, and the human heart is restless until it finds its rest in Him.
Inside the gorgeous temples of Japan, Thailand, and India is deceit, for:
The idols of the heathen are silver and gold, the work of men’s hands.
They have mouths, but they speak not; eyes have they, but they see not;
They have ears, but they hear not; neither is there any breath in their mouths.
They that make them are like unto them: so is every one that trusteth in them.
— Ps. 135:15-18.
Following the glowing promises of Communism comes disillusionment, for proletarian “classless” rule has not solved the problems of inequality, injustice, and poverty.
Asia—lands of lotus blossom and sandalwood, pagoda and rickshaw, temples and teeming millions, but also lands of disappointment, disillusionment and stark, wretched soul need.
"Whosoever shall call upon the name of the Lord shall be saved"—but how shall the people of Asia call on One of whom they have never heard? How shall they hear without a preacher?
Thank God, there have been messengers. From the days of Adoniram Judson and Robert Morrison, Hudson Taylor and Jonathan Goforth, through to the present day, there have been messengers—but far too few.
God has raised up an air force to supplement the work of the gallant infantrymen in the missionary army. That air force is missionary radio.
FEBC's fifteen transmitters, using seventeen frequencies, sound forth the Gospel message in thirty-six languages, 758½ hours per week. FEBC's monthly operating budget, including missionary allowances, has soared to $43,000.00!
Those who have enrolled in the Bible Correspondence School of the Air, Manila, total 700,000 (not counting courses offered from other missions or stations) with 2,000 new enrollees a week.
One is reminded of the urgency in getting out an important message in the days of Queen Esther. A people had been sentenced to death because of the wickedness of Haman. His hatred for Mordecai, the gatekeeper, enraged him to the point of plotting the scheme to have the entire Jewish race wiped out.
The message signed by the king had been sent to all one hundred twenty-seven provinces, proclaiming that the Jews should be killed on a certain day.
After the death sentence had gone forth, sealed by the king's ring, it was discovered that Haman had planned this for his own self-gratification. Haman was hanged on the gallows he had prepared for the hated gatekeeper, Mordecai.
The sentence of death had been delivered! According to law, not even the king could reverse his orders. The only thing to do now was to send out new messages to the one
hundred twenty-seven provinces, giving instructions to the Jews that they were permitted to fight for their lives.
The new orders, "messages of life," were written in the king's name and sealed with the king's seal. These important orders were copied in the languages of the people so there would be no misunderstanding.
The area, covering a vast part of the Middle East, was to be flooded with these important letters from the king. Every fast means available was used: riders on horseback, mules, camels, and young dromedaries sped across the burning desert and over the barren mountains.
Then, the Word of God tells us, the riders went out, "being hastened and pressed on by the king's commandment."
Today, if this happened, radio would be the means of getting such an important message out to the masses of people.
But, we do not need to say, "If this happened." It is happening! Men and women the world over are condemned to death. The sentence has been pronounced upon them! The only way they can be freed is to receive the important "message of life."
We have the message—we have the means. The commandment has been given! "Go ye into all the world, and preach the gospel to every creature."
How gratifying to know the orders of King Ahasuerus were carried out implicitly. The messages arrived on time. No life was lost. The Jews had joy and gladness.
But not so with the millions of the world today. We have not taken the command from the King of kings as seriously as they did in King Ahasuerus' day. If we would take up the challenge, radio could be the means whereby the Gospel could be preached to every creature. In perfect teamwork with missionaries, radio can be used where men are forbidden.
Dipping into hidden valleys; circling thousands of isolated islands; sweeping up inaccessible mountains; penetrating curtain barriers; invading the privacy of the guarded home; finding an open heart in the lonely byways or in the teeming cities—here and there the Gospel light touches a heart, and it bursts into flame to light a home or to fire a community. This is MISSIONARY RADIO—a ministry the Far East Broadcasting Company is dedicated to perform.
For further information concerning the activities of FEBC, write to:
Far East Broadcasting Company
Box 1
Whittier, California |
A Feast of New Music
The fashion today is that everything must be radical and new. They are not the same thing. "Radical" means a return to roots, and "new" means something that has never happened before. By these definitions, most of the music performed in Santa Fe last month was neither, some was one or the other, but a surprising amount was excellent.
An event that was interesting but neither radical nor new was the performance by Bay area, avant-garde composer Lou Harrison and the Mills College Gamelan. Following in the footsteps of Haydn, Pierre, De Falla and Satie, Harrison presented a puppet opera, Richard Whittington, with puppets, a dog, an Massfield, the gamelan, and voices. The flat shadow puppets, held up against a silken screen and lighted from behind, were traditional, but elsewhere Harrison cross-cultured with a vengeance. The only things new were the gamelan instruments which are now made in the U.S. They are aluminum which produces a lighter, brighter sound than the original in struments of brass and iron. But across cultural synthesis, no matter how consciously done, takes generations and many practitioners before it jells, as has happened in jazz. The gamelan is no exception.
What disappointed this listener was that the whole thing was so undeveloped. Harrison is a gifted composer, but with so magnificent an instrument, as well as adequately trained, he seems to have merely sketched instead of creating a fully realized work.
Oriental arts are in no hurry, traditional puppet shows often last from dusk to dawn, and there is little connection between their concepts of action, tension and release, and ours. Richard Whittington is more narrated than acted, and tended toward what we, with our saturated senses and a tradition of refined patience, would call boring. Many of the patrons, who had laid out $8, walked out.
Garland handling the gourd rattles), is one of the few really successful uses of "ethnic" materials by an "Anglo" composer.
Energy as pure delight is again applicable to the dazzling work of Malcolm Goldstein, who flinches at being called a virtuoso. There is no doubt that he could have had a more conventional career; it is our good fortune that he chose to devote himself to creating music rather than playing the standard repertory.
"Improvisation" is a loaded word, and Goldstein was careful to explain, in a wide-ranging discussion the day after his concert, that freedom does not mean anarchy. While the performer does have choice about what sound he will play at any given moment, the parameters of the piece are outlined by the composer.
In this Goldstein is literally radical but not new, in that sense of returning to roots. Baroque music is exactly composed, but with plenty of space for the creativity of the performer.
Goldstein's performance shone with an intensity and sonority that was totally satisfying, whether in his ensemble compositions, which included taped sounds and sometimes silent projections, or in the mesmerizing Soundings in which Goldstein thoroughly explored the possibilities of the violin. One would not have been surprised to see flames coming out of the instruments, or his ears, or both!
The comparison will doubtless not please him, but Weber's performance of his own compositions on piano and the St. Francis Auditorium organ inevitably reminded me of the work of former Santa Fe/Taos composer Tom Ehrlich. There is the driving energy, the extended, marvelously arched line, the sonority. Weber gladly admits the influence of Debussy in his work, and the result is pure delight.
Driving energy is also evident in razor-thin, 30 year old Peter Garland, who may not make 40 unless he learns to pace himself. He is certainly full of passionate intensity, and his music is compelling. While his earlier piano/harp pieces are wonderfully lyrical, his more recent work, particularly Matchin Dances (played by Malcolm Goldstein and Lynn Case, with not hear her read because I was simply too exhausted. Mea culpa.
There is also little space to talk about the pride of poets from New Mexico who read. The most forceful was Joy Harjo who combined rhythm and vitality with non-cliche images. The gods be thanked, she did not read (as so many do) in one of those wispy, apologetic, high little girl voices that reminds one of Jackie Kennedy.
The final event of the Festival was a performance by Charles Amirkhanian of Berkeley of a work utilizing tape, "music," text-sound, and projections by Carol Law. This reminded me of the chichipit underground movie I used to see at the old Italian Hall in North Beach in the '50s. Not a cliche was missed. The money would have been much better spent to bring Pauline Oliveros or Kay Gardner to the Festival. While the organizers were careful to include a female poet at every reading, it still apparently did not occur to anybody that women write music.
Tone Roads West was preceded by the world premiere at C.G. Rein Gallery of Woody Vasulka's video "opera" The Commission.
The plot is operatic indeed: the 19th century composer Hector Berlioz was ostensibly commissioned to compose a work for the notorious violinist Niccolo Paganini who was very widely believed to be the devil. The commission turned out to be a fraud. Even more bizarre was the odyssey of Paganini's corpse, with which The Commission is largely concerned.
If music is "organized sound", as Edgard Varese averred, then The Commission is a musical work. But it was more electronically manipulated chant and narrative. As with most endeavors in this field, because it was done by a person not principally a composer, it was peculiarly true-to-life and unweaved, splendid opportunities to play with sound were allowed to slide by.
However, video is not basically sound but image. In The Commission, montage, crosscut, wipe, lade and computer manipulation of image were used to the hilt. The imagery was sometimes riveting, but just as often exhausting. No matter how accustomed one is to television commercials, scores and scores of images flashed rapidly upon the retina is overload.
— Joanne Forman
Tone Roads at times confusing, always interesting
Music review
By RICHARD BARRETT
For The New Mexican Tone Roads West, a festival dedicated to poetry and music, presented four days and nights of contemporary works ending Sunday. Many adjectives come to mind in trying to describe this amalgam of mediums. But words like avant-garde, surreal, and futuristic fail. Musically, everything from minimalist to 12th century organum (polyphony) was represented.
The works of Peter Garland and Joseph Weber, both pianists, represented the mainstream of contemporary music with roots in the classical tradition. The present style of this music is best described by the word "minimal." A short motive or subject is repeated (sometimes ad nauseum) with slight changes (variations) over an unspecified period of time. This modular form can be very successful if the core subject possesses energy and an intrinsic quality suited to the style. If not, it is no more interesting than shopping mall music.
Weber seemed to have the best grasp of this style. Wedding it to ear-ly forms of polyphony and variation, he took a vast knowledge of his torical musical style, he created in his work "Labyrinth," a set of variations with tremendous energy.
His 1983 work for solo organ, "Fantasias, Organa, Fantasces and Hymns," show a great talent for spontaneous variation, so common among Baroque organists, but today it is all but lost. His keyboard technique, whether piano or organ, is dazzling.
Garland's work, while incorporating the same modular form, is of a much more somber form. Lacking the technical brilliance of Weber, they possess subtle timbres attained by sensitive instrumenta- tion. His "Songs of Quetzalcoatl" used piano, harp and flute in a delicate evocation of the mystique of Mexico.
Poet Jackson Mac Low performed, with instrumental accompaniment, a sort of epic poem called "Instruments." Both voice and instruments combined in alliterative form, not unlike that heard in the primate or aviary house of a zoo. Aggressive words, full of imprecision, such as "cartel," "narc," and "coed," gave this piece a humorous quality not unlike a Marx Brothers film.
His work, some call it "artistic anarchy," should not be confused with poetic text with musical accompaniment, but more a pure exploration of sound for its own sake. Instruments and voice, losing all common idiom, become one, neither dictating to the other.
Charles Amirkhanian and Carol Law collaborated in the most interesting of mixed mediums. Electronic sound, words and slides joined in surreal images, at times frightening, at times funny. Whether one can call this "art" is another matter. That one can call it a superb representation of our age is beyond doubt.
A few Rorschach impressions follow: "Dog of Stravinsky," a parody of primal dog music; "Andas," childhood garbage, found in houses; "Dutiful Ducks," a satire on committees; "Hypothetical Moments," a macabre portrayal of the masses; "Awe," a parody of astrology; "History of Collage," capsulated history of pedantic art; "Mahogany Ballpark," social alienation; "Chase Car," the anatomy of life in a machine age.
This festival, if at times confusing, was always interesting. My preconceived notions of performance and "art" were at times manifest ed as prejudice, but this is to be expected from such radical styles and forms.
If this festival achieved nothing else, it was to make one think and ponder our immediate world. A trait conspicuous by its absence in the 20th century.
The writer is music critic for The New Mexican.
Council for the Art's 'Tone Roads West'
Program Offers Some Powerful Moments
By DAVID L. BELL
Journal Correspondent
"Tone Roads West," last week's four-day symposium of poetry and new music sponsored by the Santa Fe Council for the Arts, was sufficiently serious to deserve serious attention.
The series was informed by an energetic and constructive emphasis on human interaction and on art as process rather than product.
There were high points of performance in video, music and poetry reading. And there was a pervasive, well-intentioned ideology about the affair that extended through art into politics to create a sense of involvement and commitment on the part of artists and audiences alike.
On the other side, there was the hermeticism that so often accompanies the avant-garde. More than once, labored poetic and musical passages seemed to convey nothing so much as a reinvention of the wheel.
And the shadow of political "a priori-ism" occasionally appeared to have had a stifling effect on the creative impulse, which functions most productively when the outcome is least predetermined.
"The Commission," a video "opera" by Woody Vasulka that opened the series, had its own pluses and minuses. Based on a historical episode involving the famous 19th century composer Hector Berlioz and violinist Niccolo Paganini, it sometimes followed and sometimes strayed from its story line.
The "plot" involved a prestigious but fraudulent commission offered to Berlioz for a composition. The offer was ostensibly made by Paganini but in fact by Berlioz's publisher as a publicity stunt. Such a vehicle might lend itself to the intense and romantic examination of human character that characterizes much traditional opera.
But the overall philosophical effect was more akin to the nihilism of punk art.
That is not to say that emotion was omitted. Rather, it was invariably qualified so that enigma overshadowed affirmation or resolution. Yet there were vignettes of great power, some of them involving Paganini and his son, played respectively by Ernest Gusella and Ben Harris.
Visually, the high points of "The Commission" lay in Da Vinci-esque figure compositions on a grid, and in the electronic pointillism of landscape settings.
It may be that the apparent emotional hedging of the work had to do with the "experimental" nature of its structure. There seems to lurk behind the professed experimentalism and deliberate rawness of the video format a highly sophisticated visual aggressiveness nurtured by exposure to commercial television.
If "Tone Roads" video was tough as art, its music was no less so. Peter Garland, composer and music coordinator of the event, noted in the program, "Tone Roads (West or East): They may be a bit rough or rocky, but it is where they take you that counts. And on the most interesting ideas, one may just have to throw away the maps."
French composer Claude Debussy nevertheless served as mapmaker or guide to one of the series' most effective musical composers and performers, Joseph Weber, whose untitled work for piano expressed a humble and honest, but not derivative, emulation.
Weber's "Labyrinth," also for piano, had the power of understated progression, while a longer piece for organ, "Fantasies, Organa, Dances & Hymns," seemed never to get anywhere — in the manner of a warm-up exercise. Once again, one sensed a holding back, a reluctance to take the leap and offer the resolution.
Of the poetry readings featured by "Tone Roads," it needs to be said that the power words may have when savored in solitude, or shared in the intimacy of a coffee house, bar or bookshop, is considerably diminished by presentation in an auditorium to persons seated on wooden benches.
One poet introduced a work with the comment that it would take 10 minutes to read, and it seemed to take 20. Liveliness of pace is essential to public performance, and only poets who read well should do so publicly.
Nor can paucity of vocabulary or image be concealed by an expressive voice. Content and delivery alike must be strong for a successful reading.
All criteria were more than met by Carolyn Forche, whose work was introduced with the apt observation that it shows "no seam between the personal and the political." In her El Salvador poems — "San Onofre, California" and "To Victoria Champagne" — Ms. Forche demonstrated the unifying and healing power of a view of the human condition that contains equal parts of compassion, protest and humor.
The closing performance of "Tone Roads West" was an intermedia work by Charles Amirkhanian and Carol Law. In its voice-on-video passages, its "smore score" and its evocative juxtapositions of pedestrian sounds and images, it certainly had its moments — some of them just right and others overly prolonged. By its title, "Hypothetical Moments," it seemed to sum up the events of the four days that had preceded it.
Commitment
(Continued from Page 21)
politicking that has the greatest impact for change. "People who come to the lectures are already interested in Salvador. But those who come for the poetry are often people who know nothing about Salvador."
Almost like a challenge, she added, "You'll see it this evening: The poetry reaches people in a way that talking about my experiences can't."
That night she was introduced by local poet Arthur Sze, who organized the poetry program of Tone Roads West. Casual and confident, Forche read a few announcements before beginning in a startlingly contrasting mode—after 24 hours of utter seriousness, she revealed a sparkling sense of humor.
Introducing the first poem, "As Children Together," she recalled her well-endowed, French-Canadian adolescent friend, Vicki Champagne (she promises that's her real name), a girl who dated servicemen because "she got blue airmail letters from them and didn't have to do anything with them." (Like most of Forche's work, this poem is concerned with memory.) Forche ends the poem by addressing her French-Canadian girlfriend directly: "If you read this poem, write to me. I have been to Paris since we parted."
Her audience firmly in tow, Forche then turned to the Salvadoran poems. Reading, or speaking from memory, she intoned her poems in the same slightly theatrical voice of the previous night's lecture. She seemed to be letting each individual person in on a very intimate secret.
What she had said that afternoon was true: Her poetry was even more effective than the lecture. People didn't applaud—it would be like applauding a prayer—not did they even turn to their companions to speak. Instead, they accepted the relationship they had been drawn into between the poet and the listener, as Forche made tangible for them the pain of a war-torn country.
Before bracketing her Salvadoran poem with another upbeat one, she offered a chilling non-Salvadoran poem, "Ourselves or Nothing." Speaking for herself and the audience, she described the plight of the individual who chooses to become involved: "There is a cyclone / fence between / ourselves and the slaughter and behind it / we hover in a calm protected world like / netted fish, exactly like netted fish. / It is either the beginning or the end / of the world, and the choice is ourselves / or nothing."
Like Salvador to her, Forche's poetry had invaded our lives.
U.S. Poet Speaks On Life in Salvador
By MARIA HIGUERA
Journal Staff Writer
SANTA FE — Carolyn Forche left El Salvador in 1980, after escaping an ambush by three machine gunners and other threats to her life.
Her Salvadoran friends, among them Archbishop Oscar Romero, urged her to leave the country to save her life.
Ms. Forche, 32, a poet and journalist, bypassed El Salvador in January during a trip to Central America.
Says Ms. Forche, who now lives in New York: "I'm not a guerrilla. I can see that I'm most effective as a writer, as an artist, as someone who can serve as a witness. Dead, I'm useless."
She arrived in Santa Fe on Friday to take part in Tone Roads West, a festival of contemporary poetry and music that runs through Sunday at St. Francis Auditorium.
On Saturday she lectured on El Salvador. Today at 3 p.m., she will discuss her translations of Salvadoran poetry, she will read her own poems at 7 p.m.
Much of Ms. Forche's work, including a memoir in progress, is inspired by events in the tiny, war-torn country. She spent nearly two years there, from 1978 to 1980, developing what she calls "a focused obsession."
In January, she went to Mexico City to comfort an exiled friend because her two teen-age daughters had been picked up and tortured by government police, Ms. Forche said.
The girls, 15 and 17, were relatively lucky, Ms. Forche said. They survived.
Several of Ms. Forche's friends, including Archbishop Romero, were less fortunate. The archbishop warned her about her safety a week before he was killed saying mass.
Of Romero, she said, "I knew I was in the presence of a saint."
Ms. Forche, an estranged Roman Catholic, said, "The faith of Salvadoran Catholics restored me. I met and knew those who have since become martyrs."
Military aid such as the Reagan administration's latest request for $110 million, can only prolong the violence, she said.
"I don't think a military victory is possible," she said. "The cost in human lives would be unimaginable."
Since she can't realistically expect military aid to be cut off completely, she said negotiations should be a condition of any increase.
Her recent lectures focus on corruption in the Salvadoran military.
"The institutionalized corruption of the military should be of concern to Americans, because of the millions of dollars we funnel through it," she said.
She can rattle off examples to illustrate her point. For instance, she told of a colonel who was arrested by plainclothes policemen in New York for trying to sell them 10,000 machine guns. "I leave it to people to figure out where the machine guns came from," she said.
Ms. Forche's articles have appeared in *The Nation*, *Ms.*, *The Progressive* and *The American Prospect*.
Her first book of poems, *Gathering the Tribes*, won the Yale Younger Series of Poets Award in 1976. She has since received fellowships from the Guggenheim Foundation and the National Endowment for the Arts.
Her poems have appeared in the *The New Yorker* and *Atlantic Monthly*.
A poet first, she said she became a journalist in El Salvador: "What I was witnessing made me feel the moral obligation to report it. I didn't think it could be done in poetry."
She describes her upbringing in Detroit as patriotic, Catholic and working-class. Once she started college, during the Vietnam War, her politics changed to become what she calls, "morally based politics."
Artfest for the Avant-Garde
Here in Santa Fe we've got festivals for everything from the summer solstice for theater, for the visual arts, for film (both the Hollywood and independent varieties) and dance. Any art form, it seems, as long as it's "safe," acceptable, mainstreaming, risk-free and given a nod of approval by highbrow cultural vultures and academically trained critics, can find favor in Santa Fe.
With the exception that the Santa Fe Council for the Arts is not making any plans at this time for a four-day festival of avant-garde or politically inspired art—consisting mostly of new music, poetry and performance—I find favor in the one festival that supports an art and a chamber music festival? Will the same people that flock to hear Stravinsky and Copland rush off to see John Cage, Jackson MacLow, Malcolm Goldstein, Charles Amirkhanian, Carol Law, Carolyn Forche and a pantheon of other talents?
Unfortunately, the Council won't know the answer to this question until its festival, Tone Roads West: Poetry and New Music, is over sometime late next month. Until then it is only hope that Santa Feans are going to welcome the chance to see some of the most important, innovative new musicians and poets in the country perform together in a highly structured way that encourages the exchange of ideas.
Tone Roads West, whose title comes from a particularly poetic Charles Olson poem entitled "Tone Roads," was the brainchild of Suzanne Jamison, administrator of the Santa Fe Council for the Arts and overall coordinator of the festival, which will run from Thursday, March 17, to Sunday, March 20, in the St. Francis Auditorium. "The idea was to provide a structure that would bring together the poets, musicians, critics and let them interact with each other," Jamison said. "Then, watch the dynamics take place!"
Santa Fe has long been a center of new music thanks to the work of composer, musician and music publisher Peter Garland and composers Joseph Weber, Gardner Jencks, Tom Ehrlich and others, but it has been home for poets for the last 50 years. The festival, then, is really a call for national luminaries and local talents to "come together."
The local poets who are answering this call are: Arthur She (who also is functioning as the festival's director), Peter Garland, Brad, Mark Abel, Benjaminberg, Joey Harpo, Philip Alexander, Jimmy Baca, Simon Ortiz, Laci Tapalosono, Carol Cellucci, Harold Littlefield, Leo Romero and Nathaniel Tarn. The New York poets are being represented by Garland (who is the music coordinator of the festival) and Joseph Weber. The international poets and artists with repertoires to call are the poets Jackson MacLow and Carolyn Forche, composer Malcolm Goldstein and performance artists Charles Amirkhanian and Malcolm Goldstein. Forche, a journalist and human rights activist as well as a poet, has traveled extensively in El Salvador, translating the poetry of Salvadoran poet Claudia Arjona and testifying before Amnesty International and the International Commission of Jurists on human rights violations in that troubled country. Her book of poetry, "The Awakening of the Tribes," won the Yale Series of Younger Poets Award in 1976. Her ground work, "This Country Belongs Us," dealing with the border, ranks as one of the most discussed volumes of poetry in years.
Writing in the February issue of American Poetry Review, Sharon Olds Chicago said, "The country belongs to us." "That's poetry of terrible witness." In addition to her poetry reading with Jackson MacLow on Saturday at 7 p.m., Forche will also deliver a free public lecture on El Salvador on Friday at 7 p.m.
MacLow, now 60, might be called the granddaddy man of the early-60s avant-garde poetry scene. He is credited with giving impetus to the Fluxus Movement in literature by publishing "Fluxus Anthology" in 1964. In the late '60s he participated in the creation of computer-assisted poetry for the art and technology program of the Los Angeles County Museum of Art. His innovative experiments with electronic poetry, so central to the work of the dadaists of the '20s, are exemplified in "22 Light Poems." His most recent works are "Representative Works" and "From Pearl Harbor Day to FDR's Birthday." MacLow, who had performed with John Cage, will be with us this weekend with his wife, composer Malcolm Goldstein, on Friday at 8:15 p.m. On Sunday, he and Goldstein will conduct a discussion, Poetry and New Music Collaboration, at 2 p.m.
Goldstein is one of the best-known composers and performers of the avant-garde today. He has been active, mostly in New York, since the '60s and has pioneered new performances and media and innovated new improvisational attitudes in music. Besides appearing with MacLow in concert Friday night and in discussion with him Sunday, Goldstein will be premiering a new work with an ensemble of Santa Fe musicians called "The Seasons: Vermont/Winter, Vermont/Spring" on Sunday at 8:30 p.m.
Performers Charles Amirkhanian and Carol Law will round out the list of guest artists. Amirkhanian, a one-time radio director for KQED radio station, KQED in Berkeley, Calif., is the country's leading "text-sound" composer, a genre that combines the elements of music and poetry. Amirkhanian uses verbal information, with tape loops, multitrack recording techniques and digital modulation to produce startling aural images. His partner, Law, works with visual images. In the past, she has worked one of the most unorthodox and exciting visual artists in the Bay Area—and is involved in inventing, developing and teaching of calligraphy. In her work with Amirkhanian, Law will create mobile images by manipulating slides, projectors and a slide-dissecting unit. Her work deals with the theme of wind in the four-day festival with a program called "Hypothetical Moments," which will be performed at 8:30 p.m. Sunday.
The price of tickets for all concerts, readings and discussions costs $30. Single tickets, which will only be available at the door, will range in price from $4 to $8, depending on the nature of the event. The $30 on-line ticket, however, will not cover the special benefit premiere of video artist Woody Vasulka's video piece "The Wind," which will be shown at 7:30 p.m. at C.G. Reis Gallery. Tickets for this event are $8. For tickets or more information about Tone Roads West, call the Santa Fe Council for the Arts at 988-1878.
Poet-activist criticizes Salvadoran rulers
By ROBERT STOREY
The New Mexican Staff
Opponents of a Reagan administration plan to step up military aid to El Salvador say they may not be able to block the increase but hope Congress will reduce the amount and require negotiations with rebel groups.
"We know there is a difference between what people believe morally and what they can achieve politically," said human rights activist and award winning poet Carolyn Forche on Friday evening.
"Personally I would like to see all aid to the Salvadoran government stopped overnight, but that is politically impractical. What we'd like to see and what we think is achievable is a requirement on the aid bill that the government be required to negotiate," she said.
Forche said that when she was in El Salvador she witnessed brutality, oppression of the peasants and government corruption.
She lectured to about 120 people gathered in the St. Francis Auditorium in an event sponsored by the Santa Fe Council for the Arts and the Santa Fe chapter of Clergy and Laity Concerned.
Her hour-long lecture was part of Central America Week, a nation-wide observance which began Friday.
Forche said the major problem in El Salvador, which is locked in a bitter civil war, is that the corrupt government is run by a small military clique.
The current struggle has cost the lives of at least 40,000 civilians caught in the middle between right-wing military groups and guerrillas, she said.
A few years ago, the Salvadoran officer corps numbered only about 5,000, out of a national population of about 5 million.
However, most presidents elected in the past 50 years have been backed by the military.
"You need to understand that it is not the individual persons who are in office or who are in authority who run El Salvador, it is the system which runs the country," Forche said.
A military background and attitude is instilled in El Salvador's ruling class from early childhood, she said. After attending military academies where early ties and loyalties are established, El Salvadoran officers may serve for 20 years in a carefully controlled and developed system before receiving their chance at power.
Forche claimed that for the past 20 years, military leaders have been siphoning off both economic and military aid for their own use. They also have developed an extensive system of corruption dependent on continued U.S. aid, she charged.
"I've talked with many different American advisers in Salvador, and many of them have the attitude about the government that they may be bastards, but at least they are our bastards," she said.
If you're one of millions who have come to regard television as the most trivial of media, Woody Vasulka may open your eyes to its creative potency in the hands of a true craftsman.
His new video opera, *The Commission*, received its world premiere Wednesday at the C.G. Rein Gallery in a benefit performance for the Tone Roads West music and poetry festival.
The opera, a true collaborative creation, recounts the macabre story of Paganini in his last years. The epilogue tells of 30 subsequent years before his shabbily embalmed body reaches its final resting place.
The textual music of Paganini and Berlioz was created and performed by Ernest Gusella and Robert Ashley, respectively.
Our physical revulsion toward these gruesome details is mitigated by the humor of Ashley's marvelously irreverent recreation of Berlioz, which he somewhere between Sam Ervin and Bob Dylan. Gusella's Paganini is a tortured, Christ-like figure who communicates through his 10-year-old son, placidly portrayed by Ben Harris.
*The Commission* is a powerful, exquisitely crafted work. I doubt that many of Wednesday's audience of 125 will soon forget Paganini's bizarre tale, and some of us are hungry to know more.
---
El Salvador strife focus of poet's lecture
Poet Carolyn Forche will give a free lecture at 7 p.m. today on the current bloodshed in El Salvador.
Her talk in the St. Francis Auditorium of the Museum of Fine Arts is being co-sponsored by the Santa Fe Council of the Arts' Tone Roads West festival and by Clergy and Laity Concerned.
Forche's latest book of poems, *The Country Between Us*, grew from her experiences as a journalist and human rights observer in El Salvador. She recently returned from a month in Central America.
On Saturday, Forche will lecture on the work of Salvadoran poet Claribel Alegría at 3 p.m. and will read from her own work at 7 p.m., also in St. Francis Auditorium.
For information, call the Arts Council at 988-1878.
Tone Roads: Where words and music meet
Inside: Art by Indian youth in limelight
Festival celebrates poetry, new music
By JON BOWMAN
The New Mexican Staff
Poetry is seldom viewed as a public art.
We go out to concerts, films, plays and dance performances, but usually stay at home, next to a blazing fire, with a bottle of wine, when we're in the mood for poetry.
Poets themselves are seen as kin to hermits. Some may scrawl on their lines at the local bar, but in popular view, the best poets work by candlelight in the hours of the night, closed up to the world.
Tone Roads West, sponsored by the Santa Fe Council for the Arts, probably won't change all our ingrained stereotypes about poets and their writings.
It promises, however, to be the most visible, public celebration of poetry yet to be seen in this town.
The four-day festival, which opens Thursday, will expose Santa Feans to a wide range of new American music, the kind often said to be on the cutting edge.
The seed for Tone Roads West was sown a year ago when five regional poets and Santa Fe composer Peter Garland joined together for a public presentation at St. John's College.
Calling themselves "the Verse Squad," the poets and composers had much in common with Garland. Through the collaboration, their poetry and music gained a new, shared dimension and a wider audience than either might receive alone.
Tone Roads West also will be a joint venture, but on a much grander scale.
Twelve New Mexico poets and two prominent poets from out-of-state — Carolyn Forché and Joseph Weber — will participate in the festival, based at St. Francis Auditorium.
Composers will have strong representation, performing their own works in nightly concerts. In some cases, poets and composers will share the stage, attempting to meld words with music.
Susan Jamison, executive director of the Arts Council, said the festival will be the first in Santa Fe — and one of only a handful anywhere — to combine the two art forms.
"It just seemed like it was time to do something like this — to put the different people together and see how they develop," she said.
Another goal of the festival, she said, is to get poets, writers and composers to rub elbows with more widely-known artists from outside New Mexico.
"When you bring in people from out of town, that's a valid thing to do," she said. "But when you bring people in, there needs to be a way for them to interact with other people in the town, so when they leave, they leave something behind."
Although Tone Roads West will explore the links between poetry and music, development of the festival program was entrusted to two people, representing each of the featured art forms: Garland served as music coordinator and Arthur Sze organized the poetry events.
Garland said the festival — with five concerts scheduled over its four-day span — will offer "the biggest amount of contemporary music I've ever seen in a small space of time in New Mexico."
The emphasis will be on non-commercial and experimental music, including two nights of original works by Garland and Santa Fe composer Joseph Weber. In addition, concerts will be given by composer/violinist Malcolm Goldstein of Vermont, poet Maxine Kumin of Maine, New York-based performance artists Charles Amirkhanian and Carol Law. (see accompanying schedule for times and places)
Garland described Goldstein as "one of the premier violinists of the avant-garde" and a champion of improvisational playing techniques.
Goldstein's first appearance at the festival will be next Friday, March 18, when he will perform with Max Law, a close friend.
Goldstein's major concert will be next Saturday, March 19. At that time he will direct an ensemble of Santa Fe musicians in the world premiere of his The Seasons: Vermon/Winter, a 20-minute piece, which he has been working on for more than a decade. He also will perform his solo piece Mayan Song, Illuminated and a piece called Sounding.
"It's going to be a very ambitious program," Garland said.
Amirkhanian and Law will close out the festival next Sunday, March 20, with a performance of their work, Hypothetical Moments.
Garland said the performance will involve not only live music, but the use of multiple projectors, taped sound and other effects. "It sort of crosses over the realm into performance theater," he said.
Sze said the poetry program will be equally eclectic, bringing together poets from different ethnic backgrounds with varying styles and concerns.
"I think there's a lot of strong poetry going on and it's multi-cultural," he said. "My overall goal was to draw on the talents in New Mexico. Rather than pick out these individual voices, I wanted to play different writers against each other. I think there's more music in that."
The festival will open Thursday with a reading by poets including Mei-Wei Bersenbrugge, John Brandi, Joy Harjo and Sze, all working in New Mexico.
Two other readings will feature poets from the state. On Saturday, March 19, Floyce Alexander, Jimmy Santiago, Simon Ortiz and Luci Tapahonso will join together. The following day, a poetry concert will be given by Carol Cellucci, Harold Littlebird, Leo Romero and Nathaniel Tarn.
"Most of us know each other," Sze said. "I tried to select the best as well."
as a few voices I think deserve to be heard."
The visiting poets participating in the festival — Mac Low and Forche — will read their work at 7:30 p.m. Forche, who formerly lived in Taos, has traveled extensively in El Salvador as a journalist and human rights advocate. Her book of poems, *The Country Between Us*, whose imagery is rooted in Forche's Salvadoran experiences, was the Lamont Selection of the Academy of American Poets in 1981.
Mac Low has been a poetic innovator since the 1950s, experimenting with chance use of language, distortion of syntax and blending of poetry with other art forms such as dance, music and painting. His major appearance here will be his collaboration with musician Goldstein.
**Four-day Tone Roads a first for Santa Fe**
Here is the schedule of events for *Tone Roads West*, Santa Fe's first joint poetry and new music festival. All events will take place at the St. Francis Auditorium, except where noted. Tickets are $4 for poetry readings, $6 for concerts, $2 for lectures, available at the door. Series passes also may be purchased for $30 by calling the Santa Fe Council of the Arts, 388-1878.
**Wednesday, March 16**
Woody Vasulka's video opera *The Commission* will receive its premiere in a benefit for the festival, 7:30 p.m., at C.G Rein Gallery, 122 W. San Francisco. Admission $8.
**Thursday, March 17**
Poetry reading — featuring Mei-Mei Berssenbrugge, John Brandt, Jo Harjo and Arthur Sze, 7 p.m.
New music concert — Works by Santa Fe composers including Labyrinth and an untitled piece for solo piano and the premiere of Fantasies, Organs, Dances and Hymns for the St. Francis organ.
**Friday, March 18**
Lecture — on El Salvador by poet and human rights advocate Carolyn Forche. Co-sponsored by Clergy and Laity Concerned, 7 p.m. Free.
Performance — Poet Jackson Mac Low accompanied by violinist Malcolm Goldstein, 8:15 p.m.
New music concert — Works by Santa Fean Peter Garland, including Three Days, The Songs of the Dead and Mallethim Dances, 9:30 p.m.
**Saturday, March 19**
Poetry reading — featuring Floyce Alexander, Jimmy Santiago Baca, Simon Ortiz and Luci Tapahonso, 1 p.m.
**Sunday, March 20**
Discussion — a poetry and new music collaboration, with Malcolm Goldstein and Jackson Mac Low, 2 p.m., in the Museum of Fine Arts Conference Room.
Poetry reading — featuring Carol Cellucci, Harold Littlebird, Leo Romero and Nataniel Tarn, 6 p.m.
New music performance — Charles Amirkhanian and Carol Law will do Hypothetical Moments, a performance piece using voice, music, text, projectors and an ensemble, 8:30 p.m.
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**Experimental video opera to be unveiled at benefit**
*The Commission*, a long-awaited video opera by Santa Fean Woody Vasulka, will receive its premiere Wednesday night as a benefit for *Tone Roads West*, the poetry and new music festival.
The video work will be shown at 7:30 p.m. at C.G Rein Gallery, 122 W. San Francisco. Tickets are $8.
Vasulka will be joined by poets and composers participating in *Tone Roads West* at the showing. Attire for the event will be casual.
*The Commission* is an experimental video opera inspired by a historic event involving the French composer Hector Berlioz and the violinist Paganini — superstar violinist of the 19th century.
As the video opera unfolds, a fraudulent commission is given to the then-unknown Berlioz. It is supposedly from Paganini, whose real motives are unknown. In fact, the whole tale is a publicity stunt staged by Berlioz's publisher.
*The Commission* delves into Paganini's extraordinary life and bizarre character. The work is not strictly a historical narrative, however. At times it takes a decisive turn toward the abstract.
The cast includes local and national figures. Composer Robert Ashley portrays Paganini, while video artist Ernest Gusella appears as Paganini and Ben Harris is as his wife. Cosimo Corsano plays the Mortician and the voice of Paganini is heard as The Voice.
The Czechobolovakian-born composer and his wife and co-worker, Steina, produced *The Commission*. They received assistance from the National Endowment for the Arts and New Mexico Arts Division.
The two are pioneers in experimental video. In the 1960s, they founded The Kitchen in New York, one of the country's most widely known alternative performing spaces.
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**On the cover**
This week's cover was designed by Mona Kay using a Marcia Mikulak photograph of Bradford Smith's sculpture/set for Woody Vasulka's video work *The Commission*.
'Tone Roads' Lead To Creative Encounter
When Copland's music first came out, the musicians looked at it and said it was impossible. Now, with thousands of performances behind them, it seems quite acceptable.
Take for instance violinist/composer Malcolm Goldstein. He will direct an ensemble of Santa Fe musicians in the world premiere of his "The Seasons: Vermeer's Four Seasons."
An article in The Village Voice stated that Goldstein had "reinvented violin playing." Whether that is true is open to debate. A quick look at the scores to his music leaves little doubt that he has, at least, added a new wrinkle or two to the art of writing musical scores.
His scores indicate rhythmic patterns, textures and duration through a variety of symbols, such as a map that he drew in his score Vermeer which serves as the musical score to "The Seasons."
Music coordinator Peter Garland is a composer of experimental music himself and he fairly bristles at the suggestion that such work may be intellectual noodling. It is different, he will admit. But so, a few years ago was Aaron Copland's music.
Much of the difficulty is hard to understand and hard to play is that there is no performance tradition," Garland said. "When Copland's music first came out, the musicians looked at it and said it was impossible. Now, with thousands of performances behind them, it seems quite acceptable."
Experimentation seems to have less emphasis on the poetry side of the program. Poetry coordinator Arthur Sze himself the recipient of several awards and fellowships, said he wants New Mexican poets to read their work. The group includes Native Americans Simon Ortiz, Joy Harjo, Luci Tapahonso and Harold Littlebird; Chicano writers Leo Romero and Emilio Santiago Baca; Chinese-American poets Sze and Mei-Mei Berssenbrugge as well as culturally unidentified Nathaniel Tarn, Carol Cellucci, John Brandi and Floyce Alexander.
"Because we have a strong writing community here, I tried to get people who represent this multi-cultural group," Sze said. "One of the things I wanted to do, because most of us are well known to local audiences and a lot of solo readings, was to bring a group of different poets. So instead of having one poet read I am putting four together at one time and we'll play the voices against each other."
Poetical poet Carolyn Porché is one of two nationally acclaimed poets who will participate in the series. She has received fellowships from the Gugg
'Tone Roads' Lead To Creative Encounter
Continued From C-1
genheim Foundation and the National Endowment for the Arts and has published two award-winning books of poetry, "Gathering the Tribes" and "The Country Between Us."
Forché has travelled extensively in El Salvador as a journalist and will give a talk about human rights. She will also lecture on the work of Claribel Alegría, a Salvadoran poet, and read her poetry.
"Carolyn Forché is a good strong voice," Sze said. "I think she will add a lot of dimension to this. The other guest poet, Jackson MacLow, is a composer and performance artist as well as a writer. He was pivotal in this event because we aren't just doing a poetry festival or a music festival.
"We are going to have music mixed with poetry and performance, and then people who are interested in poetry might have a chance to hear new music and vice versa. And since MacLow has been doing these concert and poetry readings for years, I feel he is sort of a bridge between the two."
MacLow, an experimental poet, is the only avant-garde writer among the poets. The musicians and composers, however, more than make up for the poets' traditionalism.
"My idea in selecting the composers and musicians for 'Tone Roads West' was to bring together half local and half out-of-town artists to showcase the strong emerging local talent with recognized artists from other parts of the country. Part of my criteria was to try and select people who crossed the boundaries between literature and music," Garland said.
"For instance, Charles Amirkhanian uses text material almost exclusively for his musical material. He works with tape recorders and instead of playing notes on instruments, he uses bits of text and words to make music. Very much in the tradition of Gertrude Stein and some of the French Dadaists."
Amirkhanian and his wife Carol Law, a visual artist, work in a relatively new intermedia field known as performance art. They combine music, slide projectors, lighting, tape recorders and sundry other materials into what the festival organizers say is "a closing night spectacle."
An Instrument of Infinite Complexity
By KEN AUSUBEL
Editor's note: Santa Fe resident Woody Vasulka is a nationally known video artist and, along with his wife and co-worker Steina, is a pioneer in the field of video art and computer video. Born in Brno, Czechoslovakia, in 1937, Vasulka studied metal technology and became an engineer at the state-owned plant of industrial engineering. Then he entered the film-making program at the prestigious Academy of Performing Arts in Prague where he began to produce and direct short films. In 1965 he emigrated to the United States and worked in New York City as a freelance film editor for several years.
In 1967 he began to experiment with electronic music, strobeoscopic lights and video. In 1974 he was appointed associate professor in the Center for Video Arts at the State University of New York at Buffalo. At this time he began his experiments with computer-generated and computer-manipulated video images. His most recent work in the construction of what has now become known as The Vasulka Imaging System.
On the following pages, Vasulka's newest work, a video opera titled "The Commission," will be shown its first performance at the C.G. Johnson Gallery in Santa Fe. Based loosely on the life of Niccolo Paganini, the legendary 19th-century violinist, "The Commission" marks the first time that Vasulka has applied his video-imaging techniques to a narrative structure.
The following interview was excerpted from a longer one conducted by Santa Fe video-maker, Ken Ausubel.
Ausubel: Were you always interested in mechanics?
Vasulka: My father had a workshop and was a mechanic. He repaired cars during the war in Czechoslovakia. We lived across from an airfield. My first interest as a kid was to take machines apart. I was always very close to the airport because I could take the most complicated machine of the era—the German fighter planes—and play with them. My system was open in these graveyards of airplanes. You could find everything there that would yield you a tool.
Ausubel: Were you always interested in mechanics?
Vasulka: My father had a workshop and was a mechanic. He repaired cars during the war in Czechoslovakia. We lived across from an airfield. My first interest as a kid was to take machines apart. I was always very close to the airport because I could take the most complicated machine of the era—the German fighter planes—and play with them. My system was open in these graveyards of airplanes. You could find everything there that would yield you a tool.
Ausubel: Were you always interested in mechanics?
Vasulka: My father had a workshop and was a mechanic. He repaired cars during the war in Czechoslovakia. We lived across from an airfield. My first interest as a kid was to take machines apart. I was always very close to the airport because I could take the most complicated machine of the era—the German fighter planes—and play with them. My system was open in these graveyards of airplanes. You could find everything there that would yield you a tool.
Eventually I began to realize—here let me paraphrase video-musician Nam June Paik—that there is no such simple tool you'll use it for a while like a child uses a simple toy. There is no awn because you will outgrow the challenge. But you have made a tool that is infinitely complicated. It will fascinate you for your whole life. What I've been trying to do is to invent tools that contain more mystery than I could possibly imagine. That's what characterizes our generation. We don't want to be served by the tool rather than being served by it.
Ausubel: How did you get into video?
Vasulka: After the war, the art scene in Czechoslovakia was dominated by socialist realism (the official Communist Party line) that forbade any style of art or literature that deviated from strict realism. Everything was overrated. Any notion of any kind of experimentalism in media was looked on like a notion of the avant-garde of the '20s. Though the garden of Eden was not lost before long, by the time I grew up, the left was already bankrupt. It was associated with the most repressive regimes and suppressive experimentation. I'm talking about the Czech situation.
We, as a generation growing up in a film environment—like the film school of which I was a product—were frustrated by the limits of experimentation. We paid no attention to what's called the "medium-basis of information," or understand a formal investigation of the medium for its own sake. We were interested in what ideologies are interested in, which is largely mythological, so we went to a film school. In film school, we followed the metaphorical approach. Maybe you could disguise political opinion in a metaphorical way.
But when I came to the States in 1965, I discovered there was a whole generation of practicing film-makers called the "structuralists" who paid close attention to what the European avant-garde of the '20s did. But their artists extended it further. They were about the investigation of the medium itself: film surface, motion, elements, information within a frame. Suddenly, I came to recognize the materiality of the medium, the medium has its own truth. All this produced a new generation of artists.
Then, in 1968, I began to experiment with video in New York. About that time it hit me that video is a medium in which you want to work. I was interested in this metaphysical concept—that an image is an energy system.
Vasulka: What was the nature of your early work with video?
Vasulka: The nature of our early work was generative—abstract or non-representational. We generated "images through electronic systems. We produced numerous tapes that included this aspect of video—what some people call "abstract art." But that is just a transposition of one aesthetic term from abstract painting to another electronic environment.
Right from the beginning, we felt challenged to see television as a perception system. We weren't interested in aesthetic results. You see, film moves at the rate of 24 frames per second, but video moves at 30 fields per second. Video encodes many more images per second than film can. And we had devices that can work with a single field.
Ausubel: What was your role in the development of computer video?
Vasulka: In the early '70s, we happened to be with a group of people who were working with video, and they made an effort to bring video into the computer environment. We had only one way of doing it. We built a separate small computer next to the general-purpose computer. We made a video system, which in them, which communicated synchronously, even though it was not an internal device because it's native to their technology systems to copulate.
We defined a basic set of rules and parameters that were the first manifestations of what is called "video art." Our contribution, really, was to define the computer as a video art instrument. Even now there is still a debate on whether there is, in fact, amazing video images are not the art initiated but those that are mathematically or numerically initiated. Then I have to ask myself: Which one is the radical image? Not, which one is the most beautiful?
Ausubel: Some of your work appears to be looking into areas of human perception and cognition.
Vasulka: Yes. For instance, we found we could change the color of each pixel individually, or what we called "perceptually induced mixes." But there are other perception systems and cognitive interpretations. We discovered that a particular event, like computer feedback, correlates preceding and succeeding events. So when you look at a series of images, each completely different image, you find out that your vision interprets them logically. Actually, the images are cognitively interpreted.
It's not only discovering the materiality of video, but also the changes we, but it is already a pleasure to see these images and the changes in them.
Ausubel: Do you often call a video artist?
Vasulka: No. It's just a term through which you must live. A few years ago, I didn't need the term at all. "Video artist" already indicates a set of limitations. It's basically a commercial term. "Video art" was coined by the galleries because they had to handle the product, but it really doesn't mean much.
Personally, it's not my ambition to be a video artist. I'm just very grateful that I could find some medium in which I could do a practical philosophy. The other models I'm pragmatic enough to use because they raise issues.
Ausubel: What do you mean by "practical philosopher"?
Vasulka: The whole idea of aesthetic terms like romanticism and philosophical terms like time and energy were rather abstract to me. Video is a medium that exposes us to a specific system of time and energy. Suddenly, energy becomes a certain set of brightnesses and times. The location of this particular energy on the time factor, which is a frame in video. Suddenly, the abstract concept of light or location of light in time becomes something very palpable. Through this medium I could enter a practical philosophy of time and energy as a means of expression.
Ausubel: Do you consider yourself an artist?
Vasulka: In a way, I don't think so. In my personal terms, it is not my ambition. In the process of experimentation, there are two processes: one succeeds or it fails. But art must succeed; there's no "failed art." I don't want to live with the necessity of being successful, and that's what art is.
Ausubel: Is technology integral to your work?
Vasulka: Yes. I respect art, and all the things in my life have something to do with that. If I would deconstruct my mind, I would probably find that at the bottom I have some kind of desire to produce art. Yet consciously, I'm trying to walk the furthest circuit around it.
Personally, I would call my work "technology determinist," that is, no longer interested in technology. What I am driven by is a curiosity about the world. I do want to find out if there are any codes or patterns that allow us to create that sometimes border on art, but this is definitely not part of an aesthetic system.
Ausubel: How did you come to create your video opera, "The Commission?"
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Infinite Complexity
(Continued from Page 19)
Vasulka: I wanted to work with the larger symbolic narrative systems that are integrated into general cultural archetypes, like opera. I asked myself: Is there an application of those primary video codes—which you arrive at by experimentation, investigation or just pure visual joy—that you can possibly apply to this more established genre? This opera was a rather formal exercise for me in which I took certain imaging structures from past work and transposed them into a narrative context.
Still, in the work I'm not really saying anything through thought or conscious, spoken ideas; the meaning of the opera is still communicated in the sense of the medium. I don't like thought-produced meaning; I prefer an image-produced paradox that subverts thought. Perhaps the opera will work, perhaps not. That is another question. It was done as an experiment.
Ausubel: Much of your work in the past has been done in the academic worlds in the East. Now that you've come to Santa Fe, do you see your work changing?
Vasulka: As long as I was involved in discovering or summarizing the phenomenology of electronic imaging, I was able to teach. In many ways I was excited about teaching when I was discovering those codes. But then I moved on to application, innovation ceased and my involvement with my work became more personal. This work could not be communicated with any excitement because it became doubtful and insecure. When you start working, talking or trying to impose on someone else your own creative dilemma, it's a brutal and oppressive act. I was totally absorbed in what I was doing.
In general, I don't like to work. I don't want to get involved in any job. If I can avoid a job, I will. Not being involved in a job is very natural where I come from. Here in America there is a moral code that says a job means dignity. The idea of being lazy here is devastating. Where I come from, most of the fairy tales are about lazy people. A lot of the state of well-being is based on being extremely, extremely lazy. To be able to sit without guilt and to sleep until the sunset and just be heated by the sun. That's permitted. Here, of course, one gets under the spell of the rush of society. In the early years here, I submitted myself to that wonderful rush. Then I found out that it's not very interesting. So I'm trying to get away, as much as possible, from phone calls—even from getting up from my bed.
Ausubel: Would you agree, then, with Paul La Fargue, Karl Marx's son-in-law, that people have the right to be lazy?
Vasulka: The whole idea about activity and morality is very much a Western thought: There's no relief for people accused of being lazy. In my eyes, they are heroes. They submit themselves to the deepest possible torture. Any activity takes you into the area of optimism again. That's why people in the West like to travel or develop all sorts of activities; they hope to prevent death, improve finances, become mentally more healthy. True, it's profitable to be active, but the opposite is much more challenging.
Coming to Santa Fe is a retirement from my duties. I found out that this isn't a community to compete in, but one to contemplate. It's a privilege to be able to contemplate your life, but it's more difficult to contemplate than simply produce.
Woody Vasulka's video opera, "The Commission," will be presented as a benefit for Tone Roads West, a four day festival of poetry and new music, at the C.G. Rein Gallery (122 W. San Francisco) at 7:30 p.m. on Wednesday, March 16. Tickets, which are $8, can be reserved by calling 988-1878.
TONE ROADS WEST
Santa Fe as a year-round music center is growing by the proverbial leaps and bounds. What is most interesting and encouraging about this development is that much of the activity is conceived, performed, and organized by local musicians, in the teeth, as it were, of Santa Fe's often spectacular but seldom indigenous Opera and Chamber Music Festival.
Most active of the hometown types is the indefatigable Peter Garland, who at 30 is not only a composer and publisher of Soundings, one of the most useful and distinguished music journals in the world,
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NEWS continued:
but also organizes of Tone Roads West: Poetry and New Music, taking place in Santa Fe from March 16 to 20 (see the ARTlines Calendar for details).
The music programs will be highlighted by the benefit world premiere of The Commission, a video opera by Santa Fe's Woody Vasulka. From the Diary of an Edgewalker, Labyrinth, and a world premiere to be announced, all by local composer Joseph Weber, will be performed, as will compositions by Jackson MacLow and Garland, and a multi-media performance by Charles Amirikhanian and Carol Law.
Other Tone Roads West events include poetry readings by Mei-Mei Berssenbrugge, John Brandi, Joy Harjo, Arthur Sze, Carolyn Forche, Jimmy Santiago Baca, Simon Ortiz, Carol Cellucci, Harold Littlebird, Leo Romero, and others.
In an unrelated musical offering, California composer Lou Harrison will bring his puppet opera Richard Whitington, to Santa Fe's Armory for the Arts on March 10 and 11. Harrison was doing puppet opera when the Muppets were only a glint in Jim Henson's eye. Garland himself has written a puppet opera about the conquest of Mexico, which he hopes to present in 1984.
In April, fashionable composer Philip Glass will perform with an eight-member ensemble at Santa Fe's Lensic Theater on April 14.
A five-day festival to open in Santa Fe
By WILLIAM DUNNING
Monitor Correspondent
The voices of music and the music of voices blend this week in an unusual and ambitious undertaking sponsored by the Santa Fe Council for the Arts in the capital, blending music and poetry.
Tone Roads West is the title of this intense five-day festival that begins Wednesday and continues through Sunday. For series ticket information, you can call 988-1878. Tickets to single events are available at the door only. Except for the benefit opening event Wednesday, all performances are in St. Francis Auditorium at the Fine Arts Museum in Santa Fe.
Tone Roads West opens at 7:30 p.m., Wednesday with a premiere of a new form: video opera. It will be at the C.G. Rein Gallery, 122 West San Francisco. The work is titled "The Commission," and was produced by Woody Vasulka, the Czech-born video producer. Vasulka, who works with his wife Steina, prefers the term "experimenter" to "video artist," noting that he is not always successful. This lends a certain air of expectation to Wednesday's premiere. The plot revolves around an incident in the lives of composer Hector Berlioz and violinist Niccolo Paganini. Telephone the gallery to reserve a seat.
Thursday and Friday's programs begin at 7 p.m. at St. Francis Auditorium. A poetry reading by Mei-Mei Berssenbrugge, John Brandi, Joy Harjo and Arthur Sze, poetry coordinator for the events, begin the Thursday events. At 9:30 p.m., composer Joseph Weber will perform his new music, including a premiere. He is supposed to perform on the auditorium's McNary organ.
Friday's opening event at 7 p.m. is a free talk by poet Carolyn Forche about El Salvador. Forche is a human-rights advocate whose recent book, "The Country Between Us" is based on her time in El Salvador. At 8:15 p.m., poets Jackson MacLow and violinist Malcolm Goldstein start the new music, to be followed by Santa Fe composer and publisher Peter Garland. His music is drawn from Mexican and Native American sources, and sometimes reminds the listener of Carlos Chavez.
We may expect to hear Malcolm Goldstein in the "Matachin Dances" which Garland dedicated to him.
On Saturday, a poetry reading at 1 p.m. features Floice Alexander, Jimmy Santiago Baca, Simon Ortiz, and Luci Tapahonso. At 3 p.m., Carolyn Forche discusses Salvadorean poet Claribel Alegría in the Museum's conference room. Then at 7 p.m., she and Jackson MacLow read some of their poetry in the auditorium. Goldstein presents music in a 9:30 p.m. concert.
On Sunday, last day of the festival, Goldstein and MacLow talk about the fusion of poetry and music in the conference room at 2 p.m. Local poets Carol Cellucci, Harold Littlebird, Leo Romero and Nathaniel Tarn read at 6 p.m. in the auditorium, followed at 8:30 p.m. by Charles Amirkhanian and Carol Law with a multi-media new music work, "Hypothetical Moments."
Some of the big names in current new music, like Amirkhanian and Goldstein, will be joining prominent locals like Garland and Weber for the music-half of this event. Poets like Forche and MacLow as well as some bright names on the local scene, promise to make this a heady blend of voice and verse. It's good to see the festival is taking hold in Santa Fe, and to see the film, music and other events spreading out in the calendar.
For a preview of some of the music, you may want to get the record, "Garland: Matachin Dances," a record by Ronald Erickson, John Tenney, violins; Peter Garland, gourd rattles, on the Cold Blue label, E6.
These short dances, about 18 minutes total for the suite of six dances, based on the ancient Native American Indian tradition, are a subjective sort of recreation of the traditional sound. Except for two of them, No. 4, the Dance of Death, written in memory of John Lennon, and No. 5, Corcovi, the Night Bird, they have vigorous dancing rhythm that makes them come alive in the ear.
I found myself thinking more of Carlos Chavez and Mexican Indians than the New Mexico variety, though there is a feeling of home here, too. The performance might be more spiritedly, and perhaps will be repeated someday. Garland's music deserves more exposure to the listening public. This recording was made June 9, 1981 at a San Francisco new music festival.
Cold Blue Records of Los Angeles produces a clean sound in stereo, but packages the records in a soft package that is hard to dust-proof, a plastic cover or innerjacket is a worthwhile idea. You can get copies of this record from the composer at his Soundings Press, 948 Canyon Road, or probably during the Tone Roads West festival in Santa Fe.
POETRY AND MUSIC:
Four days and nights of new music performance and poetry. Presenting two nationally acclaimed poets, and also draws on some of New Mexico's best poets. All together in Santa Fe, from March 17 thru 20th, 1983.
TONE ROADS WEST, brings together leaders in the fields of sound/text composition, experimental poetry and new music composition and performance. Bringing this many brilliant minds to one stage will certainly set the creative sparks flying. TONE ROADS WEST offers the audience a rare opportunity to be present at the creation, to experience the dynamics of interaction between some of America's exceptional artists, writers and composers.
Undoubtedly one of the main attraction is the reading of poetry and the speaking of Carolyn Forche on human rights in El Salvador.
Carolyn Forche's first book of poems, Gathering the Tribes, won the Yale Series of Younger Poets Award in 1976. Subsequently, she received fellowships from John Simon Guggenheim Foundation and the National Endowment for the Arts. As a journalist and human rights advocate, she travelled extensively in El Salvador between January 1978 and March, 1980. She provided documentation to international human rights organizations, including Amnesty International and the International Commission of Jurists. Her second book of poems, The Country Between Us, was the Lamont Selection of the Academy of American Poets for 1981. It was published by Harper & Row, with a special edition by Copper Canyon Press.
Also featuring, a special opening night benefit premiere of the video-opera "The Commission" by Woody Vasulka. About a commission Hector Berlioz received to compose a work for Paganini, and which turned out to be fraudulent. In living color, on large screen, features composer Robert Ashley, videologist Errol Morris, Cosimo Corsana, Ben Harris and Andrea Harris, with sets by designer Bradford Smith. Camera work by Steina Vasulka.
Internationally-acclaimed video artist Woody Vasulka, was born in Czechoslovakia, and now lives in Santa Fe with his wife and co-worker Steina. In the early 70s they moved to New York, where they founded Kitchen, one of the best-known alternative performance spaces in the United States. Both are renowned for their pioneering work in extending the technical aesthetics of video, and for their integration of music and sound into this medium.
Internationally-acclaimed video artist Woody Vasulka was born in Czechoslovakia, and now lives in Santa Fe with his wife and co-worker Steina. In the early 70s they moved to New York, where they founded Kitchen, one of the best-known alternative performance spaces in the United States. Both are renowned for their pioneering work in extending the technical aesthetics of video, and for their integration of music and sound into this medium.
For all the reasons listed above and many more, we highly recommend this unique event that promises to be one most important in this field. For more information contact Suzanne Jamison ***
Series tickets are now available for "TONE ROADS WEST: POETRY AND NEW MUSIC," four days and nights of concerts, poetry readings, and lectures sponsored by the Santa Fe Council for the Arts. The events will be March 17-20 at St. Francis Auditorium and cost for the series is $30, or $15 for students, and are available at 108 Washington Ave. Call 988-1974 to make reservations.
Internationally recognized artists in sound/text composition, experimental poetry, new music composition and performance come together to create an experience. |
Consecutive monitoring of lifelong production of conidia by individual conidiophores of *Blumeria graminis* f. sp. *hordei* on barley leaves by digital microscopic techniques with electrostatic micromanipulation
Nobuyuki MORIURA\textsuperscript{a}, Yoshinori MATSUDA\textsuperscript{a}, Wataru OICHI\textsuperscript{a}, Shinya NAKASHIMA\textsuperscript{a}, Tatsuo HIRAI\textsuperscript{a}, Takeshi SAMESHIMA\textsuperscript{a}, Teruo NONOMURA\textsuperscript{a}, Koji KAKUTANI\textsuperscript{b}, Shin-ichi KUSAKARI\textsuperscript{c}, Katsuhide HIGASHI\textsuperscript{d}, Hideyoshi TOYODA\textsuperscript{a,*}
\textsuperscript{a}Laboratory of Plant Pathology and Biotechnology, Faculty of Agriculture, Kinki University, Nara 631-8505, Japan
\textsuperscript{b}Pharmaceutical Research and Technology Institute, Kinki University, Osaka 577-8502, Japan
\textsuperscript{c}Agricultural, Food and Environmental Sciences Research Center of Osaka Prefecture, Osaka 583-0862, Japan
\textsuperscript{d}Tsukuba Research Laboratory, Toagosei Co. Ltd., Ibaraki 300-2611, Japan
**Article history:**
Received 5 May 2005
Received in revised form 6 September 2005
Accepted 24 September 2005
Corresponding Editor: Nicholas P. Money
**Keywords:**
Barley powdery mildew
Conidiogenesis
Dielectric polarization
Electrostatic induction
Erysiphales
**Abstract**
Conidial formation and secession by living conidiophores of *Blumeria graminis* f. sp. *hordei* on barley leaves were consecutively monitored using a high-fidelity digital microscopic technique combined with electrostatic micromanipulation to trap the released conidia. Conidial chains formed on conidiophores through a series of septum-mediated division and growth of generative cells. Apical conidial cells on the conidiophores were abstracted after the conidial chains developed ten conidial cells. The conidia were electrically conductive, and a positive charge was induced in the cells by a negatively polarized insulator probe (ebonite). The electrostatic force between the conidia and the insulator was used to attract the abstracted conidia from the conidiophores on leaves. This conidium movement from the targeted conidiophore to the rod was directly viewed under the digital microscope, and the length of the interval between conidial septation and secession, the total number of the conidia produced by a single conidiophore, and the modes of conidiogenesis were clarified. During the stage of conidial secession, the generative cells pushed new conidial cells upwards by repeated division and growth. The successive release of two apical conidia was synchronized with the successive septation and growth of a generative cell. The release ceased after 4–5 conidia were released without division and growth of the generative cell. Thus, the life of an individual conidiophore (from the erection of the conidiophore to the release of the final conidium) was shown to be 107 h and to produce an average of 33 conidia. To our knowledge, this is the first report on the direct estimation of life-long conidial production by a powdery mildew on host leaves.
© 2005 The British Mycological Society. Published by Elsevier Ltd. All rights reserved.
* Corresponding author.
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0953-7562/$ – see front matter © 2005 The British Mycological Society. Published by Elsevier Ltd. All rights reserved.
doi:10.1016/j.mycres.2005.09.007
Introduction
The powdery mildew fungi are among the most ubiquitous plant pathogens. Their parasitism is characterized in part by the formation of superficial hyphae carrying dense layers of conidiophores in which generative cells successively produce abundant conidia (Jarvis et al. 2002). Mature conidia are abstricted from the apex of conidiophores and easily dispersed by wind to infect neighbouring host plants. Although the fungi reproduce both asexually and sexually, asexual reproduction is more important for the propagation of the species because of the high number of propagules produced. Furthermore, the asexual cycle is usually repeated several times during the season, whereas the sexual stage of many fungi is produced once a year or irregularly. In addition, spore production is important to plant pathologists because spores are the major vehicle for fungal infection of plants (Aylor 1990, Brown & Hovmøller 2002, Jarvis et al. 2002).
Considering the high fertility of the powdery mildew fungi, our interest has been directed toward analyzing the factors affecting the conidial production and release by the conidiophores, for the effective control of the pathogen. For this purpose, however, it was of basic importance to develop a method for consecutively monitoring and quantifying the production of progeny conidia by individual conidiophores throughout their life. Conidiophores on the leaf surface are the most suitable targets for investigating conidium production, but microscopic monitoring of individuals is often difficult because of the numerous conidiophores in the colonies. This problem is more serious in the powdery mildew fungi which form conidia in chains. The colonies of these powdery mildews develop large numbers of conidiophores at different ages and with a different number of conidial cells, especially at the middle or last stage of conidiogenesis (Agrios 1988). This makes it more difficult to elucidate developmental aspects in living conidiophores of the colonies. In the present study, we use powdery mildew of barley, Blumeria graminis f. sp. hordei, as a model for conidial chain-forming fungi and clarify the developmental process of conidiogenesis by monitoring living conidiophores during their lifetime.
One of the most basic and effective analyses of conidiogenesis is the consecutive observation of living conidiophores on host leaves over time. For this purpose, we have used a high-fidelity digital microscope (Matsuda et al. 2005; Oichi et al. 2004) to obtain high magnification with high resolution and to dispense with both bleaching the leaves and staining the fungus. With this type of microscopy, it was possible to observe septation in conidiophores and the successive formation of individual conidia of Oidium neolycorensici on living tomato leaves (Oichi et al. 2004), as well as to distinguish the appressorial germ tubes produced by living conidia of different powdery mildews on the same leaves (Matsuda et al. 2005). Moreover, because the leaf is not covered with a glass coverslip, the living fungus on the leaf surface can be manipulated directly under the digital microscope (Matsuda et al. 2005). These advantageous techniques can also be successfully combined with an electrostatic micromanipulation technique to collect the mature conidia abstricted from target conidiophores. The technique is fundamentally different from conventional electrostatic precipitation methods for collecting airborne microorganisms aerosolized by spraying ionizing agents (Lee et al. 2004; Mitchell et al. 2002).
Cell walls of bacteria, yeast and plant cells act as an electrical conductor under an electrostatic field (Mizuno & Washizu 1995). A negatively polarized insulator causes free electrons to move within cell walls to produce a dipolar charge (electrostatic induction): a positive charge on the side of the insulator and a negative charge on the opposite side (Griffith 2004, Halliday et al. 2002). Fungal spores can act as electrical conductors and can be statically charged using negatively polarized insulators. The electrostatic force between the charged spore and a polarized insulator can be harnessed to collect airborne microorganisms. In this study, a dielectrically polarized insulator (ebonite) probe is used as an electrified spore-collector to trap the conidia released from the conidiophores as they are viewed with the digital microscope. We could therefore collect individual conidia one at a time without altering their infectivity. The method reported here is a powerful tool to trace the lifelong secession of the conidia from selected conidiophores, to determine the total production of conidia on leaves and to evaluate the fertility of barley powdery mildew fungi during their lifetime.
Materials and methods
Plant, pathogen and inoculation
Seeds of barley (*Hordeum vulgare* cv. ‘Gose-shikoku’) were germinated on a water-soaked filter paper and placed into a sponge cube (1 cm$^3$). The sponge cube and seed were then inserted into the top portion of a 10 ml test tube containing autoclaved fertilizer-soaked vermiculite and incubated for 12 d in a growth chamber that was controlled at $20 \pm 0.5^\circ$C under continuous illumination at 4000 lux with fluorescent lights. Fully developed primary leaves of 10-d-old seedlings were inoculated with newly produced conidia of barley powdery mildew (*Blumeria graminis* f. sp. *hordei*, race I) according to the method described by Toyoda et al. (1987). Voucher material of the fungus used is preserved in Herbarium Preservation Section of Kinki University.
Staining of conidiophores with fluorescent brightener and fluorescent microscopy
A fluorescent brightener, Calcofluor white (CFW; Sigma, MO), was used to stain conidiophores on barley leaves according to a previous method (McIntyre et al. 2001). A few drops of distilled water containing CFW at 300 $\mu$g ml$^{-1}$ were placed onto inoculated barley leaves and incubated at room temperature for 5 min. Fluorescence-stained conidiophores were observed with an Olympus fluorescence microscope BX-60 (U excitation with BP330-385 excitation filter and BA420 absorption filter).
Digital microscopic observation
The test tube with an inoculated seedling was placed on the stage of a high-fidelity digital microscope KH-2700 (Hirox, Tokyo) that was set in a growth cabinet ($20 \pm 1^\circ$C; relative humidity, 45-55%; continuous illumination of 4000 lux with
fluorescent lights), and conidiophores on the inoculated leaf were observed directly using an objective zoom lens, either MX-252SCS (1000×) or MX-5030RZII (50×) (Fig 1A). Digitized images of the conidiophores were automatically obtained at 5-min intervals at the same focal point with a 1/2” Interline Transfer CCD camera and produced on a computer with Adobe Photoshop software (version 5.0) (Adobe, San Jose, CA). For consecutive tracing of the formation of a chain of conidial cells, new conidiophores at the outer edge of the colonies (boxed area S1, S2 and S3 in Fig 3) were selected as the targets for observation.
**Dielectric polarization of insulator probe**
The insulator probe used for the spore collector was a pencil-type, ebonite rod with a pointed tip (length, 5.5 cm; 2 mm diam; tip 30 μm diam). The insulator probe was held onto the micromanipulator on the digital microscope (Fig 1A) with its flat base in contact with an aluminum film (electrical conductor) (Fig 1B), which was negatively charged by a van de Graaff electrostatic generator VG (Kenis, Osaka). The contact with the negatively charged aluminum film created a positive polarization on the film side of the probe and a negative polarization on the opposite, pointed end (dielectric polarization of the insulator probe). The static electricity at the pointed end of the probe was measured by touching the point to the probe (tip 50 μm diam) of a coulometer NK-1001 (Kasuga Denki, Tokyo). The electricity level was controlled by changing the voltage loaded on the aluminum film. The voltage was measured with an electrostatic field meter FMX-002 (Simco, Kobe).
**Relationship between static electricity and attractive force of the insulator probe**
Different quantities of static electricity were supplied to the tip surface of the insulator probe, and the relation between
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**Fig 1** – Electrostatic manipulation system used to collect conidia released from conidiophores of *Blumeria graminis* f. sp. *hordei* on barley leaves (A–B) and a conidiophore attracted toward an electrostatically activated insulator (ebonite) probe (C). (A) Barley seedling growing in a test tube containing fertilized vermiculite that was placed horizontally on a stage of the digital microscope with a zoom lens (zm) for directly observing conidiophores on the inoculated leaf (bl) and a pointed insulator probe (eip) held by a manipulator (mm) on the microscope. The insulator probe was negatively polarized at the tip to deliver an electrostatic force toward the targeted conidiophore. The static electricity of the probe was measured by touching the tip of the probe to the probe (mcp) of a microcoulometer. (B) Interface between the opposite side of the pointed insulator probe and an aluminum film conductor (afc) linked to an electrostatic generator by a switch-containing electric wire (ew) (upper). The joint was covered with insulation tape (it) (lower). (C) Conidiophore before (upper) and after the approach of the polarized insulator probe (lower). Note successful attraction of the erect conidiophore to the probe placed at 40 μm from the apex of the conidiophore (arrow). See Fig 4 for conidial cells C1-1 to C3 of the conidiophore. Bar = 20 μm.
the electricity level and conidiophore-attractive force was examined under the digital microscope. In the present experiment, the electrostatic level of the pointed tip was kept between $5-6 \times 10^{-3}$ nanocoulomb (nC) under an electrostatic voltage of 0.8 to 6.8 kV. The probe was gradually brought to the apex of a conidiophore while viewing it with the digital microscope, and the distance at which the conidiophore was initially attracted toward the probe was recorded as a possible limit to the attractive force. Twenty conidiophores were used to test each electricity level.
**Electrostatic collection of mature conidia**
The conidiophores located at the edge of the colony (S3; Fig 3C) were selected as a target for the consecutive collection of the conidia. The tip of the insulator probe was positioned 40-60 μm distant from the targeted conidiophore. When the septum of the apical conidial cell in a full-length conidial chain was fully constricted, the probe was polarized by switching on the current between the aluminum film and the generator. After an apical conidium on the conidiophore was trapped with the probe, the polarity was earthed. The conidium trapped on the probe was gently transferred onto a fresh non-inoculated barley leaf to test its infectivity according to the method described by Matsuda et al. (2005). The collection procedure was repeated, and the interval between
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**Fig 2** – Relationship between static electricity and attractability of the tip surface of an insulator (ebonite) probe. The tip of the probe was negatively polarized and was brought close to the apex of conidiophores that were eight conidial cells while being observed with a high-fidelity digital microscope. The distance between the probe and conidiophore when the conidiophore was first attracted was recorded and plotted (means and standard deviation for 20 conidiophores are given for each point).
**Fig 3** – Development of powdery mildew colony on barley leaf. Digital micrographs (A to F) of the same colony (col) on the leaf (bl) were taken 3, 6, 7, 8, 9, and 12 d after inoculation, respectively. Arrows h and w represent maximum height of the conidiophores and greatest width of the colony, respectively. Boxed areas S1 and S2 are the sites of the consecutively observed conidiophores to trace conidial chain formation, S3 is the site for electrostatic trapping of conidia released from full-length conidial chains, and S4 is where colony height first decreased. Bar = 1000 μm.
each release of a conidium was timed, until no more conidia were released from the conidiophore.
**Results**
**Relationship between electricity and attractive force of the insulator probe**
The idea of the present work began with the discovery of a potential attraction of the conidiophores and abstricted conidia to an electrically activated insulator probe. In Fig 1C, a conidiophore was attracted towards a probe that had a negatively polarized tip. Using our microscopic method with the electrostatic micro-manipulation technique, the relationship between the static electricity at the tip of the insulator probe and its attractive capability was examined first (Fig 2). In this study, the probe was successfully polarized when the voltage level on the aluminum film was kept at 1.1-6 kV. Within this range, the distance that a conidiophore was attracted to the probe increased in proportion to an increase in the static electricity in the probe. On the other hand, voltages higher than 6.0 kV caused a discharge of electricity from the probe that repulsed the conidiophore, and lower voltages did not generate an attractive force. In the following experiment, therefore, the insulator probe with static electricity of $5.2 \times 10^{-1}$ nC was placed 40-60 μm from the conidiophore apex to collect the released conidia.
**Digital microscopy for colony development and conidiophore maturation**
Prior to the release of conidia, the fungal growth on barley leaves was monitored with the high fidelity digital microscope (Fig 3). Colonies were first detected 3 d after inoculation. The area occupied by the colonies increased as the hyphae grew and produced conidiophores (Fig 3A-C) and reached a maximum 8 d after inoculation (Fig 3D-F). The maximum height of the chain-like conidiophores was reached by 6 d after inoculation (Fig 3B), when release of the conidia from the conidiophores began. Conidiophores at the centre of the colony were the first to reach the maximum height (Fig 3B), followed by the surrounding conidiophores 9-10 d after inoculation (Fig 3C-E). At the same time, i.e. 9 d after inoculation, the height of the central conidiophores (box S4; Fig 3E) decreased. By 12 d after inoculation, the height of all conidiophores had decreased to less than half of the maximum height (Fig 3F).
To clarify the process of conidiophore maturation, we selected new immature conidiophores (Fig 4A) that had not developed slender cells from the upper portion and which were located at the margin of the colonies (boxed area S1 to S3; Fig 3). These conidiophores were suitable for observing the complete process of maturation, because they were unobstructed by recently formed conidiophores. The conidiophores first formed on somatic hyphae 3 d after inoculation. With our microscope, we did not need any stains to observe septation of
*Fig 4 – Digital microscopic monitoring of conidiogenesis by *Blumeria graminis f. sp. hordei* on barley leaf and electrostatic trapping of released conidia. The same conidiophore (A) was consecutively observed until it formed full-length chains of 10 conidial cells (C1-1 to C4-2), undivided conidial cell (C5) and generative cell (gc) (A-I). Fluorescent micrographs of CFW-stained conidiophores (J and K, inserts) confirm the position of septa (sep) in the conidiophores. The conidiophores in J and K correspond to those at stages D and H, respectively. Bar = 10 μm.*
the conidiophores. With fluorescent microscopy, the sites of septation coincided with those in the CFW-stained specimen (see the fluorescent micrographs in Fig 4). Fig 4 shows the sequential changes in a conidiophore that was consecutively monitored with the digital microscope. The first septum formed in the upper portion of an immature conidiophore within 5 h after a slender, erect cell had elongated from the tip of the conidiophore (A-C). This septation separated the first conidial cell (C1) from the generative cell (swollen portion of the conidiophore). Within 3 h of the formation, of the first septum, the upper C1 cell divided by a second septation into two cells, then each of these two cells was divided into two by a subsequent septation (D and E). These new cells then enlarged during maturation (F-I) to produce the first four conidial cells (C1-1 to C1-4). The generative cell then produced additional conidial cells successively. First, the slender apical portion of the generative cell elongated, and then a septum formed that divided the cell into two cells. Again, the apical cell was divided by septation to produce two conidial cells. By repeating this process four times, the conidiophores produced full-length chains of ten conidial cells (C1-1 to C4-2), one undivided conidial cell (C5), and one generative cell (gc) (I). At this stage, the first mature conidia were released from the conidiophores, an event that could be predicted by the fully constricted septum between the apical and second apical cells.
**Application of the electrostatic micromanipulation method to the consecutive collection of conidia released from target conidiophores**
Successful collection of the conidia released from targeted conidiophores is seen in Fig 5. First, we collected C1-2 and C1-3 cells after the release of the C1-1 cell from the mature conidiophore (A-F), using the electrostatic micromanipulation technique. The non-polarized insulator probe did not attract conidia (A). The probe was negatively polarized when the septum between C1-2 and C1-3 cells constricted fully (approx. 2.5 h after the release of C1-1) (B-C). The conidiophore was attracted towards the probe (B), and then the apical conidial cell (C1-2) was collected with the probe (C). The probe was then depolarized, and the conidiophore returned to its original position (D). The next apical cell (C1-3) was similarly attracted to the probe 2 h later by a repolarization at the time of complete constriction of C1-3 cell septum (E-F). During this stage of conidial secession, the generative cells pushed new conidial cells upwards by repeated growth and division (A-F). At the final stage of conidial secession, however, the generative cells ceased division and growth, although some conidia were still being released (G-I). The secession of the conidial cells remaining on the conidiophores was not detected even when the observation was prolonged for another 12 h. By collecting all the released conidia, we could determine the lifelong production of conidia by individual conidiophores and the timing of conidial secession (Table 1). Individual conidiophores released an average of 33 conidia at an interval of approximately 2.7 h during their life-time.
After their release from the conidiophore, the conidia trapped on the ebonite probe were transferred onto fresh barley leaves to test their infectivity. All conidia (261 conidia; Table 1) germinated within 3-4 h, produced appressoria within 5-6 h, and formed primary haustoria within 16-18 h after inoculation. This infection behaviour was comparable to those of conidia dusted from fresh colonies on barley leaves.
**The entire process of conidiogenesis**
The conidiogenesis in *Blumeria graminis* f. sp. *hordei* on barley leaves consists of the maturation of the conidiophores (A), successive release of conidia driven by repeated division and growth of generative cells (B), and conidial secession after the cease of division and growth of the generative cells (C) (Fig 6). During conidiophore maturation, repeated elongation and septation by the generative cell was essential to successively produce progeny conidia (A). The stage after maturation was characterized by the successive release of two apical conidia (B). This stage was synchronized with the septation and growth of the generative cell, and the original height of the conidiophore was regained after the release of the apical conidium. The final stage was characterized by conidial release without division and growth of the generative cells (C). This type of conidial secession reduced the length of the conidial chains, and consequently the conidiophores became shorter. Thus, the life of an individual conidiophore (from the erection of the conidiophore to the release of the final conidium) was shown to be 107 h.
**Discussion**
The use of light and fluorescent microscopy with decolorization and aniline blue staining of leaf specimens enabled the clear observation of epiphytic powdery mildew fungi (Kita et al. 1981), but not the consecutive observation of living conidiophores on intact host leaves. Using digital microscopy methods allowed us to eliminate the use of chemicals to decolorize leaves and to stain the fungus. More importantly, we achieved the high magnifications and resolution essential to observe septum formation in conidiophores (Oichi et al. 2004) which are not attainable with conventional stereomicroscopes with lower limits of resolution. And, without the need for a glass coverslip, we manipulated conidia released from living conidiophores on leaves with the electrostatically activated insulator probe. Thus, the high-fidelity digital microscopy combined with the electrostatic micromanipulation technique enabled us to count the total number of conidia produced by individual conidiophores throughout their life-time.
The most important part of the present work was the application of an electrostatic force to collect the conidia released from the conidiophores. Leach (1976) described how many wind-dispersed fungal spores were violently discharged into the atmosphere and became electrically charged at the instant of release. McCartney et al. (1982) calculated the actual surface charge of conidia as they impacted charged cylinders, showing that spores carry charges of low magnitude, which are insufficient to influence their deposition on natural surfaces. In our study, however, the conidial cells were attracted to the negatively polarized insulator probe in both the pre- and post-abstraction stages. In addition, these cells were similarly attracted to the positively polarized insulator probe (data not shown). These results imply that conidial cells were
uncharged, at least just before and after their release, and then became charged largely as a result of an electrostatic induction by the polarized insulators. In response to the presence of the electrically activated insulator, the conidia developed a charge opposite to that of the static electricity on the insulator plate on the plate-side of the cell from the intracellular movement of free electrons (Griffith 2004; Halliday et al. 2002; Mizuno & Washizu 1995). These opposite charges created an electrostatic force between the cell and the plate. Under our voltage conditions, the dielectrically charged insulator did not discharge to the conidia, and we expected to be able to collect the conidia without any detriment to their survival. In fact, these conidia had normal infectivity on host plants. Thus, electrostatic attraction did not detach immature conidia from the conidiophores.
Although abstracted conidia were easily separated from the probe soon after depolarization, they became sticky from their rapid secretion of a sticky substance(s) (data not shown). Some earlier investigators have reported the secretion of substances by non-germinated conidia of the powdery mildew immediately after their attachment to leaves or artificial surfaces (Carver et al. 1995, 1999; Nielsen et al. 2000; Wright et al. 2002). In our study, within 3 min on the polarized probe, the conidia became sticky. These results also suggest that our collection method did not affect the behaviour of the conidia when they first contact the host surface. From the results we obtained, the electrostatic attraction device can effectively collect viable conidia of the powdery mildew.
The major aim in the present work was to monitor cytological events during conidiogenesis of *B. graminis* f. sp. *hordei*: the
Table 1 – Time intervals of conidial secession by individual conidiophores of *Blumeria graminis* f. sp. *hordei* on barley leaves
| Conidia released | Hours required for conidial secession<sup>a</sup> | Means ± S.D. |
|------------------|-------------------------------------------------|--------------|
| | Conidiophore-1 | -2 | -3 | -4 | -5 | -6 | -7 | -8 | |
| C1-2 | 1.7 | 2.2 | 3.3 | 2.0 | 2.3 | 2.8 | 2.6 | 1.7 | 2.3 ± 0.6 |
| C1-3 | 1.7 | 2.9 | 2.5 | 1.7 | 2.0 | 1.8 | 0.8 | 2.0 | 1.9 ± 0.6 |
| C1-4 | 3.3 | 2.3 | 3.3 | 3.3 | 1.8 | 2.8 | 2.0 | 2.6 | 2.7 ± 0.6 |
| C2-1 | 3.7 | 3.8 | 2.3 | 2.9 | 2.6 | 1.6 | 1.6 | 2.6 | 2.6 ± 0.8 |
| C2-2 | 1.6 | 1.9 | 3.3 | 2.5 | 1.4 | 3.0 | 3.0 | 1.8 | 2.2 ± 0.7 |
| C3-1 | 3.1 | 2.7 | 2.7 | 3.5 | 1.6 | 1.8 | 2.8 | 3.1 | 2.7 ± 0.7 |
| C3-2 | 2.7 | 2.8 | 2.8 | 2.6 | 2.5 | 2.8 | 2.6 | 2.7 | 3.0 ± 0.8 |
| C4-1 | 2.5 | 2.7 | 2.8 | 2.4 | 2.8 | 2.3 | 2.6 | 2.3 | 2.5 ± 0.2 |
| C4-2 | 1.3 | 1.3 | 1.3 | 2.3 | 1.7 | 2.0 | 2.5 | 2.7 | 2.1 ± 1.0 |
| C5-1 | 3.8 | 3.8 | 3.8 | 4.1 | 3.1 | 2.3 | 2.8 | 3.1 | 3.1 ± 0.7 |
| C5-2 | 3.7 | 2.5 | 4.0 | 1.8 | 2.5 | 2.2 | 2.7 | 2.7 | 2.8 ± 0.8 |
| C6-1 | 1.9 | 1.9 | 1.5 | 2.3 | 2.3 | 2.6 | 3.0 | 2.5 | 2.1 ± 0.4 |
| C6-2 | 2.3 | 2.2 | 3.2 | 1.9 | 2.3 | 1.3 | 3.9 | 3.2 | 2.5 ± 0.6 |
| C7-1 | 2.3 | 2.3 | 1.5 | 2.0 | 3.1 | 2.2 | 2.2 | 2.9 | 2.5 ± 0.7 |
| C7-2 | 2.4 | 2.4 | 2.8 | 3.8 | 1.8 | 3.1 | 1.9 | 2.0 | 2.4 ± 0.5 |
| C8-1 | 2.0 | 2.1 | 2.5 | 2.5 | 1.3 | 1.0 | 2.3 | 3.4 | 2.1 ± 0.7 |
| C8-2 | 2.1 | 2.0 | 2.6 | 2.0 | 2.2 | 2.4 | 2.9 | 2.1 | 2.4 ± 0.4 |
| C9-1 | 2.9 | 2.9 | 1.4 | 3.0 | 1.1 | 4.1 | 2.9 | 2.2 | 2.4 ± 1.0 |
| C9-2 | 1.8 | 1.9 | 2.0 | 1.8 | 1.9 | 4.1 | 2.8 | 2.2 | 2.4 ± 0.8 |
| C10-1 | 2.6 | 1.7 | 2.7 | 2.1 | 2.5 | 1.5 | 3.9 | 2.7 | 2.5 ± 0.7 |
| C10-2 | 3.0 | 2.7 | 2.7 | 2.7 | 2.7 | 3.1 | 3.8 | 2.6 | 2.9 ± 0.4 |
| C11-1 | 2.0 | 2.3 | 3.3 | 2.4 | 2.7 | 3.1 | 1.8 | 1.5 | 2.5 ± 0.6 |
| C11-2 | 2.8 | 2.8 | 2.8 | 2.3 | 3.3 | 2.8 | 4.5 | 4.5 | 2.8 ± 0.4 |
| C12-1 | 2.5 | 2.4 | 1.9 | 3.4 | 2.1 | 2.6 | 2.7 | 2.0 | 2.5 ± 0.5 |
| C12-2 | 2.3 | 2.3 | 1.2 | 2.3 | 2.0 | 1.0 | 3.1 | 2.3 | 2.3 ± 0.9 |
| C13-1 | 3.7 | 2.3 | 2.3 | 3.2 | 2.0 | 1.3 | 2.5 | 3.3 | 2.4 ± 0.5 |
| C13-2 | 1.8 | 2.5 | 2.9 | 2.5 | 2.6 | 3.0 | 2.2 | 2.9 | 2.5 ± 0.5 |
| C14-1 | 1.6 | 2.7 | 1.9 | 1.8 | 2.6 | 2.6 | 3.0 | 3.2 | 2.8 ± 0.9 |
| C14-2 | 4.6 | 3.5 | 1.9 | 3.8 | 2.2 | 2.7 | 2.2 | 3.0 ± 0.9 |
| C15-1 | 4.1 | 4.2 | 3.7 | 1.0 | 3.5 | 2.1 | 4.0 | 3.4 ± 1.2 |
| C15-2 | 3.5 | 3.2 | 4.0 | 2.1 | 3.1 ± 0.9 |
| C16-1 | 2.3 | 3.7 | 3.1 | 2.5 ± 0.5 |
| C16-2 | 3.3 | 2.2 | 3.3 | 3.1 ± 0.7 |
| C17-1 | 2.4 | 2.3 | 2.4 | |
| C17-2 | 3.8 | 3.8 | |
| C18-1 | 4.5 | 4.5 | |
| C18-2 | 2.8 | 2.8 | |
Total number of conidia released: 31, 31, 31, 29, 38, 35, 32, 34, 32.6 ± 2.9
Finally developed conidial cells remained in the work-ended conidiophores: C17-1, C17-1, C17-1, C16-1, C20-1, C18-1, C17-1, C18-1
Continuance (h) of conidial secession: 77.8, 76.3, 76.9, 71.0, 90.4, 84.3, 79.9, 86.7, 80.4 ± 6.3
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a The measurement of conidium release time was initiated immediately after C1-1 conidia were abstracted.
b Boundary between conidial secessions with and without division and growth of generative cells.
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Erection of the swollen generative cell of the conidiophore on somatic hyphae, the differentiation of generative cells and conidial cells, the maturation of conidiophore, the conidial secession driven by repeated division and growth of generative cells, and the cessation of generative cell growth. During these processes, the septum-mediated division of generative cells was a vital step to monitor, because it resulted in the concurrent production of new conidial cells at the basal portion of the conidiophore and the secession of mature conidia at the apex. The sites of conidiophore septation that we identified with the digital microscope were coincident with those we identified in CFW-stained conidiophores with fluorescent microscopy, indicating that the digital microscope is a useful tool to detect septa in living generative cells, even when the septum forms at a nonconstricted portion of the conidiophores. As a result of the consecutive observation of living conidiophores, we also determined the time interval between septations. **Hirata** (1967) observed chemically fixed samples of powdery-mildewed barley leaves collected at various stages after inoculation and reported developmental changes of conidiophores. Our results support his data on conidial differentiation, but we also clarified the precise cycle of growth and
Fig 6 – Diagrams of the developmental process of full-length conidial chain formation and successive secession of mature conidia in conidiogenesis. (A) Conidial formation, with a focus on the growth and septation of the generative cell. Perpendicular and horizontal arrows represent the stage of growth and of septation of a generative cell, respectively. (B) Concurrent events during conidial secession, with an emphasis on elongation of the conidial chain and growth and septation of the generative cell. Perpendicular and horizontal arrows represent growth and septation of the generative cell, respectively. (C) Conidial secession at the final stage. Note the decrease in conidial cells in the chain after growth and division of the generative cell have stopped. C(n + 2) -1 to C(n + 3) -2 were conidial cells that remained in a conidiophore. Time intervals (h) for septation and conidial secession are given at the bottom of the figure. 30 conidiophores were observed, and data are given as means and standard deviation.
division by the generative cells and the subsequent septation of the conidial cells. Using digital microscopy to observe the division of the generative cell and the electrostatic micromanipulation to collect the released conidia, we counted precisely the conidia produced by the barley powdery mildew.
Aylor (1990) reviewed the factors that affect the conidiogenesis in the powdery mildew: wind, relative humidity, air temperature, short and long wavelength radiation, and wetting or dryness of fungus or host. The present system could be exploited to analyze the effect of such environmental factors on the consecutive formation and release of the conidia by living pathogens infecting host leaves. Future work should examine each environmental factor singly while other factors were fixed, using our system.
To our knowledge, we are the first to determine directly the time interval between conidial releases and to count the total conidia that seceded from individual living conidiophores during their life-time. The present method should prove useful for analyzing the details of conidiogenesis, life-long production of conidia, and longevity of the conidiophores of other powdery mildew pathogens on crop plants.
Acknowledgements
We thank Beth E. Hazen for providing helpful comments and suggestions for the revision of our manuscript.
References
Agrios GN, 1988. Plant diseases caused by fungi. In: Agrios GN (ed), Plant Pathology. Academic Press, California, pp. 265–509.
Aylor DE, 1990. The role of intermittent wind in the dispersal of fungal pathogens. Annual Review of Phytopathology 28: 73–92.
Brown JKM, Hornmiller MS, 2002. Aerial dispersal of pathogens on the global and continental scales and its impact on plant disease. Science 297: 537–541.
Carver TLW, Thomas BJ, Nicholson-Morris SM, 1995. The surface of *Erysiphe graminis* and the production of extracellular material at the fungus-host interface during germling and colony development. Canadian Journal of Botany 73: 272–287.
Carver TLW, Kunoh H, Thomas BJ, Nicholson RL, 1999. Release and visualization of the extracellular matrix of conidia of *Blumeria graminis*. Mycological Research 103: 547–560.
Griffith WT, 2004. Electrostatic phenomena. In: Daryl B, Brian SL (eds), The Physics of Everyday Phenomena: A Conceptual Introduction to Physics. McGraw Hill, New York, pp. 232–252.
Halliday D, Resnick R, Walker J, 2002. Electric charge. In: Stuart J, Ellen F (eds), Fundamentals of Physics. John Wiley & Sons, New York, pp. 505–549.
Hirata K, 1967. Notes on haustoria, hyphae and conidia of the powdery mildew fungus of barley, *Erysiphe graminis* f. sp. hordei. Memoirs of the Faculty of Agriculture, Nigata University 6: 205–259.
Jarvis WR, Gubler WD, Grove GG, 2002. Epidemiology of powdery mildews in agricultural pathosystems. In: Bélanger RR, Bushnell WR, Dirk AJ, Carver TLW (eds), The Powdery Mildews: A Comprehensive Treatise. American Phytopathological Society Press, St Paul, MN, pp. 169–199.
Kita N, Toyoda H, Shishiyama J, 1981. Chronological analysis of cytological responses in powdery-mildewed barley leaves. Canadian Journal of Botany 59: 1761–1768.
Leach CM, 1976. An electrostatic theory to explain violent spore liberation by Drechslera terebrata and other fungi. Mycologia 68: 63–86.
Lee SA, Wilkele K, Mainelis G, Adhikari A, Wang H, Reponen T, Grinshpun SA, 2004. Assessment of electrical charge on airborne microorganisms by a new bioaerosol sampling method. Journal of Occupational and Environmental Hygiene 1: 127–138.
Matsuda Y, Sameshima T, Moriumi N, Inoue K, Nonomura T, Kakutani K, Nishimura H, Kusakari S, Takamatsu S, Toyoda H, 2005. Identification of the causal powdery mildew fungi infecting barley by direct detection of gene expression by single conidium PCR. Phytopathology 95: 1377–1383.
McCartney HA, Bainbridge A, Legg BJ, 1982. Electric charge and the deposition of spores of barley mildew *Erysiphe graminis*. Atmospheric Environment 16: 1133–1143.
McIntyre M, Dynesen J, Nielsen J, 2001. Morphological characterization of *Aspergillus nidulans*: growth, septation and fragmentation. Microbiology 147: 239–246.
Mitchell BW, Buhr RJ, Barrang ME, Bailey JS, Cox NA, 2002. Reducing airborne pathogens, dust and *Salmonella* transmission in experimental hatchery operations using an electrostatic space charge barrier. Poultry Science 81: 49–55.
Mizuno A, Washizu M, 1995. Biomedical engineering. In: Chang JS, Kelley AJ, Crowley JM (eds), Handbook of Electrostatic Processes. Marcel Dekker, New York, pp. 653–686.
Nielsen KA, Nicholson RL, Carver TLW, Kunoh H, Oliver RP, 2000. First touch: An immediate response to surface recognition in conidia of *Blumeria graminis*. Physiological and Molecular Plant Pathology 56: 63–70.
Oichi W, Matsuda Y, Sameshima T, Nonomura T, Kakutani K, Nishimura H, Kusakari S, Toyoda H, 2004. Consecutive monitoring for conidiogenesis by *Oidium neolyceoperis* on tomato leaves with a high-fidelity digital microscope. Journal of General Plant Pathology 70: 318–321.
Toyoda H, Matsuda Y, Shoji R, Ouchi S, 1987. A microinjection technique for conidia of *Erysiphe graminis* f. sp. hordei. Phytopathology 77: 815–818.
Wright AJ, Thomas BJ, Kunoh H, Nicholson RL, Carver TLW, 2002. Influences of substrata and interface geometry on the release of extracellular material by *Blumeria graminis* conidia. Physiological and Molecular Plant Pathology 61: 163–178. |
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OPTICAL PROPERTIES OF PbS-GO AND PbS-rGO SYSTEM FOR SOLAR CELLS FABRICATION
1Anton BABAEV, 1Aliaksei DUBAVIK, 1Sergei CHEREVKOV, 1Peter PARFENOV, 1Elena USHAKOVA, 1Mikhail BARANOV, 2Igor NABIEV, 1Alexandr BARANOV, 1Aleksandr LITVIN
1ITMO University, Saint-Petersburg, Russian Federation, firstname.lastname@example.org
2Research Nuclear University MEPhI, Moscow, Russian Federation
Abstract
Quantum dots (QDs) are of great interest for creating optoelectronic devices due to their tunable bandgap, high stability and simple solution processability for device fabrication. One of the ways to increase the efficiency of such devices is to combine QDs with different carbon nanostructures. Lead sulfide PbS QDs with a ligand shell of oleic acid (OA), methylammonium iodide (MAI) and PbI$_2$ were employed to study the process of charge transfer process between QDs and sheets of reduced graphene oxide (rGO) and graphene oxide (GO). QDs have been linked to graphene sheets by the (3-mercaptopropyl) trimethoxysilane in colloidal solution. As a result, we observed a change in intensity and kinetics of QDs PL, that allowed to estimate the efficiency of the charge transfer. The transfer efficiency for the QD-rGO system was found to be higher than that of the QD-GO system, ~ 80 % vs. 66 % respectively. Modification of the QDs surface with MAI and PbI$_2$ allowed to achieve a charge transfer efficiency of up to 83 % and 89 %, respectively.
Keywords: Colloidal quantum dots, reduced graphene oxide, graphene oxide, PbS
1. INTRODUCTION
Lead sulfide colloidal quantum dots (CQDs) have widely spread as a material for optoelectronic devices including photodetectors [1,2], light-emitting diodes [3,4], and solar cells [5-7] due to their huge bandgap tunability, multiple-exciton generation effect and facile solution-processing. Most common tools to improve the properties of such devices are CQDs surface passivation and optimization of the device structure. For example, outstanding stability was achieved in solution-processed CQDs solar cells even in ambient air conditions through surface passivation [8]. Recent advances in QD solar cells fabrication by device architecture engineering, surface passivation and layers optimization led to reported certified power conversion efficiency (PCE) of 11.6 % [9]. However, a lot of challenges is still to go. One of the main problems for PbS based optoelectronic devices is their rapid degradation under the high relative humidity of ambient air. Recently, it was shown that creating hybrid materials with graphene for active layer fabrication results in the reduction of moisture sensitivity in non PbS based devises [10-14] as well, as in PbS based solar cells [15]. Beside this, combing PbS CQDs with graphene materials is a promising way to fabricate highly effective photodetectors [16,17] and phototransistors [18, 19]. In such devices, the charge carriers are generated in the CQDs and after this electrons are transported to the graphene layer according to the energy structure of CQDs-graphene/rGO/GO interface that schematically depicted in Figure 1 for rGO/PbS case. The charge transfer efficiency of this interface limits the efficiency of this type of devices.
In our study we involved time-resolved PL characterization to evaluate the speed of charge carrier transfer speed in the blend of PbS CQDs and rGO/GO sheets. The PbS CQDs were attached to the rGO and CO sheets using the organic linker molecule. Moreover, the surface of QDs was modified by PbI$_2$ and MAI to improve the CQDs quality and optimize the charge transfer efficiency.
2. MATERIALS AND METHODS
Stabilized with poly(sodium 4-styrenesulfonate) rGO and GO water dispersions were purchased in Sigma-Aldrich (900197 and 777676 aldrich). Moreover, we prepare thin films from both dispersions to ensure the parameters of materials using SEM and AFM. Figure 2 illustrates a typical single rGO sheet. The thickness we found through AFM measurements was approximately 1 nm for both materials.
Figure 2 SEM image of rGO sheet
The oleic acid (OA)-capped PbS CQDs were synthesized via well-known protocol from [20]. Briefly, 1 mmol PbO (99.99 %, Aldrich), 4 mmol OA (90 %, Fisher) and 10 ml octadecene (ODE) (90 %, Acros) were mixed in the three-neck 25 ml for Pb precursor preparation. The mixture was heated up to 170 °C under vacuum for approximately 30 minutes until clarification and flushed with Ar. At T=134 °C the mixture of 0.2 mmol hexamethyldisilathiane ([TMSi]₂S) in 0.5ml ODE was swiftly injected and heated for 10 min. The reaction was quenched by cooling down in Ar atmosphere and by the addition of acetone to precipitate the PbS nanocrystals. The solution was centrifuged (6000 rpm, 10 min), redispersed in hexane (Sigma-Aldrich) and
precipitated 2 more times with acetone. The final nanocrystals were redissolved in toluene for further use and measurements.
The iodide-capped PbS was obtained by modifying OA-capped PbS via protocol from [21]. In short, 0.02 M PbI$_2$ solution in 12 ml of dimethylformamide (DMF) and 6 ml of methanol was injected into a suspension of as-prepared PbS nanocrystals (2 mL, 50 mg mL$^{-1}$). The resulting solution was shaken for 1–2 min, leading to a precipitation of the PbS nanocrystals. After centrifugation, the PbS nanocrystals were redispersed in a mixture of 1,2-dichlorobenzene (DHBZ) (1 mL) and butylamine (BA) (0.2 mL). MAI treatment as well was provided using OA-capped PbS in the prolonged protocol described in [22].
The CQDs were attached with the rGO/GO sheets using 3-mercaptopropyltrimethoxysilane (MPTS), as described in [23]. For MPTS treatment of CQDs, MPTS was added in toluene/DHBZ:BA/DMF OA/iodide/MAI-capped CQDs solution with vortexing for 2 minutes. The solution was precipitated by acetone with centrifugation (6000 rpm, 10 min) and redispersed in the initial solvent.
3. RESULTS AND DISCUSSION
We prepared a series of samples to make our calculations precise. In the beginning, we simply spin-cast GO and OA-capped PbS CQDs layers one after another and observed no decrease in PL lifetime compared to the OA-capped PbS CQDs on the glass. In this case, OA acts like an isolator and further, we believe that the change in PL kinetics was induced by the charge transfer process. Otherwise, when the iodide-capped PbS CQDs were spin-coated on GO layer, we observe the 30% decrease of the PL lifetimes because the iodide shell is conductive. Then, we mix CQDs by the MPTS. On Figure 3 one can observe the PL spectra from OA-capped PbS CQDs in toluene, MPTS-treated OA-capped PbS CQDs in DMF and OA-capped PbS CQDs - MPTS - GO blend in DMF. MPTS treatment results in redshift in spectra accompanied by an increase of PL lifetimes. Such behavior is in contrast to the [23], where 11-mercaptoundecanoic acid treatment was provided to obtain reference PL lifetimes and results in a decrease of PbS CQDs PL lifetimes. We believe the change in surface passivation and medium permittivity affect our CQDs in this way. However, the difference in synthetic protocols and in the applied chemical treatment can explain such discrepancy in the results.
For all of our blend samples we provide our calculations via the next two equations from [24] and [23]:
$$k_{et} = \frac{1}{\tau_{blend}} - \frac{1}{\tau_{ref}}$$
(1)
where:
- $k_{et}$ - the rate of electron transfer
- $\tau_{blend}$ - the decay time of QD-GO/rGO blend
- $\tau_{ref}$ - the decay time of MPTS treated CQDs
$$\eta = \frac{k_{et}}{k_{et} + k_{rad} + k_{trap}} = 1 - \frac{k_{ref}}{k_{blend}}$$
(2)
where:
- $k_{rad}$ - the radiative decay rate
- $k_{trap}$ - the rate of trapping carriers on CQDs surface
- $k_{ref}$ - the decay rate of MPTS treated CQDs
- $k_{blend}$ - the decay rate of QD-GO/rGO blend
Our calculations for the samples are given in Table 1. This is noticeable that transfer speed calculations give opposite results to the efficiency calculations in the case of OA-capped CQDs and MAI-capped CQDs. In this case the different shell compositions result in different $k_{trap}$ and $k_{rad}$ rates, what counts like $(\Delta k_{trap} + \Delta k_{rad})$ linear mistake for decay rates calculations and like a nonlinear mistake in efficiency calculations. Both parameters for iodide-capped CQDs case are outstanding in comparison to all other structure types. It is obvious that the iodide shell around the CQDs core provides easier charge transfer because of better conductivity.
**Table 1** The charge transfer rate and efficiency of the charge transfer rate for the obtained samples
| Sample | $k_{et}$, s$^{-1}\cdot10^6$ | $\eta$, % |
|-------------------------|-----------------------------|-----------|
| OA capped PbS+rGO | 6.8 | 80 |
| Iodide capped PbS+rGO | 7.4 | 89 |
| MAI capped PbS+rGO | 6.6 | 83 |
| OA capped PbS+GO | 4.3 | 66 |
Figure 4 illustrates the formation of a spin-coated film from our solution. There are rGO sheets densely occupied by the CQDs. It should be emphasized, that the values of charge transport efficiency strongly depend on the CQDs+rGO proportion. For our study, we employ actual proportions that result in effective device following [6]. The enlargement of rGO content results in the further decay of PL lifetime. For example, 10-time amplification of the rGO content in MAI capped PbS+rGO blend leads to an increment of decay rate to $k_{et}=17.9$ and transfer efficiency to $\eta=93\%$. However, such blend proportions do not result in high performance in despite better charge transfer.
4. CONCLUSIONS
Our group produced a series of experiments that clarify the PbS-rGO/GO charge transfer mechanism. MPTS organic linker forms a well-defined CQDs-rGO/GO system providing both a mechanical connection between system components and better charge transport. The shell also plays an important role in charge process; the iodide shell affords 89% charge transport efficiency against 80% in case of basic OA-capped CQDs. The efficiency and transfer rate values were calculated for real device components proportions. The SEM measurements show that CQDs-rGO/GO system forms layers that similar to the rGO/GO layers. The results of our findings reveal details that could important for engineering of solution-processed photovoltaic devices.
ACKNOWLEDGEMENTS
This study was supported by the Ministry of Education and Science of the Russian Federation through the grant No. 14.584.21.0032 (ID RFMEFI58417X0032)
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Ernst Hofer: a German Republican Journalist in Iowa, 1855-1890
Rolf Swensen
ISSN 0003-4827
Copyright © 1992 State Historical Society of Iowa. This article is posted here for personal use, not for redistribution.
Recommended Citation
Swensen, Rolf. "Ernst Hofer: a German Republican Journalist in Iowa, 1855-1890." The Annals of Iowa 51 (1992), 565-602.
Available at: http://ir.uiowa.edu/annals-of-iowa/vol51/iss6/2
Hosted by Iowa Research Online
Ernst Hofer: A German Republican Journalist in Iowa, 1855–1890
ROLF SWENSEN
DURING THE 1880s, Ernst Hofer was a controversial figure in Iowa politics and journalism, yet during the intervening century his name has completely dropped from sight. One of the most flamboyant Republican journalists of his day, Hofer edited the family-owned McGregor News from 1878 to 1889 and his own German-language weekly, the Iowa Staats-Zeitung in Des Moines from 1886 to 1888. Governor William Larrabee characterized him as a “student of men, methods, and events, [whose] spicy writings are always read with great interest.”¹ Energetic and sometimes abrasive, Hofer embraced prohibition and other causes from the conviction that various forces threat-
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I would like to thank the following people for assisting with this article: the late Mrs. Allan A. Bynon of Lake Oswego, Oregon, daughter of Ernst Hofer; Lida Lisle Green and Lowell Wilbur, former librarians of the State Historical Society of Iowa, Des Moines; Mrs. Fred Huebsch, director of the McGregor Historical Museum; Henry Follett, site manager of Montauk, the Larrabee mansion at Clermont; Jean Welsh, Clayton County Recorder; Helen Frieden, Fayette County Recorder; Elvin J. Johnson and Arnold Roggman of Garnavillo; Ken P. Johnson, archivist of the Garnavillo Historical Society; Anita Cox, director of the Elkader Public Library; and Robert McCown, head of Special Collections, University of Iowa Libraries. Thanks should also go to Gordon O. Hendrickson, Iowa State Archivist, and Ron Moore, former head of the Iowa Newspaper Project, for microfilming the North Iowa Times of McGregor for 1872–1888. I am also grateful to John Yates of McGregor for taking several photographs of items in the McGregor Historical Museum. Matthew Simon, chief librarian of Rosenthal Library, Queens College, City University of New York, critiqued the manuscript. This article had its genesis in a doctoral dissertation at the University of Oregon under the tutelage of Dr. Edwin R. Bingham and Dr. Leslie E. Decker.
1. William Larrabee to “Whom it May Concern,” 24 December 1889, Governor Letter Book, 8 January 1889–4 February 1890, Series GII, vol. 80, p. 892, State Historical Society of Iowa, Des Moines.
THE ANNALS OF IOWA 51 (Fall 1992). ©The State Historical Society of Iowa, 1992.
ened individual opportunity and the sanctity of American life, as well as from opportunistic motives born of economic hardship.
More than just a colorful personality grappling with weighty issues, Hofer's life and career provide insights into Iowa politics and journalism in the 1870s and 1880s, particularly in the northeast portion of the state. Cyrenus Cole has described Iowa journalism during the Gilded Age as "personal and political," as well as "partisan and opinionated." The most visible Iowa journalist of the age was James S. Clarkson, editor of the *Iowa State Register* in Des Moines, who functioned as the "journalistic and political dictator" of the state Republican party. There were other noteworthy newspapermen, including Samuel Mercer Clark of the *Keokuk Gate City*, known as the "Master Stylist of the Iowa Press," and George D. Perkins of the *Sioux City Journal*, who impressed readers with his logical arguments. Hailing from a relatively unimportant city in a part of the state increasingly known for its fractiousness and Democratic ascendancy, Hofer's biting rhetoric caught the attention of Republican party leaders and propelled him onto center stage. Unfortunately, much of that rhetoric disappeared with the destruction decades ago of all but three years (1887–1889) of the *McGregor News* and every issue of the *Staats-Zeitung*, but enough has survived in other Iowa newspapers of the time—and in letters, state and county records, and other sources—to recreate much of Hofer's life and work.
IN 1855, the year of Hofer's birth, Iowa was booming, as the editor of the *Dubuque Reporter* enthusiastically noted. "Viewing the almost countless throng of immigrants that crowd our streets, and learning that a similar scene is visible at every other point along the Mississippi border of Iowa, the spectator is naturally led to infer that a general exodus is taking place in the Eastern states of the Union, as well as in those that, but a few
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2. Cyrenus Cole, *Iowa Through the Years* (Iowa City, 1940), 331–32, 397–98. The McGregor Historical Museum holds the only known copies of the *McGregor News*, a bound volume containing the issues of 2 February–7 September 1887 and 9 November 1887–29 October 1889. Included is a partial issue from ca. November 1886.
years ago, were denominated the West." This "incoming human flood" helped swell the population of the state from 326,500 in 1854 to 512,000 just two years later. Many of these new arrivals were foreign-born; by 1860 Iowa contained thousands of Germans, Irish, English, and Scandinavians. Despite these foreign immigrants, settlers from the eastern states—particularly New England—were much more numerous. "The immigration of the fifties," concludes Cole, "changed the social, educational, and political conditions in Iowa." Traffic on the Mississippi River was the "heaviest it ever was," while the first railroad in the state was constructed between Davenport and Iowa City in 1855–1856. Iowa, the "emerald sea," was awakening to a rush of people. "Let them come!" cried the editor of the Keokuk Whig to all prospective immigrants.
One of those who responded was Ernst Hofer's father, Andreas Franz (A. F.) Hofer, who arrived in Dubuque with his young wife during a snowstorm in March 1855. A carpenter and musician by trade and a viticulturist by avocation, A. F. Hofer was born in 1821 in Oehnsbach, Grand Duchy of Baden. Because of his participation in the revolutions of 1848–1849, he had to flee to Switzerland. Disembarking in New York City after a harrowing sea voyage in November 1849, he found work as a carpenter. Four years later he married Mari Ruef, who had recently left Germany with her parents. The couple soon moved to Saugatuck, Connecticut, where A. F. Hofer was employed as a pattern maker in a car spring factory. Dissatisfied with his chances in the East and anxious to join friends in Iowa, he headed west with his wife and her parents and brother Julius early in 1855. "Such a romantic and picturesque succession of trekkings," Ernst Hofer later wrote, "could but produce a romantic and picturesque individual and enterprising but restless offspring."
3. *Dubuque Reporter*, quoted in N. Howe Parker, *Iowa as It Is in 1855* (Chicago, 1855), 55; Morton Rosenberg, *Iowa on the Eve of the Civil War: A Decade of Frontier Politics* (Norman, OK, 1972), 24; Leland L. Sage, *A History of Iowa* (Ames, 1974), 92–96; Cole, *Iowa through the Years*, 215; Realto E. Price, ed., *History of Clayton County, Iowa*, 2 vols. (Chicago, 1916) 1:241; *Keokuk Whig*, quoted in *Iowa as It Is in 1855*, 59.
4. *History of Clayton County, Iowa* (Chicago, 1882), 391–92; Amalie Hofer Jerome, *My Century: The Story of Andreas Franz Hofer* (Boston, 1937), 13–126
Ernst was born in Dubuque on September 1, 1855, the first of eight siblings. A. F. Hofer worked briefly at a local sash and door factory, but soon became the last member admitted to the ailing German socialist commune known as Communia, which the Ruefs had already joined. Located about fifty miles northwest of Dubuque, Communia in fact had been the Hofers' original destination, but they had run out of money in Dubuque. While at Communia, Hofer plied his carpentry skills, arranged and composed music, played both violin and clarinet in the communal orchestra, and may have become a radical free thinker. However brief, the Hofers' association with Communia was a formative influence in the lives of A. F. and Ernst Hofer, for both father and son later held strong views against socialism and communism.
After the demise of Communia and following recovery from a "dangerous hemorrhage of the lungs," A. F. Hofer moved his family a few miles "over the hills" in 1858 to Littleport on the Volga River, where he built a log cabin. Their dwelling was the first structure in the newly platted town, which was owned by Dennis Quigley, a trustee of the defunct Communia. At Littleport, Hofer manufactured grain vinegar (and perhaps more potent liquids), bought and sold land, served as clerk of Cox Creek Township from 1859 to 1861, and was active in the Republican party. Littleport was in an especially attractive part of Iowa, for many rivers cut deep channels through rolling hills covered with hickory and pine. There Ernst spent his early childhood. With the coming of the American Civil War in 1861, Ernst's father helped organize and served as second lieutenant of Company E, Ninth Iowa Volun-
5. Lariat 1 (February 1923), 47; Lariat 2 (September 1923), 336: Edgar R. Harlan to Hofer, 18 November 1914, and Hofer, "Outline of Personal History," 23 November 1914, State Historical Society of Iowa, Des Moines; Jerome, My Century, 127-35; History of Clayton County, Iowa (1882), 392-93; Communia Day Book, 1853-1856, and receipt by Henry M. Jones, 13 June 1859, Clayton County Courthouse, Elkader; Lariat 1 (July 1923), 250; Elkader Register, 17 June 1885. On Communia, see H. Roger Grant, "Utopia at Communia," Palimpsest 61 (1980), 12-17.
teers. After six months of service in Missouri, he came home "sick and discouraged" following a bout with "swamp fever."6
In 1862 the Hofers moved to Clermont, a larger and more prosperous town located on the Turkey River northwest of Littleport. "It was a long all-day ride of about thirty miles," Ernst later remembered. "We forded creeks and at times the water filled the wagon box." At Clermont his father ran a general store, served two terms as township assessor, was active in Republican politics, led a quadrille band, and, through the influence of State Senator William Larrabee, was appointed sergeant-at-arms of the Iowa state senate for two sessions. Many years later, A. F. Hofer wrote to Larrabee that "taking me to Des Moines was the best schooling I ever received." Ernst had a variety of jobs: he worked in Larrabee's cooperage, harvested crops, apprenticed with a blacksmith, and traveled by riverboat to join a railroad surveying crew in Hannibal, Missouri. Although he put in long hours to help family finances, Ernst had time to trap mink and muskrat, swim, and play baseball.7
While living at Clermont, A. F. Hofer also operated a vinegar factory, prompting the editor of the *West Union Republican Gazette* to predict that "when Clermont gets the railroad, Frank [A. F. Hofer] will go to work and make a fortune with his sour stuff. Hope he may." By 1870, Hofer's wealth was listed in the United States Census as five thousand dollars in personal property—a considerable sum in that day. He was an active speculator in real estate, as he had been in Littleport, but in 1871 and 1872, he began disposing of many of his holdings. By the end of 1872, Hofer, together with members of the Ruef family, had sold land in Clermont totaling two thousand dollars in value. Hofer may have been trying to raise money for further
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6. *Lariat* 2 (September 1923), 336; *Clayton County Journal*, 18 April, 2 May 1861; Deed Record, Town Lots, Book 4, Clayton County Courthouse; *History of Clayton County, Iowa* (1882), 393. For perspective, see Rosenberg, *Iowa on the Eve of the Civil War*.
7. *Lariat* 2 (September 1923), 338; *Lariat* 2 (December 1923), 451; *Lariat* 3 (March 1924), 84–85; Jerome, *My Century*, 174–80; *History of Clayton County, Iowa* (1882), 393; A. F. Hofer to Larrabee, 21 December 1901, Larrabee Papers, Montauk, Clermont, Iowa. On Larrabee, see Cole, *Iowa Through the Years*, 213, 370–71.
investments—perhaps for one of the two railroads then making their way to Clermont—or he may have needed to pour money into his vinegar factory after it was nearly leveled by a storm. For whatever reason, something went wrong, and Hofer decided to leave Clermont. According to a correspondent of the *Fayette County Union*, Hofer ascribed his departure to "family affairs," while a contemporary history referred to his "unfortunate speculations." Ernst Hofer later recollected that his father had incurred a "heavy debt."
On August 23, 1872, Ernst's parents and five sisters hurriedly left Clermont "by means of Hezekiah Frizbie's high wheeled stage" for McGregor, about thirty miles to the east. Ernst, together with his grandmother Ruef and his two brothers, had set out the previous day in a wagon pulled by their "gray mare Fanny" and accompanied by their Jersey cow. Their choice of McGregor was undoubtedly influenced by the presence there of William Larrabee's brother Frank, who became president of the First National Bank of McGregor only two weeks after the Hofers' arrival. Variously described as a "miserable, cooped up place in a ravine" or as the "pent-up Utica of Iowa," McGregor was a small town on the Mississippi River across from the historic settlement of Prairie du Chien, Wisconsin. There A. F. Hofer struggled to support his family as a carpenter in the summer, working on the ship canal at Muscoda, Wisconsin, teaching music in the winter, and leading another quadrille band. Endowed with strong political convictions, Hofer wrote a series of articles for the independent *Peoples Paper* of Clermont denouncing railroads and high taxation, and he played a leading role in the organization of the local Greenback party in 1876. In his leisure time Hofer raised grapes on the steep hill behind the family home and later wrote a column on "small fruits" for Coker F. "Father" Clarkson, agricultural editor of the *Iowa State Register*. Profiting from his financial
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8. *West Union Republican Gazette*, 28 July 1871; Ninth Census of the United States, 1870, Iowa, Fayette County, Clermont Township, 11 (typescript); Town Lot Index #2, Town Lot Deed Books 4 and 5, Fayette County Courthouse, West Union; *Fayette County Union*, 28 August 1872; *History of Clayton County, Iowa* (1882), 393; *Lariat* 2 (July 1923), 251.
imbroglio in Clermont, Hofer entered any land he bought in McGregor under his wife’s or children’s names.\(^9\)
Ernst helped his father at carpentry and worked as a railroad surveyor for Judge Elias H. Williams of Postville, a brother-in-law of William Larrabee. Exhibiting boundless energy and
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9. Jerome, *My Century*, 180, 185–87; *Lariat* 1 (April 1923), 128; *Lariat* 1 (July 1923), 251–52; Iola B. Quigley, “A Metropolis of the Fifties,” *Palimpsest* 12 (1941), 20–33; Diary of George Shipp, quoted in Bessie L. Lyon, “Prospecting for a New Home,” *Palimpsest* 6 (1925), 230; Diary of Jesse Clement, quoted in “Clayton County,” *Palimpsest* 47 (1966), 412; *History of Clayton County, Iowa* (1882), 393; Price, *History of Clayton County, Iowa*, 1:232–35; Vinegar Bitters [A. F. Hofer], “The Impending Crisis,” *Peoples Paper*, 5 June 1873; *North Iowa Times*, 26 October 1876; *Iowa State Register*, 30 May 1883; Town Lot Deed Book #13, Clayton County Courthouse. See also Earl S. Beard, “The Background of State Railroad Regulation in Iowa,” *Iowa Journal of History* 51 (1953), 1–36; Fred E. Haynes, *Third Party Movements Since the Civil War with Special Reference to Iowa* (1916; reprint ed., New York, 1966), chaps. 7 and 12.
civic pride, Ernst was also an ice hauler, a shipping clerk in a wholesale grocery concern, a member and later chief of the McGregor volunteer fire department, a participant in the local drill team known as the McGregor Rifles, and an enthusiastic player on the local baseball team. There were also family musicales and poetry readings. Ernst often read aloud in English from Shakespeare and in German from the works of the poet and dramatist Friedrich Schiller; he even found time to translate some pieces from German into English for local students. These cultural activities had some interesting results, as Ernst later recalled: "All this [interest in literature] gave me the impulse to throw up a perfectly good job where I was earning $40 a month to put into the family pot, bought an armful of books on credit and entered high school as a junior. My parents shed tears and I think regarded me as almost mad." Ernst had not attended school since the elementary grades, but he impressed his principal, Lucy Maynard Salmon, as "naturally very talented [and] remarkably well read," but with an "exalted opinion of his own capabilities." After only two years he graduated from McGregor High School in June 1877 in a class that included Frank Larrabee's daughter Rachel. Reporting on the commencement exercises, the *North Iowa Times* of McGregor commented that "Ernst Hofer made excellent and sharp hits on 'Journalism,' telling a few facts that went home to the candid mind." This graduation speech was a harbinger of Ernst's future career and a reference to a new turn in the family fortunes.
EFFECTIVE FEBRUARY 7, 1877, the Hofers had purchased an option on the *McGregor News*, a weekly Republican paper founded in 1859. For many decades A. F. Hofer had dreamed of entering the journalistic field, and wherever he went he had shown a lively interest in politics. Shortly after he left Communia, he had begun to express that interest through the newly formed Republican party. He had cultivated a relation-
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10. *Lariat* 2 (July 1923), 249–53; *Lariat* 2 (September 1923), 335; *Lariat* 3 (March 1924), 86; Lucy Maynard Salmon to Pomeroy Salmon, 23 February 1877, Lucy Maynard Salmon Papers, Courtesy of Special Collections, Vassar College Libraries (Salmon later attained fame as professor of history at Vassar from 1887 to 1927); *North Iowa Times*, 21 June 1877.
ship with the well-connected Larrabee family that sprouted in Clermont and continued to grow after the Hofers moved to McGregor. During his years of service as sergeant-at-arms of the Iowa state senate, A. F. Hofer undoubtedly came into contact with many influential Republicans. The column he later wrote for the *Iowa State Register* solidified his relationship with the Clarksons, Iowa’s most prominent newspaper family, who occupied the center of power in Republican party politics. In addition, both A. F. and Ernst Hofer maintained a cordial relationship with United States Senator William B. Allison, who lived in Dubuque. A. F. Hofer’s involvement with Communia and his flirtation with the Greenback party reflected a streak of reform that was by no means an anomaly among otherwise loyal Iowa Republicans, as James B. Weaver’s example illustrates. Unlike Weaver, “whose earnest nature had disposed him first to independence, then to desertion of the Republican ‘church’ and the embrace of an agrarian radicalism,” A. F. Hofer returned in large measure to the Republican fold. In an era when newspapers mediated political power, editing a local newspaper was a natural outlet for men with political interests and connections such as A. F. Hofer and his sons. Ernst, who quickly assumed editorial control of the newspaper, adopted his father’s politics of vocal Republicanism tinged with an independent streak.
The Hofers’ opening editorial stated, “The political part of the News will be conducted in the interest of the Republican party, but we will fearlessly aim to be right rather than partisan.” This was not an unusual statement of principle, but was rarely practiced in an age known for fierce partisanship.
11. Jerome, *My Century*, 208; A. F. Hofer to Allison, 9 December 1877 and Allison to Hofer, 15 December 1877, William Boyd Allison Papers, State Historical Society of Iowa, Des Moines; Matthew Josephson, *The Politicos, 1865–1896* (New York, 1938), 267. On the Clarksons, see Leland L. Sage, “The Clarksons of Indiana and Iowa,” *Indiana Magazine of History* 50 (1954), 429–46. On Allison, see Leland L. Sage, *William Boyd Allison: A Study in Practical Politics* (Iowa City, 1956). On Weaver, see Sage, *A History of Iowa*, 196–97; Haynes, *Third Party Movements*, 165–67; Thomas Burnell Colbert, “Political Fusion in Iowa: The Election of James B. Weaver to Congress in 1878,” *Arizona and the West* 20 (1978), 25–40; and idem, “Disgruntled Chronic Office Seeker or Man of Political Integrity: James Baird Weaver and the Republican Party in Iowa, 1857–1877,” *Annals of Iowa* 49 (1988), 187–207.
According to Frank Luther Mott, American journalism of the 1870s was characterized by its "emergence from the domination of party," but "many editors who talked loudly and long about independence were always found toeing the line on partisan issues." The *Iowa State Register* was then taking umbrage at "Democratic Demonism" in the still unresolved 1876 presidential contest between Samuel J. Tilden and Rutherford B. Hayes. By contrast, A. F. Hofer noted during a visit to the *Clayton County Journal* in Elkader in June that the Republican Hayes "never was elected." Under the Hofers, the *News* offered constructive or acidic comments on statewide political races, attacked financial "combinations," lambasted the Democratic party, twitted the Republicans, and advocated woman suffrage. The *News* also contained local gossip, humorous "funny-graphs," reprinted features, an "Amateurs Column" contributed by such noms de plume as "Incognoramus" and "Voice from the Wilderness," a pamphlet by A. F. Hofer on grape cultivation in the Upper Rhine Valley, and a serialized novel by A. F. and Ernst Hofer titled *The Living and the Dead.*
At the end of the first year of Hofer proprietorship, the name of the concern was changed to A. F. Hofer & Sons, to reflect the contributions of Ernst and his two brothers. All of Ernst's seven siblings were involved in the enterprise, but Ernst was the editor-in-fact of the *News* for most of the family's tenure. The Democratic *North Iowa Times* of McGregor observed in 1884 that Ernst had been the "editor since the Hofer reign over that frail concern [began]." Ernst himself confirmed this widely held assumption. "We have had to work so hard," he wrote to Senator Allison, "that none have been trained to do the writing that I have to do—nearly all on the paper." That was no idle boast. For example, in 1877, when the *News* opposed giving
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12. Slightly varying versions of the Hofers' opening editorial are reprinted in *History of Clayton County, Iowa* (1882), 390–91, and in Jerome, *My Century*, 210; Frank Luther Mott, *American Journalism: A History, 1690–1960*, 3d ed. (New York 1962), 411, 414; *Iowa State Register*, 7 February 1877; *Clayton County Journal*, 6 June 1877. For a detailed description of the *News*, see Jerome, *My Century*, 210–30. For an example of editorials in the *News*, see "Harlan and Allison," reprinted in *Iowa State Register*, 25 December 1877. See also A. K. Bailey, "Pioneer Editors of Northeastern Iowa," *Annals of Iowa* 5 (1901), 117–25; and C. Vann Woodward, *Reunion and Reaction: The Compromise of 1877 and the End of Reconstruction* (Boston, 1951).
fees collected for licensing saloons to public schools, one "disgusted republican" wrote to the Democratic *North Iowa Times* of McGregor that some "innocent fledgling" was producing articles "filled with imbecility." After Judge Samuel Murdock of Garnavillo launched a series of essays titled "Prehistoric Man" the following year for the newly established Democratic *Elkader Register*, an anonymous *News* writer brashly accused the judge of thrashing around in the "misty, impractical marshes of a semi-infidelistic mess of incoherence that does no credit to the paper that publishes them." While there is no definite proof of the identity of the "innocent fledgling," the wording of the rebuttals of Judge Murdock's essays bear the unmistakable stamp of Ernst Hofer, who had now made his debut on the Iowa scene.\(^{13}\)
When local Democratic party stalwart Frank D. Bayless bought the *Elkader Register* in December 1878, the journalistic fires were kindled in earnest. For the first several weeks under its new owner, the *Register* ran frequent items from the *News* without comment, but this apparent bond between a Democratic and Republican paper in the same county was short-lived. When the *News* charged Democratic county officials with "wishy-washiness" on the subject of officials' salaries, the *Register* replied, "If there is any one subject that the Hofer's [sic] of the McGregor News know less about than anything else, it is the state laws that govern our county's financial machinery." Bayless did allow, however, that the Hofers were in favor of economy in government. After the *News* accused the county auditor of pocketing $200—a munificent sum in those days—the *Register* cried, "Oh, my! What a display of wisdom and knowledge of law." Journalistic skirmishing also existed between the *News* and the Republican *Clayton County Journal* in Elkader, edited by J. W. Shannon.\(^{14}\)
By the summer of 1879, the *Iowa State Register* had dubbed the *McGregor News* the "leading Republican paper of Clayton
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\(^{13}\) Jerome, *My Century*, 211; *North Iowa Times*, 7 February 1884; Hofer to Allison, 24 December 1882, Allison Papers; *North Iowa Times*, 28 September 1877; *Elkader Register*, 2 May 1878.
\(^{14}\) *Elkader Register*, 22 May 1879; *Clayton County Journal*, 14 November 1877.
county," which must have both elated the Hofers and sobered editor Shannon. The Republican press in northeastern Iowa was by no means unanimous in supporting the activities of the News. Without naming the Hofers or the News, the Independence Bulletin had unleashed a broadside the previous February against "a weekly paper published in this district." Although the proprietor of the Bulletin professed great respect for the editor of said paper, he aimed his admonition at the "younger portion" of the staff. The article continued that the paper in question "furnishes us an example of vehement, incoherent, unreasonable, grovelling and demented partisan and political fanaticism, such, as we believe, is without parallel in the State." The editorial writer of the pilloried paper was "near the verge of imbecility." This stirring piece was reprinted without comment in the Clayton County Journal. Editor John W. Andrick of the North Iowa Times also became exasperated by "dear little Ernst," that "bundle of conceit," who with his father was "one of the 'Smartys.'"15
Ernst Hofer did have a lively and acerbic journalistic style, whether he was discussing local, state, or national politics. While his language was just as provocative as James S. Clarkson's, his style was perhaps more emotional than Bayless of the Elkader Register or Andrick of the North Iowa Times, and far more acidic than Shannon of the Clayton County Journal. Predictably, Hofer assailed the national Democratic party for organizing election fraud, sheltering unpatriotic states' rights advocates, and using "rag money" to capitalize on sensational charges. The News championed former Illinois Congressman Elihu Washburne for president in 1880—particularly after the Iowa State Register called him a "party drone"—but Washburne burst his own political bubble by backing the scandal-tainted former president, Ulysses S. Grant. Undaunted, the irrepressible Hofer joined several colleagues from northeastern Iowa to report on the Republican national convention in Chicago, after which the News backed the Republican nominee, James A. Garfield. In one curious piece featured in the Iowa State Register soon after the 1880 elections, Hofer satirized political hacks, or
15. Iowa State Register, 20 July 1879; Independence Bulletin, reprinted in Clayton County Journal, 26 February 1879; North Iowa Times, 28 October 1880, 3 August 1882.
“drones,” who “live off the labor of others—sponge, dead-beat—call it what you will. Their virtues are like fly-specks on the whitened ceiling of a sepulcher of vices.” Such creative political prose might have been aimed at either Washburne or Grant, but whoever the intended object, Hofer delighted his allies and infuriated his adversaries.\textsuperscript{16}
The following year, Hofer learned a valuable lesson in hardball politics during William Larrabee’s abortive campaign for the gubernatorial nomination. Late in 1880, the \textit{News} nonchalantly allowed that Buren R. Sherman, a leading contender for the governorship, had a “courteous grace,” but that the “politicians know [Larrabee] well enough to fear him and we predict that he is probably to be the man.” The next spring, Hofer stated that Larrabee “has never shown any of the spirit of a truckler or time server” and that a “majority of the thinking, conservative business men in the State will support [him].” Presumably, “conservative” meant those people opposed to monopolies and other pernicious economic trends. The \textit{Iowa State Register} boomed Sherman, however, so the Republican convention narrowly rejected Larrabee in favor of Sherman. Hofer then charged that a “coup d’état” had deprived Larrabee of the party nod and unjustly given it to Buren Sherman, whom the \textit{News} deprecated. The \textit{North Iowa Times} subsequently chortled that James S. Clarkson—powerful editor of the \textit{Iowa State Register} and alleged head of the state “Regency,” or political machine—and his family had turned the 1881 Republican state convention into a “mob for the purpose of defeating Larrabee.” While Larrabee’s defeat was a political disappointment for Hofer, his personal life took a more hopeful turn: on November 21, 1881, he married Winona McKinnie of McGregor, a former schoolmate whom he had courted for six years.\textsuperscript{17}
\textsuperscript{16.} \textit{McGregor News}, reprinted in \textit{Iowa State Register}, 13 December 1879 (“rag money” may refer to bribing newspapers, or “rags,” but may also mean taunting, or “ragging”), 23 January 1880, 18 December 1880; \textit{North Iowa Times}, 3 June 1880.
\textsuperscript{17.} \textit{McGregor News}, reprinted in \textit{Iowa State Register}, 30 November 1880, 16 April 1881; \textit{Iowa State Register}, 4 May 1881; \textit{McGregor News}, quoted in \textit{Iowa State Register}, 13 July 1881; \textit{North Iowa Times}, 18 May 1882; Marriage Record, Clayton County, Book O, 14 January 1869–27 December 1883, Clayton County Courthouse; \textit{Lariat} 1 (July 1923), 252.
ALREADY the young editor had established strong credentials within the Republican party in Iowa, but positions he took on several issues and candidates in the early 1880s solidified those credentials. The most volatile political subject in Iowa during that decade was prohibition. In Clayton County, politics "hinged almost entirely upon the question of prohibition," which the Republicans defended as a panacea and the Democrats denounced as an infringement upon personal liberty. Germans had traditionally been staunch Republicans, but during the fiery 1882 campaign over a proposed prohibition amendment to the state constitution, they showed signs of defecting to the Democrats "almost en masse." Clayton County was aflame with political excitement, as both prohibitionists and their adversaries held conventions and decades-old political alliances and friendships dissolved in bitterness. According to historian Richard Jensen, the referendum stirred "beliefs and prejudices stronger and more basic than party loyalty."
Despite his German heritage and his tendency to follow an independent tack, Ernst Hofer supported the proposed prohibition amendment in forceful editorials that Clarkson reprinted in full on the front page of the *Iowa State Register*. Initially light-hearted, Hofer wondered if J. M. Hagensick's large brewery north of McGregor "would make a splendid plow factory," but decided that since it would be "necessary for all drinking men to keep their own supplies after the Amendment passes, . . . a jug factory would be a good thing to start." In one especially cogent piece, Hofer exulted that "instead of great smoky, reeking cities, we [Iowans] have half a million pure-aired country homes and thousands of flourishing villages and incorporated towns." Iowa and its farm families were not totally insulated from impure influences, however, but had to bear the emotional and financial burdens of criminal cases arising from the "liquor traffic" controlled by "foreigners" in "our few large cities." Prohibi-
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18. Price, *History of Clayton County*, 1:240, 241; Richard Jensen, *The Winning of the Midwest: Social and Political Conflict, 1888–1896* (Chicago, 1971), 96. See also Dan Elbert Clark, "The History of Liquor Legislation in Iowa, 1878–1908," *Iowa Journal of History and Politics* 6 (1908), 503–608; Ballard C. Campbell, "Did Democracy Work? Prohibition in Late Nineteenth-Century Iowa," *Journal of Interdisciplinary History* 8 (1977), 87–116.
tion would not only keep down government expenses, it would preserve Iowa’s rural heritage and the sanctity of the family against incursion by “foreign” elements. In the closing days of the campaign, Hofer claimed that Iowa could enforce prohibition more effectively than Maine or any other state in the Union because it had “no sailors, no lumber men, no sea fishermen, no smugglers, no plantations populated by ignorant half-breeds.” A. F. Hofer used similar rhetoric in several speeches and in a pamphlet, “The Saloon Keeper,” which was distributed throughout the state. Such rhetoric helped ensure statewide passage of the prohibition amendment, though by a smaller margin than Republican leaders had anticipated. In Clayton County the amendment lost badly, and many people dropped their subscriptions to the News.
19. *McGregor News*, reprinted in *Iowa State Register*, 12 March, 16 June, 24 June 1882; *North Iowa Times*, 10 August 1882.
Clarkson, impressed with Ernst Hofer's audacious handling of the thorny prohibition question, asked him to become assistant editor of the *Iowa State Register*. Although Hofer wanted the job, he advised Senator Allison, "I cannot see my way clear to accept this very flattering offer, because I dare not leave the rest of the family to struggle on with the business and its pecuniary liabilities." Loyalty to his family was not the only reason for Hofer's reluctance to accept the proposition, however. "While the Clarksons make me a flattering offer," he admitted, "it would not much more than keep me and my wife at the Capital." Presumably, if the offer had been more remunerative, Hofer would have accepted it and perhaps sent home part of his salary to McGregor. He asked Allison to persuade Clarkson to wait six months, at which time he could probably accept the position, but Clarkson couldn't or wouldn't wait.
With his immediate fortunes linked to McGregor and its environs, Hofer immersed himself in local politics. Partisan politics in Clayton County were more competitive than in much of Iowa, with a loosely organized local Republican party increasingly threatened by the Democrats. According to a report in the *Clayton County Journal*, the fractious 1878 Republican congressional convention, which met at McGregor's Atheneum, required an incredible 326 ballots to nominate Thomas F. Updegraff. The following year the *Iowa State Register* commented on the "strangeness" of Clayton County politics, while the *McGregor News* railed against "back room" deals in "packed" local Republican party conventions, which resulted in choosing candidates with "muscle instead of brains."
In the fall of 1882, Luman Hamlin "Calamity" Weller harnessed a coalition of Greenbackers and irregular Democrats and defeated Congressman Updegraff, while the regular Democrats carried most of the local offices. A few weeks after the elections, Hofer warned Senator Allison in a long letter that if the party were "left in a disorganized mass, a prey to bad man-
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20. Hofer to Allison, 24 December 1882, Allison Papers.
21. *Clayton County Journal*, 4 September 1878; *Iowa State Register*, 20 July 1879; *McGregor News*, 23 July 1879, reprinted in *Iowa State Register*, 25 July 1879.
agement and irresponsible individuals and the offices given to Democrats and weak-kneed Republicans—you may look for nothing but defeat. In all these respects the party has been scandalously managed hereabouts." Not only were "aliens and enemies" occupying local political offices, but the "one-eyed widower" who served as postmaster of McGregor "dare not say his soul is his own in any question and . . . has no politics that anyone has ever heard of." For Hofer, the only hope was a "complete reorganization of the party and with campaign work from the ground up and upon a national platform of action." He did not offer any specific political planks, however.
Despite misgivings about the future of the Republican party, Hofer threw himself into the 1883 campaign, which became heated after the Iowa Supreme Court declared the prohibition amendment unconstitutional on a technicality. As one of the "Prohiblicans," the twenty-eight-year-old editor engaged in a series of eight debates on prohibition and other issues with Democratic County Treasurer C. E. Floete. The most memorable encounter occurred September 14 at the Clayton County Courthouse in Elkader. Years later, Hofer recalled that he had won the Elkader debate when he alluded to Floete's "dam roaring"—a reference to the sound of a mill dam on the Turkey River just outside the courthouse. The Democratic *Elkader Register*, however, contemporaneously reported that "Mr. Hofer is no match for Mr. Floete in such a discussion, but we must give him credit for bravely attempting to defend the rotten planks of protective tariff and prohibition in the republican platform." Just prior to the election, the *News* charged that the floating debt of the county was excessive. "Let us teach the syndicate of tax-collectors," Hofer cried, "that they cannot mulct the taxpayers whenever they see fit." Treasurer Floete replied in the *Elkader Register* that the "whole tribe of Hoferites" were "snarling curs." According to Floete, Ernst Hofer's "wooden shoe intellect was undoubtedly yet saturated with the fusil oil emit-
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22. Hofer to Allison, 24 December 1882, 7 November 1883. On the Iowa Greenback party and its fusion with Democrats, see Haynes, *Third Party Movements*, chaps. 12 and 13; and Colbert, "Political Fusion in Iowa."
ted from the Littleport still; a clear case of how the transgressions of the father are visited on the son."23
With the victory of the Democratic ticket in Clayton County, the *Elkader Register* snickered that the "McGregor News can now say 'I told you so,' for it predicted the defeat of the republican ticket two weeks ago." Hofer subsequently spelled out his frustrations to Allison. According to Hofer, Judge Reuben Noble, a Democrat who was connected to the powerful Chicago, Milwaukee, and St. Paul Railroad, was manipulating the local Republican party and backing a possible bid by Thomas Updegraff to regain his congressional seat. "Tom's candidacy, under the management of Noble and the championship of the Milwaukee corporation managers would only result in failure," Hofer pleaded, "and if allowed will only achieve the total annihilation of Tom and the Republican party in this corner of Iowa." An account in the *Iowa State Register* confirmed that, although the Fourth Congressional District in northeast Iowa was considered so safe that no great canvasses were made in 1882, the following year "nearly all organized effort was abandoned on the part of the Republicans" due to "unusual apathy in the Republican ranks." Hofer was not afflicted with apathy, but he did briefly train for a career in law before committing himself irrevocably to journalism.24
As the 1884 political campaign geared up, Hofer revealed the wide variety—in fact, the kaleidoscopic nature—of his causes. "This year," he advised readers of the *News*, "the republicans will have to fight the fiatists, the fusionists, the bourbons, the solid south, the free-traders, the whole beer and whiskey power, the communists and the monopolies." There were those who were convinced that Hofer was seeking some high political
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23. Price, *History of Clayton County, Iowa*, 1:241–42; *Lariat* 2 (September 1923), 336; *Elkader Register*, 21 September 1883; *McGregor News*, 3 October 1883, quoted in *Elkader Register*, 25 January 1884; *Elkader Register*, 8 February 1884.
24. *Elkader Register*, 12 October 1883; Hofer to Allison, 7 November 1883, Allison Papers; *Iowa State Register*, 22 March 1884. On Hofer's foray into law, see Hofer to Allison, 19 January, 13 March, and 12 June 1884, Allison Papers; *North Iowa Times*, 19 July 1883. For several months during the early part of 1884, A. F. Hofer may have functioned as de facto editor of the *McGregor News* while Ernst was reading law. *North Iowa Times*, 7 February 1884.
office. When he accused Congressman "Calamity" Weller of "more campaign skull-duggery than the average Democrat," W. P. Eno responded in a letter to the *Elkader Register*. "Is that paragon of political virtue and sagacity, Hofer, trying to scare all the republican candidates from the field," asked Eno, "that he may pick up our Tom [Updegraff]'s mantle and smite the Red Sea of the opposition, that he may walk over to congress dry shod?" Hofer didn't assume the guise of either Moses or Updegraff, but he did go on the hustings that fall on behalf of the party—despite his private feeling that G.O.P. national standard-bearer James G. Blaine was the "most corrupt man in the party." At great rallies around the state addressed by Republican notables and attended by party cohorts known as "Plumed Knights," Hofer added what one newspaper termed "wit and wisdom." Despite the hoopla, there were political winds of change blowing statewide and nationally. One scholar has noted that "James S. Clarkson [later] recalled the politicians' surprise in 1884 when the 'brass band, the red light, and the mass meeting seemed suddenly to have lost their power.'" Iowa did fall into the Blaine column, and Republican William E. Fuller recaptured Updegraff's congressional seat from "Calamity" Weller; but Grover Cleveland was elected the first Democratic president in nearly thirty years, and the Democrats decimated the Republicans in the northeast corner of the state.
A splendid opportunity presented itself in 1885 when William Larrabee decided he would make another try for the gubernatorial nod. Holding title to two hundred thousand acres in Iowa, Larrabee was the largest landowner in the state, but according to the *McGregor News* the candidate was "not a typical 'rich' man.... In short he is a man who uses his wealth more for the benefit of others than himself." After Larrabee's nomination, the *North Iowa Times* described him as a "fair representative of the Clarkson dynasty, which allowed his nomination at the price of his vote for the prohibitory law [of 1884] in
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25. *McGregor News*, quoted in *Elkader Semi-Weekly Register*, 11 April 1884; *Elkader Semi-Weekly Register*, 8 April 1884; *North Iowa Times*, 25 September 1884; *Postville Review*, 25 October 1884; Robert D. Marcus, *Grand Old Party: Political Structure in the Gilded Age, 1880–1896* (New York, 1971), 61. For additional background on the national election of 1884, see John M. Dobson, *Politics in the Gilded Age: A New Perspective on Reform* (New York, 1972).
the legislature." Narrowly elected governor in November 1885, Larrabee spent two consecutive two-year terms upholding prohibition, pushing through the abolition of the railroad pass system, and establishing maximum passenger and freight rates on railroads.\textsuperscript{26}
Larrabee's election initially brought a small but tantalizing dividend to Hofer, for on January 12, 1886, the state senate voted 30–17 along party lines to choose him as its first assistant secretary. Donald D. Donnan, editor of the \textit{Clayton County Journal} in Elkader, was elected secretary of the senate. Years later former state representative George H. Van Houten reminisced that both Hofer and Donnan hailed from "beyond the Larrabee preserves." A contemporary correspondent of the \textit{North Iowa Times} satirically observed that "Don rather overshadows his older assistant of the News, who with his usual sangfroid and a becoming modesty maintains his serenity of soul, and only regrets that he had not provided himself with as influential a father as young Donnan did." There was some truth in this assertion, as illustrated by a letter Hofer wrote to Lucy Maynard Salmon. "You will see," he exclaimed, "that I have a minor position [in the senate], tho' I have been acting Secy. for several weeks. A Senator's son of 23 secured the first Secretaryship, for which I was not a candidate, as I came down here more to learn the methods of legislation than I did for the purpose of gaining political honors." While the senate sat for its January–April session, Hofer wrote some letters to the \textit{McGregor News}, at least one of which was highly critical of leading Democratic state senators. "The great trouble is," exclaimed the \textit{Waukon Democrat}, "the child is afflicted with the big head to an alarming extent and ought to be placed in a box stall, fed on ground food and have his head bandaged with cowdung poultices to reduce the enlargement. He's got it bad."\textsuperscript{27}
\textsuperscript{26} Henry Follett, interview with author, Clermont, Iowa, 3 July 1987; \textit{McGregor News}, reprinted in \textit{West Union Weekly Republican Gazette}, 20 March 1885; \textit{North Iowa Times}, 3 September 1885. For an overview of Larrabee's administration, see Sage, \textit{A History of Iowa}, 204–8; Rebecca Christian, "William Larrabee: Iowa's Outspoken Crusader for Reform," \textit{Iowan} 32 (Winter 1983), 11–16, 52–53.
\textsuperscript{27} George H. Van Houten, "Response to Address of Welcome," in David C. Mott, "Pioneer Lawmakers Association," \textit{Annals of Iowa} 16 (1929), 590; \textit{North}
The prohibition issue provided a golden opportunity for advancement. On May 3, 1886, the governor issued a proclamation urging public officials to enforce the temperance law the legislature had passed two years earlier. According to Larrabee, clergymen, teachers, and the press should "use their best efforts to enlist the moral forces of the State in this cause." No German-language newspaper in the state printed the proclamation, prompting Hofer to chide in the *McGregor News* that German publishers "seem to have great fears of permitting their readers to hear anything but one side of the question." This was not just rhetoric. On May 21, 1886, the *Iowa State Register* carried the following item: "One half of the five thousand [subscriptions] asked for, to enable the publishers to get out a first-class German weekly at a low price, are assured." Ernst Hofer was about to launch a newspaper in Des Moines.
THE JOURNALISTIC SCENE IN DES MOINES was varied and colorful, for the city then boasted nearly three dozen newspapers and magazines. Besides the seemingly omnipotent *Iowa State Register*, the dailies included the intensely Democratic *Des Moines Leader* and the independent and mildly Republican *Daily Iowa Capital*. The *Leader*, edited by John Watts, had suffered a disastrous fire on May 25, but in late June it occupied new quarters. On July 3, R. G. Orwig, "one of the most logical and forceful writers in the State," began his tenure as editor of the *Capital*. Among the dozen or so weeklies were the *Iowa Homestead*, edited by outspoken ex-minister Henry C. Wallace; the Swedish-language *Svithiod*; and the Democratic German-language *Iowa Staats-Anzeiger*, edited by Joseph Eiboeck. A former editor of the Republican *Clayton County Journal* and longtime personal friend of A. F. Hofer, Eiboeck had joined the Republican ranks over the issue of prohibition. Outside of Des Moines, there was a thriving German-language press, including
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*Iowa Times*, 4 February 1886 (Donnan’s father, W. G. Donnan, had served in congress and in the state senate); Hofer to Lucy Maynard Salmon, 27 March 1886, Salmon Papers; *Waukon Democrat*, quoted in *North Iowa Times*, 3 July 1886. The *Iowa State Register*, 3 December 1885, endorsed Hofer’s quest to serve as assistant secretary.
28. *Elkader Weekly Register*, 6 May 1886; *McGregor News*, reprinted in *Iowa State Register*, 14 May 1886; *Iowa State Register*, 21 May 1886.
the *Davenport Demokrat*, edited by John Peter Stibolt, and the Elkader *Nord Iowa Herold*, edited by Charles Reinecke. Hofer’s entrance into the ranks of Des Moines journalists and headlong march into the prohibition brawl with the Germans marked the culmination of many years of hard work.\(^{29}\)
On July 9, 1886, the first issue of Hofer’s *Iowa Staats-Zeitung* appeared. In common with and in imitation of the *Iowa Staats-Anzeiger*, the *Staats-Zeitung* offered three columns of English articles and editorials on the front page, but according to *Staats-Anzeiger* editor Joseph Eiboeck, the new paper had “patent insides,” with half of each issue “printed in the East.” This “boiler plate” was not unusual. “As early as 1883,” writes Carl Wittke, “several firms in Philadelphia and Chicago carried on a prosperous business in furnishing stereotype as filler for the inside pages of German papers, especially weeklies.” Seemingly indefatigable, Hofer commuted by train to McGregor each week via Dubuque, prompting the *Daily Capital* to term him the “travelling editor” of the *News*.\(^{30}\)
In the first issue of the *Staats-Zeitung*, Hofer proclaimed that the paper’s mission was to “correct the ‘evil’ habits and customs of the Germans,” that is, their indulgence in intoxicating beverages. These words were not designed to build bridges of understanding, but the *Daily Iowa Capital* argued that the *Staats-Zeitung* had the “laudable purpose of meeting an evident demand for pure Iowa Republicanism in the purity and strength of the German language.” Predictably, the *Des Moines Leader* was less charitable, commenting that the alleged “very large paid up subscription” was evidence that the “republican campaign committee must have dealt very liberally with it.” The *Nord Iowa Herold* dismissed the *Staats-Zeitung* as “Dot Sharman Baper.”\(^{31}\)
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29. Bushnell’s *Des Moines Directory* (Des Moines, 1886), 739; Will Porter, *Annals of Polk County, Iowa, and City of Des Moines* (Des Moines, 1898), 483–84; *Iowa Staats-Anzeiger*, 1, 8 July 1886; Carl Wittke, *The German-Language Press in America* (Lexington, KY, 1957), 97.
30. *Iowa Staats-Anzeiger*, 15 July 1886; Wittke, *German-Language Press*, 219; *Daily Iowa Capital*, 30 November 1886.
31. *Nord Iowa Herold* and *Iowa Staats-Zeitung*, 9 July 1886, quoted in *Iowa Staats-Anzeiger*, 28 October 1886; *Daily Iowa Capital*, 10 July 1886; *Des Moines Leader*, 11 July 1886.
Perhaps the most important challenge Hofer and the Republican party faced was the collective German presence of Theodore Guelich, former editor of the Republican *Burlington Gazette*, Stibolt of the *Davenport Demokrat*, and Eiboeck of the *Staats-Anzeiger*. The influential Guelich, founder of the *Davenport Demokrat* and the *Burlington Herold*, had returned to the Democratic fold as “leader of the revolt of the river cities against the prohibition law” and now advocated local option as an antidote to prohibition. On July 23, 1886, the third issue of the *Staats-Zeitung* carried a provocative editorial titled “By This Sign We Conquer?” in which Hofer—without naming them—took Guelich, Stibolt, and Eiboeck to task for misleading Germans regarding the local option plank. “They invite all German-Americans to hang their Personal Liberty garment on a peg and put on the local option straight jacket,” claimed Hofer, “that they may vote the Democratic temperance ticket.” Hofer thought Guelich, Stibolt, and Eiboeck had tried to entice Germans to vote Democratic by offering watered-down versions of prohibition. “What matters,” Hofer argued, “by what conjuration we coax the fanatical slough-water prohibitionists into the Democratic camp, so we get there, says the Mephisto to his German American readers.” In a subsequent editorial aimed at the “beer dripping editorials” of this “triumvirate of personal liberty in Iowa,” Hofer derided “saloon-king Theodore” Guelich, “modern Theoderic” Stibolt, and “Crown-prince Joseph [Eiboeck] of Des Moines.” Hofer’s tactics were bound to strike a responsive chord. Wittke writes, “Many editors of the German-language press . . . regarded the inroads of the white-ribbon hordes of fanatical prohibitionists upon their personal liberty as the major issue in recent American politics.” The issue of personal liberty galvanized the German press nationally, but Eiboeck initially tried not to take Hofer too seriously.
If he sometimes ignored Hofer’s jibes on the issue of local option, Eiboeck did not keep silent when the *Staats-Zeitung*
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32. *Iowa State Register*, 11 July 1885; *Iowa Staats-Zeitung*, reprinted in *Iowa State Register*, 24 July 1886; *Iowa Staats-Zeitung*, reprinted in *Daily Iowa Capital*, 12 August 1886; Wittke, *German Language-Press*, 164; *Iowa Staats-Anzeiger*, 19 August 1886. On Guelich, see also *Iowa Staats-Zeitung*, reprinted in *Iowa State Register*, 1 October 1887; and B. F. Gue, “Life and Death of Theodore Guelich,” *Annals of Iowa* 1 (1893), 46–52.
discussed the case of Rev. George Haddock, an outspoken prohibitionist allegedly murdered by German saloon elements in Sioux City in August 1886. The Democratic Leader deplored the murder, but Hofer and some Republicans sought to portray the incident in charged racial terms. For Hofer, the murder had "touched the German element with bloody fingers and left a stain that only future conduct can remove." Unwilling to concentrate his fire on Ernst, Eiboeck derided his erstwhile ally A. F. Hofer—also a prominent leader in the prohibition fight—as a "slanderer of his race," an "infamous falsifier," and a "political traitor." The Staats-Anzeiger tartly concluded, "You are not worthy to be spit upon by your countrymen." Shortly, Eiboeck launched another attack. "Whatever faults German-Americans may have," he fulminated, "they have few traitors among them as Hofer and the bigots of the German Methodist churches." The Daily Capital felt prompted to answer, "Their [the Hofers'] crime is obedience to the laws of their country; Mr. Eiboeck's virtue is disobedience to those laws."
Evidence of a sagging Republican party was mounting across Iowa, but the Iowa State Register blithely trumpeted, "Many thousands of Germans in Iowa are of [sic] the most determined enemies of the rum power." As one contemporary historian later noted, "By this time many of the citizens of the city [Des Moines] and county had become thoroughly disgusted with the prohibitory law and especially the manner of its attempted enforcement." According to the Elkader Register, there were only two Germans present at the 1887 Republican state convention, A. F. Hofer and J. Fred Meyer of Denison. "Verily," the Register clucked, "the German voter is no longer appreciated in the republican party and the Germans seem to understand it." In contrast to his repeated warnings about the health of the Republican party in 1882 and 1883, Ernst Hofer, perhaps caught up in the fervor of the moment, seemed strangely oblivious to the ominous clouds now gathering. When a respected Spillville farmer named Fritz Glass returned
33. Iowa Staats-Zeitung, quoted and answered, Iowa Staats-Anzeiger, 28 October 1886; Daily Iowa Capital, 13 November 1886. See also Thomas S. Smith, "A Martyr for Prohibition: The Murder of Reverend George C. Haddock," Palimpsest 62 (1981), 186–93.
a complimentary copy of the *Staats-Zeitung* because he did not want to read anything produced by "purchased traitors of German principles," Hofer lampooned Glass as a "drunken foolish ass, whose highest idea of personal liberty is a beer-cask, whiskey bottle and gaming table."34
EVEN in the midst of the donnybrook over prohibition, Hofer involved himself in his usual outspoken fashion with other state and national issues, usually in letters to the *McGregor News* penned on the train. Early in 1887 it became apparent that Governor Larrabee would not reappoint Judge James W. McDill to the state railroad commission, in part because certain factions within the Republican party—including James S. Clarkson and his "Regency"—may have wished his removal. The *Des Moines Leader* reported that the "Des Moines correspondent of the Cedar Rapids *Republican*, who is [close] to the regency . . . , is apparently opposed to McDill, for the reason that his reappointment would suggest that but one generation of Iowa politicians is competent, qualified, worthy and intended to direct the affairs of Iowa." According to this theory, Clarkson and his regency might compel the retirement of McDill in order to make room for younger, more "progressive" men who might be more receptive to railroad interests. The *Keokuk Daily Gate City* had warned that the "commissioners are now, practically, in the hands of the railroads," but the treatment of McDill nevertheless raised Hofer's hackles. "We are in an age of mush and cowardice," cried Hofer in an especially graphic letter to the *McGregor News*. "If the Republican party is to go down on its[s] knees and belly in this way, and cowardly pander to its enemies, and more cowardly cast out its friends at the dictation of its enemies, it is time for it to die. There may be reasons for a change in railroad commissioners, but if it is done, it should be done for frank and self-respecting party reasons, and not to punish a good and noble man for loyalty to his party, nor to reward tricksters, demagogues and traitors for betraying
34. *Iowa State Register*, 14 July 1887; Porter, *Annals of Polk County*, 486; *Elkader Register*, 1 September 1887; *Nord Iowa Herold*, quoting Fritz Glass and *Iowa Staats-Zeitung*, reprinted in *North Iowa Times*, 8 September 1887.
and fighting the party." McDill removed himself from consideration, and Larrabee named State Senator G. S. Robinson to serve on the railroad commission, which seemed to assuage Hofer's feelings.\textsuperscript{35}
Hofer identified with the progressive wing of the Republican party on another key issue in state and national politics as he continued his family's tradition of supporting women's rights. The \textit{Woman's Standard} (Des Moines) reported in 1888 that the \textit{McGregor News} was one of about ten Iowa newspapers that "devote special columns to women's interests under the care of some competent woman." In this case, the "competent woman" was Hofer's younger sister Anna—subsequently Andrea—who was becoming proficient at journalism. Ernst's stand in favor of woman suffrage once earned him the sobriquet "confidential advisor to the petticoat brigade!" Yet when Democratic State Senator Frank D. Bayless sponsored a bill in 1888 to require that female teachers be paid the same as male teachers, Hofer opposed the measure. "The News," twitted the \textit{Elkader Register}, "favors equal rights for women voting, but when it comes to dollars and cents it doesn't want them to stand on an equal footing with the men. Consistency[,] thy name is not the McGregor News." Hofer replied that the bill would hurt women, singled out one profession, and was a "senseless, demagogic measure [which] never should be made law." He added that the \textit{News} would support a bill that applied equally to all professions.\textsuperscript{36}
Despite his independent streak, Hofer toed the party line on most matters of national partisan politics and economic policies. In 1886 he had been outraged that "Democratic civil service reform," which aimed at removal of federal officials for
\textsuperscript{35} \textit{Des Moines Leader}, 22 March 1887; \textit{Keokuk Daily Gate City}, 11 December 1886; \textit{McGregor News}, reprinted in \textit{Iowa State Register}, 5 March 1887. The James W. McDill Papers at the University of Iowa Libraries do not contain any insights on this episode.
\textsuperscript{36} \textit{Woman's Standard}, reprinted in \textit{McGregor News}, 13 June 1888; \textit{McGregor News}, reprinted in \textit{Iowa State Register}, 12 February 1887; \textit{North Iowa Times}, 25 September 1884; \textit{Elkader Weekly Register}, 15 March 1888; \textit{McGregor News}, 28 March 1888. Two of Hofer's sisters, Andrea Hofer Proudfoot and Amalie Hofer Jerome, played a leading role in the kindergarten movement, while a third sister, Mari Ruef Hofer, achieved fame as a compiler of children's songs and pageants.
"offensive partisanship," was an "idea unworthy of [the] American people." Hofer also lambasted the Democrats for trying to tamper with the protective tariff. "We have had a democratic house of congress," he charged, "that has been unrelenting in its efforts to overthrow the American protective system in the interest of a British revenue tariff." It then followed that Hofer was opposed to a large national debt and the moneyed interests allegedly benefiting from it. "They [President Cleveland and his cabinet] can array themselves on the side of the people," he wrote Allison, "or on the side of the bondholders, who want the interest burden perpetuated."
The Iowa press often discussed Hofer, albeit in a partisan or scornful vein. During one chat with the editor of the Democratic Cedar Rapids Gazette, Hofer remarked that the "question of anti-monopoly amounted to nothing, that it would not come up for years, that he had tried it and it was no go." Gleefully, the Des Moines Leader suggested, "Now that Mr. Hofer and the republican party realize the situation it is decided that it is better for anti-monopoly to be a 'go' than for the republican party in the state to 'go.'" That is, the Republican party would be better advised to push anti-monopoly as an issue than prohibition. When Hofer announced that he was opposing C. T. Granger for chief justice of the state supreme court in April 1887, the Waukon Democrat offered a humorous reply: "That settles Judge Granger's hash, unless he can prevail upon Hofer to cease hostilities. His opposition and influence are felt about as much as the kick of a half-grown fly."
Hofer now had two outlets for his views on state and national issues, but his financial position was still insecure, especially since the future of the Staats-Zeitung was uncertain and also because of his growing family. On January 14, 1887, he wrote to Senator Allison that he had "really gone into it [the Staats-Zeitung] as a matter of personal pride. . . . I realize the necessity of doing something for myself beyond a mere living
37. McGregor News, ca. November 1886, McGregor Historical Museum; McGregor News, quoted in Elkader Weekly Register, 2 December 1886; Hofer to Allison, 19 July 1886, Allison Papers.
38. Cedar Rapids Gazette, quoted in Des Moines Leader and reprinted in Elkader Weekly Register, 17 February 1887; Waukon Democrat, 27 April 1887.
in these my best years." In fact, noted Hofer, due to the newspaper's unprofitable status, he was not certain he could continue as editor over the long run. The solution, he suggested, was that he run for state printer. "I would like the office as much for the deep pride I feel in the printing craft as for the money there is in, itho' [sic] on the last point I will say that the office is a very lucrative one, receiving in remuneration next to the pay of an United States Senator." Hofer was a practical journalist who was trying to cash in his political debts. "Those who bear a share in the labors of our state campaigns," he advised Allison in May, "are interested in the upbuilding of a strong German Republican party paper. We can with the help of this office make our paper as large and as strong a paper as the Register is for English readers."
In May the McGregor News argued that a "German Republican be given a place on the ticket" to help "identify the best element of our German people permanently with the Republican party." The Fayette Postal Card huffed that Hofer was an "offensive snob" who "is but doing the meanest, lowest, dirtiest work for his party—for the sake of the pay." As the campaign for state printer geared up in the fall of 1887, Hofer appeared to have more than a fighting chance, despite the presence of several other candidates. "No young man," observed the Howard County Times in October, "has done more or better service for the Republican party and the temperance cause than has Ernst Hofer. . . . His command of two languages and two papers has given him an influence that few possess." Hofer pleaded for party harmony, but he facetiously reported that St. Peter had chastised him during a dream for doing the "state a grievous wrong by praising every candidate for office in your own party." Shortly before the election, A. F. Hofer & Sons mailed a statewide circular proclaiming that the McGregor News exercised an influence "due in large measure to the work and ability of one of its editors who is now a candidate. He has been a faithful and loyal worker for the party for many years." The circular did not detail its claims, because it presumed that many Iowans were familiar with the News through Hofer's
39. Hofer to Allison, 14, 29 January, 12 February, 25 May 1887, Allison Papers.
fiery articles and letters, which were sometimes reprinted in the *Iowa State Register* and other newspapers throughout the state. Almost as an afterthought, the circular concluded, "Besides, he has a thorough and practical knowledge of the printing business."40
As the legislature convened on January 9, 1888, political maverick James B. Weaver's *Iowa Tribune* noted that "there was a perfect swarm of candidates who wanted to be doorkeepers in the House of the Republicans." The joint Republican caucus to choose a party nominee for state printer, held on January 10, aptly fit Weaver's description. Following the first ballot, the contest was clearly between Hofer and George H. Ragsdale, whom the *Des Moines Leader* had once caricatured as the able but "cadaverous looking quill driver of the LeMars Sentinel." The *Sentinel* itself described the rather chaotic scene at the caucus. "Friends of the candidates from the lobby rushed in among the official seats to plead for their man and there was something of a tumbling over desks and collisions which jostled the suspended dignity of the wise men." After five hotly contested ballots, the caucus chose Ragsdale over Hofer by a vote of 51–46.41
Shortly after his defeat, an exhausted Hofer sold the unprofitable *Iowa Staats-Zeitung* to P. J. Merkel, his less dynamic coeditor on the German enterprise, "retired" from politics, and thereafter took little interest in the cause of prohibition. The *Fayette Postal Card* exulted that Hofer was a "short-coated spoopendyke" (a foolish, subservient fellow) who had "gone back to Jericho to tarry till his beard starts." If Hofer's abandonment of the prohibition cause makes his earlier actions appear opportunistic, one must also conclude that he was disillusioned, tired, and probably low on funds after nearly two years of service on the *Iowa Staats-Zeitung*. Several years later, he concluded that the prohibition crusade in Iowa had "resulted
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40. *McGregor News*, 11 May 1887; *Fayette Postal Card*, reprinted in *Iowa Staats-Anzeiger*, 21 July 1887; *Howard County Times*, reprinted in *Iowa State Register*, 15 October 1887; *McGregor News*, 7 December 1887; election circular from A. F. Hofer & Sons, 12 December 1887, Allison Papers.
41. *Iowa Tribune*, 11 January 1888; *Iowa State Register*, 11 January 1888; *Des Moines Leader*, 23 August 1887; *LeMars Semi-Weekly Sentinel*, 20 January 1888.
in making great expense and not perceptibly diminishing the liquor traffic, but causing hard feelings between neighbors and communities."42
Just after Hofer lost his bid for state printer, the *Chicago Tribune* reported that a shaken Hofer may have held Larrabee responsible for his loss—a charge the feisty editor denied. Hofer later reasoned that he had been "defeated by the combine," that is, Clarkson's "Regency." In fact, Larrabee and Clarkson were soon engaged in another battle with wide-ranging consequences. On January 12, 1888, the governor gave his second inaugural address, in which he asked the General Assembly to abolish railroad passes and establish maximum passenger and freight rates. Larrabee's speech highly agitated James S. Clarkson. "[James B.] Weaver and his demagogism has never equalled this," he fumed to Senator Allison. "He cares nothing for the party." Five years earlier, the *News* had strongly supported efforts by William and Frank Larrabee and others to construct a railroad from McGregor to Des Moines, as an antidote to the alleged stranglehold that the Chicago, Milwaukee, and St. Paul Railroad had on northeastern Iowa. Yet Hofer had never subscribed to the more extreme position on railroad regulation that James B. Weaver held. "The attempt of the Des Moines Register to make out that Governor Larrabee has adopted General Weaver's ideas," Hofer now charged, "will not succeed." That did not stop Clarkson from trying. Referring to the *News* as a "paper never afraid to express an opinion, nor to defend it afterwards," he replied that both Weaver's ideas and Larrabee's inaugural speech were "savage indictments" of the Republican party. Hofer subsequently admitted that some of Larrabee's previous actions had been "weak and indefensible" and argued that the state should not "assume the management of the railways in any degree." Clarkson was unable to sustain his position, and Hofer's fears of government control were somewhat assuaged after the state legislature unanimously approved a railroad commission that reduced all railroad rates.
42. *Strawberry Point Press*, reprinted in *North Iowa Times*, 19 July 1888; *McGregor News*, 5 September 1888; *Fayette Postal Card*, reprinted in *Iowa Staats-Anzeiger*, 19 July 1888; *Salem [Oregon] Weekly Capital Journal*, 23 June 1904.
by 20 percent without assuming any real control of the roads. It is interesting that Hofer was willing to support and yet affront the governor, but more fascinating that he now advocated the sanctity of railroads, despite many years of disparaging comments about corporations in general and railroads in particular. The only explanation is that, despite his displeasure with certain powerful carriers, Hofer may have been apprehensive that regulation of railroads might impede economic development, which was one of his perennial causes.\textsuperscript{43}
During the Republican national convention that summer, Iowans waited with anticipation as Senator Allison, assisted by James S. Clarkson, made a serious bid for the presidential nomination, only to lose to Benjamin Harrison of Indiana. Ernst Hofer loyally supported Harrison and hawked the protective tariff, as he had for many years. "With protection in the interests of the wage-worker and our country," he urged, "we must, at the same time, have healthy competition in the interests of the whole people." Although Hofer stayed the Republican course, perceptive observers would have noticed that he was floating some warnings. On the eve of the 1888 national elections, the \textit{McGregor News} announced that unless a political party supported a local newspaper with advertising and job printing, "it can only be a question of time when all publishers who can, will go into [an]other and more profitable business that does not require such constant sacrifices at the altar of party devotion, sacrifices which the private citizen, never feels called upon to make." Following Harrison's election, the Hofers unsuccessfully lobbied Larrabee for some kind of state or federal appointment and urged President Harrison to name James S. Clarkson to his cabinet. "At one time this winter," Ernst Hofer quipped, "we felt like offering ourselves to Prest.[-Elect]
\textsuperscript{43} Chicago Daily Tribune, 22, 26 March 1888; McGregor News, 29 May 1889; Clarkson to Allison, 13 January 1888, Allison Papers; McGregor News, quoted and answered in Iowa State Register, 3 February 1888; McGregor News, 8, 15 February 1888. See also John Lauritz Larson, \textit{Bonds of Enterprise: John Murray Forbes and Western Development in America's Railway Age} (Boston, 1984), 183–95; and William Larrabee, \textit{The Railroad Question: A Historical Treatise on Railroads, and Remedies for Their Abuses} (Chicago, 1898). On Hofer's earlier railroad efforts, see Elkader Register, 16 February 1883; West Union Republican Gazette, 9 March 1883; Realto E. Price to McGregor News, quoted in Elkader Register, 14 December 1883; North Iowa Times, 22 February 1883.
Harrison for a cabinet position. . . . We can see since that several self-sacrificing lawyers, (we presume with a small-paying practice) have offered to accept places and we feel relieved."44
The national G.O.P. may have reoccupied the White House after four years of Democratic rule, but an "overconfident and carelessly organized" Iowa Republican party unwittingly marched down the road to defeat. Many local Republican party leaders were unaccountably complacent, possibly since the Democratic majority in Clayton County had been halved as large numbers of Germans returned to the Republican fold during the 1888 election. Judge E. H. Williams of Postville gloated that Iowa had "now won three notable conflicts with democracy [the Democratic party] the saloon and the railroads." Hofer was a more astute political observer, warning that Germans "have the political destiny of our county in their hands in large measure." As the 1889 Iowa gubernatorial battle geared up, Hofer virtually ignored prohibition, urging Larrabee to run for a third term to continue the battle against the "corporation plutocrats" and their editorial minions, including Clarkson. "They have come to regard our state as a juicy piece of fruit," boomed the News, "created for the sole purpose of being squeezed dry by a little group of corporation managers in the interest of Chicago, St. Paul and a few other large business centers." The governor wisely declined to run for reelection. That November, German Republicans joined with the Democrats, a "motley collection of losers," to elect Horace Boies as the first Democratic governor of Iowa in nearly forty years. The once invincible Republicans had been vanquished, largely by prohibition.45
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44. McGregor News, 31 October 1888, 27 February 1889; Larrabee to the President, 3 April 1889, Governor Letter Book, 8 January 1889–4 February 1890, Series GII, vol. 80, p. 302, State Historical Society of Iowa, Des Moines; A. F. Hofer & Sons to Harrison, 24 January 1889, Benjamin Harrison Papers, Library of Congress.
45. Jensen, Winning the Midwest, 90; E. H. Williams to J. O. Crosby, 13 February 1889, J. O. Crosby Papers, Garnavillo Historical Society, Garnavillo, Iowa; McGregor News, 28 November 1888; McGregor News, n.d. [pencil notation "1888," but context indicates early 1889], Larrabee Scrapbook, Larrabee Papers, Montauk.
THE DOWNWARD SLIDE of the state Republican party, coupled with his own professional frustrations, impelled Hofer to leave Iowa. Armed with a strong letter of recommendation from Governor Larrabee, Hofer made a lengthy trip to the Pacific Northwest during the 1889 election campaign to look for business opportunities. Rejecting "flattering offers" to move to Seattle or Tacoma, Washington, Ernst and his brother Andrew bought the *Salem [Oregon] Capital Journal*, founded only the previous year. On the very December day that Ernst returned to McGregor to wind up his affairs, he wrote to Larrabee that he hoped to participate in the "upbuilding" of Oregon, including construction of "new railroads and new banks." Larrabee immediately invited him to serve briefly as his private secretary. The retiring governor and the young editor must have relished discussing their respective futures, the former looking forward to managing his lands and writing at his Montauk estate looking out over Clermont, the latter anxious to launch a new career in the Pacific Northwest. Then, in mid-January 1890, Ernst, his wife, and their two small children left Iowa, traveled to St. Paul by train and over the plains in a cold Northern Pacific Pullman car to the "rainy, misty valleys of western Oregon."
Just before Hofer left, James S. Clarkson wrote that he had "won an enviable reputation, both for his strength as a political writer and his skill and grace as a general writer." The *Iowa State Register*—now edited by James's brother Richard—warmly allowed that Hofer was "capable of giving the Republicans of Oregon a stronger paper than that state has ever had." Both James and Richard Clarkson were mindful that Hofer did not always toe the party line and sometimes took a jaundiced view
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46. Larrabee to Governor Sylvester Pennoyer, 13 May 1889, Governor Letter Book, 8 January 1889–4 February 1890, Series GII, vol. 80, p. 395, State Historical Society of Iowa, Des Moines; *Salem Weekly Capital Journal*, 18 April 1890; Hofer to Larrabee, 23 December 1889, William Larrabee Papers, State Historical Society of Iowa, Iowa City; *Elkader Register*, 26 December 1889; *Lariat* 1 (February 1923), 46, 48. The bond between Ernst Hofer and the Larrabees lasted until the 1920s. Hofer to Larrabee, 11 August 1893, 30 May 1904, Larrabee Papers, Montauk; Mrs. Allan A. Bynon, interview with author, Lake Oswego, Oregon, 6 July 1973. A. F. Hofer sold the *McGregor News* to J. F. Widman on 21 April 1890 and later moved to Chicago, where he died in 1905.
of the *Register* itself. "There is no criticism to be made of The Register," Hofer had recently editorialized, "except that it has been too devoted to the interests that have made Des Moines what it is, the natural course with any city paper." The *McGregor News* evidenced a curious mixture of praise and disdain for both James S. Clarkson and the *Iowa State Register*, which may be only partially explained by the undulations of Hofer's career. One key to this apparent vacillation may lie in the relationship that both A. F. and Ernst Hofer had with "Father" Clarkson, who was renowned for his resistance to the "extortions of the 'Barbed Wire Syndicate'" that had threatened farmers in the late 1870s and early 1880s. When Father Clarkson died in May 1890, Ernst Hofer recalled that his "ringing anti-monopoly sentiments could never be put down." Hofer never developed the admiration for James S. Clarkson that he evidenced toward Father Clarkson, because the younger Clarkson represented ideas that Hofer could not accept. It is also possible that some contradictions in *News* policy may be due to the fact that A. F. Hofer, who was listed as "editor" or "senior editor," occasionally wrote editorials, which were almost always unsigned, or that he prevailed upon his son to tone down or even alter some of his polemics. "The senior editor of THE NEWS," Ernst Hofer observed in 1889, "does not look upon Iowa public men from quite as vinegarish a standpoint [as does the junior editor]."47
Ernst Hofer adhered to a journalistic code that sometimes placed him outside the pale of his own party and even thwarted his own ambitions. As he had recently observed, "If a party paper shuts its eyes to all defects in the public service so long as they are committed by men on its own side, it is of the least possible use to the people." He was undoubtedly aware that Henry Watterson of the *Louisville Courier-Journal* had advised, "The ideal editor need not be—nay, he must not be—neutral." Hofer relished his combative journalistic style, commenting in 1888
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47. James S. Clarkson to M. L. Chamberlain, n.d. [ca. December 1889], reprinted in *Salem Capital Journal*, 23 January 1891; *Iowa State Register*, 26 January 1890; *McGregor News*, reprinted in *Iowa State Register*, 29 December 1889; "Recollections of C. F. Clarkson," *Annals of Iowa* 1 (1894), 411; Earl W. Hayter, "An Iowa Farmers' Protective Association: A Barbed Wire Protest Movement," *Iowa Journal of History and Politics* 37 (1939), 331–62; *Salem Weekly Capital Journal*, 16 May 1890; *McGregor News*, 13 February 1889.
that "THE NEWS believes in the kind of Republicanism that sends sneaks, spies and dodgers to the rear." For Hofer, fellow editor George D. Perkins of the Sioux City Journal was admirable because he was one person who was not a "cringing sycophant." While certainly not of the stature of James S. Clarkson, Joseph Eiboeck, or—to quote Hofer's own words—the "poetic and epigramatic" Sam Clark of the Keokuk Gate City, Hofer was a controversial member of the Iowa journalistic community during one of its most vitriolic periods. Toward the end of his life, he mused, "Much of my work on this Iowa weekly [the McGregor News] was crude and raw and I was intolerant of others."
Any assessment of Hofer must take into account his ambition, his devotion to reform, and the milieu in which he lived. He was an Iowan on the make; as such his political and economic philosophy contained a strong element of opportunism, coupled with a genuine and fervent desire for political reform. Hofer sought opportunities by attaching himself to people or causes, but he was genuinely concerned about the aimless local Republican party. He demonstrated considerable courage by supporting prohibition when most Germans in Clayton County canceled their subscriptions to the News. Taking a comparatively unknown weekly newspaper in a small Mississippi River town that had known better days, Hofer fought myriad editorial battles and brought to the McGregor News a degree of influence—or notoriety. The Iowa State Register often copied articles from the News, although reprints from other larger city newspaper "exchanges," such as the Keokuk Gate City, Council Bluffs Nonpareil, Burlington Hawkeye, Marshalltown Republican, and Sioux City Journal, were more frequent. The Iowa Staats-Zeitung represented a bold move on the part of Hofer and the Republican party to stem the defection of the Germans on the prohibition question, but even under Hofer's unflagging and uncompromising editorship, the paper did not succeed in its
48. McGregor News, reprinted in Iowa State Register, 29 December 1889; Louisville Courier-Journal, reprinted in Keokuk Daily Gate City, 13 October 1886; Joseph Frazier Wall, Henry Watterson: Reconstructed Rebel (New York, 1956); McGregor News, 28 November 1888, 13 February 1889; McGregor News, reprinted in Keokuk Daily Gate City, 18 December 1886; Lariat 1 (July 1923), 252.
mission. Despite the important role it played in the events that led to the temporary overthrow of the Republican party in Iowa, historians have overlooked the *Iowa Staats-Zeitung* and its editor. Hofer’s career is important because it sheds new light on the vicissitudes of the Republican party in portions of northeastern Iowa, and it illustrates the lengths to which the state party leadership was prepared to go to publicize and enforce prohibition.\(^{49}\)
Hofer’s antagonism toward certain “vested” interests—cities, railroads, and political “combinations”—cemented by his comparative inability to attain a secure place in the “system,” was buttressed by his family’s financial struggles, particularly the painful financial reverses of 1872. In addition, neither he nor his family ever felt accepted by “society.” In 1927 his sister, Mari Ruef Hofer, wrote to Lucy Maynard Salmon, “You always thought of us as sort of outlanders, not exactly in the circle.” That “circle” included Rachel Larrabee, Ernst’s classmate; her father Frank, the local banker; her uncle William Larrabee of Clermont; Judge E. H. Williams of Postville; and J. O. Crosby, a wealthy attorney from Garnavillo. “Father in his impulsive way,” Mari Ruef Hofer further reminisced, “was always overstepping the New England—rather Yankee—reserve around him, then making the matter worse by trying to explain.” The Larrabee brothers hailed from Connecticut, the most “Yankee” of all states, yet Ernst Hofer was greatly influenced and assisted by William Larrabee, a “pioneer” and a bold “experimenter” whose efforts anticipated some of the Progressive reforms of the twentieth century. Hofer’s career, too, anticipated some of those same reforms. In Hofer’s eyes, a good economic and political system was one that allowed anyone with talent and ambition to succeed, particularly worthy people from small cities and rural areas. Historian John G. Sproat could have had Hofer in mind when he concluded, “In the last analysis, good government meant government responsive to the demands of
\(^{49}\) An *Iowa Staatszeitung* did exist in Dubuque in the 1860s. Wittke, *German-Language Press in America*, 97. One scholar has postulated that the Democratic victory in the 1889 Iowa elections was due to the fact that “railroad influence was greater in the Democracy than in the Republican camp.” Horace Samuel Merrill, *Bourbon Democracy of the Middle West, 1865–1896* (Seattle, 1967), 179–80.
those who clamored for it." Although Sproat was referring to the Mugwumps—largely upper-class eastern reformers whom Hofer abhorred—the feisty editor might have accepted the assessment.\textsuperscript{50}
"Among the components of crisis," wrote historian Robert H. Wiebe of the "search for order" in the late nineteenth century, "none found fuller expression than the belief that great corporations were stifling opportunity, and no one cried his resentment more persistently than the local entrepreneur." In this, at least, Ernst Hofer was a typical local entrepreneur of the Gilded Age. He was a fervent believer in individualism—except when applied to prohibition or political patronage—and he consistently fought those forces he believed thwarted the individual's path to success and self-fulfillment. It was a futile battle against the pervasive trend toward economic concentration. "The single most significant phenomenon in modern American history," writes Louis Galambos, "is the emergence of giant, complex organizations." Hofer's acquaintance James S. Clarkson showed that he at least implicitly understood that development when he left the Iowa State Register in 1888 to lead what Richard Jensen terms the "merchandising" or "stylistic reorientation within the GOP." Hofer himself, however, did not accept or understand what he was up against for many years. Shortly after his defeat for state printer, a chastened Hofer spelled out his personal philosophy: "Divest yourself of dreams, young man or woman, and go to work with a determination that so far as the powers are given you, you will be the architect of your own fortunes."\textsuperscript{51}
\textsuperscript{50} Mari Ruef Hofer to Lucy Maynard Salmon, 13 February 1927, Salmon Papers; Haynes, \textit{Third Party Movements}, 441; Larson, \textit{Bonds of Enterprise}, 185–205; John G. Sproat, "The Best Men": Liberal Reformers in the Gilded Age (New York, 1968), 245. The dozens of letters between Rachel Larrabee and Lucy Maynard Salmon, in the Salmon Papers, provide an intriguing illustration of "society" in Clayton County during the Gilded Age and after. On "disinterested reformers," see also Dobson, \textit{Politics in the Gilded Age}, 84; Ari Hoogenboom, "Spoilsmen and Reformers: Civil Service Reform and Public Morality," in H. Wayne Morgan, ed., \textit{The Gilded Age: A Reappraisal} (Syracuse, 1963), 80.
\textsuperscript{51} Robert H. Wiebe, \textit{The Search for Order, 1877–1920} (New York, 1967), 45; Louis Galambos and Barbara Barrow Spence, \textit{The Public Image of Big Business in America, 1880–1940: A Quantitative Study of Social Change} (Baltimore and
Hofer’s Iowa years are less enigmatic when viewed through the prism of his extended—and better documented—Oregon career. During his predictably boisterous tenure at the *Salem Capital Journal* from 1890 to 1912, Hofer became a familiar and eccentric fixture on the Oregon scene. During that period, he befriended wealthy silver mine owner Jonathan Bourne, bolted the Republican party over free silver, published a pamphlet titled *The School of Politics: The American Primary System* (Chicago, 1896), was disinclined to support William S. U’Ren and his “Oregon System,” and tried to promote a railroad from Coos Bay, Oregon, to Boise, Idaho. A disastrous run for the Republican gubernatorial nomination in 1910 effectively ended his political aspirations. Henry Sheldon, dean of the University of Oregon School of Journalism, later termed Hofer a “shrewd and aggressive journalist of buoyant personality who combined sensational methods with a long eye for the main chance.” After the founding of the investment and editorial marketing firm of E. Hofer & Sons in 1911, he prospered by fervently embracing the private enterprise system that spawned industrial giants—particularly utilities. Through their boiler plate editorials sent out to more than ten thousand weekly newspapers, as well as through the pages of their monthly *Manufacturer and Industrial News Bureau*, E. Hofer & Sons had by the 1920s become anathema to progressive reformers. Although he ended his career as a wealthy proponent of industrial growth, Hofer never wavered in his opposition to “officious” government, political “combinations,” and big cities. If his early years are important for what they tell us about journalism and party politics in Iowa, his entire career illustrates an evolving conservatism that had its roots in “spicy” service on a “small country weekly” in McGregor, Iowa.
London, 1975), 3; Jensen, *Winning of the Midwest*, 165, 171; *McGregor News*, 20 February 1889. Hofer also did not grasp the “shared world” of city and country so brilliantly described recently by William Cronon in *Nature’s Metropolis: Chicago and the Great West* (New York and London, 1991), 51.
52. Henry D. Sheldon, *History of the University of Oregon* (Portland, 1940), 143; Rolf H. Swensen, “‘An Age of Reform and Improvements’: The Life of Col. E. Hofer (1855–1934)” (Ph.D. diss., University of Oregon, 1975).
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September–October 1697, ‘Draft of a Representation, Containing [a] Scheme of Methods for the Employment of the Poor’. PRO, CO/388/5/86–95, fos. 232–49. Printed in *An Account of the Origin, Proceedings, and Intentions of the Society for the Promotion of Industry* (Louth, Lincolnshire, 1780), pp. 101–49 (from which the text below is taken); Fox Bourne 1876, ii, 377–90. There is a draft of part of the text in MS Locke, c. 30, fos. 87–8, 94–5, 111, which includes significant differences, some of which are recorded below. The essay is discussed in Mason 1962; Hundert 1972; Sheasgreen 1986; Beier 1988. It is sometimes referred to as an essay on working schools.
The memorandum was written by Locke in his capacity as a Commissioner on the Board of Trade: in Letter 2398 he refers to it as ‘my project about the better relief and employment of the poor’. He continues, ‘It is a matter that requires every Englishman’s best thoughts; for there is not any one thing that I know upon the right regulation whereof the prosperity of his country more depends.’ It was presented to the Board in October 1697, and in due course rejected. A minor enactment ensued: 8 and 9 W. III, c. 30. See also Letter 2084.
Locke’s plan was to reorganize and amend the Elizabethan Poor Law (39 Eliz., c. 4; 43 Eliz., c. 2), under which each parish was obliged to provide work for able-bodied men and subsistence for the poor, and could levy a poor rate. He proposed to replace the authority of individual parishes by that of groups of parishes (‘hundreds’ in the countryside and corporations of the poor in the towns). These bodies would punish vagrants and set up ‘working schools’ – wool spinning factories. Fifteen cities secured Acts of Parliament to establish corporations of the poor between 1696 and 1715; they were, in part, Whig devices for circumventing Tory parsonic control. In London the leading lights were Sir Robert Clayton and Locke’s friend Thomas Firmin. See Macfarlane 1982. Similar schemes to Locke’s were mooted in Firmin’s *Some Proposals for the Employing of the Poor* (1678), Sir Matthew Hale’s *Discourse Touching Provision for the Poor* (1683), and John Bellers’s *Proposals for Raising a College of Industry* (1695) (see Clarke 1987). Locke refers to Firmin in his draft (c. 30, fo. 87).
I have added numeration to mark the clauses of Locke’s proposals. Clauses 1–8 concern the punishment of vagabonds; 9–10 the provision of work; 11–16 the provision of working schools for children; 17–22 the schools’ manufactures and their oversight; 23–6 the powers of guardians of the poor; 27–37 the establishment of corporations of the poor in cities and towns; 38–40 are miscellaneous.
Locke refers to several traditional aspects of local government. The least familiar are the ‘hundred’: a group of parishes, a subdivision of a county; the ‘vestry’, a parish committee; the ‘quarter-sessions’: a court held quarterly by justices of the peace; the ‘tithingman’, a chief officer or constable of a tithing, a district containing a few households (nominally ten). In Locke’s time one pound (£) was made up of twenty shillings (s), and a shilling of twelve pence (d).
May it please your excellencies –
His majesty having been pleased, by his commission, to require us particularly to consider of some proper methods for setting on work and employing the poor of this kingdom, and making them useful to the public, and thereby easing others of that burden, and by what ways and means such design may be made most effectual, we humbly beg leave to lay before your excellencies a scheme of such methods as seem unto us most proper for the attainment of those ends.
The multiplying of the poor, and the increase of the tax for their maintenance, is so general an observation and complaint that it cannot be doubted of. Nor has it been only since the last war¹ that this evil has come upon us. It has been a growing burden on the kingdom these many years, and the two last reigns felt the increase of it, as well as the present.
¹ War against France was waged from 1689 to 1697.
If the cause of this evil be well looked into, we humbly conceive it will be found to have proceeded neither from scarcity of provisions, nor from want of employment for the poor, since the goodness of God has blessed these times with plenty, no less than the former, and a long peace during those reigns gave us as plentiful a trade as ever. The growth of the poor must therefore have some other cause, and it can be nothing else but the relaxation of discipline and corruption of manners; virtue and industry being as constant companions on the one side as vice and idleness are on the other.
The first step, therefore, towards the setting of the poor on work, we humbly conceive, ought to be a restraint of their debauchery by a strict execution of the laws provided against it, more particularly by the suppressing of superfluous brandy shops and unnecessary alehouses, especially in country parishes not lying upon great roads.
Could all the able hands in England be brought to work, the greatest part of the burden that lies upon the industrious for maintaining the poor would immediately cease. For, upon a very moderate computation, it may be concluded that above one half of those who receive relief from the parishes are able to get their livelihood. And all of those who receive such relief from the parishes, we conceive, may be divided into these three sorts.
First, those who can do nothing at all towards their own support.
Secondly, those who, though they cannot maintain themselves wholly, yet are able to do something towards it.
Thirdly, those who are able to maintain themselves by their own labour. And these last may be again subdivided into two sorts: viz., either those who have numerous families of children whom they cannot, or pretend they cannot, support by their labour, or those who pretend they cannot get work, and so live only by begging, or worse.
For the suppression of this last sort of begging drones, who live unnecessarily upon other people's labour, there are already good and wholesome laws, sufficient for the purpose, if duly executed. We therefore humbly propose that the execution thereof may be at present revived by proclamation, till other remedies can be provided; as also that order be taken every year, at the choosing of churchwardens and overseers of the poor, that the statutes of the 39th Eliz. Cap. iv and the 43rd Eliz. Cap. ii be read and considered, paragraph by paragraph, and the observation of them, in all their parts, pressed on those who are to be overseers; for we have reason to think that the greatest part of the overseers of the poor, everywhere, are wholly ignorant, and never so much as think that it is the greatest part, or so much as any part, of their duty to set people to work.
But for the more effectual restraining of idle vagabonds, we further humbly propose that a new law may be obtained, by which it be enacted:
[1] That all men sound of limb and mind, above 14 and under 50 years of age, begging in maritime counties out of their own parish without a pass, shall be seized on, either by any officer of the parish where they so beg (which officers, by virtue of their offices, shall be authorised, and under a penalty required to do it), or by the inhabitants of the house themselves where they beg; and be by them, or any of them, brought before the next justice of the peace or guardian of the poor (to be chosen as hereafter mentioned [§23]), who in this case shall have the power of a justice of the peace, and, by such justice of the peace or guardian of the poor (after the due and usual correction in the case), be by a pass sent, not to the house of correction (since those houses are now in most counties complained of to be rather places of ease and preferment to the masters thereof than of correction and reformation to those who are sent thither), nor to their places of habitation (since such idle vagabonds usually name some very remote part, whereby the country is put to great charge; and they usually make their escape from the negligent officers before they come thither and so are at liberty for a new ramble). But, if it be in a maritime county, as aforesaid, that they be sent to the next seaport town, there to be kept at hard labour, till some of his majesty's ships, coming in or near there,
---
Locke's draft begins here: 'The poor that cannot work, these must be maintained. Those that can work but will not, these are only wandering beggars which therefore instead of being relieved should be carefully watched. The laws against these I think are such as would suppress that sort of drones. But laws without execution being but waste paper, and the officers being fallen into a general neglect of their duty, it would be convenient that a proclamation . . .
---
Locke's draft makes clear that hard labour means 'lump breaking', the breaking of stones for road building.
give an opportunity of putting them on board, where they shall serve three years under strict discipline, at soldier's pay (subsistence money being deducted for their victuals on board), and be punished as deserters if they go on shore without leave, or, when sent on shore, if they either go further or stay longer than they have leave.
[2] That all men begging in maritime counties without passes, that are maimed, or above 50 years of age, and all of any age so begging without passes in inland counties nowhere bordering on the sea, shall be sent to the next house of correction, there to be kept at hard labour for three years.
[3] And, to the end that the true use of the houses of correction may not be prevented, as of late it has for the most part been, that the master of each such house shall be obliged to allow unto everyone committed to his charge 4d per diem for their maintenance in and about London. But, in remoter counties, where wages and provisions are much cheaper, there the rate to be settled by the grand jury and judge at the assizes; for which the said master shall have no other consideration nor allowance but what their labour shall produce; whom, therefore, he shall have power to employ according to his discretion, consideration being had of their age and strength.
[4] That the justices of the peace shall, each quarter-sessions, make a narrow inquiry into the state and management of the houses of correction within their district, and take a strict account of the carriage of all who are there, and, if they find that anyone is stubborn, and not at all mended by the discipline of the place, that they order him a longer stay there and severer discipline, that so nobody may be dismissed till he has given manifest proof of amendment, the end for which he was sent thither.
[5] That whoever shall counterfeit a pass shall lose his ears for the forgery the first time that he is found guilty thereof, and the second time, that he shall be transported to the plantations, as in the case of felony.
[6] That whatever female above 14 years old shall be found begging out of her own parish without a pass (if she be an inhabitant
---
Locke's draft proposes three-quarters pay, one-third deducted for subsistence, payable at the end of three years.
work, and shall then ask whether anyone is willing to employ him at a lower rate than is usually given, which rate it shall then be in the power of the said guardian to set; for it is not to be supposed that anyone should be refused to be employed by his neighbours, whilst others are set to work, but for some defect in his ability or honesty, for which it is reasonable he should suffer; and he that cannot be set on work for 12d per diem, must be content with 9d or 10d rather than live idly. But, if nobody in the parish voluntarily accepts such a person at the rate proposed by the guardians of the poor, that then it shall be in the power of the said guardian, with the rest of the parish, to make a list of days, according to the proportion of everyone’s tax in the parish to the poor, and that, according to such list, every inhabitant in the same parish shall be obliged, in their turn, to set such unemployed poor men of the same parish on work, at such under-rates as the guardians of the poor shall appoint; and, if any person refuse to set the poor at work in his turn as thus directed, that such person shall be bound to pay them their appointed wages, whether he employ them or no.
[10] That, if any poor man, otherwise unemployed, refuse to work according to such order (if it be in a maritime county), he shall be sent to the next port, and there put on board some of his majesty’s ships, to serve there three years as before proposed; and that what pay shall accrue to him for his service there, above his diet and clothes, be paid to the overseers of the poor of the parish to which he belongs, for the maintenance of his wife and children, if he have any, or else towards the relief of other poor of the same parish; but, if it be not in a maritime county, that every poor man, thus refusing to work, shall be sent to the house of correction.
These methods we humbly propose as proper to be enacted, in order to the employing of the poor who are able, but will not work; which sort, by the punctual execution of such a law, we humbly conceive, may be quickly reduced to a very small number, or quite extirpated.
But the greatest part of the poor maintained by parish rates are not absolutely unable, nor wholly unwilling, to do anything towards the getting of their livelihoods; yet even those, either through want of fit work provided for them, or their unskilfulness in working in what might be a public advantage, do little that turns to any account, but live idly upon the parish allowance, or begging, if not worse. Their labour, therefore, as far as they are able to work, should be saved to the public, and what their earnings come short of a full maintenance should be supplied out of the labour of others, that is, out of the parish allowance.
These are of two sorts:
(i) Grown people, who, being decayed from their full strength, could yet do something for their living, though, under pretence that they cannot get work, they generally do nothing. In the same case with these are most of the wives of day labourers, when they come to have two or three or more children. The looking after their children gives them not liberty to go abroad to seek for work, and so, having no work at home, in the broken intervals of their time they earn nothing; but the aid of the parish is fain to come in to their support, and their labour is wholly lost; which is much loss to the public.
Everyone must have meat, drink, clothing, and firing. So much goes out of the stock of the kingdom, whether they work or no. Supposing, then, there be 100,000 poor in England, that live upon the parish, that is, who are maintained by other people’s labour (for so is everyone who lives upon alms without working), if care were taken that every one of those, by some labour in the woolen or other manufacture, should earn but 1d per diem (which, one with another, they might well do, and more), this would gain to England £130,000 per annum, which, in eight years, would make England above a million of pounds richer.
This, rightly considered, shows us what is the true and proper relief of the poor. It consists in finding work for them, and taking care they do not live like drones upon the labour of others. And, in order to this end, we find the laws made for the relief of the poor were intended; however, by an ignorance of their intention or a neglect of their due execution, they are turned only to the mainten-
5 The draft adds: ‘Now no part of any poor body’s labour that can work should be lost. Things should be so ordered that everyone should work as much as they can, and what that comes short of maintaining them that the parish should make up.’
6 The draft adds: ‘Tis therefore worth everybody’s care that the poor should have employment. I may confidently say that of those poor now maintained by parish rates and begging, there is not one of ten, I might I think make the number a great deal less, who could not well earn above 2d a day. Nay, take them all together one with another they might earn 3d a day, which would be above £400,000 a year got to England.’
ance of people in idleness, without at all examining into the lives, abilities, or industry, of those who seek for relief.
In order to the suppression of these idle beggars, the corporations in England have beadle authorised and paid to prevent the breach of the law in that particular; yet, nevertheless, the streets everywhere swarm with beggars, to the increase of idleness, poverty, and villainy, and to the shame of Christianity. And, if it should be asked in any town in England, how many of these visible trespassers have been taken up and brought to punishment by those officers this last year, we have reason to think the number would be found to have been very small, because that [number] of beggars swarming in the street is manifestly very great.
But the remedy of this disorder is so well provided by the laws now in force that we can impute the continuance and increase of it to nothing but a general neglect of their execution.
(ii) Besides the grown people above mentioned, the children of labouring people are an ordinary burden to the parish, and are usually maintained in idleness, so that their labour also is generally lost to the public till they are 12 or 14 years old.
[11] The most effectual remedy for this that we are able to conceive, and which we therefore humbly propose, is that in the forementioned new law to be enacted, it be further provided that working schools be set up in each parish, to which the children of all such as demand relief of the parish, above 3 and under 14 years of age, whilst they live at home with their parents, and are not otherwise employed for their livelihood by the allowance of the overseers of the poor, shall be obliged to come.
By this means the mother will be eased of a great part of her trouble in looking after and providing for them at home, and so be at more liberty to work; the children will be kept in much better order, be better provided for, and from infancy be inured to work, which is of no small consequence to the making of them sober and industrious all their lives after; and the parish will be either eased of this burden, or at least of the misuse in the present management of it. For, a great number of children giving a poor man a title to an allowance from the parish, this allowance is given once a week, or once a month, to the father in money, which he not seldom spends on himself at the alehouse, whilst his children, for whose sake he had it, are left to suffer or perish under the want of necessaries, unless the charity of neighbours relieve them.
We humbly conceive that a man and his wife, in health, may be able by their ordinary labour to maintain themselves and two children. More than two children at one time, under the age of 3 years, will seldom happen in one family. If, therefore, all the children above 3 years old be taken off their hands, those who have never so many, whilst they remain themselves in health, will not need any allowance for them.
We do not suppose that children of 3 years old will be able at that age to get their livelihoods at the working school, but we are sure that what is necessary for their relief will more effectually have that use, if it be distributed to them in bread at that school than if it be given to their fathers in money. What they have at home from their parents is seldom more than bread and water, and that, many of them, very scantily too. If, therefore, care be taken that they have each of them their bellyfull of bread daily at school, they will be in no danger of famishing, but, on the contrary, they will be healthier and stronger than those who are bred otherwise. Nor will this practice cost the overseers any trouble, for a baker may be agreed with to furnish and bring into the schoolhouse every day the allowance of bread necessary for all the scholars that are there. And to this may be added, without any trouble, in cold weather, if it be thought needful, a little warm water-gruel; for the same fire that warms the room may be made use of to boil a pot of it.
From this method the children will not only reap the aforementioned advantages with far less charge to the parish than what is now done for them, but they will be also thereby the more obliged to come to school and apply themselves to work, because otherwise they will have no victuals, and also the benefit thereby both to themselves and the parish will daily increase; for, the earnings of their labour at school every day increasing, it may reasonably be concluded that, computing all the earnings of a child from 3 to 14 years of age, the nourishment and teaching of such a child during that whole time will cost the parish nothing; whereas there is no child now which from its birth is maintained by the parish, but, before the age of 14, costs the parish £50 or £60.
Another advantage also of bringing poor children thus to a working school is that by this means they may be obliged to come constantly to church every Sunday, along with their schoolmasters
or dames, whereby they may be brought into some sense of religion; whereas ordinarily now, in their idle and loose way of breeding up, they are as utter strangers both to religion and morality as they are to industry.\footnote{The draft has: ‘utter strangers to industry, morality and religion.’}
[12] In order, therefore, to the more effectual carrying on of this work to the advantage of this kingdom, we further humbly propose that these schools be generally for spinning or knitting, or some other part of the woollen manufacture, unless in countries [districts] where the place shall furnish some other materials fitter for the employment of such poor children; in which places the choice of those materials for their employment may be left to the prudence and direction of the guardians of the poor of that hundred; and that the teachers in these schools be paid out of the poor’s rate, as can be agreed.\footnote{The draft has: ‘All children at 7 years old or sooner, if parents that receive alms or pay no taxes to be sent to the spinning school there to learn to spin (on the double-handed wheel if practicable) woollen or worsted, and to be continued there from sun rising to sunset only allowing them an hour for dinner, till they are 14, the boys to go prentices, and the girls to service, and no longer.’}
This, though at first setting up it may cost the parish a little, yet we humbly conceive that (the earnings of the children abating the charge of their maintenance, and as much work being required of each of them as they are reasonably able to perform) it will quickly pay its own charges, with an overplus.
[13] That, where the number of poor children of any parish is greater than for them all to be employed in one school they be there divided into two, and the boys and girls, if thought convenient, taught and kept to work separately.
[14] That the handicraftsmen in each hundred be bound to take every other of their respective apprentices from amongst the boys in some one of the schools in the said hundred, without any money; which boys they may so take at what age they please, to be bound to them till the age of 23 years, that so the length of time may more than make amends for the usual sums that are given to handicraftsmen with such apprentices.
[15] That those also in the hundred who keep in their hands land of their own to the value of £25 per annum or upwards, or who rent £50 per annum or upwards, may choose out of the schools of the said hundred what boy each of them pleases, to be his apprentice in husbandry upon the same condition.
[16] That whatever boys are not by this means bound out apprentices before they are full 14 shall, at the Easter meeting of the guardians of each hundred every year, be bound to such gentlemen, yeomen, or farmers within the said hundred as have the greatest number of acres of land in their hands, who shall be obliged to take them for their apprentices till the age of 23, or bind them out at their own cost to some handicraftsmen; provided always that no such gentleman, yeoman, or farmer shall be bound to have two such apprentices at a time.
[17] That grown people also (to take away their pretence of want of work) may come to the said working schools to learn, where work shall accordingly be provided for them.
[18] That the materials to be employed in these schools, and among other the poor people of the parish, be provided by a common stock in each hundred, to be raised out of a certain portion of the poor’s rate of each parish as requisite; which stock, we humbly conceive, need be raised but once; for, if rightly managed, it will increase.
[19] That some person, experienced and well skilled in the particular manufacture which shall be judged fittest to set the poor of each hundred on work, be appointed storekeeper for that hundred, who shall, accordingly, buy in the wool or other materials necessary; that this storekeeper be chosen by the guardians of the poor of each hundred, and be under their direction, and have such salary as they shall appoint to be paid pro rata upon the pound, out of the poor’s tax of every parish; and, over and above which salary, that he also have 2s in the pound yearly for every 2os that shall be lessened in the poor’s tax of any parish, from the first year of his management.
[20] That to this storekeeper one of the overseers of the poor of every parish shall repair, as often as there shall be occasion, to fetch from him the materials for the employment of the poor of each parish; which materials the said overseer shall distribute to the teachers of the children of each school, and also to other poor who demand relief of the said parish, to be wrought by them at home in such quantity as he or the guardian of the parish shall judge reasonable for each of them respectively to dispatch in one week, allowing unto each such poor person, for his or her work, what he and the
storekeeper shall agree it to be worth; but, if the said overseer and storekeeper do not agree about the price of any such work, that then any three or more of the guardians of that hundred (whereof the guardian of the same parish in which the contest arises is to be always one) do determine it.
[21] That the sale of the materials thus manufactured be made by the storekeeper in the presence of one or more of the guardians of each hundred, and not otherwise, and that an exact account be kept by the said storekeeper of all that he buys in and sells out, as also of the several quantities of unwrought materials that he delivers to the respective overseers, and of the manufactured returns that he receives back again from them.
[22] That, if any person to whom wool, or any other materials are delivered to be wrought, shall spoil or embezzle the same, if it be one who receives alms from the parish, the overseers of the poor of that parish shall pay into the storekeeper what it cost, and deduct the sum out of the parish allowance to the person who has so spoiled or embezzled any such materials, or, if it be one that receives no allowance from the parish, then the said overseers shall demand it in money of the person that spoiled or embezzled it, and if the person so offending refuse to pay it, the guardian of the poor of that parish, upon oath made to him by any of the said overseers that he delivered such materials to such person, and that he paid for them such a sum to the storekeeper (which oath every guardian may be empowered to administer), shall grant unto the said overseer a warrant to distrain upon the goods of the person so offending, and sell the goods so distrained, rendering the overplus.
[23] That the guardian of the poor of every parish, to be chosen by those who pay to the relief of the poor of the said parish, shall be chosen, the first time, within three months of the passing of the act now proposed; that the guardians thus chosen by the respective parishes of each hundred shall have the inspection of all things relating to the employment and relief of the poor of the said hundred; that one third part of the whole number of the guardians of every hundred thus chosen shall go out every year, the first year by lot out of the whole number, the second year by lot out of the remaining two-thirds, and for ever afterwards in their turns, so that, after the first two years, everyone shall continue in three years successively and no longer; and that, for the supply of any vacancy as
it shall happen, a new guardian be chosen as aforesaid in any respective parish, at the same time that the overseers of the poor are usually chosen there, or at any other time within one month after any such vacancy.
[24] That the guardians of the poor of each respective hundred shall meet every year in Easter week, in the place where the stores of that hundred are kept, to take an account of the stock; and as often, also, at other times as shall be necessary to inspect the management of it and to give directions therein, and in all other things relating to the poor of the hundred.
[25] That no person in any parish shall be admitted to an allowance from the parish but by the joint consent of the guardian of the said parish and the vestry.
[26] That the said guardian also, each of them, within the hundred whereof he is guardian, have the power of a justice of the peace over vagabonds and beggars, to make them passes, to send them to the seaport towns, or houses of correction, as before proposed.
These foregoing rules and methods being what we humbly conceive most proper to be put in practice for the employment and relief of the poor generally throughout the country, we now further humbly propose for the better and more easy attainment of the same end in cities and towns corporate, that it may be enacted:9
[27] That in all cities and towns corporate the poor’s tax be not levied by distinct parishes, but by one equal tax throughout the whole corporation.10
[28] That in each corporation there be twelve guardians of the poor, chosen by the said corporation, whereof four to go out by lot at the end of the first year, [another four of the remaining number to go out also by lot the next year, and the remaining four the third year, and a new four chosen every year in the rooms of those that go out, to keep up the number of twelve full, and that no one continue in above three years successively.
[29] That these guardians have the power of setting up and ordering working schools as they see convenient, within each corporation respectively, to which schools the children of all that are
9 Draft: for every town ‘except such as have already Acts’.
10 The draft specifies a ‘general court to consist of the inhabitants that pay at least 2d per week to the poor’.
relieved by the said corporation, from 3 to 14 years of age, shall be bound to come, as long as they continue unemployed in some other settled service, to be approved of by the overseers of the poor of that parish to which they belong.
[30] That these guardians also have the sole power of ordering and disposing of the money raised in each corporation for the use of the poor, whether for the providing of materials to set them on work, or for the relieving of those whom they judge not able to earn their own livelihoods; and that they be the sole judges who are, or are not, fit to receive public relief, and in what proportion.
[31] That the said guardians have also the power to send any persons begging without a lawful pass to the next seaport town or house of correction, as before propounded.
[32] That they have likewise power to appoint a treasurer to receive all money raised for the relief of the poor; which treasurer shall issue all such money only by their order, and shall once a year pass his accounts before them; and that they also appoint one or more storekeepers, as they shall see occasion, with such rewards or salaries as they think fit; which storekeepers shall in like manner be accountable unto them, provided always that the mayor or bailiff, or other chief officer of each corporation, have notice given them that he may be present (which we humbly propose may be enjoined on all such officers respectively) at the passing of the accounts both of the treasurer and storekeepers of the poor within each respective corporation.
[33] That the teachers in each school, or some other person thereunto appointed, shall fetch from the respective storekeepers the materials they are appointed to work upon in that school, and in such quantities as they are ordered, which materials shall be manufactured accordingly, and then returned to the storekeeper, and by him be either given out to be further manufactured, or else disposed of to the best advantage, as the guardians shall direct.
[34] That the overseers of the poor shall in like manner take from the storekeeper, and distribute unto those who are under the public relief, such materials, and in such proportions, as shall be ordered each of them for a week's work, and not pay unto any of the poor so employed the allowance appointed them till they bring back their respective tasks well performed.
[35] That the overseers of the poor of each parish shall be chosen as they are now, and have the same power to collect the poor's rates of their respective parishes as now, but that they issue out the money so collected for the relief and maintenance of the poor according to such orders and directions as they shall receive from the guardians. And that the accounts of the overseers of the poor of each parish, at the end of their year, shall be laid before such persons as the parish shall appoint to inspect them, that they may make such reservations on the said accounts, or exceptions against them, as they may be liable to, and that then the said accounts, with those observations and exceptions, be examined by the treasurer and two of the guardians (whereof one to be nominated by the guardians themselves and the other by the parish), and that the said accounts be passed by the allowance of those three.
[36] That the said guardians shall have power to appoint one or more beadles of beggars, which beadles shall be authorised and required to seize upon any stranger begging in the streets, or anyone of the said corporation begging either without the badge appointed to be worn or at hours not allowed by the said guardians to beg in, and bring all such persons before any one of the said guardians. And that, if any of the said beadles neglect their said duty, so that strangers or other beggars not having the badge appointed, or at hours not allowed, be found frequenting the streets, the said guardians, upon complaint thereof made to them, shall have power and be required to punish the beadle so offending, for the first fault, according to their own discretion; but, upon a second complaint proved before them, that they send the said beadle to the house of correction, or (if it be in a maritime county, and the beadle offending be a lusty [able-bodied] man, and under 50 years of age), to the next seaport town, in order to the putting him aboard some of his majesty's ships, to serve there three years as before proposed.
[37] That those who are not able to work at all, in corporations where there are no hospitals to receive them, be lodged three or four or more in one room, and yet more in one house, where one fire may serve, and one attendant may provide for many of them, with less charge than when they live at their own choice scatteringly.
[38] And, since the behaviour and wants of the poor are best known amongst their neighbours, and that they may have liberty to declare their wants, and receive broken bread and meat, or other charity, from well-disposed people, that it be therefore permitted to those whose names are entered in the poor's book, and who wear
the badges required, to ask and receive alms in their respective parishes at certain hours of the day to be appointed by the guardians; but, if any of these are taken begging at any other hour than those allowed, or out of their respective parishes, though within the same corporation, they shall be sent immediately, if they are under 14 years of age, to the working school to be whipped, and, if they are above 14, to the house of correction, to remain there six weeks and so much longer as till the next quarter-sessions after the said six weeks are expired.
[39] That, if any person die for want of due relief in any parish in which he ought to be relieved, the said parish be fined according to the circumstances of the fact and the heinousness of the crime.
[40] That every master of the king's ships shall be bound to receive without money, once every year (if offered him by the magistrate or other officer of any place within the bounds of the port where his ship shall be), one boy, sound of limb, above 13 years of age, who shall be his apprentice for nine years. |
Please ensure that this manual is read and understood before using the scooter.
May 2010
| Contents | Page |
|--------------------------------|------|
| Introduction | 3 |
| Intended Use | 3 |
| Technical Specification | 3 |
| Feature Guide | 4 |
| Safety Advice | 5 |
| Adjustments | |
| - Tiller angle | 6 |
| - Seat slide | 6 |
| - Seat swivel | 6 |
| - Seat height | 6 |
| - Arm Adjustment | 6 |
| Tiller Controls | 7 & 8|
| Brake Release / Freewheel Operation | 9 |
| Starting to Drive | |
| - Getting Started | 9 |
| - Moving Off | 9 |
| - Steering | 10 |
| - Reversing | 10 |
| - Gradients and Kerbs | 10 |
| Batteries and Battery Charger | 11 |
| Maintenance | 12 & 13|
| Troubleshooting | |
| - Circuit Breaker | 13 |
| - Fuses | 13 |
| - Check List | 14 |
| Further Information | 14 & 15|
| Warranty | |
Introduction
Congratulations on your purchase of the RMA/Shoprider® Perrero scooter. This scooter incorporates comfort and style with the latest in technology. With all round suspension and large wheels, you will find the Perrero comfortable and easy to manoeuvre. It is also complemented with a full light set that includes front and rear lights, indicators and hazard warning lights enabling it to be used on public roads.
Intended Use
The Perrero was carefully designed for persons with limited mobility. It is for indoor / outdoor use by a single occupant up to a maximum weight of 136kg / 21st.
The intended user should possess the necessary physical and visual skills to operate the scooter safely. If you have any doubt, please consult your dealer / prescriber.
The RMA Perrero is a Class 3 invalid carriage and is not legally defined as a motor vehicle, and therefore the user is not required to possess a driving license. It is exempt from MOT certification. It must however be registered with the DVLA and display a nil duty vehicle license (tax disk).
A Class 3 / C vehicle can only be used by a person suffering from some physical defect or physical disability aged 14 or over, or by an able bodied person who is demonstrating a vehicle before sale, training a disabled user or taking the vehicle to or from a place for maintenance or repair.
A Class 3 / C vehicle can be used on public roads, but not on motorways, cycle lanes or bus lanes. When used on pavements or in pedestrian areas the scooter MUST be switched to its lower speed limit (see page 6). It is not recommended that the scooter is used on a dual carriageway, but if it is necessary an amber coloured flashing beacon must be used to warn other road users of your presence. Always seek an alternative route wherever possible.
It is important that the user reads and understands the safety advice given within this manual before attempting to operate the product to avoid possible injury to the user or bystanders and avoid damage to the scooter or surrounding property.
Technical Specification
The Perrero is classified as:
Class 1 Medical Device
Class 3/C Outdoor/Indoor Vehicle
| Overall Size | Seat Dimensions |
|-----------------------|----------------------------------|
| Length | Width |
| 1280mm | 470mm |
| Width | Depth |
| 600mm | 440mm |
| Height | Height to floor pan |
| 1210mm | 430-510mm |
| Max. Speed | Backrest height to lowest seat |
| 10km/h (6mph) & 6km/h (4mph) | 660-790mm |
| Weight with Batteries | Range |
| 94kg | 40km (25m)* |
| Maximum user weight | Battery charger (off board) |
| 136kg / 21st | 8 amp |
| Max. Climbing angle | Batteries |
| 8° (14%) | 2 x 34/36Ah |
* Passenger weight, rough ground conditions, low temperatures and battery condition can affect maximum range.
1. Rear view mirror
2. Tiller controls
3. Fully adjustable ‘Captain’s’ seat
4. Rear anti-tippers
5. 28cm (11”) pneumatic rear wheels with non-marking tyres
6. Full lights set
7. Adjustable angle steering tiller
8. Handy front basket
Safety Advice
DO:
- Read this manual carefully before using your scooter.
- Turn the power off when transferring to and from the scooter.
- Select a slow speed when going down gradients or over uneven ground.
- Keep your feet inside the scooter whilst driving.
- Ensure the batteries are fully charged before your journey.
- Avoid rough or soft terrain and long grass wherever possible.
- Be aware of other road users and pedestrians. If driving on the road you MUST adhere to the Highway Code.
- Use lights whenever necessary.
- Turn the power off when not in use.
- Follow the maintenance guide to ensure safe operation of the scooter.
- Always remove the keys if leaving the scooter unattended. Unauthorised persons/children may use the scooter resulting in injury.
DO NOT:
- Carry passengers.
- Exceed inclines over 8° (14%).
- Traverse inclines.
- Attempt inclines if the surface is slippery.
- Turn sharply at full speed.
- Exit or enter the scooter unless the power is switched off.
- Switch off the power whilst driving – this will cause the scooter to stop abruptly and could damage the controls. (see emergency procedures page15)
- Use the scooter where you cannot safely or legally walk.
- Attempt to climb kerbs over 6cm (2.5”) high.
- Use the scooter if under the influence of alcohol or any medication.
- Use a mobile phone whilst driving.
- Attempt to negotiate steps or escalators.
- Sit on the scooter if being transported in a vehicle.
- Attempt to tow any other devices.
- Exceed the stated weight limit.
- Connect any other devices to the batteries as this could cause permanent damage and void your warranty.
- Use any other batteries/charger other than those supplied by RMA.
- Travel through water or over soft terrain (mud, sand etc.).
- Lift the scooter by the shroud assembly or any plastic part.
- Sharply shift your centre of gravity as this could make the scooter unstable.
Every care has been taken to ensure that your scooter will give you safe, reliable service provided you adhere to the advice given above.
Adjustments
Tiller Angle Adjustment
On the left side of the base of the tiller there is a red lever. Push the lever in to release the pin and select the required tiller angle.
When the desired angle is set, refit the pin into one of the five locating holes.
Caution! Ensure the tiller is properly locked into position before driving the scooter.
Seat Slide Adjustment
Pulling up on the lever allows the seat position to be adjusted forward or backward. Releasing the lever will lock the seat in position.
Seat Swivel Adjustment
Under the right of the seat is a red lever. Pulling up on the lever allows the seat to swivel to either side, allowing for easy manoeuvring on or off the scooter. Do not drive the scooter if the seat is not locked in the forward position.
Seat Height Adjustment
To adjust the height of the seat, undo the seat-tightening knob under the front of the seat.
Pull the swivel adjustment lever upwards and at the same time lift the seat from the adaptor.
Remove the seat height-locating pin and set the seat adaptor to the desired height and reset the locking pin.
Reverse the above instructions to replace the seat and re-tighten the hand knob.
Armrest Width Adjustment
On the underside of the seat there are two hand knobs. Releasing the hand knob allows the arms to be adjusted to the required width, or removed for transportation. The armrests may also be ‘set back’. There are apertures in the pivot area of the seat to accept the armrests and the hand knobs can be re-set in the appropriate holes.
Ensure the knobs are fully tightened before driving the scooter. Do not drive the scooter without the arms fitted.
**Tiller Controls**
**Speed Control:**
This allows the user to set the maximum speed of the scooter between 1 (minimum) and 10 (maximum).
**Battery Level Indicator:**
The number of LED bars lit gives an indication to the amount of charge remaining in the batteries. The amount of charge will only show its true level when the scooter is being driven. **Do not allow the LED bars to go out completely as complete discharge of the batteries could cause permanent damage to your batteries.**
**Sleep Mode:**
Your scooter has a digital battery status indicator, which displays the current charge status of the batteries in your scooter.
The circuitry also detects changes in power draw from the batteries.
If you scooter is left switched on without use for about five minutes the electronics will go into ‘sleep’ mode to conserve power. You will see one bar on the battery status indicator oscillate from side to side. Simply switching the scooter off and back on will enable the scooter to operate as normal.
Constant Speed Use
As the circuitry senses changes in power draw it is possible that on journeys where your speed is constant for an extended period of time that you will see the single bar oscillate even though the scooter is in motion. This is due to the prolonged period of no change in power draw.
This is perfectly normal and by simply adjusting your speed for a moment will change the battery status indicator back to normal.
High/Low Speed Switch:
This sets the maximum high speed for the scooter. This MUST be set to low when used in pedestrian areas. The ‘HIGH’ setting should only be selected when used on the road.
Hazard Lights:
This red button operates all of the indicators simultaneously.
Lights:
This blue button operates the main front and rear lights.
Key Switch:
The key switch operates the main power for the scooter. When turned clockwise the battery level indicator should light up indicating that the scooter is on. There is a small delay before the thumb lever controls operate as the controller checks the main circuits. Never leave the key in the switch unattended to prevent unauthorised use. Do not turn the power to stop the scooter unless it is an emergency. The scooter will stop very sharply if stopped in this way.
Horn:
This yellow button operates the scooter’s horn. The horn should only be used to warn others of your presence and not as any form of rebuke.
Thumb Lever Control:
The left thumb lever controls the reverse and the right thumb lever controls the forward motion of the scooter. The further you push the lever the faster the scooter will travel. Releasing the lever will slow the scooter to a safe stop and the electro-magnetic brakes will apply automatically.
Charging Port:
This is situated just below the keyswitch. Slide the cover to access the socket. Please refer to page 9 & 10 ‘Batteries and Battery Charger’
Indicator Switch:
This switch operates the indicator lights of the scooter. Please use the indicators at all times when making manoeuvres on roads.
Brake Release / Freewheel Operation
The release lever for the electromagnetic brake is situated under the rear right of the scooter. Ensure that the power is switched off.
In the event of power failure or the need to move the scooter without driving, the electro-magnetic brake can be disengaged by pulling the red lever upwards – this will then put the scooter in ‘freewheel’ mode. To re-engage the brakes push the lever down fully and ensure that the brake is engaged before entering the scooter.
Caution! NEVER leave the scooter unattended whilst in freewheel mode as it will roll away down an incline. ‘Freewheel’ mode should only be used in an emergency to move the scooter due to power failure. NEVER move the scooter in this mode whilst it is occupied. Your scooter will continually bleep if it is switched on when in this mode.
Starting to Drive
Getting Started
Note: You must fully charge the batteries prior to first use (see ‘Batteries and Charging’)
Select an area with plenty of space.
Mount the scooter by either lifting the arm and sliding onto the seat or swivel the seat around to access the scooter. Ensure the seat is securely locked in the forward facing position before driving. Adjust the tiller and seat if necessary (see ‘Adjustments’). DO NOT use the tiller to fully support you during transfers.
Moving Off
Turn the key clockwise to turn on the power. Initially set the speed control to a low setting. Push your right thumb lever and the scooter will move forward slowly. The further you push the lever the faster the scooter will travel, but only to the maximum speed that has been selected. Release the lever and the scooter will come to a smooth controlled stop.
Caution! DO NOT switch off the power to stop the scooter as this will cause the transmission to lock and the scooter will come to a sharp stop, which could possibly cause injury. This procedure should only be used in an emergency.
Continued.....
Steering
Steering the scooter is light and easy. Ensure when starting off you give a wide clearance when turning so that the rear wheels can clear any obstacle that you are passing. When steering through limited spaces such as doorways or when turning around, turn the tiller handle in the direction you want to go and gently apply the power. **NEVER turn sharply when travelling at high speed as this may affect stability. The maximum speed should be set at 50%**.
Reversing
Before reversing ensure that the area behind the scooter is free from any hazards or obstructions. Adjust the speed setting low before you reverse. Press the left thumb lever and steer wide of all corners and obstacles.
⚠️ **Caution! Do not reverse onto a main thoroughfare. Take care, objects in the rear view mirror will appear to be further away from the back of the scooter than they actually are.**
Gradients and Kerbs
*We recommend that wherever possible that a suitable access point such as a drop kerb or ramp be used. The necessity to climb a kerb directly should be as a last resort.*
If negotiating a gradient or kerb (up to 6cm), always address the situation at an angle of 90° to ensure stability of the scooter. Do not hit a kerb at speed, drive slowly until you reach the kerb then apply more power to travel over the obstacle. **Do not turn sharply on any slope moving forwards or backwards.**
⚠️ **Caution! Always ensure that the power is turned off when entering or dismounting the scooter. Take plenty of time to become familiar with the way that the scooter behaves. DO NOT drive on public roads until you have the confidence and ability to do so.**
When driving in pedestrian areas such as shopping precincts and busy pavement areas always respect other pedestrians and turn the maximum speed down so that the scooter travels at the walking pace of others around you.
Batteries and Battery Charger
Batteries
The Perrero is supplied with two, maintenance free, sealed lead acid AGM batteries. These are fitted under the seat on the scooter. Battery performance can be affected by low temperatures, rough terrain and the weight of the user. Your battery gauge is a guide only on the level of charge remaining in the batteries. An active user can use 30% of the battery capacity or more per day. An inactive user may only use 50% of the battery capacity in a week.
Battery Charger
Charge the batteries completely (8-12 hours) prior to first use.
Batteries supplied with your scooter are specially designed for use on powerchairs and scooters and require an automatic battery charger. These chargers have an electronic switch that terminates the charge when the batteries are full. The battery charger is an 8-amp switch mode type off board. The charger is able to read the level of charge in the batteries and will switch off when the batteries are fully charged. To charge the batteries connect the plug lead into the charging socket (page 7) on the tiller and the 3-pin plug into the wall socket and switch on. The battery charger has two lights. A constant red light will show when the battery charger is connected (this will flash if there is a break in the connection). The orange light indicates that the batteries are receiving charge, this will change to green when the charging cycle is complete.
Caution: Always charge the batteries in a well-ventilated indoor area. You must still maintain charging the batteries even if the scooter is not to be used for a prolonged period of time (2 to 3 weeks). Failure to do so could result in permanent damage and render the batteries unusable. Wherever possible do not interrupt the charge cycle until the batteries are fully charged. Continual interruption can permanently damage the batteries. If the charging lead should become damaged discontinue use immediately and seek a replacement from your dealer.
Disposing and recycling of used batteries
Batteries must always be recycled correctly. Do not dispose of them with your domestic refuse.
For further information regarding your nearest recycling facility please contact your local authority.
Maintenance
Cleaning the Scooter
When cleaning the scooter please pay attention to the following points:
- Only use a damp cloth and gentle detergent.
- DO NOT use any abrasive products.
- DO NOT use a hose or pressure washing equipment.
- AVOID water contact with any electrical components.
- DO NOT put the scooter through an automated car wash or similar.
Routine Maintenance
We recommend that the following checks be carried out on a periodical basis by a qualified person:
| RMA Scooters Maintenance and Inspection | Daily | Weekly | Monthly | Annually |
|----------------------------------------|-------|--------|---------|----------|
| Check / Charge Batteries | ◆ | | | |
| Check removable parts are secure | ◆ | | | |
| Check electrical connections are secure| | ◆ | | |
| Check tyre pressures (30 psi rear, 25 psi front) | ◆ | | | |
| Check tyre wear (minimum 2mm tread depth) | ◆ | | | |
| Lubricate wheel / castor bearings with a light oil | | ◆ | | |
| Complete inspection by an authorised Dealer | | | ◆ | |
The transaxle/gearbox is a sealed unit and does not need lubricating.
Wheels and Tyres
The wheels of your scooter have split rims. This allows any punctures to be repaired easily.
To change the wheels, remove the centre bolt and slide the wheel off its axle. Ensure that when refitting the wheel the retaining nut is fitted with a locking washer or the screw threads are treated with ‘Loc-tite’ or a similar thread locking compound. When changing a tyre the inner tube must be deflated. Remove the four bolts from the wheel and slit the rim. Tyre pressure is recommended to be kept at 30psi on the rear and 25psi on the front tyres.
Note: Regularly check and maintain these tyre pressures as low tyre pressure can reduce the range of your scooter.
Product Life Expectancy
Your scooter has been designed to provide the user with a long, reliable life provided it is correctly maintained and regularly serviced by an authorised dealer. However, due to inevitable wear and tear and technological improvements it is recommended that the average usable life of this scooter is five years.
Note: Should any parts need replacing during routine maintenance please consult your local Dealer for approved spare parts for your scooter. Failure to do so may damage the scooter and void your warranty.
Troubleshooting
Circuit Breaker
Your scooter is fitted with the latest in electronic controls that are programmed to protect the electrical system from abnormal overloads. Fitted for extra protection is a circuit breaker. Should there be a situation where your scooter stops for no apparent reason please check that the circuit breaker has not tripped. The circuit breaker is located through a hole in the shroud underneath the seat behind the seat post. Press this button to reset the circuit breaker.
Note: Should the circuit breaker continue to trip turn off the scooter immediately and consult your dealer.
Fuses
Inline 50 amp blade type fuses from the batteries protect any overload, and a 15 amp fuse is located in the battery charger as extra protection.
Note: Should the fuses need replacing please contact your dealer to ensure the correct sizes are fitted. Failure to do so could result in permanent damage to the scooter's electronics and possibly cause a fire hazard. Failure to do this will void your warranty.
Check List
If you scooter fails to operate, please check the following:
- The unit is switched on.
- All plugs and connectors are firmly fixed.
- Battery level shows full charge.
- Freewheeling device is in the drive position (lever down).
- Circuit breaker has not tripped
If the freewheel device has been operated with the scooter left switched on, the scooter will bleep continually and not operate until the ignition key has been switched off then on again.
Please consult your dealer if your scooter does not run after checking these points.
Further Information
Safety Information Regarding Electromagnetic Interference (EMI)
Scooters and powerchairs are designed to operate under certain conditions. However, radio waves or electromagnetic fields may affect the operation of the scooter. The source of EMI could be radio or television transmitters or portable devices such as mobile phones, portable CB radios etc. Should any unintentional movement occur turn the scooter off as soon as safely possible.
Solar Energy
During periods of sunny weather, it is possible that surfaces of your scooter may reach high temperatures (as with motor vehicles). Please take precautions if leaving the scooter in direct sunlight for any period of time. Seek shade or cover the seat and hand controls to keep any temperature increases to a minimum.
Health Factors
Suitability for this product has been assessed on the user’s current state of health. It is essential that the user regularly monitor their ability to use the scooter safely. Please read and adhere to the guidelines set out in this manual and in the ‘Code of practice for Class 3/C vehicle users’.
General Use
Take heed of the information given in this manual regarding safety and the maintenance of your scooter. If adhered to, your scooter should give you years of reliable mobility. DO NOT use the scooter in electrical storms, high winds or prolonged downpours. Care must also be taken during cold weather due to icy surfaces.
Storage and General Care
We recommend that the scooter is always stored in a dry environment such as a garage or shed to protect the chassis and other components from corrosion or water damage. Do not leave the scooter outside during rainstorms. If the scooter is wet, wipe with a dry cloth to ensure there is no ingress of water into the internal components of the scooter (If the scooter needs to be cleaned, use a mild detergent and warm water with a damp sponge or cloth. DO NOT throw water over the scooter).
Product Stability
Scooters and powered wheelchairs are designed to allow the user flexibility of movement in restricted areas. Driving at maximum speed and attempting sharp turns can create a situation where the product becomes unstable. Therefore it is essential that the user pay attention the guidance set out in this manual.
For maximum stability the speed setting should be set up to 50% of the maximum available (halfway between the tortoise and the hare or just entering the red sector on the speed indicator depending on the model.
The main factors affecting stability are:
- Maximum speed setting
- Seat height
- User movement
- User’s manoeuvres
- Gradients or slopes
Please keep your speed to a level where you can safely stop without having to make any erratic turns.
Do not load bags etc. on the back of the seat as this will affect the centre of gravity and could increase instability.
Do not lean outside of the ‘footprint’ of the product, especially whilst moving.
Avoid making turns on gradients or slopes.
**Emergency Procedures**
Should your scooter behave erratically or become unresponsive whilst driving, release the wig-wag lever so it may return to its neutral position and switch off the power at the key / switch. These procedures will stop the scooter and activate the braking system, preventing any further uncontrolled manoeuvres.
*Note: Switching the power off at the key / switch can cause the scooter to stop abruptly and should only be used to stop the scooter during an emergency.*
**Driving in Pedestrian Areas**
As mentioned previously, when using the scooter in pedestrian areas always lower your maximum speed to that of the pedestrians around you. Remember the stopping distance of your scooter and always allow enough space to stop safely to avoid collisions with pedestrians or other objects.
Warranty Terms and Conditions
This is to certify that your Shoprider® product is warranted for a period of 12 months from the date of original purchase. This warranty is not transferable.
*Should a defect or operating fault arise within this period the Dealer from where the product was originally purchased should be notified immediately. Failure to register the fault may invalidate the warranty. The Dealer from where the product was purchased is responsible for any warranty repairs.*
If a fault occurs within this period due to faulty workmanship or materials that the product will be repaired (or replaced at the Company's discretion) free of charge.
Any unauthorised modifications will invalidate the warranty.
Parts which are subjected to normal wear and tear, accidental damage, neglect or misuse are excluded from this warranty. Normal wear and tear includes tyres, chassis covers, bulbs, seat coverings etc.
Component parts replaced outside this period carry a six-month warranty. (Standard terms and conditions apply for this period).
Model:
Serial No:
Purchase Date:
Dealer Stamp
Distributed by:-
Roma Medical Ltds
York Road, Bridgend Industrial Estate,
Bridgend
CF31 3TB
Tel: 01656 674488 Fax: 01656 674499
Email: firstname.lastname@example.org
www.romamedical.co.uk
Shoprider reserve the right to change specifications without prior notice |
2020 ANNUAL REPORT
The Arc was born more than 65 years ago from a grassroots movement of families working vigilantly to create services for children and adults who were being denied day care, educational opportunities and work programs.
The Arc of North Carolina is committed to securing for all people with intellectual and developmental disabilities the opportunity to choose and realize their goals of where and how they learn, live, work and play.
**CORE VALUES**
**People First**
The Arc believes that all people with intellectual and developmental disabilities are defined by their own strengths, abilities, and inherent value, not by their disability.
**Equity**
The Arc believes that people with intellectual and developmental disabilities are entitled to the respect, dignity, equality, safety, and security accorded to other members of society, and are equal before the law.
**Community**
The Arc believes that people with intellectual and developmental disabilities belong in the community and have fundamental moral, civil and constitutional rights to be fully included and actively participate in all aspects of society.
**Self-Determination**
The Arc believes in self-determination and self-advocacy. People with intellectual and developmental disabilities, with appropriate resources and supports, can make decisions about their own lives and must be heard on issues that affect their well-being.
**Diversity**
The Arc believes that society in general and The Arc in particular benefit from the contributions of people with diverse personal characteristics (including, but not limited to: race, ethnicity, religion, age, geographic location, sexual orientation, gender, and type of disability).
From our Executive Director:
Since 1953, each year of The Arc of North Carolina’s 67 years of existence has come with trials, challenges, successes, and celebrations.
It’s safe to say that the past several months is unlike anything that we’ve ever seen. While there have been many changes, I’m heartened by our continued achievements and the strength and perseverance of our Board members, our staff, and our chapters.
Earlier in the year, we received accreditation from the Council on Quality and Leadership. This is a tremendous accomplishment and highlights our commitment to person-centered services and supports that lead to increased quality of life for all persons.
Once the pandemic hit our state, our entire team pulled together and we did not miss a beat. Staff worked hard to support the people and families that we serve, understanding that some families were more comfortable than others with outside staff in their homes. Resource Advocates, Supports Managers, our Housing, Advocacy, and Guardianship teams, our Administrative support team, and - most especially - the Direct Support Professionals: everyone worked together to get resources, personal protective equipment, and other necessities where they needed to go, but without compromising the important supports families needed during this time.
And we’ve adapted to the new way of life that includes more technology. We were sorry that we could not have the 2020 Rooted in Advocacy conference, but we are learning how to conduct more of our events virtually so that we can continue to stay connected. We’re excited to work on some new virtual events happening in the next few months.
We could not have made it through this year without the tremendous leadership of our Board of Directors. They have given much needed guidance and support and made sure we continued to move forward.
As always, we are grateful for your continued support. We cannot do our job without the help of the people and communities of this great state. The Arc continues to be on the front lines to ensure that people with intellectual and developmental disabilities and their families have the support and services they need to be fully engaged in their communities.
We hope and pray for relief from these difficult times. But until that relief arrives, The Arc, our community, and those who join with us, will remain strong and committed to the cause of securing for all people with intellectual and developmental disabilities the opportunity to choose and realize their goals of where and how they learn, live, work, and play.
Sincerely,
John Nash
Executive Director
The Arc of North Carolina
Meet Anetta…
I’m Anetta and since 2018, I’ve been a Resource Advocate for The Arc of North Carolina. I support individuals with intellectual/developmental disabilities and my duties include connecting people to resources, being a housing advocate and housing advocate for services, and help develop relationships. One of the more challenging but rewarding experiences has been one in which the person I support and her family became homeless and were living in their car.
Because I already had established great rapport with this family, it was easy to become their advocate in the search to find them affordable housing. Finding resources to support “Jane”, while also making sure she remained connected to her mother and her brother, was an essential part of my role. I farmed the community with invaluable resources in that community, and we worked together to overcome barriers. Not only were there personal barriers, but I quickly became aware of the limitations of our state and advocated for this family to be prioritized to live in a shelter.
It took a long time to accomplish this due to the wait list and overcrowding, but we were successful. Afterwards, I worked closely with our own housing department to advocate for them to successfully become provided with affordable housing using a Housing Urban Development (HUD) program.
After five months of living in a community shelter, they were finally approved for affordable housing. I continued to advocate for them so that they could acquire housing needs such as furniture and community resources to cover moving expenses and deposits. Today, they are reunited as a family in a beautiful apartment home in a safe community.
I am working with Jane to decrease her risks, realize her dreams and connect her to community resources that will allow her to become an integral part of her community. During this process, I was able to connect her to fashion and arts classes through local community resources, and work with her on daily living skills. I’m also working to connect her to volunteer opportunities, as she has identified that as something important to her. It is my honor to continue to advocate on her behalf, and watch her get closer to the life that she has envisioned for herself.
Throughout North Carolina, The Arc provides direct supports and services to individuals with intellectual and developmental disabilities (I/DD) that enable people to lead full, rich lives in the community. The Arc of North Carolina’s services are accredited by The Council on Quality and Leadership (CQL).
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**Housing**
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**Choices**
Choices is a program that allows individuals and families a better way to receive supports and services for themselves or their family member with a disability. The Arc of NC partners with individuals and families to choose to self-direct their home and community-based services in order to enhance their quality of life.
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The Arc of NC helps connect employment opportunities for adults with disabilities in select regions. This process, with the support of a trained employment specialist, involves matching the right person with the right job.
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The Arc of NC provides advocacy and education for people with intellectual and developmental disabilities and assists them in locating resources, navigating systems of support, and making community connections. Our resource advocates provide advocacy and education, assistance with developing plans, and they help link people to services they need in the community.
---
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**Chapters**
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The Arc of North Carolina is an affiliated chapter of The Arc of the United States. With nearly 600 state and local chapters nationwide, The Arc works with its federation of chapters to create an impressive network of human service agencies, ensuring they have the strongest civil rights advocates promoting and protecting their needs at all levels.
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JOHN NASH
Executive Director
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Deputy Director
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Senior Director, LIFEGuardianship Supports and Services
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Director of Operations
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LIZ BOLTZ
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MELINDA PLUE
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Regional Director
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Chief Operating Officer, Housing
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Regional Director
FORESA WALKER
Director of Human Resources
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Regional Director
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OUR BOARD
The Board of Directors of The Arc of North Carolina is comprised of volunteers who care deeply about people with I/DD and their inclusion in their communities. The majority of our board members are either people who self-identify as having I/DD or are a family member of someone with I/DD; the rest are business professionals, retired persons, or other interested community members.
WESTERN REGION
Linda McDaniel, Regional VP
Denise Coleman, Treasurer
NORTH CENTRAL REGION
Don Thompson, Regional VP
Elisha Burns, President
Joan Johnson, Secretary
Brandon Rizzuti, Director
SOUTH CENTRAL REGION
VACANT, Regional VP
Jeremiah Manning, Director
Brenda Hinson, Director
AT LARGE MEMBERS
Jeff Smith, Director
Carol Conway, Director
Dawn Selby, Director
Sal Vaccaro, Director
EASTERN REGION
Jennifer Scialdone, Regional VP
Marvin Alligood, Vice President
Keith Gapen, Director
EX OFFICIO MEMBERS
Jeanne Spangler, LIFEGuardianship Chair
Stephanie Antkowiak, NCCE President
IMMEDIATE PAST PRESIDENT
Ryan Platt
2020 Awards
Honoring the work on behalf of people with I/DD across the state is one of the highlights of the year at The Arc of North Carolina.
Each fall we receive dozens of nominations for our state-level awards, and after careful selection by the Awards Committee of the Board of Directors, winners are selected and their nominators are notified. During our annual Rooted in Advocacy Conference, we honor these award recipients and their families and it is a very special time. It especially nice when we have surprise winners, which is hard to do. We also take the time to honor those individuals in the greatest family of The Arc who have died in the last year, characters who have reached a particular distinction, and legislators (local or state) who are championing the issues that are so important to our mission. We had to cancel this year’s Rooted in Advocacy Conference for 2020, as it was to be held on March 12th, 2020, at the beginning of the pandemic. Each of our award winners was given the opportunity to be honored at virtual ceremonies sprinkled throughout the spring by the people who nominated them, and we were happy to be a part of those. Our sincere congratulations goes out to those individuals and organizations who were to be honored this year. We are so grateful to each and every one of you!
In memory of those we lost in the last year: Scott Allen, Ed Anderson, Sarah Bradley, Ken Bradstock, Lisa Burnette, Jeff Byerly, Anita Conyers, Dalton Davis, Raynell Epps, Libby Hopkins, Johnny Jones, Samuel McCormick, Sam Morgan, Freddie Phillips, William Shell, Thomas Taylor, and David Thompson.
Distinguished Chapter Affiliates: Chapters that receive this distinction have met set criteria in specific categories, including advocacy, community education and awareness, support of self-advocacy, fundraising, communications, diversity efforts and chapter management.
The Arc of Davidson, The Enrichment Center, The Arc of Greensboro, The Arc of High Point, The Arc of Moore, The Arc of the Triangle, and The Arc of Union/Cabarrus
Employer of the Year: To recognize employers having exceptional records of providing inclusive competitive employment opportunities for people with developmental disabilities.
Village Juice Company, Winston Salem
The I/DD Professional of the Year - I/DD Professional Award - To recognize an individual employed in community developmental disabilities services or supports (chapter staff, mid-level manager, QP, for example) who has demonstrated sensitivity and the ability to provide outstanding support which results in increased independence for people with developmental disabilities. (Not DSP; see below).
Dennis Morgan, The Arc of NC (Raleigh)
The Direct Support Professional of the Year - Direct Support Professional Award - To recognize extraordinary commitment by an individual employed to provide direct support, or service, to a person/people with developmental disabilities. This award honors a person whose support fosters growth, independence, community inclusion and dignity. (A check for $100 accompanies this award.)
Terri Abel, The Arc of NC (Raleigh)
The Distinguished Educator Award - Distinguished Educator Award - To recognize an educator (special or general ed, preschool, K-12, private or charter, or higher education educator) who has demonstrated excellence in teaching students with developmental disabilities, working in or toward more inclusive education. (Award reimburses $300 for related conference/training expenses.)
Matthew Patterson, Davidson County Public Schools
Carrie Loffin, Davidson County Public Schools
The Unsung Hero - To recognize an individual whose advocacy efforts have impacted the local community and all people with disabilities.
Jeanette Wilhelm, Monarch
The Victor Hall Leadership Award - The Victor Hall Leadership Award - To recognize outstanding leadership in the self-advocacy field. This prestigious award honors Victor Hall, a true self-advocate and leader in the self-advocacy movement. The winner of this award will have had a tremendous impact on their community or state.
Danny Landry, The Arc of NC (Asheville)
The Challenger Award - An internal staff award created in 2019 which honors a staff member who truly understands the concept of self-determination and helps people he or she supports and actively works to put their principles into action. As this individual is widely seen as a leader within his or her division, the winner of this award gets to attend the Summer Leadership Institute with The Arc of the United States.
Tamika Lee, The Arc of NC (Greenville)
The Carey Fendley Award for Executive Excellence - The award is given to the local executive who, during the past year, has provided outstanding leadership for their chapter. Previous recipients have been recognized for outstanding system advocacy, individual advocacy, service provision and management expertise. There is no set criteria except that the executive has provided executive excellence.
Stephanie Antkowiak, The Arc of High Point
The President’s Award - Award given by the President of the Board of Directors of The Arc of North Carolina to a person of his or her choosing.
Nathan Stanberry (posthumously awarded to his mother, Betty Stanberry, by Elisha Stanberry Burns, Board President
800.662.8706 | firstname.lastname@example.org | www.arcnc.org |
NEWS FROM THE CLUBS
MANCHESTER
We are trying a new recruitment idea this session. We are holding a raffle (not for a Go ban') and the only way to get tickets for it is by introducing new members to the club, so the more members you introduce, the more chance you have of winning. We'll let you know if it works.
Since our appeal for variations on Go in the last issue, we have come across the following variants in the German Go Magazine:-
(a) Three Colour Go: Paint a hundred or so Imperial Mints red. Let the paint dry, grab two opponents and off you go. The rules are unaltered except that you only play every third turn. It is certainly an elevating feeling when, as red, you manage to kill black and white stones simultaneously.
(b) Two-Stone Go: Black plays one stone on his first move. After that each player has two moves at once. Remember, a group needs three eyes to be safe. In another variant, a player has two moves only once in the game.
Our last Buzzer Tournament was won by Michael Clark of Bolton. Buzzers are fairly easy to make for any one with a bit of electronic know-how, and are useful for clubs with a shortage of clocks, who want to hold lightning tournaments, since one buzzer will suffice for an entire room. Ours is set for about seven seconds as we have found this to be the optimum. It is important to be strict that play occurs on and only on the buzz. Playing after the buzz counts as a pass, whilst playing before the buzz makes things very confusing.
BOLTON
Michael Clark's visit to the European Congress was an excuse for an article and photograph in the local rag. There was a good response for JAL leaflets as a result. Where the Observer leads, the Bolton Evening News will follow .......
SOUTH COTSWOLD
As reported in the last Journal, John Oatley (6 kyu) and Roger Hays (3 kyu) went forward to the semi-final of the Bristol's R.A.F.A. tournament where they played the Bristol semi-finalists Paul Atwell and Bruce Little, respectively. Wins by both John and Roger resulted in an all South Cotswold final with John receiving a 3 stone handicap. The game proved to be a very steady and cautious encounter but the experience of the stronger player won the day with Roger Hays carrying off the Trophy and Tankard for the second time in the Tournament's history.
The Trophy and Tankard will be presented by Mr. C.L. Treeby, President of the R.A.F.A., Filton and North Avon Branch.
HOLLINGS TAKES THE 1976 (ROBNOR) WESSEX TROPHY
The 7th Wessex Go Congress, held at Marlborough Town Hall on October 24th attracted exactly 100 entrants. The top division was won by Mark Hollings (2 dan, Birmingham) with a perfect record (4 out of 4). Other divisions were won by Derek Hunter (1 dan, Reading); Gavin Grant (4 kyu, London); J.Crow (6 kyu, Swale); John Deaton (9 kyu, Birmingham); Susan Barnes (Bedford) and David Cordiner (Birmingham) jointly (both 12 kyu); J.Barland (14 kyu, Bracknell), and Michael Brick (20 kyu, of Dartford).
Thomas Goodey (1 kyu, London) qualified to enter the 1976 Candidate's Tournament, as Derek Hunter was already eligible from the European Congress.
Opinions expressed in the British Go Journal are not necessarily those of the British Go Association.
BRITISH GO JOURNAL
Editor: A.H.Smith, Bristol
NUMBER 34 Price: 25p NOVEMBER 1976
THE EUROPEAN CHAMPIONSHIP GOES TO FRANCE
The 20th European Go Congress was held at St. Catharine's College, Cambridge, during the middle two weeks of August. The main event, the European Championship, was one of the closest in recent years. By the halfway stage, Katscher, Merissert, and Goddard were in front, with Muller close behind. With two rounds to go, Goddard had established $\frac{1}{2}$ point lead, and needed to win his remaining games for the Championship. However, in the next round he lost to Merissert, leaving the tournament wide open: before the last round five people were still in with a chance, including Diamond, who had come back strongly after getting only $\frac{1}{2}$ point from his first 3 games. After the dust had cleared in the last round, Goddard and Merissert emerged at the top, and the play-off the next day decided Patrick Merissert as European Champion, the first Frenchman to win the title.
The other main tournament was an 8-round MacMahon, played over 2 weeks. This was won by Matthew MacFadyen, who came ahead of Schlempner (Holland), Golja (Yugoslavia), and Walter (Germany) on the tie-break. Matthew gets an automatic place in next year's Championship as a result.
Other events included a 6-round week-end tournament, won by Ronald Schlempner, a lightning tournament won by Robert Rehm, and the European Rengo Championships, won by the Reading Weak Group.
Three Japanese professionals, Iwamoto, Hane, and Yamamoto were also in attendance, to give simultaneous games and other teaching.
| | dan rating | P.M. | T.G. | J.D. | M.K. | C.M. | H.H. | R.R. | W.I. | I.B. | Total | Position |
|---|------------|------|------|------|------|------|------|------|------|------|-------|----------|
| F. | Patrick Merissert | 4 | 1 | 0 | 0 | 1 | 1 | 1 | 1 | 1 | 6 | 1 |
| G.B. | Tony Goddard | 4 | 0 | | 1 | 1 | 0 | 1 | 1 | 1 | 1 | 6 | 2 |
| G.B. | Jon Diamond | 5 | 1 | 0 | | 1 | $\frac{1}{2}$ | 0 | 1 | 1 | 1 | $5\frac{1}{2}$ | 3 |
| D. | Michael Katscher | 5 | 1 | 0 | 0 | 0 | 1 | 0 | 1 | 1 | 1 | 5 | 4 |
| N.L. | Cas Muller | 3 | 0 | 1 | $\frac{1}{2}$ | 0 | | 1 | 0 | 1 | 1 | $4\frac{1}{2}$ | 5 |
| A. | Helmut Hasibeder | 4 | 0 | 0 | 1 | 1 | 0 | | 0 | 1 | 1 | 4 | 6 |
| N.L. | Robert Rehm | 4 | 0 | 0 | 0 | 0 | 1 | | 1 | 0 | 2 | 7= | |
| D. | Wolfgang Isele | 4 | 0 | 0 | 0 | 0 | 0 | | 0 | 1 | 1 | 2 | 7= |
| Yu. | Igor Bizjak | 3 | 0 | 0 | 0 | 0 | 0 | | 0 | 1 | 0 | 1 | 9 |
Merissert beat Goddard in a play-off
Remainder of results given on page 15
EDITORIAL
How situations change'. At the copy date of the last Journal just four pages were complete, material was not available, due to many reasons, hence the copy date was delayed for approximately one month and Journals up till the end of 1977 re-scheduled.
Subsequent to an emergency meeting between members of the BGA Committee and the Editors Four at Bristol, a certain amount of material was promised and some obtained.
With this issue the complete Journal was planned with many features and articles included. Within a period of five days a wealth of Technical material was received from various sources. Upon reading these newly acquired articles, the whole content was changed, and apologies are given for taking up a great deal of space with one game.
This does not mean that we do not need further supplies of material. The file is now of reasonable size, enough for two Journals. If there is a reasonable game or such, please send it, long or short, it makes the Editor's function more interesting and satisfying when there is a selection.
Extreme thanks is passed to John Fairbairn, John Pindar and Francis Roads.
Planned copy date next issue - 5th December. Editor: Toby Manning
Orders to:
J.E.Allen,
BGA Book Distributor,
7 Lordship Road,
Cheshunt EN7 5DR.
British Go Association
Information Service:
01-722-6368
Subscriptions, Correspondence To:
D.G.Hunter,
BGA Secretary,
60 Wantage Road,
Reading, Berks RG3 2SF.
Telephone: Waltham Cross 24846
Telephone: Reading (0734) 581001
BGA SECRETARY'S NOTES
Please note the new subscription rates for the calendar year 1977
These are payable from 1.10.76, and it would help if you do not all wait to renew your subscription until 1st January or later.
| 1977 | Club member reduced rate (full-time education) | 45p |
| | Club member full rate | 75p |
| | Unattached member (UK and Eire) | £1.50 |
| | Overseas member | £2.50 |
If you wish to renew your subscription as an unattached member or as an overseas member, then you may do so without completing another application form, provided your address has not changed; if it has, then please ask for a new application form.
If there are any current members who are intending to let their subscription lapse, then I should be grateful if they could see their way to letting me know why; otherwise the BGA Committee remains in the dark and any fault that could be corrected goes unknown.
GAME FROM THE 1975 AUCKLAND GO CONGRESS
Comments by B.Castledine
Black: Kurt Flatow, 2 kyu
White: Bob Talbot, 1 kyu
Fig. 1 (1 - 100)
B5 It is usual to make a shimari at 6 or 11 with this move.
W8 The tsuke at san-san is another reply to this rather unusual hasami'.
W12 Nidan-bane at 13 is better: W will either capture two stones in the corner, or get a thicker wall than in the game.
B15 Nobi to 166 is better here.
B23 The extension to 27 is a must in this position.
W26 This pincer isn't severe enough: a play at 83 would be more to the point.
B29- This attack is ill-timed. White's group cannot be attacked successfully at this stage.
35 The lower side should be the focus of attention at this moment.
B37 Ikken tobi to 153 is the vital move.
B39 Horrible! 153 is the vital point for both.
W40 Too slow. 44 straight away attacks B severely.
B43 Better at 50.
B47 Hiki to 49 or nobi at 48 are required here.
B51 Not the right time to cut: a better idea would be to build up territory on the right side. B eventually secures this territory at the cost of allowing the enormous hane of W60.
B61 One point below 63 is of course correct.
W72 A move around here is big now: 153 or 207 are also plausible.
B73 Bad! These stones are not connected to the corner, and B may well find himself with a heavy group. How about bashi at 74?
W76 77 here seems to get more territory.
W78 Much too slow. W should be thinking of expanding his upper side territory.
B83 Looks dangerous
B85 207 is a better shape.
B87 Has to be at 88.
B93 Very important point.
B99 Big yose, but hane at 100 is also sente.
continued on page 9
1977 BRITISH GO CONGRESS will be held at LEICESTER APRIL 1-3
2ND ANNUAL BRITISH GO ASSOCIATION KNOCK-OUT CHAMPIONSHIP
Entries are now invited for the 1977 Knock-out Championship. This will be run on an even-game knock-out tournament played at a rate of about a match a month at times and places to suit individual players' convenience. Stronger players will have byes to later rounds, and the draw will be arranged to suit the geographical convenience of entrants and to avoid gross mismatches of strength. There are cash prizes for the Champion, the losing finalist and semi-finalists, and Special Prizes for Kyu players who defeat stronger opponents.
Entries will be accepted on forms or plain paper and should be sent to Martin Wells, 47 Ritches Road, S. Tottenham, London N.15, to reach him by December 18th. They should include the player's name, address, club if any, daytime and evening phone numbers, BGA membership number, any special information about convenience of certain times and places for matches, and should be accompanied by an entry fee of 80p.
The weekend will include the 6 round McMahon Open Go Championship plus Team and Lightning Competitions.
*********
Full Board Available, Licensed Bar and T.V. Room, etc.
*********
Full details and entry forms will be included in the next B.G.J.
*********
PLEASE NOTE THAT THIS EVENT WILL REPLACE THE LEICESTER GO CLUB CHAMPIONSHIP
3RD LONDON OPEN GO CONGRESS
Fri. Dec. 31st - Mon. Jan. 3rd
The third London Open Go Congress will take place at the London Go Centre and will run from Friday, December 31st to Monday, January 3rd. The main event will be an eight round tournament run on the MacMahon system, open to players of all strengths. Time limits are 1½ hours per player with 45 seconds byoyomi. Games will commence at 10.00 and 15.00 daily, except on the second day, Saturday January 1st, when they will commence at 14.00 and 19.00. Divisions will be determined by entry and prizes will be awarded for all outstanding performances.
The entry fee will be £3.50
For further details and entry forms, please contact the Go Centre.
THE FLOATER by John Fairbairn
Presented here is a game between two of the lesser known professionals. You may well wonder at first sight whether the correct diagrams have been included, but I can assure you this is not a game between two beginners. It is a very strange game and I believe that, despite being thus forewarned, you will still be surprised.
Black is Haruhiko Shirae, 5 Dan. White is Kiyanori Kanno, then 5 Dan. The game is from the 1971 Oteai and the players had 6 hours each. No kami.
Fig.1
This game is adapted from Kido. Unusually both players gave their comments and this provides, thank goodness, some insight into some very unusual goings-on.
FOR SALE
1977 Go Calendar
Price: 30p including postage
Remittance to:
A.H.Smith,
55 Heath Road,
Downend,
BS16 6HD.
Figure 1 (1 - 4)
Black is playing hypermodern fuseki. This is not new. When shin-fuseki was first played in the 20's and 30's it was far more "shin" than we might assume from the few great games that have been held up as examples of it. I think you will agree the game in Reference Dia. 1, between (Black) Fujio Tanaka and Kaku Takagawa in 1936, was rather more shin than Go Sei Gen's c3, k10, q16.
Reference Dia. 1
When asked why he was playing this way, Shirae explained that he saw it as a means of winning games against stronger players. He had been promoted to 5 Dan the year before but felt he hadn't much hope of getting any further by playing conventionally. (Incidentally, he still hasn't got any further.) Before this game his record with this fuseki was an impressive 4 wins and with White he lost two games but by close margins. He thought this style of fuseki was too slow for White.
Shirae's own name for Black 1 is the "floater". The thinking behind his choice of this move was that 'a' (tengen) is bad in terms of territory, and hoshi is not consistent enough in terms of influence, whereas the move chosen gives a good balance. Make of that what you will. He thought 'b' inferior, too.
Kanno wasn't too sure what to do about all this, he said, but if he won this game he would score enough points to get promotion to 6 Dan - and it would be his last chance that year - so he played White 2 apprehensively, but with a feeling that surely it can't be bad. In Shirae's previous games White had always answered at 'c' or 'd', so this game is charting new ground. (Ref. Dia. 2 and Ref. Dia. 3 show two of the previous fusekis.
Black wanted to play at 1 in Dia. 1 but was reluctant to allow White 2, which offsets his influence. After the game he reckoned that he should have been consistent and followed this diagram anyway, simply because White 6 was such a good move. Kanno thought 'e' was a possible, but slightly inferior, alternative to White 6. Either way his plan is to keep Black 1 isolated: to make the floater float.
Black 9 was played most of all as a gesture of bravado. Kanno had considered playing White 8 at 9, but common sense got the better of him and he resisted the temptation to be dragged into Black's labyrinth.
White 12 is unusual, but not bad. Normally White plays 1 in Dia. 2, then he can live by answering Black 'f' at 'g', or Black 'h' at 'i'. Black has the choice of which way to play and White 12 in the game is an attempt to reduce Black's choice.
White 14 was a bit too clever. Believe it or not, it was intended as a yosu-miru move, intended to sound out the opponent's reaction. Black didn't react at all, but switched to the very severe move at 15. White 14 at 'I' would obviously have been very big.
White was worried to some extent that, if he had played at "I", Black would take the corner enclosure at 14 or start a fight as in Dia. 3, but Shirae rejected Dia. 3 on the grounds that it is a sente furikawari for White and the two white stones in the corner still have a lot of aji.
Even after Black 15, though, the White stones 10 and 12 are by no means dead. Life is possible as in Dia. 4, and White should have aimed at this after White 1, which replaces 16 in the figure. In fact White 16 is in completely the wrong direction. If Black 2 of Dia. 4 is at 5, White 'm' makes at least three of Black's stones into "floaters", all exposed to splitting attacks.
White 1 in Dia. 7 instead of White 18 looks plausible, but Black could play lightly at 2, and this would be backed up by the floater at k6. The proverb tells us that if you play in the centre of your opponent's diagonal jump, your opponent can easily get sabaki, so if White 'p', Black 'q'. White should answer 2 at 'r'.
Black 1, or 's' in Dia. 8, instead of Black 19, is the kind of move aimed at reducing a White moyo above, but White 2 makes a moyo some distance away. Nevertheless, Shirae disapproved of Black 19. He said it should have been 1 in Dia. 9, then if White 2, Black 3 makes a large-scale moyo.
Despite its drawbacks, Black 17 is better than 1 in Dia. 6. This gives White just what he wants - a heavy group of black stones caught in a splitting attack.
continued from page 3
B121 Not necessary
W132 Implies the sequence W.E18, B.G18, W.D17, B.E16, W.C18 which wins the semeai (I think).
B141 Dame, almost
W150 151 is better.
B175 176 is bigger.
White eventually won by 3 points. The main fault of both players, but particularly Black, is to make heavy plays.
Black had hoped for White 1 in Dia. 10 as the answer to his 19. This gives him good shape on the right, and the extension to 10. White 20 just has to be different, but the move chosen is very good. The moves up to 27 were then inevitable but White failed to push home his advantage here when he switched to 28. 't' was better and there would then be very bad ko aji for Black in the corner as in Dia. 11. (4 is the move that should have been played.)
If Black 23 at 'u', White 26, forcing Black 24, is a painful kikashi.
Figure 4
On the tactical level, Black cannot answer White 1 in Dia. 12 with connection at 2. He dies, as Dia. 12 and Dia. 13 show, but his death in Dia. 13 is not quite as straightforward as it looks. If you want to be a professional, you have to take into account variations such as Dia. 14.
White 32 was criticised because of Black 33. It should have been at 1 in Dia. 15. If White 34 is at 41, Black 'w' lays waste to the corner.
Peeps such as White 38 should normally be avoided, but this aims at 'y' after White 'A'.
White 40 was dubious. If it incites Black 'B', it loses its value. White 'C' was more urgent.
Black 41 is worth about 20 points but Shirae admitted that he didn't know whether this or extension somewhere along the right was better. Anyway, Black 41 and White 42 are effectively miai and the next urgent point is the ko at Black 43.
Figure 5
The result up to White 60 is a furikawari but since Black got sente to make a huge territory at the bottom it was deemed bad for White. Note that the aji of the two white stones in the bottom right corner is still not entirely suppressed and for this reason Black 61 is very bad, (amateurs underestimate the whole question of aji). It should have been at 1 in Dia. 16. The point is, in Dia. 16, after Black 3 White cannot expect to get life on the lower edge, but in the game White 86 gains a tempo by threatening to bring the aji to life and thus forcing 87.
If White 68 is at 97, Black plays 'D', White 'E', Black 'F', White 'G', Black 'H' and Black gets nice thickness.
WANTED
Back copies of the British Go Journal Nos. 2, 3, 4, 5, 7 and 10. These are required by Leopold Stark, Loxwood Cottage, Loxwood, Billingshurst, Sussex, RH14 0GZ.
Can any member please assist?
White 74 was necessary to attack the group on the right but see how Black's floater is effectively placed to resist attack.
Black 85 still doesn't get rid of the bad aji in the corner. 1 or K were better for this reason.
Black 87 at 1 in Dia. 17 just helps White to make eye shape up to 10.
Dia. 17
White 96 was the wrong order. The right order is White 98, Black 100, White 96. In the game White ends up playing both 96 and 100, which is tantamount to wasting a move.
Dia. 18: This Black 1 instead of 97 would have sewn the game up. White is captured.
Figure 6 (103 - 143)
White 16 makes the group on the left secure and lends a helping hand to his group at the top. The game is now very, very close.
If Black 17 is the cut at 'L' instead, White 'M', Black 'N', White 'O' is safe.
White 34 gives White the edge.
Figure 7 (144 - 200)
Black 57 is worth 8 points in gote and is the biggest play available. Black 89 is 3 points gyaku yose (= 6 points gote). If Black 91 is omitted, White has 'T'.
Figure 8
Kanno's comment to White 14 was "How could I play that? There must be a mistake in the record." There wasn't, but both players were short of time and Black 29 was odd for the same reason. It should have been at 'U'. Next Black 'V' is intolerable and White has to play 'W' then Black 29.
The game ended with White winning by 2 points. Kanno got his promotion and Shirae lost his perfect record with the 'floater' as Black. When asked if he would continue to play this way, Shirae thought he might, since his opponents have to think so much about it that they get into time trouble.
Invitation to Go
John Fairbairn
'Even village boys and common people can play it very skillfully, but if it be thought very easy, even the wisest and most intelligent, though they investigate it through generations, may not acquire it correctly.' Wu Ts'ah Tsu
*Invitation to Go* is a basic step-by-step introduction to the game written by a Western player for Western players. You will find the book clear, simple, and easy to follow, even if you are not a village boy or one of the common people.
Contents: It's so easy to start - The rules, and the object of the game - Territory, territory, territory - The Grand Final - Basic tactics - How to start a game - The middle game - Unusual Positions - Handicaps - Go throughout the world - A professional game - Appendix - Index.
£2.60 paper covers £1.30
Oxford University Press
Books: Available from John Allen
I do not include a review of any book, since most have been treated separately in the journal already. However, here is a list of the available titles:
- The Game of GO - JAL Leaflet
- Learn to play GO
- GO: The World's most Fascinating Game (only a few copies left)
- GO for Beginners (Now available cheaper through your bookshop by Penguin)
- In the Beginning 38 Basic Joseki
- Basic Techniques of GO
- Tesuji (by James Davies - the earlier book by John Fairbairn is out of print)
- Strategic Concepts of GO
- The Middle Game of GO
- Kage's Secret Chronicles of Handicap GO
- The 1971 Honinbo Tournament (the only hardback)
- Life and Death What's Your Rating
- The Breakthrough to Shodan
The following books, although once stocked, are now out of print and unobtainable:
- GO: International Handbook and Dictionary
- GO Proverbs Illustrated
- Vital Points of GO
- Modern Joseki and Fuseki Vols. 1 & 2
- Joseki (in Japanese)
A limited number of copies of the following magazines are in stock, but if you are interested in particular back numbers, it is best to enquire first.
- The British GO Journal
- Go Review and Games and Puzzles
Dragon posters, JAL scoresheets and ties are also on the shelves.
The new price list, available from October 1st, 1976, will be in force for a minimum of six months.
RESULTS OF EUROPEAN GO CONGRESS
| Main Tournament | Weekend Tournament |
|-----------------|--------------------|
| Div.1 | Div.1 |
| 1st M.Macfadyen(G.B.) 3 dan | 1st R.Schlempner (NL) 3 dan |
| 2nd R.Golja (Yu) 2 dan | 2nd B.Chandler (G.B.) 1 dan |
| Div.2 | Div.2 |
| A.Moussa (F) 1 dan | J.Ambagts (NL) 2 kyu |
| Div.3 | Div.3 |
| P.Christie (G.B.) 1 kyu | J.Paterson (G.B.) 3 kyu |
| Div.4 | Div.4 |
| M.Amin (G.B.) 2 kyu | J.Barty (G.B.) 7 kyu |
| Div.5 | Div.5 |
| A.Levine (F) 4 kyu | C.Fraser (G.B.) 16 kyu |
| Div.6 | |
| M.Clark (G.B.) 14 kyu | |
FINAL RESULTS OF SOUTHERN LEAGUE FOR 1975-6
**Division I**
| Team | Played | Won | Drawn | Lost | Games won | Games lost | Points | Position |
|---------------|--------|-----|-------|------|-----------|------------|--------|----------|
| L.G.C.I | 6 | 3 | 3 | 0 | 17 | 7 | 9 | 1 |
| Reading A | 6 | 3 | 2 | 1 | 16 | 8 | 8 | 2 |
| Cambridge | 6 | 3 | 2 | 1 | 10 | 10 | 8 | 3 |
| Bristol | 6 | 1 | 3 | 2 | 11 | 13 | 5 | 4 |
| Harwell | 6 | 2 | 1 | 3 | 9 | 11 | 5 | 5 |
| Bracknell A | 6 | 1 | 2 | 3 | 5 | 15 | 4 | 6 |
| London Univ. | 6 | 0 | 3 | 3 | 8 | 12 | 3 | 7 |
| Red Dragons | 3 | | | withdrawn | | | | |
**Division II**
| Team | Played | Won | Drawn | Lost | Games won | Games lost | Points | Position |
|---------------|--------|-----|-------|------|-----------|------------|--------|----------|
| Q.E.S | 6 | 4 | 1 | 1 | 16 | 8 | 9 | 1 |
| Cheltenham | 6 | 3 | 2 | 1 | 12 | 10 | 8 | 2 |
| Bracknell B | 6 | 1 | 5 | 0 | 13 | 11 | 7 | 3= |
| Reading B | 6 | 3 | 1 | 2 | 13 | 11 | 7 | 3= |
| Southampton | 6 | 2 | 1 | 3 | 8 | 14 | 5 | 5 |
| N.W.London | 6 | 1 | 1 | 4 | 7 | 9 | 3 | 6 |
| Men of Kent | 6 | 1 | 1 | 4 | 9 | 15 | 3 | 7 |
RESULTS OF 2ND NORTHERN GO CONGRESS
The winner of the Red Rose Shield was Paul Prescott with five wins out of six, his only defeat being to Mathew Macfadyen, who also had five wins but who lost on the tie-breaker.
Brian Chandler's four wins, which included the scalps of Andrew Daly and Jim Bates, theoretically earned him a place in the 1977 Candidate's Tournament. However, as Brian had already qualified from Cambridge, the place went to Steve Fawthrop of Birmingham with Walter Gregory of Cleveland as reserve.
NEW CLUB IN FORMATION HARROGATE: Further information:
D.Gibson, 97 Forest Lane, Starbeck, Harrogate.
Tel: Harrogate 88154
BGA GRADING LIST 15th September, 1976
5 dan J. Diamond (LGC)
4 dan A. Goddard (-), R. Ochser (LGC), P. Prescott (IC)
3 dan J. Bates (LGC), S. Dowsey (LGC), M. Macfadyen (R), F. May (LGC), R. Moss (Bk)
2 dan B. Castledine (IC), C. Clement (H), A. Daly (R), J. Fairbairn (LGC), T. Hall (Bl),
M. Hollings (Bm), D. Mitchell (LGC), F. Roads (W), A. Stout ( ), D. Sutton (R),
J. Tilley (LGC), D. Wells (LGC)
1 dan J. Allen (Ck), S. Bailey (LGC), L. Bock (W), B. Chandler (LGC), J. Cock (Ch),
A. Cooper (BEA), P. Fage (O), F. Hall (LGC), J. Hawdon (LGC), R. Hitchens (LGC),
D. Hunter (R), P. Manning (Bl), C. Matthews (C), T. Oxenham (LGC), T. Parker (-),
M. Roberts (Bl), A. Scarff (R)
1 Kyu M. Amin (M), P. Christie (-), J. Clare (R), S. Fawthrop (Bm), T. Goodey (LGC),
G. Gray (LGC), W. Gregory (Cl), A. Harrison (S), H. Harte (Sch),
J. McLeod (LGC), J. Metcalf (SU), J. Paterson (E), J. Payne (M), B. Philp (Bm),
K. Seaman (LGC), B. Simmons (L), R. Smith (Ch), N. Symes (LGC),
R. Thompson (Bk), M. Yagiu (Bm), I. Young (E)
2 Kyu J. Barty (Cr), H. Fearnley (O), J. Hobson (L), R. Huyshe (M), R. Learoyd (-),
C. Leedham-Green (W), R. Lewis (SU), J. Robinson (Cl), P. Smith (C),
A. Thornton (LGC), M. Wells (W), A. Williamson (-)
3 Kyu A. Allwright (LGC), M. Barst (LGC), G. Bayliss (Cd), P. Bloomberg (LGC),
B. Dockombe (LGC), D. Erbach (C), L. Hamilton (Bk), M. Hazlehurst (LGC),
A. Henriot (R), M. Hurst (LGC), T. Macdonald (E), D. Mascord (C),
W. Miller (LGC), J. O'Driscoll (Bk), J. Richardson (Cl), J. Schwarz (E),
J. Sweeney ( ), N. Stein (LGC), L. Ward (H), M. West (E)
4 Kyu B. Chandler (O), J. Chetwynd (LGC), A. Cross (LGC), A. Dean (S), J. Game (LGC),
S. Godfrey (LGC), G. Grant (LGC), P. Gregory (O), R. Hays (SC),
J. Kimberley (SU), J. Perring (H), D. Phillips (O), J. Rastall (Cr), G. Stott (C),
N. Webber (UW), M. White (M)
5 Kyu P. Atwell (Bl), D. Cornes (R), M. Cumpstey (M), J. Dowling (LGC), N. Edmonds (R),
G. Firmin (LGC), D. Goto (C), T. Hazelden (LGC), R. Hunter (O), P. Hinds (LGC),
B. Little (Bl), B. Lyon (Bk), D. Page (S), K. Rapley (BEA), A. Warburton (Hu),
P. Williams (Hu), R. Woolley (Lc).
KEY TO CLUBS
| BEA | N.W.London (BEA) |
| Ck | Cockfosters |
| L | Leeds |
| SC | S.Cotswold |
| Bk | Bracknell |
| Cl | Cleveland |
| Lc | Leicester |
| Sch | S.Cheshire |
| Bl | Bristol |
| Cr | Croydon |
| LGC | London Go Centre |
| SU | Sussex Univ. |
| Bm | Birmingham |
| E | Edinburgh |
| M | Manchester |
| UW | Univ. of Warwick |
| C | Cambridge Univ. |
| H | Harwell |
| O | Oxford |
| Cd | Chelmsford |
| IC | Imperial Coll. |
| R | Reading |
| W | Woodford |
| Ch | Cheltenham |
| Hu | Hull |
| S | Southampton |
| (-) | Unattached |
I feel sure that the above contains many errors, particularly in the kyu grades, so any additions, amendments, or just comments, are welcome.
Paul Prescott
GAME FROM 1976 EUROPEAN GO CONGRESS, CAMBRIDGE by M.R.Macfadyen
Black: M.R.Macfadyen, 3 dan
White: R.Schlemper, 3 dan
5 Points komi
Fig. 1 (1 - 107)
This was the deciding game in the final round of the main tournament at Cambridge. It is a remarkably quiet game, in which both players avoid the sort of close fighting which normally follows from openings involving san-ren-sei.
1-37 Textbook sequence - White is playing for central influence while Black contents himself with small secure territories. Black 35 may seem peculiar to some readers, but it leaves White with many weaknesses to worry about; 38 could also be played at 'a' to solidify White's position.
39 A difficult point. Other possibilities include 55 and 67. The idea of this play is to split the White moyo in half, relying on 35 and 11 to help reduce White's territory later.
46 Very good - there seems to be no good way of breaking out into the centre, so I had to be content with a small life in sente. White's central influence is now extremely powerful.
55 It is very important to play kikashi at 69 before this. Dia.1 shows one example of the usefulness of 69. White seems to be ahead after 66.
67 Aims at 73 as well as trying to expand Black's corner.
78 White cannot afford to give this stone up.
83 Irrelevant - should be 88
continued on page 19
GO AT SCHOOL by J.F.Stephenson, Thornleigh College, Bolton, Lancs.
We came to GO accidentally, really. The Chess Club had, so to speak, raised its hem with the mini-skirt, and allowed certain other games of 'standing'. Later we began to add a considerable variety of other board games like Scrabble, Diplomacy and Mastermind, bought as funds allowed. And a year ago, in the same way, we bought an Ariel Go set.
The simplicity was deceptive. A game or two showed me there was more to it than Chinese Chequers, but it neither rang bells nor lit lights with the children, until a couple of lofty Sixth Formers (rare visitors, these, to the Games Club, preferring the cacophony of the stereo in the common-room), discovered it and idly played a game through. My comments seemed to fall on stony ground, but they came back the following day - with a friend!
Queues began to form, and more sets were a real problem. Funds by then were virtually nil. It might, in any case, be a passing craze - some very expensive games have lain untouched after a short period of frenzied use. Then my father's band-saw came to the rescue. A small jig, four broom-shanks and three-quarters of an hour later we were up to our ankles in wooden discs. Black paint was applied with a large liberal brush to half of them in broad sweeps. The glass was to be applied by a fortnight's worth of use by mucky fingers (and it was!). Some odds and sods of plywood carried off from generous but unwitting donors produced three 13-line boards and another full-size board, and we were in business. Soon, games results were being recorded, 3rd-formers were beating 6th-formers, kyu-ratings were established by persuading a few to join the newly-formed Bolton Go Club. An appeal to the Headmaster's generosity resulted in three sets of BGA plastic stones, and there is now no doubt that Go is the most popular board game in the club.
A success story, but where do we go from here? One match against another school, a few playing for Bolton in the Northern Go League; the Bolton Spring Handicap - a great idea, but smack in the middle of exams. How about a national or area school children's tournament? Many school children are reluctant to pit themselves against adults in competition. But we haven't the faintest idea how many school children are playing Go. The fact that so few are willing to participate in 'adult' competitions probably disguises their true numbers. Only about five of some twenty of our players have played outside the school. Yet their importance is clear: they will be joining - perhaps founding - Go clubs in towns, colleges and universities, but only if their present enthusiasm can be sustained by encouragement and progress in the game. Suggestions please!
85 Now that 84 has been played, White can probably kill the Black group if he cuts it off.
94 Blunder - after 107 the game has become close again. continued from page 17
122 Game losing move. Black can protect his group adequately with 125, which is worth at least 10 points. (Note that White 'b' is no longer sente due to Black's play at 123.)
141 Could be at 'c' after which White will play 141, starting a large ko. However, Black now has a comfortable lead and there is no need for such reckless behaviour.
154 This exchange is almost exactly equal (if White had answered 151, Black would play 155 154). The rest of the yose was uneventful; Black won by 7 points.
RESULTS OF THE BRITISH NATIONAL CHAMPIONSHIP Played at London Go Centre
Jon Diamond, 5 dan Paul Prescott, 4 dan Jon winning 3 games by 5 points, 6 points, and a resignation. By the rules of the Tournament, Paul Prescott, however, wins the trip to Japan sponsored by J.A.L. |
A Message To Each Maryland Master Mason
Dear Brother Mason:
Since the May Semi-Annual Communication, I have made some 89 visitations or appearances upon invitation on behalf of the Grand Lodge of Maryland. These have been enjoyable experiences at which I was accorded every kindness and courtesy that could possibly be expected.
The opportunity has been extremely valuable in affording me an opportunity to gain views and insights on our present and future concerns.
Masonry is faced with the problems of a new era, one quite different from that experienced by our forefathers. We are concerned about the decline in membership, about a decrease in attendance at meetings, about the constantly rising costs of maintaining our Lodges, our Temples and our Charities.
Yet I am convinced that Masonry will meet the challenge of changing times, just as it has done in the past. Strange as it may seem, in periods of national stress Masonry records its largest gains in number of members. Perhaps that grows out of an inherent desire of men to bond more closely together when danger threatens them. Conversely, such bonds tend to wane in periods of peace, comfort and relative security.
There is no doubt in my mind that our Institution will persevere and that it will exert an influence for the betterment of mankind that will pale by comparison anything that has gone before.
To this end we must dedicate ourselves. And, as we go forth into a new Masonic year, I pray that Almighty God may strengthen each of us in wisdom and determination to promote the glorious cause of our time-tested fraternity of Free Masons.
Sincerely and frataternally,
William M. Koenig
Grand Master
FORTHCOMING EVENTS
Apr.
19 Grand Line (GL) visits Potomac No. 5, D.C., Maryland Night, 7:30 P.M.
28 GL visits Doric No. 124, Perry Hall, Fraternal visit.
May
2 GM (Grand Master) visits order of Rainbow, Hunt Valley, Grand Assembly
8 GL visits Columbia No. 60, Balt., MM*
9 GM visits Job's Daughters Annual Session, Ocean City.
12 GM visits Grand Council R.&M. Annual Assembly, Balt.
13 GM visits Grand Chapter R.A.M., Balt.
14 GM visits Grand Shrine R.A.M., Balt.
14 DGM with GL visit Roelma No. 206, Sharptown, Fraternal visit.
15 GL visits Chillum Castle No. 186, Chillum, Mortgage Burning.
18 Grand Lodge Religious Service, Bonnie Blink, 3:00 P.M.
19 Grand Lodge of MD Semi-Annual Communication, Balt., 7:30 P.M.
20 GL visits Mt. Ararat No. 44, Bel Air, MM*
21 GM speaks at Columbia No. 58 PM Nite.
22 GL visits Mountain No. 99, Frostburg, MM*
26 GM visits Silver Spring No. 215, Silver Spring.
Jun.
2 GM visits Bethel No. 47, IOJD, Installation.
31 GL visits Cornerstone No. 224, Takoma Park, Fraternal visit.
18 GM visits Seat Pleasant No. 218, District Heights, GM of DC speech
29 Cheverly U.M. Church, Cheverly. P.G.M. Stetler's final service.
Jul.
22 GM speaks. National Camping Travelers, Frederick.
CONGRATULATIONS, GRAND MASTER!
At its recent sessions in Washington, D.C., our Grand Master, Bro. William M. Koenig was elected Chairman of the Conference of Grand Masters of Masons in North America. The Conference consists of 64 Jurisdictions in the U.S., Canada and Mexico, representing 4½ million Masons. Visitors were present from South America, Europe, Asia and Australia. More than 700 persons including Senators, Congressmen, Governors and the Postmaster General were present at the banquet at the Shoreham Hotel.
Our Grand Master was the first Marylander ever chosen to chair the Conference and will open the next meeting in February, 1981 at Orlando, Florida. PGM William B. Stanbury, Jr., is Executive Secretary-Treasurer of the Conference.
Bros. Koenig, Stanbury and four other officers were invited to meet with President Carter in the Oval Office of the White House during their stay in Washington.
THE "130th"
BAYSIDE NO. 232, A.F. & A.M.
The brothers of Shady Side, Maryland and vicinity now have a place in the community were they can meet on the third Tuesday of each month to teach, learn and practice Masonry consistent with the terms of the constitution and dedication of Bayside Lodge No. 232 administered by the Grand Master on November 27, 1979.
Witnessing the ceremony were 98 Master Masons from 28 Maryland Lodges, two D.C. Lodges and one from Ohio and Virginia.
The first line of installed and invested officers included: John W. Ward as WM; John W. Ward as SW; Howard M. Reedy as JW; T. Leroy Greer as Secretary; Vincent G. Walkenfeldt as Treas.; Reuben W. Begeman, SD; Homer L. Sudduth, JD; Emmitt J. Kitchen, SS; John E. Smith, Jr., JS; and Paul E. Coates, Tyler.
REGIONAL WORKSHOPS
By now, Lodge members have been briefed on the regional workshops held at five locations during January and February, 1980. Worshipful Masters, Senior Wardens and Secretaries had an opportunity on a "one-on-one" basis to hear the Grand Master's objectives packaged under the theme "You and Your Lodge are Masonry". purposes and achievements of Masonry.
Bro. John Bryan, III, No. 111 was the ramrod for these sessions which included talks by Armen Loosararian, No. 215, on plans underway by the new Committee on Masonic Education; Seymour Lipshitz, No. 224, techniques for communicating with members, the media and the community; Arthur Grossman, No. 178, who discussed material available from the new Committee on Masonic Information and Research. These talks were followed by discussion groups for Worshipful Masters which Joe Bryan moderated; for Senior Wardens under the leadership of RWDM Bernie Rothman, Secretaries met with RWGS Stan Undercuce. Grand Inspectors and Deputy Grand Lecturers held their discussions with Bill Clark Pres. of State Area, or Jerry Fields, Pres. of Balt. City & County Area. A general discussion period followed.
THE FREESTATE FREEMASON
Issued By
The Grand Lodge of Ancient Free and Accepted Masons of Maryland, U.S.A. through its Committee on Public Relations, Steven J. Lipszitz, Chairman, John M. Chamberlain, Howard E. Nalley, David W. Purcell, Robert G. Selberg, Edward G. Taylor and Robert W. Ysich, Technical Advisor: Bro. Henry G. Kuhn, Jr., No. 179.
It serves as a medium of keeping the Craft informed of pertinent activities of Grand Lodge and subordinate Lodges. It also serves as a vehicle for encouraging and guiding subordinate Lodges to comply with the spirit of the Craft; family and friends those events, activities and personalities which exemplify the purposes and objectives of Masonry. News items, suggestions, questions are welcome. Mail to:
Editor, THE FREESTATE FREEMASON
522 Nelson Street
Rockville, MD 20850
Do You Have Us On Your Bulletin Mailing List?
Regional Workshops (Continued)
In fine, we should see vigorous Youth programs; improved and active community relations; greater emphasis on Masonic education for the brothers and for Lodge management; improved programing, attendance and membership.
TAX EXEMPT CONTRIBUTIONS TO MASONIC LODGES
There are two bills currently in Congressional Committee which allow tax exempt contributions to Masonic Lodges and other fraternal organizations who qualify under tax category 501C10.
Senate Bill S616 sponsored by Sen. R. Dole is currently in the Senate Finance Committee under the chairmanship of Sen. H. Byrd. House Bill HR4175 sponsored by Rep. John Durbin is in the House Ways and Means Committee. Without any discussion of interest these bills may never come out of Committee or if they should come to a vote they may die from lack of interest.
Some Lodges are attempting to raise funds to build Temples. Others cannot readily obtain funds to maintain their buildings. We need a financial base for letting us compete with tax deductible contributions and thus become a fiscally sound fraternity which will enable us to enhance the appearance of our community, promote better relationships with our neighbors, help our youth and provide a base for the betterment of mankind.
Send a letter to your Congressman in support of this legislation. This is a short year and time is of the essence. (Thanks to WM Jim Rowley, Pentalphia No. 194).
1979
GRAND LODGE HIGHLIGHTS
INCLUDING
193rd ANNUAL COMMUNICATION
November 19, 1979
ELECTIONS AND APPOINTMENTS:
- Grand Line
- WM Grand Master
William M. Koenig, No. 210
- RW Deputy Grand Master
Bernard E. Reymann, No. 224
- RW Senior Grand Warden
L. Bertrand Horrocks, No. 123
- RW Junior Grand Warden
Norman W. Gaither, No. 191
- RW Grand Secretary
Stanley P. Farnsworth, No. 109
- RW Grand Treasurer
Meredith S. Young, No. 163
- RW Grand Chaplain
George W. Pferdorfer, No. 70
- RW Grand Marshal
Richard A. Oster, Sr., No. 124
- W. Senior Grand Deacon
Gary R. Fuhrman, No. 143
- Grand Orator
Edward C. O'Dell, No. 210
- W. Junior Grand Deacon
William A. Watts, No. 213
- W. Grand Grand Steward
Wm. C. Hensley, No. 84
- W. Junior Grand Steward
David M. Brown, No. 108
- W. Grand Junior Steward
John M. Smith, Jr., No. 88
- W. Grand Steward Beirer
Kenneth A. Peterson, No. 131
- W. Grand Pursuivant
John E. Leroy, Jr., No. 223
- W. Grand Master of Ceremonies
Herbert W. Findelser, Jr., No. 182
- W. Grand Marshal
Charles L. Hayes, No. 97
- W. Grand Lecturer
Moses Appel, No. 25
- Grand Chaplain
William C. Hensley, No. 84
IN MEMORIAM: Among the 1,083 Brothers who have laid aside their working tools over the past 12 months were:
- Bro. Reginald Abernethy, No. 109, RPWPSGW & /Chmn. Of Comttee on Charity in the U.S.A.
- Bro. James T. Converse, No. 188, RPWPSGW.
- Bro. J. Irvin Martin, No. 157, RPWJGW.
- Bro. Elias W. Nuttle, No. 128 RWGNand Treas. & Mbr. Bd. of Mgrs.
- Bro. Charles F. Stein, Jr., Chmn., Comte on Masonic History.
BLOOD DONOR PROGRAM: Great job by Bro. Edgar G. Dodd, No. 146, Chairmen of the Donor Committee assisted by Ray Munson and Mike VanVechten as well as doners Wm. Stuart Hammerbocker, Jr., No. 182 and James C. Busick, No. 184 (Five Gallons) and Howard Collison, No. 159 (Two Gallons) and John Miller, No. 204 (Four Gallons). The Human Needlet, No. 34 (Ten Gallons).
HOSPITAL VISITATION PROGRAM: Renewed efforts on program reported in October issue of Masonic Service Association publication. At request of Meeting of M.S.A. Fund Agent, Bro. Joseph Judd with Grand Master, program is being revitalized. Program involves assisting VA Hospital patients at Sunday morning Chapel services. Perry Point VA Hospital supported by brothers of Mt. Ararat No. 44, Union No. 48, Harmony No. 53, Sequeehena No. 130, Stephenson No. 135 and Aberdeen No. 187. Baltimore VA Medical Center supported by brethren headed by Bro. Edward Fontz, No. 101. Will include brethren of Mt. Ararat, No. 101, Patapsco No. 183, Jephthah No. 222 and Mt. Nebo No. 229. "What a group! What a great job they do!" exclaims Bro. Judd!
GRAND LODGE OF MARYLAND — Twenty years history (1950-1975) now available including synopsis of the biennial report submitted to Remittance to The Grand Lodge A.F. & A.M. of Maryland, Masonic Temple, 525 N. Chase St., Baltimore, MD 21201. Attention: Mrs. Jane Philbrick, $25.00 for 2 copies, $25.00 for 3 copies, $25.00 for each 4 or more copies, $21.00 for each. Note: 1978 proceedings available at $10.00 a copy.
RITUAL — Good ritualistic work is a beauty to behold! This is realized not only through rehearsals and the diligent efforts of officers supported by the Corps of Deputy Grand Lecturers under the leadership of our Grand Lecturer, Moses Appel assisted by his Deputy G.J.L., Edward B. Kraft. The Grand Lodge School of Instruction of Instruction held in Baltimore and on the Western Shore and Western Maryland during July and August were extremely popular and well attended this year. Consider that 160 brothers received perfect or regular attendance certificates. Award were given in recognition of the following brothers for exceptional attendance record of perfect/regular attendance:
- 45 years
- G. Herbert Muhr, No. 110
- 20 years
- Earl L. Peddicord, No. 89
- Kenneth C. Carr, No. 213
- 10 years
- Henry Funk, Jr., No. 222
- Charles L. Hayes, No. 97
- Latimer W. Jones, No. 176
- Ernest Lahmhae, No. 222
- 25 years
- Francis B. Byers, No. 213
- 15 years
- Edward B. Fontz, No. 101
- Richard H. Uren, No. 13
In addition, thirteenth year awards were given. During opening ceremonies of the School, our Grand Master presented the Collar and Sword of a Deputy Grand Lecturer to G. Herbert Muhr, No. 110, Earl L. Peddicord, Sr., No. 89 and Latimer W. Jones, No. 108 for their continuing efforts on Grand Lodge ritual operations. Bro. Morton Karpa, No. 108, the man with the mobile phone was also singled out for his ability to keep the action going. The school was sadly miss but never forgot our provincial candidate Benjamin S. Hall, No. 213, who was assisted by Bro. Louis Ege on ritual qualifications. Other highlights included the presentation of the MM degree by our Past Provincial Master at one of the Summer sessions; delightful presentations by the Sons of England, Bro. D. A. Wright, The St. Anthony's Lodge No. 4422, who is Past Provincial Grand Registrar, Northumberland; and J. R. Morton, Heabrym Lodge No. 7201, who is the Provincial Grand Senior Deacon, Durham . . . please visit us again.
AMENDMENTS TO GRAND LODGE CONSTITUTION:
- ADOPTED — Revision of Grand Lodge Constitution, Effective now.
- NOT ADOPTED — Changing day and time of Annual and Semi-Annual Communication of Grand Lodge from third Monday to third Tuesday, with provision for a second day's session at the Annual Communication.
EDICT: Edict read to the effect: "That the granting of Life Membership to Subordinate Lodges is permissible, upon adoption of a revision of the Lodge By-Laws, to be approved by the Grand Lodge Committee on By-Laws, incorporating the following provisions. . . .
(Note: This Edict in its entirety has been forwarded to all Subordinate Lodges.)
YOUTH, MANHOOD AND AGE: "Youth Day", celebrated on June 23, 1979, at the Masonic site of old Fort Frederick, was a delightful experience for both young and old. Attended by 254 members of De-Molays, Job's Daughters, Rainbows Girls and adult advisors, this was first of what may be an annual event. Lovely grounds . . . refreshments . . . laughter . . . cheerfulness . . . sounds of youth brought smiles and pleasure to the Guests of the Homes.
Here we have demonstrated our most critical concepts — Youth & Age: Hope for the Future . . . reverence for care for the Past. Support to both is vital.
For the Youth, every Lodge should develop a program. Where one is not already in practice, to work with a youth organization or the young people at large in the community, to assist them without dictating to them and to lead them in the lessons of becoming Brothers and Sisters to all persons.
For the Aged, support for the Endowment Fund and activities of the Masonic Home. In our Grand Lodge, with 186 years of membership of 361, they have in nine months added 29 new Life memberships of $100.00 each and 43 pledges; $225 was given in memory contributions for a total of $2,625. This can be done better? Other support . . . sponsoring religious service, entertainment, projects like Plymouth Lodge No. 41 . . . Valentine Day presents for Guests.
Great job done by Mrs. Wilma L. Stone, Homes Administrator and Asti., Bro. James H. Hotchkiss, Jr.; Rev. Current, Chaplain; attending with Bro. Dr. William E. Johnson, other staff & maintenance people. Note new Activities Director — Cindy Pyle.
Photos taken at Bonnie Blink during "Youth Day are on the last page.
CORN HUSKING AND HARVEST HOME DAY: They came from everywhere, all 6,447, to see what Harvey Hopkins assisted by Howard Collins, Wm. E. Speelman, 31 other members of the committee had wrought. Fantastic eats . . . weather . . . and distinguished guests . . . PGMs Moyer & Jacobs of D.C., S.G.I.G. Donaldson . . . Pot. Dr. Jack Chamberlain of Bountiful People . . . Willie Phillips, G.H.P., and . . . Joseph Thibault, Superint. Tall Cedars of Lebanon. Prizes went to following winner and follow-up lodges — For members present: Glen No. 213; Glen No. 183; Longest distance traveling: Oakland No. 192; Homestead No. 103; Largest number of members present: Charity No. 134, Monocacy 203. The next issue of The Freestate Freemason will include pictures taken during this event.
LODGE NOTES
1979
ALLEGANY COUNTY
- MOUNTAIN NO. 99 (Will Allen D. Shirk). New Masonic Temple dedicated on Oct. 13, 79 by Grand Line . . . located on Old Midtown Road . . . Fraternal Speaker was Grand William M. Keenig; RWGM Bernard E. Spiehler; PM & former PM J. Glenn Bell; and WM Shirk. Filled house by warmth with neighboring brothers in attendance. All costs of building Temple paid by 100% contributions. Same evening Annual Ladies Nite held commemorating 125th anniversary, GM & Grand Line with ladies
present. Divine worship services next morning at Frostburg United Methodist Church ... RWOGC John Bailey Jones in charge of service.
- EAST GATE No. 216 (WM Paul G. Shirciff). Great doings in according George H. Knotts with an honorary membership in recognizing his service of 15 years as Deputy Grand Lecturer to the lodge. The article and picture appearing in "The Cumberland News" was super. George also served as Grand Inspector for two years.
ANNE ARUNDEL COUNTY
- ANNAPOLIS No. 99 (WM Bennie G. Owens). Community, family, youth ... programs slanted in all directions. Excellent coverage by local press (Evening Capital) featuring — pictures of officers; presentation of second installment of Bro.$2,500 pledge to Carl J. Schindellar for Anne Arundel General Hospital Expansion Fund; story & picture of presentation by Bro. Edward G. Gentner of a section from original stone used in U.S. Capitol Building Stone released by Capitol Architects; George M. White, Bro. Genries who sawed section from original stone. It was Bro. George Washington's request that any stones removed from the building be given to Masonic Lodges or college requesting them. Same program included slide presentation by Bro. Bennie Owens on Masonic Bicentennial program in City Hall in 1976. Other interesting programs with talks on "Masonry and the Irish"; "European Masons and Aprons" given by Bro. George Willman. Visit made to Annapolis Chapter, OES; "Family Night" with OES, Jobies, DeMolays present. Scottish Rite Night featuring as speaker Bro. John W. Donaldson, S.G.I.G. of Maryland. Bro. George Owens, G.H.P. of Grand Chapter, R.A.C. of Virginia was the speaker at the meeting. He called on all of us to add a bang-up Past Masters' Night with our MWGM, William M. Koenig, and the Grand Line with honors to Bro. D. Ross Vansant, Jr., dean of PMs with 62 years of service — all recorded in a newspaper article. No small wonder when Bennie Owens says that "Masonry is truly on the move in Anne Arundel." Interesting article forwarded by Jim Owens, Sen. about recent survey conducted by Charlotte Fletcher, St. John's College librarian revealing that college name represented high regard of Maryland legislators for work of George Washington, naming the college for the Feast of (St. John) the Evangelist, the day that legislation was enacted. Great picture of newly elected PMs. Thanks to Bennie, Maryland now retired from the Naval institution. In all, a full and satisfying year for Bro. Bennie.
- GLEN BURNIE No. 213 (WM Daniel G. Rehmer). Would you believe this lodge held six communications in May and June? It's not all work though — they have shared Religious Services with Odenton No. 209 and Baltimore No. 148. They enjoyed a trip to Pitman, N.J., presented a Car Cuddy play, "A Room on the Alter" ... Joined with members and their families for Religious Services. Not very often Grand Lodge awards "Certificate of Merit" — Danny J. Riggan, J.W. and George Tyzack, Jr. received theirs at Semi-Annual Communication in recognition of CPR technique in reviving Tyler Williams, 12, who died during football program. Masons and wives in March. Plans being made to train others ... Grand Master awarded 50 Year Emblem to Bro. Milton C. Brundige, Jr. during Grand Line visit. Bro. Frank C. Gunderloy will receive his from California lodge near his home in Thousand Oaks. Terrific turn-out of members, families, youth, collateral bodies at open house — 150 strong ... together with — at least 10 ladies. What a great day when all is all about at Education & Fellowship Nite, P.S. Lodge needs $28 Bonnie Blink Penny to complete collection ... contact Lee Payne at 301-789-4163 if you'd care to donate one. Tall Cedars degree team conferred MM Degree as did PMs on another occasion. Held Ladies Night, Old Timers Night, Saturday Special Dinner, Christmas Party. Looks like there was something for everyone. Not least of activity is community improvement demonstrated by picture taken during tour of North Arundel Hospital when $3,000 was presented to Alfred J. Bryan, Jr., Executive Director.
- BAYSIDE No. 232 (WM Norman W. Broyles). The big day finally arrived for our newest Maryland lodge. Truly a memorable event marked with a distinguished gathering of well wishers to witness the rare ceremony of constitution and dedication by the Grand Master and Grand Line. Mr. Herman Lodge presented a set of Altar Jewel, Abe Zinck, Sr. was a check for $33 to the Grand Master for the Annie Blink Christmas Fund. M. Berkley Russell presented a "24" to the GM and waltz music played by the officers of the lodge. PM Fussell a member of Centennial No. 174 was presented a certificate of honorary membership for his service to Bayside Lodge while under dispensation. Speakers included guests Ernie L. Matte, Ernie Walke, RWOGM Rottman and Bill Broyles, the WM's brother-in-law of Mt. Vernon No. 125, Alexandria, Va.; GM William M. Koenig noted in closing remarks that this was the first such occasion since Oxon Hill No. 230 was constituted in 1968. Lots of luck Bayside!
Baltimore City. Come on down! Organize carpools! Availability of convenient parking facilities, excellent lighting, security and upgrading of area in vicinity of Temple provides opportunity to enjoy your Lodge and Grand Lodge Temple.
- UNION No. 60 (WM James T. Hill, Jr.). Friends and relatives shared in the pleasure of seeing Bro. Edward J. Wohrna, D.D.S. receive his 60 year service emblem from his son-in-law, G.I. John J. Drzata and PGM John R. Fogle. Members of Corinthian No. 93 of which Bro. Wohrna is a honorary member were also present including Bro. Leo Schram and their oldest living P.M. (1928) and Bro. Wohrna have known each other for over 70 years and have been instructed at Polytechnic Institute by PGM Warren S. Seipp. In all a delightful and memorable evening.
- KING DAVID'S No. 68 (WM Stanley M. Lamore). Bro. Harold E. Hosler, Jr., reports on Bro. Ferdinand Press, Jr. who received his 60 year service emblem from G.I. Arnold Jacobs accompanied by Stanley A. Dolle and John E. Blizzard, P.M.'s Bro. Press, a vigorous 86 lives at the National Lutheran Home at 18th & Douglas Sts., in Northwest Washington. He serves on the Homes Building Committee and keeps Masonry a cherished association among his many friends.
- ADHERENCE No. 88 (WM Paul M. Twelle). Bro. Bill Price, P.M. reported on what must have been a memorable installation for the brethren when the MWGM William M. Koenig was present for the proceedings.
- CENTRE No. 108 (WM Herbert J. Rubenstein). One of highlights reported on visit by Grand Line of Maryland and Delaware (except for GM) when Square Shield Club of Delaware consisting of Police and Fire personnel in dress uniform exemplified MMA.
- PYTHAGORAS No. 123 (WM Robert P. Wolf), Presentation of his 60 year service emblem by Grand Master William M. Koenig was a truly heart-warming occasion. The following honors made to Bro. John D. Harthausen in the presence of his family. G.I. Roy H. Hansen presented to Bro. Harthausen a copy of the newspaper issued on the date he was raised, September 25, 1919. Lodge Secretary Bernie Worrell presented a specially inscribed coffee cup. Bro. Jim Herndon took the picture shown here. WM Wolf had only one regret — that Bros. Arthur F. Sorg and Stanley E. Morris who were raised with Bro. Harthausen were unable to be present to receive their 60 year emblems.
Shown in the picture are Left to Right Bottom Bro. Harthausen and wife, Augusta, Rear, Bob Terry, son-in-law; Ellen, daughter; RWGM Bushman, GM Koenig; G. I. Hansen; and daughter Dorothy Riley.
- MT. VERNON No. 151 (WM Louis H. Brecht, III). Appreciate clipping sent by Charles Koester, Secty., on items appearing in the Parkville Reporter on the Harvest Home Day at Bonnie Blink. Hope to see many more items on Masonic events held at your lodge too.
- GERMANIA No. 160 (WM Carl S. Wagenfeuher). PM Frederick Lehmeyer sat in East in 1929, is Treasurer Emeritus and has had a hand in raising every candidate during the past 50 years. One of Germany's greatly revered brothers!
- JOHN H. B. LATROBE No. 165 (WM John L. Shriver). Had a banner year in honoring brothers for Masonic service. Service emblems for 60 year were due to Henry J. Bittorf, Joseph E. Chaffee, Jr., James R. Bell, August J. Nusser and George G. Johnson. For 50 years service were Thomas E. Benson, George R. Woessner, Jessie T. Shipley and Admiral D. Montley. Something about the Lodge that's promoting longevity! A bus trip to St. Cecile's Lodge (Actors' Guild) at New York is on the Trusteefold in the Spring of 1980. Anyone interested? Write Thomas C. Snyder, 1321 Providence Rd., Towson, MD 21204 or call 301-296-3880.
PRINCE GEORGES COUNTY
- CENTENNIAL No. 174 (WM Carl W. Todd). Lodge proud of Sheila L. Bryan, Brother No. 145 IOJD ... National Solo Drum Champion (soprano and tenor) ... first girl ever ... youngest ever (14 years old) ... congrats to Dad, S.W. Christopher Bryan.
- MT. HERMON No. 179 (WM Arthur O. McMillan). Interesting programs, recognitions and Youth activities highlighted year ... Reception Nite for members 5-10-15-20 year service honored by Presentation of GM Koenig and Grand Master. Annual Old Timers Nite saw 31 new 25 year members ... talk by PGM of D.C. Morris F. Hewitt. PM Nite with talk by Robert C. Coe, PM John Blair Lodge, VA. Millard T. Charlton, Alfred R. Keir, Sr. & Wm. D. Bornsmith received 50 year service emblems during year by GI Jack Bornsmith assisted by WM Bill Fred A. Borcherdson elected Worship, Patron & War Commander of Royal Chapter, OES. Harry S. Shippe elected to Board of Trustees of Grand Lodge. Terrific support to Bethel 4 IOJD ... charity projects, dinners etc. George Fleming Moore DeMolay Chapter being boosted ... Car Wash, etc.
• CHILLUM CASTLE No. 186 (W.M. James E. Jenkins). One of year's highlights: a celebration of 89th Birthday with Grand Master & Grand Line present ... GM Shryock granted dispensation in 1890 to organize lodge in "Eureka" as area then known ... first meeting in Eureka Grange Hall. Chalk one up for No. 186 ... Chmn. Ed Brueckmann of Comte on Masonic Homes Endowment advised that 186 leads all other lodges in "Old Hundred Club"! MM Degree was conferred by Pr. of Pr. Forest T.C.L. in cottonwood ... Dinner by Bethel 43 who celebrated 25th Anniversary. Annual Joint Religious Services with West Gate 220 and York 225 ... PGM Stettler served as Minister, Wardens of District 9 conferred MM Degree on Bro. Wm. L. Singer, Jr. of 186. Held Coits' Nite with Mike Beck in the East. Wound up year with great Annual Christmas Party.
• BIRMINGHAM No. 188 (WM Frederick H. Detmers). Several highlights ... Bro. Guy M. Roby presented 50 year service emblem by GI William Clark in presence of friends and relatives along with members of 188, OES 26, Jobies and DeMolay ... over 100 witnesses presented. Held "Flag Day" and "Rededication as American Flag Program on June 26. Jobies and DeMolay present ... guest speaker was Arthur Gorman with short talk on Masonic relations with Flag Day & Americans ... 95 present to thoroughly enjoy program. Proud of Jack Boreinstein appointment as G.I.
• WEST GATE No. 220 (WM Clayton C. Warren). Great little lodge exemplifying Maryland fellowship upon entering or leaving Maryland for D.C. From a 1947 photo showing 100 members prior to meetings ... special programs for wives on Flower Arrangement (Elvin Sutphin) and Cake Decorating (Mrs. Robin Hickman). Entertained York Lodge No. 225 with Arthur Gosnell as speaker. Family Nite ... guests included Bethel No. 10, IOJD, Prince Georges Forest Cedarettes ... 25 year member honored. Proud of PM Willie Phillips installed as PM of R.A.C. of Md., also appointed earlier G.I. Paul Masters' Nite well received by OES. GM and Grand Line present ... also PGM Stettler ... honored also was Dick Williams who served as Tyler for West Gate and other bodies total of 107 times ... really appreciated fishing gear presented to him. All had opportunity to admire West Gate's Altar and other equipment ... workmanship and material unbelievable. Wound up year with Christmas Party. Collected over $200 for Christmas Fund for Bonnie Blink guests.
• YORK NO. 225 (WM Randolph H. Duff). Programs included honors to Tyler John H. Gough with song, music & refreshment ... promoted Visiting Day Dinner to David & Burr Leffingwell who served for 25 years in Secretary. Panel discussion held on Masonic symbolism ... Bill Clark, John David and Tom Heinz fielded questions. PM Jack Workman honored on departure from area ... revered instructor in all degrees. Recipients of 50 year service emblem during year were Richmond T. Zock and Woodford D. Patton who authored how Masonry influenced his life from time served in a Masonic organization as a boy to now. G.I. Ray M. Thompson did the honors. PGM Roy Stettler guest speaker recounting his career in Masonry ... interesting & informative.
• CAMP SPRINGS No. 227 (WM George R. Callahan, Jr.). Flourishing youth program ... superb support to Bethel No. 41, IOJD and York No. 225 ... held annual Clan-tie-up dinner-brotherhood. Pr. Gene Forest No. 129, TCL ... York Rites Bodies. OES. Visited by Supreme Tall Cedar of N.A., Bro. John M. Smith, Jr. Congrats to Rady Fousen, Worthey Patrol local OES. Held Table Lodge handled by Francis Stauffer, Pres. of Andrews Chapter, National Sojourner's Lodge. Exalted Ruler was PM Al Dreschel, No. 231, LaVoy, PA. Potatoes No. S.D.C., Jason Snyder, No. 10, Lodge No. 222, HD. Held Charter Members & Awards Nite, Annual Picnic, Joint Religious Services with Oxon Hill No. 231, Coits' Nite, Visits to Prince Frederick No. 142, Oxon Hill No. 231, and Seat Pleasant No. 218. Congrats to Art Grimes elected Grant TC of So. MD Forest No. 159. Keep an eye out for Camp Spring Players putting on Masonic plays.
• OXON HILL No. 231 (WM Albert H. Drechsler). Fleisch Market planned at new Lodge site for May 17th, 1980 ... Vendor space $10 ... food concessions by Lodge members ... call Harry Allison for space (301-292-6565). Southern MD Stuffed Ham & Oyster Dinner ... Canterbury School, Accokeek, MD ... October 25th, 1980 ... Call Al Drechsler for tickets (301-567-3239).
SOMERSET COUNTY
• MANOKIN No. 106 (WM Earl G. Warwick, Jr.). Terrific press clipping from MARYLANDER AND HERALD sent in by Harvey Hopkins with Lodge officers' picture and short article on the essentials of Masonry.
TALBOT COUNTY
• GRANITE No. 177 (WM E. Hope Harrison). Particularly fine occasion of visit by GM Koenig and Grand Line who conferred MM Degree on Donald F. Etherton. Chefs were delighted with frequent and multiple servings of oyster stew, oysters on half shell and crab soup.
WASHINGTON COUNTY
• FRIENDSHIP No. 84 (WM Donald R. Johnston). Model of planning and organization for excellent Festivities included Annual PM Meeting & Dinner; Grand Lodge Visitation during which Lodge put on FC Degree ... earned approbation of Grand Master ... who also presented 50 year service emblem to PM A. K. McGraw in presence of 16 PMs at Altar with WM and GI Tom W. Roane ... 150 years of Masonic service among Bros. McGraw, Hixon & Porterfield ... WMs of Salem, Hagerstown & Bowie Lodges also present. Greater Easter Program with entertainment by Brothers of Friendship and DeMolay. Masonic choir directed by Bill Fritz. Summer activities Strawberry Nite, Annual Picnic, Presentation by GI Tom Roane of 60 year service emblem to Carl R. Fritz and 50 year emblems to Charles V. Routzan and Francis H. Cost; raising of seven brothers after country style breakfast on a Saturday morning. Held Friendship Nite, Ladies invited ... Entertainment & Banquet. Then there was Grand Lodge Visitation jointly hosted by No. 84 and Hagers-town No. 217 ... banquet ... then EA Degree. Wives & widows attended St. John's Nite with dinner then religious services. Year wound up with Annual Christmas Gathering ... cards ... awards.
• MEDIAFIRY No. 140 (WM Clyde F. Ebersole). With presentations of service by Bro. Robert J. James P. Powers to George B. Downes and 90 by 60 years service by John P. Kehoe and 50 years service, brought recollections of Bro. Frank G. Kaplan who prior to his passing had coached in the catchment all the seven 60 year veterans and 28 of the 30 fifty year members. These coaching sessions took place in the solar shop in the rear of Harry's clothing store. Bro. Unger recalled that when getting away and uncannily, almost correct, mistakes before they were made, Harry's two sons are both PMs, Melvin I. Kaplan is now serving as Sr. Warden. Other events during the year included an Annual Ladies Nite with entertainment and banquet for wives & widows; and its annual Strawberry festival attended by many Master Masons from County Lodges and neighboring jurisdictions.
WICOMICO COUNTY
• WILLOWBROOK No. 91 (WM Larry D. Whitten). Clyde H. Hill reports on an unusual and pleasant event with the visit by GM William M. Koenig and the Grand Line. After dinner served by the Eastern Starr, MM Degree was conferred by Grand Line on twin brothers, Sampson G. and Carl Vincent, just 21 years of age and former members of the local DeMolay Chapter.
• ROELMA No. 206 (WM Ralph E. Cordrey). Highlight of year was Annual Charter Nite, 72nd Anniversary ... Grand Line came by boat for Charter ceremony ... Lodge name derives from first two letters of names of three prominent families ... Robinson, Elvey and Marion. Meal served well as usual on initial charter night - Fried fish, baked ham, potato salad, turnip greens, steamed potatoes, corn bread, pie and dessert. 150 members attended by OES, PGMs and Middletons were present as was PGM Paul E. Ellis of Delaware and RWJGW Roy T. David, Judge of Court of Common Pleas. MW Bro. Ellis spoke to audience representing Masonry from Delaware, Pennsylvania, New Jersey, West Virginia, Virginia and Maryland. Many Masonic achievements in England and Scotland ... Bro. John Phillips was Program Chairman. Other programs during year featured Chicken & Dumpling dinners by OES ... one included families and friends. Worship services held at Bro. & Rev. Edward Glidden's church and service with OES. This is third time Bro. Cordrey has served as WM.
• ST. MARY'S No. 205 (WM LeRoy M. Miller). All out effort to increase attendance ... one meeting 25%, average 12.4%. Programs included Ladies Nite ... Strawberry Nite ... Annual Family Picnic ... Very impressive and moving MM Degree with Bro. Harry Hahn raising his Son, Harry, Jr. PM Degree & banquet.
HARFORD COUNTY
• MT. ARARAT No. 44 (WM Larry E. Rouzer). Did you know that when originally chartered, Mt. Ararat Lodge was a "Moon Lodge"? Meetings were held the Thursday on or preceding the full moon. Great youth activities ... Son of Don Knude installed as Masonic Chaplain - Harford Chapter of DeMolay, Bethel 35, IOJD 100 plus busy with paper drives.
• STEPHENSON No. 135 (WM Robert V. Edwards). One hundred and two brothers (largest attendance in 30 years) attended event when GM Koenig and Grand Line conferred MM Degree on Hudson J. Clendaniel. Grand Line was invited 132 years ago. Congratulations to Charles P. Hensley & David L. Hensley who received 50 year service emblems. Lodge lacks 1930 and 1937 Corn Husking pennies ... would anyone care to donate/negotiate? Write or call Carl A. Stearn, 1028 Prospect Mill Rd., Bel Air, MD 21014, phone 301-638-6182. Thanks for items, Carl.
• Did you know that out of the 64 boys and girls from the 1947 graduating class, three became Worshipful Masters? These were David B. Price and Robert L. Wood of SUSQUEHANNA No. 130 and Charles E. Zeigler of ABERDEEN No. 187 (P.S. None of these were girls).
HOWARD COUNTY
• PATMOS No. 70 (WM S. Brent Morris). Programs during year were real Masonic treats ... started with Arthur L. Gosnell's talk on "Exposures of Masonic Memorial. Strawberry Nite with Christian H. Reichenbecker receiving 50 year service emblem; & talk by David S. Nagle, PM. Zarathuda Lodge No. 451, York, PA on "Complete Unrelatedness". Exposition on another very unusual aspect of Freemasonry. Visitation made to our lodge, Patmos No. 348, Hanover, PA. Hosted daughter lodge, Patmos No. 189 ... speaker was MWPGM of D.C. Marvin E. Fowler on "Allied Bodies of Freemasonry ... Royal Order of Scotland, Red Cross of Constantine, etc. MWPGM of Maine, Middlemiss received Bro. Fowler for our lodge. Howard Robinson & Elizabeth Lodge of Martinsburg, W.Va. and Washington, Woodbury and Manassas Lodges of Baltimore at a "Grand Reunion & Pic Nic". This last reunion was hosted by W.Va. lodges in 1879, one hundred years ago. Grand Officers of Rite of Rome visited Maryland to discuss history and legends of the Rite. Held first Tabernacle Lodge in Maryland — MWGM attending and featured a "Dinner and Dance" for OES, then play "A Rose Upon The Altar" by Scottish Rite Players under direction of William Wheeler. Sponsored "Howard County Masons Night", a first, including Howard & Solomon's Lodges. Speaker was Stewart M. L. Pollard, Exec. Secy. of Masonic Service Assn. speaking on anecdotes under heading of "Tied to Masonic Apron Strings".
• SOLOMON'S No. 121 (WM Daniel F. Somma). Not soon to be forgotten is night when PMs conferred MM Degree on Nimrod Davis, Jr. Must have been high power performance — lights blew and most of degree was done in candlelight. Special feature of evening
was presentation of Honorary Membership Certificate to LeRoy E. Smith, RWSGW and DGL. Present at ceremony was RWDGM Bernard E. Rothman.
KENT COUNTY
- CHESTER No. 115 (WM J. Galen Potts). Played impressive part in community affairs by laying cornerstone at dedication of new firehouse with invitation of Chestertown Volunteer Fire Company and PM Robert C. Pratt raised Karel Gordon E. Edwards. Ceremony of Dedication very dramatic ... presented by PM Pratt Vansant and Hope Raleigh and Bro. Jack Kleffer ... organized by S.W. Jesse Cunningham. Lodges should check this program out. WM and Gl Ebe Pope presented 70 year service emblem to Clinton C. Jones at Seaford, DE, MWPGM James H. Hutchins of Delaware who organized Delaware Lodge of Research, stock the Colonial Masonry, Grand Slipper into 1980, Delaware Square & Shield Degree team consisting of Delaware State and Local Police and Firemen exemplified MM Degree.
MONTGOMERY COUNTY
- PENTALPHA No. 194 (WM Robert D. McCutcheon II). Keeping the basics strong. Supporting the youth ... Joined with Montgomery No. 195 in conducting religious services at Bonnie Blink ... honoring the leaders at Past Masters' Nite.
- MONTGOMRY NO. 195 (WM Charles A. Black). Valiant effort to promote attendance and family spirit! Events included movies, speakers including WJGD James M. Burns, of DC ... program by Montgomery Freemasons 134, TCL ... programs by Youth -Bailie No. 33, IOJD & Bethel No. 56 20 year Team performance ... Ladies Nite ... Past Masters' Nite. Joined Pentalphia No. 194 for religious services at Bonnie Blink.
- KENSINGTON No. 198 (WM William K. Parsons). Active youth program with three IOJBeth and Delta Chapter Dinners and dinners featuring guest participation ... MM Degree featuring their proficiency in constructing MM Degree. Talks by PGM Edward R. Saunders on "Landmarks of Freemasonry". PGM Saunders also instrumental in outstanding program attended by the Grand Line, PGM and Bro. John H. Donaldson, S.G.I.N. of Maryland -ASFA who presented a large portion of painting of the legendary PGM Thomas J. Shriver, GM Keoni Kono. PGM Saunders and other distinguished brethren added color and substance to this most unusual Mason. Fifty year service emblems were presented to Bro. Leroy M. Allison who was also presented with a birthday cake by PGM Saunders. As a courtesy to Hargertonstown No. 217, Gl Seymour H. Lipshitz, WM, presented a $50.00 check to RWDGM Rothman at his home. The WM and several brothers were present at the time.
- BETESDAH No. 204 (WM Ralph J. Peterson). Fellowship and warmth promoted through dinner preceding meetings ... short talks on Cathedral Architecture; Flag Day talk by knowledgeable Bro. Cyril H. Young ... Ladies Nite with PMS conferring MM Degree on Harvey Lewis followed by film picture 20 minutes long. Appreciation for generosity of Chaplain A. Bradford Jr., who presented Lodge with Bogen 500-watt amplifier on departure to California. Bro. Charles, Sr. living in Florida. Had great experience locating Spanish speaking Brother in D.C., to examine and welcome PM of Nicaragua Lodge ... The University of Masonry at work! Received word that Dr. & Joseph A. Baird received rank and decoration of 33rd Consecration.
- SILVER SPRING No. 215 (WM Robert M. Thomson). Highlights of year summed up by WM — Grand Lodge Line visitation; PM Nite attended by 21 PMs ... a sight to behold! 50 year service emblems presented to Frank Gunkel and Morris Fox by Gl. Lawrence Stephens in presence of wife ... a truly warm experience! Quote of blood made thanks to Robert A. Bergerson who somehow managed donations of 33 pins in one day! Also, several dinner meetings, well-informed speakers such as PGM Kenyon of D.C., at PM Nite; Arthur Gussell and Stewart Pollard (Ex. Sect.) of MD, at Ladies Nite. Info. by William A. Brown; Librarian/Archivist of George Washington Memorial. Sponsored bus to Harvest Home Day — good turnout. WM Sam Mark served concurrently as Master Councilor, DeMolay Chapter.
- CORNERSTONE No. 224 (WM Blair Lewis). Variety of programs using members as speakers, recognition events; family participation. Spiritual talk by Bro. Gary L. Smith on "Court Borroff"; "How to Obtain a Patent" (Allen Curtis); "Masonic Education" (Marty Burstein). Mr. Dino Burgioni from C.L.A. spoke on "Evolution of Aerial Photography Intelligence" to members, wives and guests including PGM Roy Stetler and PGC Gene Richardson & wives. Grand Lecturer Carl LeVine of D.C. talked about differences between MD & D.C. ritual. Past Masters' Nite ... Gl. Keoning and G.L. No. 25 year pin presentation ... barbecue and quarter ... then ... topped off with strawberries and ice cream. Dave Levin honored as Mason of The Year Award for tremendous work on Sick Committee ... Ms Celia R. Sirkin, Univ. of MD, danced Arabic, African, Israeli and Romanesque dances following refreshments for members & wives. PM Nite put on by two Bro. David & Vince Skyblom, former Masonic Counselors in DeMolay Chapter. Flower Talk by SD Ed Klein's son, Scott, Master Councilor everything beautifully done. Treasurer Jeff Hoffman honored for 25 years' service as Treasurer — delightful evening for all especially wife, Frankie, Son & Daughter. Pride expressed by family, including absent Son, and other lodge brothers touching ... never before seen at Lodge particularly praise of Masonic achievements of PM & Dr. Bernard E. Rothman, RWDGM, Seymour H. Lipshitz, G.I., Dave Brooks, WM Hope Lodge No. 20, D.C. Excellent write up local "Suburban Record" on appointment of David Rothman as President of Board of Examiners in Oxytropistry for the State of Maryland. Chase for PM Sick Committee honors with Certificate of Appreciation for work in organizing Blood Donors Program in Queen Anne's County. Having reached three score plus thirteen years, PM Bill Goodman was Bar Mitzvah boy in ceremony officiated by 30-35 year old Rabbi ... attending were PMs Harry Warshaw, Nate Keller, Brian Sid Friedman & Abe Bahn ... former Gl John Hughes also present.
- HEATON No. 228 (WM John V. Jenkins). Over 105 MM's enjoyed a night under the Stars on Sugarloaf Mountain when the GM and Grand Line conferred the MM Degree on Donald J. Bush. This is the third annual meeting at the site ... same feeling of kinship for our Ancient Brethren who held their meetings on high hills or rocky blinks. Others present included Dr. & Leona Ochman, PM of La Fayette Lodge, D.C., D.C. who spoke to PMs & Frat. Aid, Enjoyed Ladies Nite ... Evening of entertainment by Almas Temple Chanters. Held Memorial Service at Lodge Hall for PM Doyle A. Dever in presence of family and friends. Messages by WM are mini-gems.
- SINCERITY No. 181 (WM Wm. Howard Wozick). Larry Dodson told of a real legend in his own time — George J. Ranft, who has been Secretary of Sincerity Lodge for some 56-57 years. How about that!
- BALTIMORE No. 210 (WM Warren M. Benser). Rare and inspiring to have MWGM William M. Koenig raise Bro. & Dr. William M. Koenig, Jr., to sublime degree of MM in his own Lodge. GM presented 50 year service emblem to LeRoy Y. Gritzan who served as Secretary for 33 years.
BALTIMORE COUNTY
- SHARON No. 182 (WM Warren W. DeColigny). Luminaries abounded in this Lodge — wives Bro. Chad W. Purcell Induction in the "Three Trimmings" ... WM Warren W. DeColigny Hall of Fame served as appointed Steward over the years and now when needed. Received his 60 year service emblem as did Henry R. Dorney courtesy of G.L. of Fia.; John M. Miedwig courtesy of G.L. of N.J.; Otto N. Forest courtesy of St. Joseph Lodge No. 45, South Bend, Ind. Bros. Arthur C. Foote and Elijah H. Hoover were presented 50 year emblems. Honored Finishing Jr. who was given a Project Recognition Certificate for work with youth of Bethel Co. Presented with plaque and citizen citation by the County Executive. Blood Donor Recognition held for 16 brothers who gave 22 pints in 1978. Regretted seeing Bro. Pedro D. Dimaya, PM of Cobu Lodge 128, Philippines leaving after one year stay. Terrible evening honor to W. Stuart Hammett, WM, who passed away. Gl. Koenig, RWDGM Rothman, GS Upperco, PGMs Fogle and Sterler and Gl Carrick & wives. Sharon Lodge now meeting at Ionic Temple in Reisterstown. Have for sale 128 lodge chairs, theatre-type, color blue; 7' x 24" x 34" sections of four seats, excellent condition — $1,800.00 for lot or best offer. 301-322-8778. Last year's WM, William L. Emrich received 60 year service emblem courtesy G.L. of Ohio.
- PATAPSCO No. 183 (WM Thomas L. Price). G.I. Jim Martin was good enough to tell us about loss of two remarkable brothers: Ben Hyde who at 105 was oldest Mason Mason in Maryland. His 100th birthday was marked by a year of achievement from then GM J. Thomas Middleton. The second brother lost was Richard C. Heasman who served as Chaplain and Blood Donor Chairman for some 12 years. Also was Lay Assistant to The Pastor of his church and was studying theology to become a Lay Minister.
- PALESTINE No. 189 (WM Philip A. Ballard, Jr.). Another classic of planning, programing, organization, improvement, youth, charity, and fellowship — the ingredients for a highly successful year. This happy & prosperous year marked with visits to and from Manassesh Lodge No. 182, Manassas, Va, something of tradition over past 14 years. Annual Tri-Jurisdictional Picnic held with Manassesh and Potomac No. 5 (D.C.) Lodge — 300+ members — Maryland group over 100 including 11 G.L. officers lead by RWDGM Rothman. Also big gay bonfire ... sponsoring many worthwhile charitable religious services; lodge contributions 10 times to 100 Club, members 62 times. Gl Oliver L. Bell presented 60 year service emblem to Fred C. Joh, 50 year emblems to Harvey L. Betts, Julian J. Bauman, George F. Turner and John A. Sinn (courtesy to Harwinton No. 217). GM and Grand Line attended installation of new officers participated in welcoming 1500th member. Held Color Nite, Ladies Nite, Past Masters' Nite, PM & Memorial Service Nite, Visited Pitman Lodge in N.J. and Patmos No. 70. Enjoyed speakers like RWGSM Stan Upperco. Terrific youth activities — Bethel 17, IOJD has been active 47 years (Note: Janet Kraft did not serve as Guardian for all of this period), Catonsville Palestine 10, and Glen Burnie 10. WM 30 years, WM John Short, Advisor, received Legion of Honor, highest award — joined Gordon B. Littlepage in this elite group. Honors given to Fred Jessop, Blood Donor; special award to Maurice L. Irvin, Arthur Whedbee, Emmet J. Keneally and William Adams representing 90 years faithful service as instructors; Albert J. Tuell for 85 years service as Tyler; Attendance awards to G. W. Smith, School of Instruction; 6 brothers topped by 10 year award to Ed Kraft. Honors to Ed Brueckmann, 6th member to be elected to 330. Interested in joining the George Washington Masonic Stamp Club? Write Ed Brueckmann at 111 Oakdale Ave., Catonsville, MD 21228. You might also ask him about the "One Hundred Club" — He's chairman of the G.L. Committee on Masonic Homes Endowment.
CAROLINE COUNTY
- TEMPLE No. 128 (Francis A. (Sonny) Callahan, Jr.). A super year for Sonny! Three 60 year service emblems presented to Gl Peter H. Smith to Truman Richard, Wilbert Merriman and Robert W. Downs. Gilbert Rue received his in a Florida Lodge when son, Jack Rue was present. Father raised son at Easton. Leslie Lutz presented document taken from cornerstone of old Caroline High School. Names of officials who included in cornerstone-laying ceremony in 1925 when WM Benjamin F. Johnston presided. Thanked Caroline County Commissioners for thinking of us ... documents preserved in plastic ... on view. Fantastic "Father and Son" banquet served by OES Chapter 62 with many distinguished guests including PGM Middleton, RWDGM Rothman and other Grand Lodge Officers. R. Norton Leverage was Toastmaster introducing guest speaker, Ron Fernandes of Balto. Colts who gave inspiring success story that got to sons and fathers too. Following, PM Stephen J. Ponzillo III presented program on DeMolay. Steve Ponzillo is son of RW.IGW of same name. Attending also and observing with great interest was Matthew Ward Taylor age 6 months, son of J. W., Charles R. Taylor. Beautiful coverage of the event in local press. Bro. Benjamin Coppage Willis given special recognition for 50 years service to Masonry around the country in many Masonic organizations including G.L. of Illinois as R.W.G. Orator and 33rd AASR. Now living in Chicago, former principal in MD high schools, Superintendent of schools in MD, Buffalo, NY and Chicago. Other lodge programs ... PM Nite ... Family picnic ... and must not forget presentation of 50 year service emblem to Russel H. Knight. Last paper but one write up on achievements and associations of our local RWGT Elks Lodge.
- FREEDOM No. 112 (WM William T. Hare), Found this Gem in Trestle Board — "Take a good look at yourself. You're somebody's impression of Freemasonry." WM sums up year nicely — "I had a great installation and dinner. PM's Nite & Ladies nite both great success. Had a good turnout for Strawberry & Ice Cream and for By-law study. PM Nite was a great trip to Pinehurst Club and to New York. Had Trooper Lodge No. 42 from Tucker, who put on MM degree Ga. style. Three brothers presented 50 year service emblem. Raised my Son (William F. Hare), ..." Also Family Nite ... Cooky the Clown ... for entire family, young and old.
- LEGABAN No. 175 (WM Robert M. Roach), Sounds like a banner 100 Anniversary year with Masonic Wives' Nite (a first) attended by MWGM and wife, Charlotte. Report from program: bouquets of Hershey's kisses ... gifts to instructors wives. GI Paul Lloyd presented Austin McBride 50 year service emblem at Mechanicsburg Lodge, Mechanicsburg, PA. Father-Son Dinner held ... magic show for boys ... then "light talk" by Door-To-Virtue DeMolay. WM's Nite. Joined Door-to-Virtue Lodge for Church Service at Bonnie Blink ... Rev. Bro. Richard Kroll conducted service, Joe Chalker provided music with assistance of Pawnee Raimon. Wonderful celebration of 100th anniversary. Attended by MWGM Koenig, RWGM Rothman, RWGS Uppercue and their wives together with over 200 brothers and friends. MWGM delivered keynote address. Picnicked with Lebanon Chapter, OES at Dedorus State Park.
CECIL COUNTY
- UNION No. 48 (WM James T. Maxwell). Interesting events up to this point. Dual quality. Visitation by GM and Grand Line ... banquet. Ladies Nite ... Strawberry Nite ... Arthur Gosnell guest speaker on special evening featuring spaghetti dinner.
- CECIL No. 125 (WM Lewis A. Collins, Jr.), Proud of Jr. Deacon, Wm. C. Manlove elected to four year term as Cecil County Commissioner representing 1st, 2nd and 3rd Districts. Gale occasion celebrated on first day of Spring since Lodge was chartered on May 14, 1916. Two brothers were raised ... witnessed by 110 ... 24% of 73 members of Cecil Lodge were there as was GM Wm. Little & Grand Line of Delaware.
CHARLES COUNTY
- ST. COLUMBA No. 150 (WM John L. Elder). Here's one WM who has something special to show for his year — an 8 lb. 14 oz. son. Great going. During his year he's had Arthur Gosnell as speaker, Harry Beck filling in the gaps, Wm. Mahaffey and wife looking after the landscaping. Note of regret with departure to Fla. of Raymond Cyran who served as GI for 23 years. GI Harry S. Allison presented 50 year service emblem to McLane Cruckshank & William T. Croft. Participated in All District Nite at Prince Frederick No. 142 with Sr. Wardens conferring MM Degree under aegis of DGLs Thomas B. Anderson and Jackie Conn.
CARROLL COUNTY
- DOOR-TO-VIRTUE No. 46 (WM Charles J. Simpson, Jr.). Enjoying welcome place in the community. Some interesting highlights ... Sr Steward David Alt, Sr. conferred MM Degree on Son, David, Jr. Joined with Lebanon No. 175 to conduct joint religious service at Bonnie Blink ... Had dinner honoring PMs ... Strawberries & Ice Cream ... presented 25 year service pins. GI Richard Koenig presented 50 year service emblem to Raymond T. Shipley, Paul L. Study, Carroll I. Young, John C. Ellerand and Berton W. Blizzard. Interesting locale for first Fall meeting through George Harris "Low Vale" site outdoors. Ladies nite went off well. Family & friends invited to annual church visitation. MM candidate William E. Fox raised to office of Carroll County Lodges under supervision of DGL Harry Rohrbach. Cheers to Carl Wisner elected to Board of Managers by Grand Lodge.
DORCHESTER COUNTY
- CAMBRIDGE No. 66 (WM David W. Tolley). Honored during early part of year was William L. Merrick, Jr., RWPSGW who received plaque for dedicated service as Secretary for 18 years ... only missed 4 meeting during first 25 years. Has served as DGL over past 8 years. Honored also was Dr. Wallace Smith who was presented 50 year service emblem by GI Ebe Pope ... photo appeared in local paper during PM John Thomas year with others ... Smith Rue, Ronald Rue, Dr. Russell Smith and Edward Smith.
FREDERICK COUNTY
- LYNCH No. 163 (WM Raymond S. Boniface). Just to catch up on recipients of service emblems ... 60 year to Wilbur H. Kolb; 50 year to Kirk D. Craven, Claude F. Culber and LeRoy L. Swartt whose picture with GI Murray Fox appeared in THE POST. Special awards given to PMs serving second year as WM ... Raymond J. Dyer, James L. Triggan, William F. Hormes, Robert S. Delauder who all served two years; and Ralph C. Sigler who served three. Had great turnout for George Washington Birthday Dinner and Ladies Nite ... 125 attended in 22 inch snowfall ... speaker Rev. Francis E. Reinberger. Also had great Strawberry Nite with ladies. Now have new Blue Lodge organ played by Bro. Schroeder.
- BRUNSWICK No. 191 (WM Charles A. Kenney), Beautiful gesture recorded in Bolling Springs News ... Bro. Levin W. Lowe and wife presenting 150 year old Bible, one of four in existence, to Bolling Springs Methodist Church in memory of Mr. & Mrs. J.B. Poole during Founders Day and Homecoming celebration.
Photos taken at Bonnie Blink during "Youth Day".
Clockwise From Upper Left:
- Harvey Hopkins who made general arrangement for PM Charles Cover, DeMolay Exec. Ofcr. for MD; Dawn Myers, DeMolay Exec. Ofcr.; Wm. M. Koenig; Pat Smith, Job's Daughters; Kevin Rice, DeMolay; Wilbur Penley, Adjunct.
- PGM Fogler who found a way to support lodge treasury.
- Wilma Stone, Masonic Homes Administrator.
- Guest Gertrude Arscott, Doric 124; Herbert Borum, Landmark 127; and Alexander McMillan, Mystic Circle 129.
- Guest Ida Covington with her special charge — The Rose Garden. |
Reversion from Erythromycin Dependence in *Escherichia coli*: Strains Altered in Ribosomal Sub-unit Association and Ribosome Assembly
By DONALD G. WILD
Microbiology Unit, Department of Biochemistry, University of Oxford, South Parks Road, Oxford OX1 3QU, UK
(Received 23 October 1987; revised 12 January 1988)
A mutant of *Escherichia coli* dependent on erythromycin for growth spontaneously gives erythromycin-independent strains with altered or missing ribosomal proteins. Strains with defects in ribosome assembly were sought and obtained from among these revertants. Two organisms in which ribosomal protein L19 is altered and absent respectively have 70S ribosomes whose dissociation into sub-units is particularly sensitive to pressures generated during centrifuging. The mutant that lacks protein L19 also accumulates ribosome precursor particles during exponential growth as do others including mutants that lack proteins S20 or L1. These strains also show unbalanced synthesis of RNA and so will be useful in investigating both the pathways and the regulation of ribosome assembly.
INTRODUCTION
The 70S ribosome of *Escherichia coli* comprises three ribosomal RNAs and 52 different ribosomal proteins. From comparisons with other organisms and organelles, this is about the minimum number of components required by a functioning ribosome. The secondary structures of the ribosomal RNAs are highly conserved across bacterial species. There are also strong homologies in amino acid sequence of the individual ribosomal proteins of different bacteria so that there is, for example, little difficulty in correlating equivalent proteins from *Escherichia coli* and *Bacillus stearothermophilus* (Wittmann, 1986). Although the ribosomal RNAs are increasingly thought to be directly involved in protein synthesis (e.g. Cundliffe, 1986; Moazed & Noller, 1987), the conservation of ribosomal proteins and the numerous studies that have implicated them in the various stages in protein synthesis show that they also have a vital role in ribosome function. However, some mutant strains of *E. coli* lack individual ribosomal proteins. These strains were obtained as organisms that had reverted to independence from dependence for growth on an antibiotic such as kasugamycin or erythromycin. (A review is by Dabbs, 1986.) Some mutants without a ribosomal protein grew slowly while others (e.g. those lacking ribosomal proteins L29 or L30) had no obvious impairment. The existence of these strains shows that all ribosomal proteins are not absolutely required for protein synthesis and emphasizes the flexibility of the ribosome.
Mutants of *E. coli* that lack a ribosomal protein have been used to help locate that protein on the surface of non-mutant ribosomal sub-units (e.g. Dabbs *et al.*, 1981; Stöffler *et al.*, 1984) and to explore the functions in which the protein is involved (e.g. Subramanian & Dabbs, 1980). Little attention has been paid to organisms in which altered ribosome assembly results from absence of a ribosomal protein. This phenotype should be frequent if, as suggested by Ehrenberg *et al.* (1986), a major role of some ribosomal proteins is to maintain a fast kinetic pathway for assembly. A mutant lacking protein L1 oversynthesized protein L11 (Dabbs *et al.*, 1981). This is part of the evidence (reviewed by Lindahl & Zengel, 1986) that translation of mRNA from the L11-L1 operon is inhibited by protein L1; the consequences for ribosome assembly, if any, were not reported. Another revertant to erythromycin independence failed to make protein L24.
because of an ochre mutation in the *rplX* gene (Nishi et al., 1985). The 50S ribosomal sub-units of this mutant were as active as those from wild-type organisms in polyphenylalanine synthesis. However, *in vitro*, assembly of 50S sub-units was extremely slow (Herold et al., 1986), in accordance with other evidence that protein L24 is near-essential at an early stage in reconstitution (Nowotny & Nierhaus, 1982).
Mutants lacking ribosomal proteins do not always have properties that might be predicted for them. We (Butler et al., 1980; Butler & Wild, 1984, 1985) studied a strain of *E. coli* (TP28) with a mutation in the *rpmB,G* transcription unit that halved rates of synthesis of proteins L28 and L33. The consequences of this lesion for the synthesis of other ribosomal proteins were widespread: about ten proteins were made at rates up to 75% faster than required to sustain ribosome synthesis and the excess usually degraded. Moreover, this strain accumulated large quantities of '47S' particles. These are unusual precursors to 50S ribosomal sub-units and synthesis proceeded as though they, rather than the sub-units, were the end-product of assembly. Ribosome assembly in strains that lack proteins L28 and/or L33, rather than underproduce them, might then be expected to be even more severely restricted. However, unpublished work (by B. A. Maguire & D. G. Wild) shows that this is not so. Mutant strains AM90 and AM108 lack ribosomal proteins L28, and L28 plus L33, respectively (Dabbs, 1979). Neither shows substantial accumulation of ribosome precursor particles, and rates of synthesis of other ribosomal proteins are less perturbed than in strain TP28. These differences are presently unexplained but, together with the other considerations above, prompted experiments that isolated phenotypic revertants from erythromycin dependence with altered ribosome assembly. The properties of some of these revertant strains are described in this paper.
**METHODS**
*Bacteria and their growth.* Experiments used *E. coli* strain A19 (Gesteland, 1966) and derivatives obtained as described in Results. Unless otherwise stated, organisms were grown with shaking at 37 °C in D-broth, which contained, per litre, 10 g tryptone, 10 g yeast extract, 5 g glucose, 7 g K$_2$HPO$_4$, 3 g KH$_2$PO$_4$, 500 mg trisodium citrate.3H$_2$O, and 100 mg MgSO$_4$.7H$_2$O. D-agar was the same medium solidified with 1-5% (w/v) agar. Erythromycin (from Boehringer-Mannheim) was added to media from a filter-sterilized solution (usually 10 mg ml$^{-1}$) in 50% (v/v) ethanol.
*Preparation of extracts and density-gradient centrifugation.* Organisms grown in 10–25 ml D-broth to OD$_{450} \sim 0.5$ were harvested, washed with 2–5 ml THMK buffer (10 mM-Tris/HCl, pH 7.4, 10 mM-magnesium acetate, 100 mM-KCl) and broken in a French pressure cell. Portions of extracts (usually 100 µl) were layered onto 15–30% (w/w) sucrose gradients made in THMKSp buffer (THMK buffer containing 1 mM-spermidine. HCl) and centrifuged at 4 °C usually for 2.5 h at 50000 r.p.m. (237000 $g_m$) in a Spinco SW 55Ti rotor. (Other rotors and conditions of centrifuging are noted in the text.) Gradients were collected through an Isco density-gradient fractionator. For some experiments, [$^{14}$C]uracil and/or [$^3$H]uracil were added to the growth medium; then, after centrifuging, about 50 three-drop fractions were collected and assayed for radioactivity (Markey & Wild, 1976).
*Two-dimensional gel electrophoresis of ribosomal proteins.* Organisms were grown in 300 ml D-medium to late exponential phase, harvested, washed with TMKSH buffer (10 mM-Tris/HCl, pH 7.4, 15 mM-magnesium acetate, 60 mM-KCl, 7 mM-2-mercaptoethanol) and resuspended in 8 ml of this buffer. An extract, made using a French pressure cell, was clarified (15 min; 25000 r.p.m., Spinco Type 40 rotor) and the supernatant then centrifuged (2 h; 50000 r.p.m., Spinco Type 65 rotor). The pellet was resuspended in 5 ml TMASH buffer (20 mM-Tris/HCl, pH 7.4, 10 mM-magnesium acetate, 500 mM-NH$_4$Cl, 14 mM-2-mercaptoethanol), underlayered with 3 ml TMASH buffer containing 1:1 m-sucrose and centrifuged for 16 h at 40000 r.p.m. (Spinco Type 50 rotor). The pellet of ribosomes was dissolved in 1 ml 8 M-urea containing 1% (v/v) 2-mercaptoethanol. The ribosomal proteins were extracted with acetic acid according to Hardy (1975), precipitated with acetone (Barritault et al., 1976), dried *in vacuo* and dissolved in 500 µl 8 M-urea, 1%, 2-mercaptoethanol. Samples were analysed in the 'standard' two-dimensional electrophoresis system of Kenny et al. (1979) without alkylation of proteins. Some samples were also run with SDS-urea gels (Madjar et al., 1979) in the second dimension. Gels were stained for about 2 h with Coomassie Blue R250 (0.1%) in destaining solution (methanol/water/acetic acid, 5:5:1, by vol.).
**RESULTS**
*Isolation of an erythromycin-dependent strain and revertants to independence*
The erythromycin-dependent strain 103 was one of several isolated by an antibiotic-underlay method (Dabbs, 1979). For this, *E. coli* strain A19, suspended (OD$_{450} \sim 0.5$) in buffer (50 mMTris, 50 mM-maleic acid; pH brought to 6·2 with 5 M-NaOH) containing 200 μg N-methyl-N'-nitro-N-nitrosoguanidine (NTG) ml⁻¹ was incubated for 20 min at 37 °C. Survival was about 50%. Washed organisms were spread on D-agar (~25 ml agar per plate) and incubated for 3 h at 37 °C. The agar was then underlayered with 0·15 ml (5 mg) erythromycin. The antibiotic was allowed to diffuse for 3 d at 4 °C. Plates were then incubated for 2 d at 37 °C and colonies patched with sterile toothpicks onto D-agar without and with 200 μg erythromycin ml⁻¹. About 0·1–0·5% of resistant strains were also dependent on erythromycin for growth. One of these, strain 103, grew exponentially in D-medium containing 50, 100 or 200 μg erythromycin ml⁻¹ with generation times at 37 °C of 75, 80 and 100 min respectively but did not grow in the absence of erythromycin. Strain A19 had a generation time of 25 min in D-medium; its growth was severely inhibited by 50 μg erythromycin ml⁻¹.
Strain 103 (but not strain A19) grew on D-agar containing 100 or 200 μg erythromycin ml⁻¹. On D-agar without erythromycin about 0·0005% of organisms spread gave colonies of varied sizes. A selection of these 'revertants' was purified by restreaking and then grown in D-medium to OD₄₅₀ ~0·5. Extracts were made in THMKSp buffer and centrifuged through sucrose gradients in this buffer. Under these conditions the sedimentation profile of strain A19 showed native 30S and 50S sub-units to be present in small quantities relative to 70S ribosomes (Fig. 1a); the profile of strain 103 (after growth in D-medium containing 100 μg erythromycin ml⁻¹) was similar but with rather more material in the region of 30S sub-units (e.g. Fig. 3a, b). Most (about 90% of) revertant strains gave profiles similar to that of strain A19. Some did not. For example, revertant strain no. 1 (R1 hereafter) had a profile (Fig. 1b) in which the most prominent component has a sedimentation coefficient of about 60S and lay between the 50S sub-units and the few 70S ribosomes. With strain R4 (Fig. 1c), there were also few 70S ribosomes; the major ribonucleoprotein component was in the approximate position of 50S sub-units and there was also an excess of '30S' material. The profile of strain R8 (Fig. 1d) also showed few 70S ribosomes; most ribonucleoprotein was in the position expected of ribosomal sub-units. Rather similarly, strain R24 (Fig. 1f) had an excess of material in the region of sub-units; so did strain...
R19 (Fig. 1e) although the profile of the latter had an additional major ‘40S’ component. Thus some revertant strains re-acquire the ability to grow without erythromycin at the expense of abnormalities in ribosome metabolism. In these cases at least, ‘reversion’ is unlikely to involve reversal of the mutation(s) that created the dependence of strain 103 on the antibiotic.
**Ribosomal proteins of dependent and revertant strains**
Strains A19, 103 and several revertants were grown in D-medium and their ribosomal proteins (obtained as in Methods) examined by two-dimensional gel electrophoresis. The standard system resolved about 48 of the 52 ribosomal proteins; these were identified with the key provided by Madjar et al. (1979). Comparison of strains A19 and 103 (Fig. 2a, b) shows that in the latter the mobility of protein L25 was greater in both dimensions. The second dimension of the ‘standard’ electrophoresis separates partially by molecular mass. When this was replaced by an SDS/urea gel, the mobility of protein L25 from strain 103 was not distinguishable from that from strain A19. Protein L25 from strain 103 has thus gained in positive charge rather than decreased in molecular mass. The altered L25 was also apparent in all revertant strains examined. Some of the latter had additional changes. In strain R1, the mobility of protein L19 was reduced in the first dimension and increased in the second (Fig. 2c); in strain R8, this
protein was missing from its usual position and was not detected elsewhere (Fig. 2d). The set of proteins from strain R4 lacked protein S20, while strain R24 had no protein L1. Because some proteins are extracted rather variably and/or stain poorly, absences were confirmed by electrophoresis of at least three separate preparations of proteins from each revertant. 'Absence' does not distinguish between failure of synthesis and presence in some grossly altered and undetected form. Not all revertants showed alterations additional to that in protein L25; none was detected in strain R19, in which ribosome assembly was abnormal (Fig. 1e), or in strains R10 and R15, which had sedimentation profiles similar to that of strain A19.
**Pressure-sensitivity of ribosomes from revertant strains**
Revertant R1 grew faster (generation time about 40 min) than other revertants (Fig. 7a) but gave a sedimentation profile with a preponderance of '60S' material and few 70S ribosomes (Fig. 1b). This suggested that the 70S ribosomes of strain R1 were dissociating during centrifuging at the hydrostatic pressures generated under 'standard' conditions (50000 r.p.m.; 2-5 h). Extracts centrifuged more slowly (20000 r.p.m.) for longer (15 h) gave a profile (not shown) in which 70S ribosomes were now the major component; 70S ribosomes also predominated when 20 mM-Mg$^{2+}$ replaced the 10 mM-Mg$^{2+}$ of THMKSp buffer. Effects of hydrostatic pressure were shown directly. For this, extracts of strains 103 and R1 were each layered on two sucrose gradients made with 14 ml and 10 ml of THMKSp buffer respectively. The 10 ml gradients were then overlayed with 4 ml of buffer. Centrifuging was for 2-5 h at 40000 r.p.m. in the SW 40Ti rotor. Under these conditions the profile of strain R1 (but not strain 103) showed 60S material only at the higher pressure generated by the buffer overlay (Fig. 3). The defect in strain R1 was localized
Fig. 4. Re-association of ribosomal sub-units. Extracts of strains A19 and R1, made in TLMKSH buffer (10 mM-Tris/HCl, pH 7.4, 2 mM-magnesium acetate, 100 mM-KCl, 7 mM-2-mercaptoethanol), were centrifuged through sucrose gradients in this buffer and fractions containing 30S or 50S ribosomal sub-units pooled separately. Magnesium acetate (1 M) was added to each pool (final concn 10 mM). Mixtures (total vol. 150 μl; $A_{254}$ of 50S and 30S sub-units in a ratio of 2:1) were made, diluted with 150 μl THMKSH buffer (THMK buffer + 7 mM-2-mercaptoethanol) and incubated at 37 °C for 15 min. Each mixture was loaded on a 15–30% sucrose gradient (10 ml) in THMKSH buffer and overlaid with 4 ml of this buffer. Centrifuging was for 4.5 h at 30000 r.p.m. in the SW40 Ti rotor. (a) 50S sub-units from strain A19, 30S sub-units from strain R1; (b) 30S sub-units from strain A19, 30S sub-units from strain R1; (c) 30S and 50S sub-units from strain A19; (d) 30S and 50S sub-units from strain R1.
to the 50S ribosomal sub-units. Extracts of strains A19 and R1 were made and centrifuged through gradients in buffer containing 2 mM-Mg$^{2+}$ and in which 70S ribosomes dissociate to sub-units. The latter were isolated and, after increasing the Mg$^{2+}$ concentration to 10 mM, mixed in approximately equimolar proportions. Mixtures were activated (Zamir et al., 1974) at 37 °C for 15 min and then centrifuged (SW 41 rotor; 4.5 h; 30000 r.p.m.) through 10 ml sucrose gradients with an overlay of 4 ml buffer. When the 50S sub-units were from strain A19, about half the sub-units associated to form 70S ribosomes (Fig. 4a, c), irrespective of the source of the 30S sub-units; when the 50S sub-units were from strain R1, there was no association (Fig. 4b, d).
The sedimentation profiles of strains R4, R8 and R24 obtained under ‘standard’ conditions (Fig. 1c, d, f) showed few 70S ribosomes. This could result from extensive dissociation to sub-units during centrifuging. However, in contrast to strain R1, the profiles given by strains R4 and R24 did not alter when extracts were centrifuged at low rather than high speed or at different pressures or at 20 mM-Mg$^{2+}$. Extracts of revertant strain R8 also gave very similar profiles at 10 and 20 mM-Mg$^{2+}$. However, the profiles of extracts centrifuged at low speed showed rather more 70S ribosomes and, when pressures during centrifuging were increased by an overlay of buffer, dissociation of 70S ribosomes into ribosomal sub-units (rather than to ‘60S’ material as in strain R1) was virtually complete (Fig. 3e, f).
Thus strain R1, with an altered ribosomal protein L19, has a normal complement of 70S ribosomes that are prone to ‘dissociate’ to 60S material during centrifuging. Strain R8 lacks L19 and has rather few 70S ribosomes. These are also pressure sensitive and possibly more so than those of strain R1.
Ribosome precursor particles in revertant strains
Components that have sedimentation coefficients of 50S or less in profiles or revertant strains could be ribosome precursor particles (as is likely with the '40S' material of strain R19) and/or ribosomal sub-units. Distinction between precursors and sub-units is often not obvious because sedimentation properties can be very similar (Butler et al., 1980). Moreover, in strains that lack ribosomal proteins the sedimentation of the ribosomal sub-units may be altered. These possibilities were examined in two revertant strains, R4 and R8.
Strain R4. $^{3}$H-labelled 70S ribosomes from strain R4 were isolated from sucrose gradients and mixed with $^{14}$C-labelled 70S ribosomes from strain A19. The mixture was dialysed in buffer containing 2 mM-Mg$^{2+}$ and sub-units were displayed by gradient centrifuging. The 30S (but not the 50S) sub-units from strain R4 sedimented rather less far than those of strain A19 (Fig. 5a), presumably due to the absence of protein S20. This is an interface protein (synonymous with L26) found associated with either sub-unit; on this evidence, it is better regarded as a small sub-unit protein. $^{3}$H- and $^{14}$C-labelled extracts of strains R4 and A19 in THMKSp buffer were also mixed and centrifuged. The '30S' material from strain R4 sedimented less far than the native 30S ribosomes of strain A19 (Fig. 5b). However, the following experiment showed that this was not due to differences in sedimentation properties of the 30S ribosomal sub-units of the two strains. Strain R4 was labelled with both $[^{3}H]$- and $[^{14}C]$uracil during growth for three generations. The organisms were collected by centrifuging and resuspended in medium with only $[^{3}H]$uracil (at the same specific activity as before resuspension). Growth resumed without lag and there was no loss of $^{14}$C radioactivity insoluble at 0 °C in trichloroacetic acid. Extracts made at intervals were centrifuged through sucrose gradients; Fig. 5(c, d) shows sedimentation profiles before and 1·55 generations after removal of $^{14}$C radioactivity. At the time of resuspension, the profiles of $^{3}$H and $^{14}$C material were identical (Fig. 5c). The $^{3}$H profile showed no significant change during subsequent growth. However there was a marked loss of $^{14}$C radioactivity from 30S material (Fig. 5d). Analysis of the redistribution of $^{14}$C radioactivity in all samples taken showed that this loss was accompanied by an increase in the normalized specific activity of 70S ribosomes (Fig. 5e). The interpretation is that much of the 30S material in strain R4 comprises a precursor(s) to 30S ribosomal sub-units: maturation and combination with 50S sub-units gives 70S ribosomes. There is no large change in $^{14}$C radioactivity in native 50S ribosomes since these can exchange with the 50S sub-units of 70S ribosomes. Fig. 5(e) also shows that the $^{14}$C radioactivity in the minor '40S' component visible in profiles (e.g. Fig. 1c) rapidly decays as expected for a precursor particle.
Strain R8. No differences in sedimentation between the 30S, 50S or 70S components of strains R8 and A19 were detected when extracts, made in THMKSp buffer and labelled with $[^{3}H]$- and $[^{14}C]$uracil respectively, were mixed and sedimented through sucrose gradients at low speed (SW 50.1 rotor; 20000 r.p.m.; 15·5 h). However, in TLMK buffer (see legend to Fig. 5), in which 70S ribosomes dissociate to sub-units, the 50S material from strain R8 consistently sedimented rather more slowly than the 50S ribosomal sub-units of strain A19, presumably as a consequence of the lack of protein L19. Strain R8 was grown for three generations with both $[^{3}H]$- and $[^{14}C]$uracil present. As in the comparable experiment with strain R4, organisms were collected and resuspended in medium with only $[^{3}H]$uracil added. Growth resumed without lag or loss of acid-insoluble $^{14}$C radioactivity. Fig. 6(a, b) shows the sedimentation profiles immediately after removal of $^{14}$C radioactivity and 1·75 generations later, when the $^{3}$H profile has changed little but the $^{14}$C profile shows an increase in the proportion of 70S ribosomes at the expense of both 30S and 50S components. Consideration of the redistribution in all samples taken (Fig. 6c) shows that these changes are essentially complete within a generation. This is consistent with the formation of 70S ribosomes from precursors to both ribosomal sub-units but with an excess of sub-units present after maturation is complete.
Ribosome mutations in E. coli
Fig. 5 (on facing page). Ribonucleoproteins in strain R4. (a) Strains A19 and R4 were grown from OD$_{450}$ ~ 0.025 to 0.5 in D-broth containing respectively 0·1 µCi (3·7 kBq) $^{14}$C luracil ml$^{-1}$ and 1 µCi (37 kBq) $^{3}$H luracil ml$^{-1}$. Extracts made in THMKSp buffer were mixed and centrifuged for 15 h at 21 000 r.p.m. through sucrose gradients in this buffer (SW27 rotor). Fractions containing 70S ribosomes were pooled, dialysed for 4 h against TLMK buffer (10 mM-Tris/HCl, 2 mM-magnesium acetate, 100 mM-KCl) and a portion centrifuged (2·5 h; 50 000 r.p.m.; SW55 Ti rotor) through a sucrose gradient in this buffer. O, $^{3}$H radioactivity; ●, $^{14}$C radioactivity. (b) Strains A19 and R4 were grown as in (a). Extracts of each were made in THMKSp buffer, mixed and centrifuged (2·5 h; 50 000 r.p.m. SW55 Ti rotor) through a sucrose gradient in this buffer. O, $^{3}$H radioactivity; ●, $^{14}$C radioactivity; □, $^{14}$C radioactivity on an expanded scale × 15. For (c), (d) and (e), strain R8 was grown from OD$_{450}$ ~ 0.025 to 0·5 in D-broth containing $^{3}$H luracil (0·45 µCi ml$^{-1}$; 16·65 kBq ml$^{-1}$) and $^{14}$C luracil (0·06 µCi ml$^{-1}$; 2·2 kBq ml$^{-1}$). At OD$_{450}$ 0·4, a sample (50 ml) was harvested, washed on the centrifuge with 50 ml D-broth at 0 °C (no added radioactivity) and resuspended at 37 °C in 200 ml D-broth with only $^{3}$H luracil (0·45 µCi ml$^{-1}$) added. Samples were taken at intervals and portions of extracts, made in THMKSp buffer, centrifuged through sucrose gradients in this buffer for 15-5 h at 20 000 r.p.m. (SW55 Ti rotor). (a) The sample taken immediately after resuspension; (b) that taken 1·75 generations later. O, $^{3}$H radioactivity; ●, $^{14}$C radioactivity. (c) Distribution of $^{14}$C radioactivity in areas of the gradients in all samples; 'tRNA' includes all material with a sedimentation coefficient less than about 20S.
Fig. 6. Metabolic fate of ribonucleoproteins in strain R8. Strain R8 was grown from OD$_{450}$ ~ 0·025 in D-broth containing $^{3}$H luracil (0·45 µCi ml$^{-1}$; 16·65 kBq ml$^{-1}$) and $^{14}$C luracil (0·06 µCi ml$^{-1}$; 2·2 kBq ml$^{-1}$). At OD$_{450}$ 0·4, a sample (50 ml) was harvested, washed on the centrifuge with 50 ml D-broth at 0 °C (no added radioactivity) and resuspended at 37 °C in 200 ml D-broth with only $^{3}$H luracil (0·45 µCi ml$^{-1}$) added. Samples were taken at intervals and portions of extracts, made in THMKSp buffer, centrifuged through sucrose gradients in this buffer for 15-5 h at 20 000 r.p.m. (SW55 Ti rotor). (a) The sample taken immediately after resuspension; (b) that taken 1·75 generations later. O, $^{3}$H radioactivity; ●, $^{14}$C radioactivity. (c) Distribution of $^{14}$C radioactivity in areas of the gradients in all samples; 'tRNA' includes all material with a sedimentation coefficient less than about 20S.
RNA content of revertant strains
Several revertants to erythromycin independence thus contain 'extra' ribonucleoprotein either as ribosomal sub-units or ribosome precursor particles or both. This excess could be reflected in a high RNA content of organisms; or, the total RNA content of revertants might be that characteristic of their rates of growth. Experiments that measured RNA/protein ratios of organisms during exponential growth in the same batch of medium containing $^{14}$C-uracil and $^3$H-lysine are summarized in Fig. 7. The first comparison (Fig. 7a) is of strains A19, R1, R5, R10 and R15. The latter three strains grew rather slowly but had 'normal' sedimentation profiles very similar to that of A19. All strains have an RNA/protein ratio proportional to their growth rates (expressed as the reciprocal of their generation times). Fig. 7(b) compares strains A19 and R15 with revertant strains R4, R8, R19 and R24. The latter four strains have RNA/protein ratios up to twice those expected from their growth rates. For example, revertant R8 (mean generation time 90 min) has a rather higher RNA content than strain A19 (mean generation time 26 min).
DISCUSSION
In these experiments, mutants dependent on (and resistant to) erythromycin were obtained at a frequency about 0·1% that of resistant organisms. It is difficult to assess whether resistance and dependence in strains such as 103 are conferred by different mutations or a single event. Mutation to streptomycin dependence in *E. coli* is at the same ribosomal protein (*rpsL*) locus that confers resistance. Similarly, kasugamycin dependence and resistance can simultaneously result from an altered ribosomal protein S9 (*rpsI* locus), although in other kasugamycin- (and spectinomycin- and rifampicin-) requiring organisms there are separate mutations for resistance and dependence (Dabbs, 1983). In an erythromycin-dependent strain (Sparling & Blackman, 1973), the resistance mutation was at about 73 min and so probably in *eryA* or *eryB*. (These loci are synonymous with *rplD* and *rplV* respectively, which specify ribosomal proteins L4 and L22: Bachmann, 1983.) The dependence mutation, *mac*, was separate and at about 26 min. *mac* is not near any gene that specifies a ribosomal protein, although, as pointed out by Dabbs (1986), an antibiotic dependence that is suppressed by a series of ribosomal mutations is not itself necessarily ribosomal. Against this background, the status of the altered ribosomal protein L25 in the erythromycin-dependent strain 103 is uncertain. The gene (*rplY*) for L25 is at 47 min; an
alteration could cause the resistance, dependence, or both, or be adventitious and result from the mutagenesis with NTG. Transfer of the alteration to a different genetic background should resolve these questions. The reversions of strain 103 to independence were spontaneous events so that in these cases the additional alterations to ribosomal proteins are very likely to be responsible for the new phenotypes.
Revertant strain R1 has a less basic protein L19 than strains A19 or 103 and also has 70S ribosomes that readily dissociate into ribosomal sub-units during centrifuging. Dissociation would be enhanced if binding of Mg\(^{2+}\) to 70S ribosomes were reduced or, more likely, if there were a greater than usual decrease in molar volume when 70S ribosomes dissociate to sub-units (Pande & Wishnia, 1986). Similar but less pronounced effects were noted in some kasugamycin-resistant strains of *E. coli* (Poldermans *et al.*, 1980), whose 70S ribosomes were more prone to dissociate than those from sensitive organisms. Kasugamycin resistance arises from failure to methylate adjacent adenosines near the 3' end of 16S rRNA. This might directly affect sub-unit association if the RNAs of the ribosomal sub-units are in direct contact (Yusupov & Spirin, 1986). Protein L19 has been located at the base of the 50S sub-unit facing the small sub-unit (Stöffler *et al.*, 1984) and is thus at the sub-unit interface. The binding of L19-specific antibodies to 50S ribosomes prevents their association with 30S ribosomes (Noll *et al.*, 1976). Thus altered L19 might affect sub-unit association directly through interaction with proteins (or the RNA) of the smaller sub-unit or indirectly by causing conformational rearrangements in 23S rRNA. Stöffler *et al.* (1984) reported that a strain (AM149) that lacked protein L19 had 70S ribosomes of normal stability. They suggested either that L19 played no essential role in sub-unit association or that the other mutations in strain AM149 compensated for the absence of this protein. In strain R1, an altered L19 does have a marked effect on ribosome stability; here other ribosome mutation(s) present may either fail to influence or even enhance the effect. Transfer of the L19 mutations to other backgrounds should resolve these possibilities.
Similar considerations apply to strain R8, whose 70S ribosomes are also pressure-sensitive and in which protein L19 is either absent or much altered. In addition, strain R8 has defects in ribosome assembly. The experiments suggest that the material in extracts that co-sediments with either 30S or 50S ribosomal sub-units comprises roughly equal proportions of 'genuine' sub-units and precursor particles. A similar situation may exist with strain R24 (lacking protein L1). Strain R8 thus also differs from mutant AM149 (Stöffler *et al.*, 1984), which lacks protein L19 and where there was no evidence for an assembly defect. The genetic background of the various strains may again be responsible for these differences.
Strain R8 grows at about a third the rate of the parent strain A19 yet has a similar RNA content. Indeed, oversynthesis of RNA seems to be diagnostic of revertants to erythromycin independence with altered ribosome assembly. It is found also in strain R24 and in strain R19, whose sedimentation profile shows substantial accumulation of a putative precursor to 50S ribosomal sub-units. Revertant strain R4, which lacks protein S20, accumulates material that, from its sedimentation coefficient and kinetic properties, is a precursor to 30S ribosomal sub-units.
It is difficult to rationalize effects on RNA content and ribosome synthesis in terms of regulatory properties of the ribosomal proteins that are absent or altered. Oversynthesis of RNA is not universal among revertants to erythromycin independence. Nor is it inevitable in revertants that lack ribosomal proteins. Unpublished work (by B. A. Maguire & D. G. Wild) has noted that strains AM90 or AM108 (Dabbs, 1979), without proteins L28, or L28 plus L33 respectively, have virtually normal RNA contents and sedimentation profiles. This contrasts with strain TP28 (see Introduction), which synthesizes L28 and L33 at half the normal rate, oversynthesizes RNA and accumulates a precursor to 50S ribosomes (Butler & Wild, 1984, 1985). Regulation of the L28-L33 transcription unit has not been investigated. Protein S20 (absent from strain R4) regulates its own translation. Similarly, protein L1 (missing from strain R24) is the regulatory protein of the unit that comprises genes for L11 and L1. However, neither protein L19 (whose gene is distal in the 'S16' operon) nor protein L24 has had regulatory properties ascribed to it, although the absence of protein L24 elevates rates of synthesis of about four other ribosomal proteins from scattered transcription units (Dabbs, 1984).
A more general explanation of oversynthesis of RNA can be based on the ribosome feedback regulation model of Nomura et al. (1984). This proposes that synthesis of rRNA and tRNA (and perhaps the transcription of ribosomal protein genes) is negatively regulated by products of rRNA operons that are not the rRNAs themselves but may be non-translating ribosomes in the cellular pool. In conformity with this, Takebe et al. (1985) found that overproduction of protein S4 not only inhibited translation from its own ('alpha') operon and therefore ribosome assembly but stimulated RNA synthesis. This was seen as a consequence of a decreased number of free ribosomes. Failure to make a ribosomal protein, as found in some revertants from erythromycin dependence, is thus partially equivalent to inhibition of ribosomal protein synthesis. However, strain R8 (and possibly strain R24) accumulates ribosomal sub-units as well as precursor particles so that the situations are not completely comparable. The ribosome feedback model does not specify the molecular mechanism involved in regulation and it is not yet clear to what extent this system is independent of that responsible for 'stringent control'. Here, the synthesis of rRNA and tRNA is shut off during amino acid starvation, most likely by the inhibition of transcription from 'stringent' promoters by the guanosine tetraphosphate (ppGpp) produced by ribosomes in an idling reaction (Lindahl & Zengel, 1986). RNA synthesis in strain TP28 (which over-produces RNA during exponential growth) remains under stringent control. This suggests that mechanisms for stringency and growth-rate control of RNA content are separable (Butler et al., 1985). Even so, strains that have reverted to erythromycin independence and oversynthesize RNA might have ribosomes that produce ppGpp poorly. Alternatively, growth-rate control may be manipulated through some other property of free ribosomes or sub-units that is faulty in these revertants. These possibilities remain to be investigated.
Some experiments were done by Dr Peter Butler or Mr Michael Butlin. All were done with excellent technical assistance from Mr Jean Rotsaert.
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Effectiveness of a new sensorized videolaryngoscope for retraining on neonatal intubation in simulation environment
Alice Covelli\textsuperscript{1,†}, Serena Bardelli\textsuperscript{1,†}, Rosa T. Scaramuzzo\textsuperscript{1,2,*}, Emilio Sigali\textsuperscript{1,2}, Massimiliano Ciantelli\textsuperscript{1,2}, Marta Del Pistoia\textsuperscript{1,2}, Alessia Longo\textsuperscript{3}, Selene Tognarelli\textsuperscript{3}, Arianna Merciassi\textsuperscript{3} and Armando Cuttano\textsuperscript{1,2}
Abstract
**Background:** In recent years, medical training has significantly increased the use of simulation for teaching and evaluation. The retraining of medical personnel in Italy is entrusted to the program of Continuous Education in Medicine, mainly based on theoretical training. The aim of this study is to assess whether the use of a new sensorized platform for the execution of the neonatal intubation procedure in simulation environment can complement theoretical retraining of experienced health professionals.
**Methods:** Neonatal intubation tests were performed using a commercial manikin and a modified video-laryngoscope by the addition of force and position sensors, which provide the user with feedback when the threshold is exceeded. Two categories carried out the simulation tests: anesthesiologists and pediatricians. The categories were divided into three groups each, and various configurations were tested: the first group of both specialists carried out the tests without feedback (i.e. control groups, gr. A and A1), the second groups received sound and visual feedback from the instrument (gr. B and B1) and the third ones had also the support of a physician expert in the use of the instrument (gr. C and C1). The instrumentation used by pediatricians was provided in a playful form, including a game with increasing difficulty levels.
**Results:** Both in the case with feedback only and in the case with humans support, anesthesiologists did not show a specific trend of improvement. Pediatricians, in comparison with anesthesiologists, showed a positive reaction to both the presence of feedback and that of experienced personnel. Comparing the performance of the two control groups, the two categories of experienced doctors perform similar forces. Pediatricians enjoyed the “Level Game”, through which they were able to test and confront themselves, trying to improve their own performance.
**Conclusions:** Our instrument is more effective when is playful and competitive, introducing something more than just a sound feedback, and allowing training by increasing levels. It is more effective if the users can adapt their own technique to the instrument by themselves, without any external help.
**Keywords:** Retraining, Neonatal intubation, Skill trainer, Simulation, Sensorized
* Correspondence: email@example.com
Alice Covelli and Serena Bardelli equally contributed to this work and shared first authorship.
\textsuperscript{1}Centro di Formazione e Simulazione Neonatale “NINA”, U.O. Neonatologia, Dipartimento Materno-Infantile, Azienda Ospedaliero Universitaria Pisana, Pisa, Italy
\textsuperscript{2}U.O. Neonatologia, Dipartimento Materno-Infantile, Azienda Ospedaliero Universitaria Pisana, Via Roma 67, Pisa, Italy
Full list of author information is available at the end of the article
Background
For several years, the word “retraining” in America has been being related to a protocol of reintegration into clinical practice for doctors who have been out of work for some time [1]. The Office of Professional Medical Conduct requires the participation to a retraining program to renew the license of individuals clinically inactive for more than a decade [2]. According to a report published in 2008 by the American Medical Association Council on Medical Education, two or more years away from clinical practice are sufficient to require the physician to participate in a re-entry program, in which the essential clinical skills are evaluated to develop a specific plan of recovery [3].
In recent years, medical training has significantly increased the use of simulation as a didactic and evaluative methodology [4], allowing the acquisition or improvement of skills without compromising patient safety. Simulation allows reproducing real situations to improve technical and non-technical skills, emergency decisions and critical thinking [5]. For this reason, training programs for the return of doctors into clinical practice have been including evaluation tools based on the use of simulation [2, 3, 6].
In Italy, “retraining” is based on a didactic/training system by which every healthcare professional is updated to meet the needs of patients, the organizational and operational needs of the Health Service and their own professional development. Continuous Medical Education (CME) includes the acquisition of new knowledge, skills and aptitudes for cutting-edge practice. The purpose of continuous updating is to create a system capable of promoting and verifying nationwide the quality of continuous training, including the work of independent observers and shared criteria and methods. D.Lgs 502/1992 supplemented by D.Lgs 229/1999 established the obligation of continuous training for health professionals and the National Program of CME started in 2002 [7]. Tuscany Region has drawn up guidelines for the planning of training activities by the D.G.R. 849/2002 to implement a regional accreditation system. In this system, different types of training can be accredited: residential training (RES), internship training, field training (FSC) and distance training (FAD) [8]. In the Government, Regions and Autonomous Provinces Agreement of 2 February 2017, the types of training/learning have been defined: classic residential training (RES); convention, congresses, symposia and conferences (RES); video conferencing (RES); individualized training (FSC); improvement or study groups, commissions, committees (FSC); research activities (FSC); FAD with computer/paper tools (FAD); e-learning (FAD); synchronous FAD (FAD); blended training; teaching, tutoring [9]. Although there are many types of training recognized by the ECM Program, there are not any practical teaching methods among them, so leading to training focused mainly on the teacher and less on the student [5].
Neonatal intubation is an invasive procedure, often carried out in emergency conditions, which acquires an extremely delicate meaning associated with the different degree of development of the newborn and the restricted workspace. Pediatric and newborns airways differ significantly from those of adults, especially because of larger tongue, shorter neck and jaw, smaller and more anterior airways and U-shape epiglottis (unlike the flat one in adults) [10, 11]. Simulation has proved to be an effective tool in the training of inexperienced medical personnel [12] and in retraining of experienced medical personnel on the technical skill of intubation, even in our previous research [13]. That study from our group focused on the retraining of medical personnel testing the effectiveness of a training platform consisting of a neonatal manikin sensorized in strength and position in the lower dental arch, superior dental arch and epiglottis anatomical structures considered as the major critical point of damage during the intubation procedure [13]. Given the results and development fields of that study, in the present work we decided to sensorize the video-laryngoscope blade instead of the manikin. The blade sensorization is more accessible, as the video-laryngoscope system is an instrument already available in many clinical realities. Moreover, this choice is easier to manage and reproduce: for a matter of sensor detection efficiency, it is preferable to fix the sensors on a rigid material, such as a blade, than on soft materials such as the trachea of the manikin. In conclusion, we decided to sensorize the video-laryngoscope to provide a more accessible and reproducible instrument (Cuttano A. et al., Simulator and Sensorized System for Neonatal Intubation (S3-InNeo): planning an original bioengineering system for medical training – submitted).
The aim of the present study is to assess whether it is possible to increase the information and experience content of experienced medical personnel involved in the updating process, using a new sensorized instrument for the execution of the neonatal intubation procedure. The retraining platform used in this study involves the use of a software interface based on a performance evaluation game for a single skill, considering the more and more increasing use in recent years of serious games as computer/digital educational tools included in simulation [14]. Serious games are digital games with a learning purpose, therefore characterized by the union between the playful aspect and the didactic purpose [15].
Methods
Design and setting of study
We chose to use a neonatal commercial manikin®Laerdal NewBorn Anne and a video-laryngoscope®Storz CMac for this study. The size 1 blade of the video-laryngoscope was modified with the addition of force and position sensors that provide the user with sound and visual feedback. Such a feedback is presented through a graphical interface and gives information of applied force in the epiglottis and superior dental arch (Fig. 1).
Expert anesthesiologists and pediatricians were selected for this study; anesthesiologists have a larger experience on the intubation skill, but their experience is related to the execution of the procedure mainly on adults, so on an anatomical structure with some differences from newborn’s structures. On the other hand, pediatricians are supposed to have a better knowledge of children/neonates’ anatomical features but to have performed a total inferior number of intubation.
Anesthesiologists and pediatricians were recruited through neonatal resuscitation training courses at the Centro di Simulazione e Formazione Neonatale “NINA” (Professional Unit within the Neonatology Operational Unit of the Azienda Ospedaliero-Universitaria Pisana - AOUP) [16]; the intubation test was inserted within the course, as a form of simulation on a single skill. The groups involved in the study (see Additional file 1: Diagram S1) were homogeneous as forwards professional experience, however, the form of recruitment mediated by the training courses generated slightly different numbers of the samples themselves.
**Fig. 1** Instrumentation used in intubation test. **a** On the table you can see the user graphical interface (1), the video-laryngoscope (2) ©Storz C-Mac with sensorized blade (3) and the manikin ©Laerdal NewBorn Anne (4); in the background monitors (5) you can see the training course filmed by the cameras. **b** User graphical interface
The control groups of both categories were composed of experienced medical personnel of the AOUP.
The anesthesiologists control group (Group A) was composed of five experienced doctors who performed the intubation test 4 times each, with the instrument without any kind of feedback. The threshold values set in the tests of the other groups for the anesthesiologists were extracted from this group. The following steps were carried out to obtain the thresholds, considering separately the arch and the epiglottis:
- the maximum force carried out at each intubation test was calculated for each user;
- the median of the maximum forces in all intubation tests was calculated for each user;
- the median on the results obtained among all users was extracted, obtaining the threshold value.
Experienced anesthesiologists enrolled during the training course (Group B – n° 9 people) were asked to perform the intubation test 6 times each. Unlike Group A, the instrument provided Group B members with sound and visual feedback associated with exceeding the force value set as the threshold limit. Group C was formed during another training course, composed of 10 anesthesiologists who performed the intubation test 6 times. In addition to the feedback, they were assisted by a neonatologist, expert in the neonatal intubation procedure and the use of the instrument. The purpose of this side-by-side way is to support the user to familiarize with the instrument, which has a slightly modified design compared to the original blade.
As well as for anesthesiologists, three groups were selected for pediatricians: a control group (Group A1), a group with only sound and visual feedback (Group B1) and a group with feedback plus an experienced neonatologist support (Group C1).
The only difference between the category of pediatricians and that of anesthesiologists was in the implementation of the instrumentation with a playful approach, based on the opportunity for the users to compete themselves by inserting thresholds of increasing difficulty. The “Level Game” consists of three levels of difficulty in which the set threshold varies, having been calculated from the surveys carried out on the expert control group. Indeed, Group A1 (n° 9 doctors with high experience in the neonatal intubation procedure) were asked to perform the intubation test three consecutive times, from which the thresholds to be set to the instrument were extracted. The thresholds have been defined as follows:
- the maximum force carried out at each intubation test was calculated for each user;
- the median of the maximum forces in all intubation tests was calculated for each user;
- the first quartile, the median and the third quartile were extracted from the results obtained.
The levels were defined as follows: in the first level the thresholds coincide with the value of the third quartile, so as to encourage 25% of the population to improve their performance, both in the arch and in the epiglottis; the thresholds of the second level corresponding to the value of the medians, so that 50% of the population is stimulated to further reduce their forces; the third level takes the values of the first quartile as thresholds, setting a very high target level.
The second group (Group B1), composed of 13 expert pediatricians, and the third (Group C1), consisting of 8 expert pediatricians, performed the “Level Game”,
repeating the intubation test 4 times. To pass the first level, pediatricians could carry out a maximum of four over-threshold events, i.e. they can exceed the threshold twice in the arch and the same in the epiglottis; they also had to finish the procedure in less than 30 s. To move from the second to the third level they could perform only one over-threshold event in the arch and only one in the epiglottis, always intubating within 30 s. Finally, to pass the third level, they must never exceed the thresholds and always finishing the procedure in 30 s.
**Data analysis**
First, the data of forces obtained from the sensors in the superior dental arch and the epiglottis were analyzed using the statistical method of Kolmogorov-Smirnov to test whether their distribution is Gaussian or not.
For each test, the forces in the epiglottis and the superior dental arch were treated separately. In both anatomical districts, the values of the forces performed by each user at each test were extracted as a median. To identify the trend of the single test, the median between the values obtained by each user in each intubation test was extracted.
After that, comparisons were made between groups (see Additional file 1: Diagram S1), comparing the medians of the forces performed by the entire group for each test:
- Comparison between Group A and Group B (Comparison A-B): made to highlight the usefulness of sound feedback in the refinement of the intubation technique, then assess whether such feedback can motivate the experienced physician to carry out ever decreasing forces;
- Comparison between Group B and Group C (Comparison B-C): carried out to assess whether the
support of the doctor optimizes the confidence with the instrument, improve the performance of experienced doctors;
- Comparison between Group A1 and Group B1 (Comparison A1-B1): analogue to the comparison AB, with the only difference that Group B1 performed the procedure by receiving feedback based on the “Level Game”;
- Comparison between Group B1 and Group C1 (Comparison B1-C1): analogue to the comparison Comparison B-C, with the only difference that both groups performed the procedure by receiving feedback based on the “Level Game”;
- Comparison between Group A and Group A1 (Comparison A-A1): to assess whether anesthesiologists and pediatricians perform the intubation maneuver differently, given the considerations on the different conformation between adult and newborn.
**Results**
The force data in the superior dental arch and the epiglottis obtained from the sensors in all tests had non-parametric distribution, so that Mann-Whitney test was used to assess difference between groups, with $p$-value of 0.05.
For anesthesiologists, the thresholds obtained from the control Group A were 15 N in the arch and 6 N in the epiglottis. For pediatricians, the thresholds in the superior dental arch were 20, 14 and 10 N respectively for first, second and third level; for the epiglottis were 6, 4 and 3 N.
Comparison A-B
Group A and Group B were not statistically different (p NS), both in terms of performance in the superior dental arch and the epiglottis, but in group B there was a slight improvement trend in the arches (Figs. 2 and 3).
Comparison B-C
There were statistical differences between the two groups in terms of forces applied in the dental arch ($p < 0.05$), while they were not statistically different (p NS) for forces applied in the epiglottis.
Group B shows a trend of evident improvement in the superior dental arch (Fig. 4). Group C, on the contrary, had a tendency to higher forces along the tests, with a peak reached during the execution of the fourth one (Fig. 5). In epiglottis, for both groups, there is a fairly constant trend, with a minimal worsening associated with Group C (Fig. 6).
In both groups, the median of intubation time in the individual tests is less than 30 sec, time defined in the neonatal resuscitation algorithm [17].
Comparison A1-B1
Group A1 and Group B1 have no statistically significant differences (p NS), both in the performance in the superior dental arch and the epiglottis. However, the group who received the feedback (B1) carried out slightly minor forces in both anatomical districts (Figs. 7 and 8).
Comparison B1-C1
Mann-Whitney test showed that there were no statistical differences (p NS) between the two groups both in terms of performance in the superior dental arch and the epiglottis (Fig. 9). All users performed very low forces on epiglottis, below the set threshold on average; therefore
the two groups did not receive feedback from the instrument (data not shown).
The two groups ran the tests through the “Level Game”, but not all users passed the level at the same test, so the number of over-threshold events was not compared. Except for one, all users in Group B1 passed the first level to the second intubation (Fig. 10); only one passed the second level to the last intubation. Almost the entire Group C1, except for two users, passed the second level in the four-intubation tests performed (Fig. 11).
The median of intubation time in individual tests was less than 30 sec in both groups.
**Comparison A-A1**
As shown in Figs. 12 and 13, except for forces applied in the superior dental arch in the first test, the two categories of experienced physicians carried out forces very similar to each other (no statistically significant differences - p NS).
**Discussions**
The results showed that control groups did not present a specific trend, but rather a random trend, probably due to the lack of any kind of feedback on the forces applied.
Analysis of anesthesiologists’ data showed a slight improvement in performance carried out with sound/visual feedback only: we speculate that this may be due to the fact that an expert on intubation maneuver, like the anesthesiologist, didn’t receive any benefit in the use of an instrument not able to trig a real challenge to the refinement of the procedure, even if sensorized. Moreover, as forward the result of the not-improving trend of the
group with the support of the neonatologist, it could be caused by the fact that the physician, who accompanied users during the procedure, influenced the intubation style, trying to vary in a few attempts a technique that the anesthesiologist has perfected and consolidated throughout his own experience along years.
Among pediatricians, on the contrary, feedback seems to benefit. Pediatricians involved in this study, although having many years of experience in clinical practice, represent a less experienced category on intubation maneuvers than the anesthesiologist, considering only the number of annually conducted intubation procedures. The presence of the Tutor does not seem to have greatly affected the performance of pediatricians, who performed slightly higher forces in the dental arch than the group only with sound/visual feedback, performing many over-threshold events. On epiglottis, the median forces were much lower than the thresholds: indeed, the over-threshold events were detected very rarely. The result obtained by expert pediatricians is likely to be associated with the manikin conformation which induces the physician to perform a rotational movement of the wrist, for design reasons, while in vivo this procedure is performed with the maintenance of the wrist fixed and bringing forward the blade to lift the epiglottis. The manikin is also composed of materials more rigid than in vivo tissues.
Pediatricians appreciated the “Level Game”, as a challenge trying to overcome their previous performances. This appreciation was confirmed by the results obtained from the questionnaire they completed at the end of the test (data not shown). As reported (Figs. 10 and 11) most of the users reached the second level, a high objective considering especially the few over-threshold events that could be done to move to the next level. This additional playful approach was based on the rationale
Fig. 12 Comparison A-A1: median force in the superior dental arch. Comparison between group of anesthesiologists without feedback (Group A, blue) and group of pediatricians without feedback (Group A1, grey). On the x-axis is the test number and on the y-axis is the median force [N] in the superior dental arch
that Pediatricians are supposed to be less confident than Anesthesiologists with intubations skills. Of course, on one hand the “Level Game” challenge was a tool to collect more important data for us; on the other hand we could consider the slight difference among Pediatricians and Anesthesiologists as a methodological limitation of the study. However, in our opinion, advantages in terms of deeper observation outweigh the disadvantages.
In all groups, it is often noted that performance decreases after the fourth intubation, probably due to both physical and mental fatigue.
**Conclusions**
We can conclude that in our study the sensorized neonatal intubation instrument, which emits sound feedback was more effective for pediatricians than for anesthesiologists. We can speculate that pediatricians performed lower forces, especially on the epiglottis, because they were used to treat children, who have tissues with sensitivity and conformation different to adults; while anesthesiologists tended to complete the procedure as soon as possible, even if performing higher forces.
In addition, we can say that the inclusion of the “Level Game” is more effective than the use with only feedback, as a form of training for increasing levels where an experienced user can compete with himself.
The support of an expert Neonatologist to facilitate the knowledge of the instrument during the execution is more effective with less experienced personnel. Indeed, for an expert physician, it is more efficient to adapt the instrument to their technique than to adapt their technique to the instrument, because they have an intubation methodology trained and consolidated during their own experience.
In sum, the system is effective for the retraining of experienced medical personnel, if made playful and competitive and if the users can adapt their technique to the instrument in total autonomy, respecting their own technique and timing, without any outside help.
A future idea could be to adapt this instrument for intubation for clinical activity, as a tool to help maintaining low forces carried out on the most stressed neonatal anatomical districts during the intubation procedure.
**Supplementary information**
Supplementary information accompanies this paper at https://doi.org/10.1186/s13052-020-0774-z.
**Additional file 1:** Diagram S1. Summary of anesthesia and pediatric groups and comparisons between them.
**Abbreviations**
AOUP: Azienda Ospedaliero-Universitaria Pisana; CME: Continuing Medical Education; FAD: Distance training; FSC: Field training; RES: Residential training
**Acknowledgements**
Authors would like to acknowledge Fillistrucchi s.n.c. (https://www.fillistrucchi.com/) and Ernesto Invenzizza S.p.A. (https://www.einvenzizza.it/) for the technical support and the Counselor Alessandra Mattiola (https://it.linkedin.com/in/alessandra-mattiola-37575a58) for her support as forwards research applications on non-technical skills.
**Authors’ contributions**
ACovelli and SB conceptualized and designed the study, designed the data collection instrument, carried out the analysis and drafted the first manuscript. MDP organized the simulation events and reviewed the manuscript. RTS and ACuttano conceptualized and designed the study, carried out the analysis and reviewed the manuscript. ES and MC participated as trainers during the courses and carried out the analyses. AL, ST and AM worked on the prototype and testing phase. All authors approved the final manuscript as submitted and agree to be accountable for all aspects of the work.
**Funding**
This study has been conducted within the project “Simulatore e Strumentazione Sensorizzata per Intubazione Neonatale (53-InNeo)” granted by Regione Toscana (ACCORDO DI PROGRAMMA QUADRO MIUR-MISE-REGIONE TOSCANA DGRT 758/2013 Linea d’Azione 1.1 – Azione 1.1.2, Sostegno alla realizzazione di progetti di ricerca in materia di qualità della
vita, la salute dell’uomo, biomedicale, l’industria dei farmaci innovativi. BANDO FAS SALUTE 2014).
**Availability of data and materials**
All data generated or analysed during this study are included in this published article (and its supplementary information files).
**Ethics approval and consent to participate**
Users have signed a consent to the processing of data and images.
**Consent for publication**
Users have signed a consent to publication.
**Competing interests**
The authors declare that they have no competing interests.
**Author details**
Centro Formazione e Simulazione Neonatale “INNA”, U.O. Neonatologia, Dipartimento Materno-Infantile, Azienda Ospedaliero Universitaria Pisana, Pisa, Italy. 2U.O. Neonatologia, Dipartimento Materno-Infantile, Azienda Ospedaliera Universitaria Pisana, Via Roma 67, Pisa, Italy. 3The BioRobotics Institute, Scuola Superiore Sant’Anna, Pontedera, Italy.
**Received:** 13 September 2019 **Accepted:** 15 January 2020
**Published online:** 03 February 2020
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PHYSICS - CLUTCH NON-CALC
CH 24: ELECTRIC POTENTIAL
CLUTCH
www.clutchprep.com
CONCEPT: ELECTRIC POTENTIAL ENERGY
- If you release 2 charges, they move → gain ________________
- Two charges have a “stored” energy → ______________________
- ENERGY CONSERVATION: $-\Delta U = \Delta K$
- Electric potential energy between TWO POINT CHARGES:
\[ U = \frac{kq_1q_2}{r} \]
- Be careful! Decreases $\frac{1}{r}$, not $\frac{1}{r^2}$
- The signs of the charges & energy DO matter
EXAMPLE: How far apart must a 3 μC and a –2 μC charge be so that their potential energy is –100 mJ?
- Potential energy for a GROUP OF CHARGES:
- $U_{TOT} = \sum \frac{kq_iq_j}{r_{ij}}$
- This is the energy needed to separate each charge ____________.
EXAMPLE: How much potential energy is carried by the following system of charges?
CONCEPT: ELECTRIC POTENTIAL
- ELECTRIC POTENTIAL, also called simply POTENTIAL, is related to, but different from Electric Potential ENERGY.
| FIELD → FORCE | POTENTIAL → ENERGY |
|---------------|-------------------|
| - A single charge produces an Electric FIELD | - A single charge also produces an Electric POTENTIAL |
| - Field tells charges how much ____________ to feel | - Potential tells charges how much ____________ to have |
| - Once there’s a second charge, there is ____________ | - Once there’s a second charge, there is ____________ |
| → $F = qE$ | → $U =$ _______ |
| - E is the strength of the ____________ field | - V is the strength of the ____________ field |
| - q is the [ PRODUCING | FEELING ] charge | - q is the [ PRODUCING | FEELING ] charge |
| → “Electric FIELD” E = FORCE Field | → “Electric POTENTIAL” V = ENERGY Field |
- The UNIT of Electric Potential is the ____________ ($V = \frac{1J}{1C}$)
- CAREFUL! $V$ is the symbol for both Electric Potential AND its unit. Example: ________
EXAMPLE: A 5C and 3C charge are separated by some distance. If the 5C charge feels 200 V from the 3C charge, what is the potential energy of the 5C charge?
CONCEPT: MOVEMENT OF CHARGES IN POTENTIAL FIELDS
- \([ + | - ]\) charges ALWAYS move to low potential, and \([ + | - ]\) charges ALWAYS to high potential.
- Potential is a field that provides “motivation” for charges to move → gives them potential energy
EXAMPLE: An electron is at rest between two points, A at 10 V, and B at 0 V. Which point will the electron move to?
EXAMPLE: A metal rod is placed in a uniform electric field as shown below. Which end of the rod is at a higher potential?
CONCEPT: POTENTIAL DUE TO A POINT CHARGE
- Remember: Electric POTENTIAL (POTENTIAL) is an ENERGY field \[ U = qV \] \[ V = \]
- So we think of POTENTIAL as Electric Potential Energy per ________________.
- A POINT CHARGE produces a Potential:
- \( V = \) _______ - Units are VOLTS (1 V)
- Potential DIFFERENCE → difference in potential between 2 points = ___________ (aka ____________)
- CAREFUL! Voltage _____ Volts
- Potential DIFFERENCE measured from Point A to Point B → _____ = ___________
- This means that a charge \( q \) either gains or loses energy through a potential difference.
\[ \Delta U = \]
EXAMPLE: a) What is the potential 0.5 m away from a 2\( \mu \)C charge? b) What about 1 m away? c) What is the potential difference from P\(_1\) to P\(_2\)? The voltage?
→ Remember: Voltage is _____, not _____!
PRACTICE: ELECTRIC POTENTIAL DUE TO A POINT CHARGE
How far from a 5 μC charge will the potential be 100 V?
PRACTICE: POTENTIAL BETWEEN TWO POINT CHARGES
A -1 μC and a 5 μC charge lie on a line, separated by 5cm. What is the electric potential halfway between the two charges?
EXAMPLE: POTENTIAL DIFFERENCE BETWEEN TWO CHARGES
Two charges, $q$ and $-3q$, lie on a line as shown below. What is the potential difference between point A and point B?
CONCEPT: WORK DUE TO ELECTRIC FORCE
- Whenever a charge moves, it changes its position → so its [POTENTIAL | KINETIC] energy changes.
- The Electric Force and/or Field accelerates and moves charges.
- Remember: whenever there’s a change in energy, some ___________ is done.
- Energy conservation: \[-\Delta U = \Delta K\]
- Work energy theorem: \(W = \Delta K\)
\[\rightarrow W = \text{__________}\]
- U & V relationship: \(\Delta U = q\Delta V\)
\[\rightarrow W = \text{__________} \quad \rightarrow \quad W = \text{__________}\]
- Work by the electric force depends ONLY on ________________________________, NOT the “path”.
- When charges get “very far away” (infinitely far), Electric Potential Energy → ____.
EXAMPLE: A 2nC charge is initially 5mm away from a 10nC charge. The 2nC charge is then moved 2mm closer to the 10nC charge. What is the work done by the electric force?
EXAMPLE: A 1μC charge is placed in a horizontal, uniform electric field of magnitude 1,000 N/C. a) What is the work done on the charge when it travels a distance of 2m at an angle of 30° below the horizontal? b) If this 3g charge initially starts from rest, how fast is this charge going after the 2m displacement?
PRACTICE: WORK DUE TO POTENTIAL DIFFERENCE
An electron moves from point A to point B. The potential difference between these two points is 100 V. What is
(a) the point of higher potential?
(b) the work done on the electron?
(c) the final speed of the electron if its initial speed is zero?
EXAMPLE: BRINGING TWO CHARGES FROM INFINITY
How much work is done by the electric force in bringing a 5C charge from infinitely far away to the origin of a coordinate system, and then bringing a -2C charge from infinitely far away to a point (3m, 4m)? Assume there are no other charges.
PRACTICE: WORK TO ASSEMBLE A TRIANGLE OF CHARGES
What work is needed to assemble an equilateral triangle of side length 5 cm, with a 5 μC charge at each vertex?
EXAMPLE: SPEED OF ELECTRON IN UNIFORM ELECTRIC FIELD
An electron is initially at rest in a uniform, 500 N/C electric field. After traveling 10 cm, what is the electron’s speed?
CONCEPT: RELATIONSHIPS BETWEEN FORCE, FIELD, ENERGY, POTENTIAL
- So far we have seen FOUR related terms with similar NAMES and EQUATIONS. Now let's put it all together:
| \( q_1 \) | \( q_2 \) | \( r^2 \) | \( r \) |
|-----------|-----------|-----------|---------|
| ELECTRIC FORCE | \( F = k \frac{q_1 q_2}{r^2} \) | ELECTRIC POTENTIAL ENERGY | \( U = k \frac{q_1 q_2}{r} \) |
| ELECTRIC FIELD (ELECTRIC FORCE FIELD) | \( E = k \frac{q}{r^2} \) | ELECTRIC POTENTIAL (POTENTIAL) (ELECTRIC ENERGY FIELD) | \( V = k \frac{q}{r} \) |
→ Remember:
- Electric Potential DIFFERENCE = Potential Difference = VOLTAGE = \( \Delta V \)
- Electric Potential ENERGY difference = \(-\Delta U\) = “WORK”
EXAMPLE: POTENTIAL AT CENTER OF CHARGES ARRANGED IN A SQUARE
What is the potential at the center of the arrangement shown in the following figure?
PRACTICE: POTENTIAL AT CENTER OF CHARGES ARRANGED IN A CIRCLE
4 identical charges are arranged so that they are evenly spaced in a circle. If the radius of the circle is 10 cm, and the potential at the center of the circle is $-100$ V, what is the magnitude of each charge?
PRACTICE: POTENTIAL DIFFERENCE DUE TO A POINT CHARGE
A -2 C charge lies at rest. a) What is the potential difference between point A, which is 1.5m from the charge, and point B, which is 4m from the charge? b) What would the work on a 4 C charge be to move it from A to B?
EXAMPLE: POTENTIAL DIFFERENCE DUE TO TWO CHARGES
A 5 nC charge and a -3 nC charge lie on a line, separated by 6 mm. a) What is the potential halfway between the two charges on the line connecting them? b) What is the potential halfway between the charges, but 4 mm above the line connecting them? c) How much work would it take to move a 1 nC charge from the first point to the second?
PRACTICE: STOPPING A POINT CHARGE
A 5 g, 3 μC point charge is moving with an initial speed of 20 m/s away from a –5 μC charge. If they are initially 5 cm apart, how far can the 3 μC travel before stopping?
CONCEPT: THE ELECTRONVOLT
- Suppose two plates of equal & opposite charge have a potential difference of 1V.
- Electron moves from one plate to another, the potential difference is ____________.
- Change in Potential Energy is ______________________ ( _____ → _____ )
- 1 eV is called an ELECTRONVOLT
\[ 1 \text{ eV} = (1.6 \times 10^{-19} \text{C})(1\text{V}) = 1.6 \times 10^{-19} \text{J} \]
- Electronvolt = Change in potential energy of ONE electron through ONE volt.
- Just a different unit of energy for small charges!
EXAMPLE: What is the speed of an electron with 150 eV of kinetic energy?
CONCEPT: EQUIPOTENTIAL SURFACES
- EQUIPOTENTIAL SURFACES are surfaces of ____________ potential.
- Relationship between electric field and potential → \( \mathbf{E} = \) ________
→ Electric field only exists where potential is changing.
→ \( \mathbf{E} \) is ALWAYS ______________ to equipotentials, points along [ INCREASING | DECREASING ] \( \Delta V \)
- Work along equipotential surface = ____________
- Because \( W = -q\Delta V \) → No \( \Delta V \), no \( W \)
- Equipotential surfaces of a POINT CHARGE:
- Equipotential surfaces of a DIPOLE:
EXAMPLE: What is the distance from a 1 \( \mu \text{C} \) point charge to an equipotential surface of 150 V?
EXAMPLE: ELECTRIC FIELD DUE TO EQUIPOTENTIAL SURFACES
What is the magnitude and direction of the electric field due to the equipotential surfaces shown in the following figure?
PRACTICE: DRAWING EQUIPOTENTIAL SURFACES FROM ELECTRIC FIELD LINES
Draw the electric field that corresponds to the equipotential surfaces shown in the following figure. Note that the potential is decreasing in the upward direction. |
THE EXCAVATION AND HISTORICAL IDENTIFICATION OF A HURON OSSUARY*
KENNETH E. KIDD
THE UNUSUAL OPPORTUNITY of excavating a Huron ossuary presented itself to the Royal Ontario Museum of Archaeology in 1946. The fact that probably less than a half dozen such sites still remain, coupled with the possibility that the ossuary in question was the one which the French Jesuit, Jean de Brebeut, saw in use in 1636, led the Museum to decide upon excavation. A special grant from the Province to the Museum for archaeological purposes enabled work to begin.*
The site was situated on a small sandy plain about one hundred acres in extent (Fig. 115), on the farm of Mr. Charles Daoust, in the north half of lot 14, concession 7, Tiny township, Simcoe county. The nearest stream is one-half mile to the west. Remains of historic Huron villages lie one mile north and one and one-half miles northwest of the site. When first seen by the writer, the ossuary was visible as a broad, saucer-shaped depression in the ground, whose maximum depth was about two feet, with a slightly elevated rim marking its borders. The owner said that he had long known the place for what it was, since he had once attempted to bury a sheep in it, but he believed it had not previously been disturbed. After finding human bones, and recovering them, he had not again touched the pit (Fig. 116).
The purpose of this paper is to present briefly data on the nature of the ossuary itself, together with an account of its grave furniture and its possible historical connection. While such information was relatively easy to glean, the case is far different with the osteological material. This great mass — perhaps the largest amount of its kind ever to be recovered in eastern North America — presents a multitude of problems, the solution of which will require many years of labor. Reports upon this aspect of the research will, it is hoped, be published from time to time as soon as they are prepared. Meanwhile, it seems desirable to place before interested readers without further delay those details of the ossuary which are already known so that its archaeological and historical position will be assimilated.¹
Beyond those having to do with surveying, handling tools properly and taking the customary care of specimens, the usual procedures for excavation do not altogether apply when it comes to excavating an ossuary. Work upon this one was begun by laying out the surrounding half acre in five foot squares. Contours were noted and excavation by 3 inch levels was begun. Photographs, profiles and square plans were made wherever necessary; the locations of artifacts were accurately noted, and the objects removed with all possible care, cleaned, catalogued, and packed for shipping. The skeletal material, however, was subject to no rules. Long bones, for instance, lay in all positions and at all angles; a single femur, standing on end might traverse five levels, while crania occupied at least two or three levels. Furthermore, because of interlocking, material frequently could not be extricated until several days' work had been done to release it, thus making the maintenance of levels difficult or impossible (Fig. 117, a-c). The only consistently applicable procedure to follow under the circumstances was to proceed with
* The publication of this report has been made possible by the generous financial assistance of the Canadian Social Science Research Council, whose help is gratefully acknowledged.
** In the early summer of 1947 the Museum began the task, under the direction of the writer, and with the assistance of a number of students from the University of Toronto. The town of Midland supplied a truck and living accommodations for one season. Frank Ridley, the discoverer of the site and Gerald Fair, then of Alliance Paper Mills, lent invaluable help. In 1948 the work was carried to a successful conclusion with Museum funds and with the generous assistance of a gift from David Walker, Esq., K. C. The aid of all those who helped with the work, although they cannot each be mentioned individually, is gratefully acknowledged.
¹ The author is deeply indebted to the following for their assistance: H. Brown, Brown University (information on the Place Royale); V. B. Meen, Director of the Royal Ontario Museum of Mineralogy, Toronto (minerals); F. F. Morwick, Department of Soils, Ontario Agricultural College, Guelph (soil analysis); H. Rehder, United States National Museum (shells); J. S. Roberts, Department of Household Science, University of Toronto (textile fabrics), and F. A. Urquhart, Director of the Royal Ontario Museum of Zoology, Toronto (insect remains).
The proportion of European to native artifacts was rather large, but again the range was limited. Ornaments, of course, were numerous, consisting chiefly of glass beads of various sorts, bracelets and rings. Utility goods were represented chiefly by copper kettles and iron knives; such heavy types as axes were entirely absent. Novelties like the burning glass and the wineglass stem were rare.
Remains of two or three copper kettles came to light. None was even moderately well preserved and only one was in any sense complete. Two consisted of mere scraps sufficient to indicate diameters and one had part of the rim intact. The largest specimen was about two-thirds complete, including the bottom and parts of the sides (Fig. 127). It had been placed near the center of the pit on top of a few bones close to the floor. Since the rim, which is generally an iron hoop, was not to be found, it appears that the kettle was damaged when the burial occurred. Whether complete or not, the entire specimen had been wrapped in beaver skins, both inside and out, large areas of which were well preserved through contact with the copper. At the time of its discovery, the kettle contained the usual assortment of bones, and perhaps one bundle. On the bottom were the remains of the birch bark basket already described. The estimated diameter of the largest kettle is fifty-one centimeters. A smaller specimen, represented by part of the bottom, lay elsewhere on the floor of the pit, and was one of the last objects to be found in excavation.
There were an estimated twenty-five iron knives of a variety of types, such as table knives, butcher knives and jackknives. All but two were too badly corroded for details to be ascertained. The best preserved specimen was a butcher knife (Fig. 128, c) with three rivets to fasten the wooden handle-sheathing. Several of the table knives, which closely resembled some of their modern descendants, also retained portions of the wooden sheathing. The jackknife blade bore a mark now too worn
**Fig. 123.** Ornaments. *a-k*, slate beads; *l, n*, discoidal shell beads; *m*, Olivella shell; *o*, imitation elk tooth (?) of shell; *p, q*, tubular shell beads; *r-u*, long glass beads; *v*, shell pendant; *w*, heavy shell bead; *x*, wampum-style shell bead; *y-gg*, small glass beads; *hh*, copper bead. The scale is in inches.
to be decipherable, but which was probably the maker's name. Other iron objects deposited in the pit were scissors, which differed in no essential way from our own; awls, a key and bracelets (Fig. 128, b, a, d, e). The awls were of the common sort, i.e. slender pieces of metal, square in section and tapering towards one end, with an offset crook at the center. The end of one specimen was still sheathed in its bone handle, merely a piece of the wing bone of a bird and obviously fitted by the Indians. Another specimen lacked a handle. The key could hardly have had any but prestige value. Bracelets were of various sizes, but all were simple affairs. Some were made from heavy bands of iron, others from sheet metal. The arm bones of one individual retained a set of six of the iron type. At least fifteen ornaments of this sort were found in the grave. Several lengths of iron bands used in the rims of kettles indicated the diameter of the original specimens. Except for an iron hook, the remaining iron objects were too corroded to yield any useful information, and most seem to have been merely scraps.
Apart from the beads described below, only two glass objects were found. The more important was a burning glass of low magnification and now much corroded (Fig. 128, f). The other was undoubtedly part of the stem of a wineglass, light greenish in color, and molded in two parts (Fig. 125, g). The body is almost square, with a corded rim and tapers to a pointed bottom, while the sides bear molded lion-masks on two sides. Extremely close parallels were excavated in 1940 in London and are now in the Guildhall Museum. Their origin is thought to be either England or the Low Countries and to date from 1630-1660 (Oswald and Phillips, 1949, Figs. IV left, and IX right).
Red, blue, white and polychrome glass beads lay in most parts of the ossuary, in some cases in groups which would suggest that they had been strung together (Fig. 123, r-u; y-gg). All but the polychrome existed in a variety of shapes, such as round, tubular, and twisted beads, some of them in solid colors, others with cores of a color different from the exterior, and a few with stripes of contrasting hue. The polychrome were chiefly of the well-known "candy" type. Out of a total of 467 specimens, the largest single class consisted of red beads of round and ring shapes. One of the most interesting groups was that which imitated the red slate beads of the Huron; the glass was a dull red which could only be distinguished from the slate on a fractured surface, and the forms into which it had been blown included the tubular, square and triangular beads of the native styles (Fig. 123, s, u).
SUMMARY
If the evidence for the identity of this ossuary is not one hundred per cent conclusive, it is nevertheless convincing. Minor details revealed in the excavation agree, for the most part, with the description given by Brebeuf as do also its general location and relationship to village ruins nearby. The three kettles would have offered the most conclusive proof, but since Brebeuf states that they were in an extremely bad condition when deposited, it is not to be wondered at that their remains were fragmentary and unsatisfactory when found. No serious disturbance had occurred in this ossuary, and reports that kettles had been removed from it should be considered in the light of local traditions and of the fact that the witnesses were very old men whose memories may not have been clear. There seems to be almost no doubt that this is the ossuary visited by Brebeuf during the Feast of Pentecost, 1636, and the one in which the Huron of Ossossane village deposited the remains of their kindred at that time.
Since this is the first ossuary in the Georgian Bay region to have been completely excavated by modern methods, it occupies a unique place in the archaeology of the Northeast. Data upon its location, size and contents throw new light upon one of the most highly elaborated culture traits of this branch of the Iroquois peoples. Its excavation yielded a large amount of skeletal material which will ultimately be of great value in assessing the physical, dental and pathological conditions of this tribe, and their mortality rate. If our identification and dating are correct, the material was deposited prior to the great smallpox epidemic of 1639 and to the adoption of the Wenro about the same time. In other words, the remains can be taken confidently to be those of the western branch of the Huron, known as the Bear clan, and of persons who died between ca. 1624-1636. Thus, the people and the date are known with unusual accuracy. Cultural remains from the ossuary, likewise accurately datable, throw an equally illuminating light upon the material condition of the Huron at this time, and upon the processes of acculturation as they were working themselves out amongst them.
BIBLIOGRAPHY
BAEDEKER, KARL
1912. *Paris and Its Environs with Routes from London to Paris: A Handbook for Travellers.* Leipzig.
BIGGAR, H. P., ed.
1922-1936. *The Works of Samuel de Champlain.* Champlain Society, 6 vols. Toronto.
CLUNN, HENRY
1933. *The Face of Paris.* London.
COTGRAVE, RANDLE
1611. *A Dictionarie of the French and English Tongues.* London.
FENTON, WILLIAM N., AND GERTRUDE P. KURATH
1951. The feast of the dead, or ghost dance at Six Nations Reserve, Canada. In "Symposium on Local Diversity in Iroquois Culture," *Bureau of American Ethnology, Bulletin* 149, pp. 139-65. Washington.
GENDRON, LE SIEUR
1660. *Quelques particularitez au pays des Hurons en la Nouvelle France remarques par le Sieur Gendron.* Paris.
HENARD, ROBERT
1911. *Les Jardins et les Squares.* Paris.
HUNTER, ANDREW F.
n.d. Manuscript Notebooks, nos. 1-7.
HUNTER, ANDREW F.
1899. Notes of Sites of Huron Villages in the Township of Tiny (Simcoe County) and adjacent parts. An Appendix to the Report of the Minister of Education. Toronto.
JUVENCIUS, JOSEPH
1710. *De Regionibus et Moribus Canadensium seu Barbarorum Novae Franciae.* Rome.
MUIRHEAD, FINDLAY, AND MARCEL MONMARCHE
1924. *Muirhead's Paris and Its Environs.* London.
OSWALD, ADRIAN, AND HOWARD PHILLIPS
1949. A Restoration Glass Hoard from Grace-church St., London. *The Connoisseur,* September, 1949 pp. 30-36.
POETE, MARCEL
1931. *Une Vie de Cite: Paris de sa Naissance a nos Jours.* Paris. |
Reverse Memory Loss with This ‘Brain Surge Protocol’
Fuel Your Starving Brain Cells in 5 Easy Steps
Dr. Richard Gerhauser, M.D.
Editor, Natural Health Response
Those “senior moments” can be some of the most frightening parts of aging.
You know what I’m talking about.
Maybe you’ve walked into a room and completely forgotten why you were there… or perhaps you’ve misplaced your car keys or wallet more times than you can count.
For years you’ve probably been told that it’s a normal part of aging, and that there’s nothing you can do about it anyway. But there’s a lot more to this story that you haven’t been told.
You see, these senior moments can actually be symptoms of a larger problem called “mild cognitive impairment,” or MCI. And in 34 percent of cases, MCI progresses to full-blown Alzheimer’s.
That’s not a gamble I’m willing to take with your health… and I bet you’re not willing to take it either.
That’s why I’m going to introduce you to my 5-step “Brain Surge Protocol” that can protect your precious memories and actually reverse MCI before it’s too late.
But first I need you to set aside everything… and I mean everything… that the mainstream medical establishment has ever taught us about memory loss.
The TRUTH About Brain Drain
As long as I’ve been practicing medicine, Big Pharma has been trying to invent some magical memory pill.
They’ve failed every single time, and for a very good reason. They simply don’t understand the problem.
You see, there’s a very important cellular disorder that may be causing your memory loss. It usually goes undiagnosed and even many mainstream doctors don’t understand it.
And that’s a real shame, because this condition is actually completely reversible.
Let me explain. I’m sure at one point or another, you or your kids
Meet Dr. Gerhauser
Dear Reader,
My name is Dr. Richard Gerhauser, and I’ve been practicing medicine for 35 years. When my father passed away from kidney cancer at just 59 years old, I made it my life’s mission to uncover the root cause of disease and help people like you live long, healthy lives.
Throughout my career, I’ve treated celebrities, elite athletes, and countless seniors who want to spend their golden years in their best possible health. And I make them all the same ‘Dr. G. Guarantee.’
I’m going to get to the bottom of what’s really making you feel sick, or worn out, or just not yourself. And I’m going to introduce you to safe, proven therapies, free from the influence of the drug companies or the billion-dollar medical establishment.
In this issue, you’re going to learn about:
• A 5-step “Brain Surge Protocol” that reverses memory loss by attacking the problem in a totally new way.
• A do-it-yourself test that can actually predict how long you’ll live — and
that gives you a chance to cheat death.
• A major prostate cancer breakthrough that works better than chemotherapy, radiation or surgery.
So let’s get started! Dig in and enjoy this issue of Natural Health Response. And I look forward to hearing from you and serving you for years to come.
To Your Best Health,
Dr. Richard Gerhauser, M.D.
owned some battery-powered toys.
And you remember what would happen when the batteries started to fail, right? The toy would still work, but it was slow… or even lethargic.
Maybe your brain feels that way sometimes, too. And that makes complete sense, because something very similar is happening.
Thanks to the research efforts of Dr. Doug Wallace and his colleagues, we know more than ever about something called “cellular energetics,” or how our cells use energy.
Dr. Wallace estimates that 85 percent of degenerative diseases, including MCI and dementia, are due to problems with energy production in the mitochondria, which are like the power plants of our cells.
In other words, our brains are literally starving for energy!
The typical neuron cell in our brains will contain over 3,000 mitochondria. And all of these mitochondria have 13 key genes that are responsible for transferring electricity, the source of energy that keeps us alive and keeps our brains functioning properly.
So, when your mitochondria are healthy, they are literally humming with energy and your brain feels sharp as a tack.
When your mitochondria stop working properly, you develop what’s known as mitochondrial heteroplasmy.
That’s when your mitochondrial DNA get damaged, and heteroplasmy rates increase as we age.
When you’re suffering from heteroplasmy, your mitochondria have poor energy production and leave you susceptible to degenerative diseases like MCI or even dementia. Your brain becomes like that toy with the failing batteries.
The good news is that there’s plenty you can do… starting today… to improve mitochondrial function and give your brain all the energy it needs.
That’s why I developed this 5-step Brain Surge Protocol to help reverse cognitive impairment and preserve the memories you’ve spent a lifetime building.
The Brain Surge Protocol
The best part of my Brain Surge Protocol is that it doesn’t require any dangerous prescription drugs.
And, because it mostly involves simple lifestyle changes, it’s easy to follow, even on a limited budget.
Just follow these steps, and I guarantee you’re going to feel your memory improve in a matter of weeks.
Step #1: Protect Your Brain’s Inner Clock
You may have heard before that poor sleep is actually a major risk factor for cognitive decline.
But, really, the problem goes much deeper than that to something known as our circadian rhythm.
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Your circadian rhythm is like your body’s own internal clock, which follows the day/night cycle and tells us when to be awake and when to sleep. It’s controlled by proteins and peptides that direct the millions of chemical reactions in our cells and in our mitochondria.
In other words, research proves that a healthy circadian rhythm is critical to keeping your mitochondria working correctly and heading off memory loss.
But there’s one BIG problem. Our constant exposure to artificial light, especially at night, actually fouls up our circadian rhythm and can damage our mitochondria.
You need your body’s internal clock to follow the Earth’s day/night cycle as closely as possible. This means getting your eyes and skin exposed to natural sunlight daily.
This also means mitigating the effects of man-made light, particularly blue light from electronic devices and energy efficient light bulbs.
Keep your bedroom completely dark at night. Ban the TV and computer from the bedroom, and download a blue light filter for your phone (you’ll find them at just about any app store).
It’s amazing how many patients I’ve seen who experience memory improvements just by getting more sunlight and less artificial light. It’s like the mitochondria in their brain cells spring back to life!
**Step #2: Load Up on This Key Brain Nutrient**
One of the most important nutrients needed for healthy brain mitochondria is docosahexaenoic acid, or DHA. It’s an omega-3 fish oil.
DHA has its highest concentration in tissues of the brain and the retinas of our eyes. And it has the unique ability to interact with light to produce an electric current that sends a signal to our nervous system and other tissues.
Simply put, it helps produce energy that the starving mitochondria in our brain cells crave.
Now, there are some doctors out there who will tell you that taking fish oil supplements is as good as eating fish. Well, I guess I’m not one of them.
There are plenty of brain-healthy nutrients in fish other than DHA. For example, crab, lobster and shrimp shells contain astaxanthin, which is an important brain-protecting food. Seafood also is a good source of iodine, vitamin A and selenium which are important for optimal brain functioning.
**Step #3: Help Your Body Build New Mitochondria**
Part of staving off memory loss…and keeping your brain cells’ mitochondria supplied with energy…is a process called mitophagy.
That’s when your body produces new, healthy mitochondria.
---
**Your Brain Cells Are Dying of Thirst & You’ll Never Believe Why**
Remember how much better cell phones and wireless Internet were going to make our lives?
We’d have all the knowledge of the world at our fingertips, right?
Well, it’s become clear that lots of these technological wonders are harming our brains more than helping them.
You see, science is proving that the type of radiation produced by cell phones, microwaves, Wi-Fi and cell phone towers can wreak havoc on our mitochondria and our brains.
This radiation has been shown in many studies to cause psychiatric symptoms like anxiety, fatigue and depression.
So how is this happening? Well, we know that the radiation from our favorite electronic devices affects certain calcium channels in our nervous systems.
But, just as importantly, research has documented that exposure to electromagnetic fields can lead to the dehydration of cells.
That’s a big problem, because water is a main power source for our mitochondria. And keeping our mitochondria healthy is essential to preserving our memories and normal brain function.
Unfortunately, these electromagnetic field are getting a lot harder to avoid…especially now that it seems like they’re building a cell phone tower on every block.
That’s why it’s particularly important to make sure you’re staying hydrated and drinking water throughout the day. Your brain cells might be a lot more dehydrated than you’d ever imagine.
The Link Between Mitochondria & Alzheimer’s
When your mitochondria, those energy centers in your cells, begin to fail, memory loss and other degenerative diseases aren’t far behind.
But there’s actually an even more direct link between mitochondria and major neurological diseases, like Alzheimer’s.
Aside from generating energy, mitochondria also signal many of our cells’ functions. They can stimulate a neuron to commit suicide (brain atrophy) or signal the nucleus of the cell to make a certain protein (like beta amyloid). Brain atrophy and the accumulation of beta amyloid are two major risk factors for Alzheimer’s.
Maintaining healthy mitochondria helps keep these processes from going haywire. That’s why it’s important to support your mitochondria and closely follow my Brain Surge Protocol.
And there’s a simple way to do it — just make sure you’re getting exercise every day. Research shows that exercise actually stimulates mitophagy, which keeps your brain’s mitochondria in tip-top shape.
This is really important, because as some people begin to suffer from memory loss, they stop exercising and basically become shut-ins.
Now they’re missing out on some of the key elements (like more sunlight, less artificial light, and more exercise) that can actually help their brains improve. If you want to beat memory loss, you absolutely must get outside and get active.
Step #4: Give Your Brain a Mineral Boost
There are specific supplements that can improve mitochondrial functioning. One of the most important is magnesium, which many people are deficient in.
Magnesium is a critical mineral for the energy-producing enzymes in your mitochondria.
Now, you’ll see lots of different types of magnesium supplements on the market.
I recommend magnesium threonate, which, unlike other forms of magnesium, can penetrate the blood-brain barrier.
One good product is Neuro-Mag, which you can buy at: www.lifeextension.com.
Step #5: Help Your Mitochondria Get The Most Out of Food
When you eat, energy-producing electrons are stripped out of food and delivered to your mitochondria. Two important supplements that help deliver those electrons are CoQ10 and PQQ.
You’ve probably heard a bit about how Coenzyme Q10 (CoQ10) is great for your heart, because it helps heart cells’ mitochondria produce more energy.
Well, it does the same thing for the mitochondria in your brain cells, too.
And PQQ, short for pyrroloquinoline quinone, provides essentially the same function by helping to deliver energy to mitochondria.
At www.lifeextension.com you can find a product called Super Ubiquinol CoQ10 with BioPQQ that provides both ingredients in one formula.
If my Brain Surge Protocol seems simple and straightforward, that’s because it is. Supporting your brain cells’ mitochondria doesn’t have to be difficult.
But taking these five steps, as my own patients will tell you, can go a long way toward energizing your brain, reversing memory loss and keeping your mind razor sharp well into your golden years.
Revolutionary Treatment Cures Prostate Cancer Without Side Effects
This Amazing Therapy Has a 90% Success Rate — and Most Americans Aren’t Offered It
If you’ve ever been diagnosed with prostate cancer, you know how quickly the news can go from bad to worse.
First there’s that frightening diagnosis… the moment that you realize there’s been a tumor growing inside of you.
Then, you learn about the barbaric treatments that mainstream medicine is offering.
I call them the Big 3 — surgery, radiation, and chemotherapy. And they can leave you incontinent or even wreck your sex life forever.
Well, there’s another option out there — one that could save your life and your quality of life. It’s safe, comes without side effects, and has an impressive 90 percent success rate.
It’s called hyperthermia, and if you haven’t heard of it, there’s a good reason. Our government is doing everything it can to keep it away from guys like you.
Meet Tony (He Just Might Save Your Life)
When my patient, Tony, came to me for his yearly checkup, his prostate specific antigen (PSA) was double the limit of the normal range.
Now, the PSA is pretty controversial and the U.S. Preventive Services Task Force has not recommend routine PSA screening since 2008. That’s mostly because PSA screening often leads to unnecessary biopsies and overtreatment.
But I’ll be honest with you — anytime one of my patients has a PSA that’s double what it should be, I get concerned. So I sent him to a urologist for an MRI (See Why MRIs Run Circles Around Biopsies on page 6).
That’s when we got the bad news — Tony had aggressive prostate cancer, although, fortunately, it was confined to his prostate.
And, like lots of guys with aggressive prostate cancer, Tony was given two options — dangerous radiation to kill the prostate cancer cells (which has been shown to promote the growth of new cancers) and a radical prostatectomy where they remove the prostate surgically.
I was disappointed that Tony was never given hyperthermia as a treatment option. More than 176,000 American men a year are diagnosed with prostate cancer, and almost none of them are told about hyperthermia.
That’s when I educated Tony about this revolutionary treatment and a clinic in Germany that’s saving men’s lives. And they may be able to do the same for you.
A Cancer Cure Without Side Effects
About 10 years ago, I attended a lecture by an oncologist from Germany who presented 100 cases of prostate cancer patients treated with hyperthermia.
The science behind hyperthermia is straightforward. A catheter is passed through your urinary tract into your bladder and it heats your prostate for two hours.
You see, prostate cancer cells are more sensitive to heat than normal cells. The heat can kill cancer cells and leave the normal cells unharmed.
Now, I know most guys like to avoid catheters the way a dog avoids a bath — but trust me, it’s a whole lot better than having your prostate cut out.
Why MRIs Run Circles Around Biopsies
When your PSA levels start creeping up, the first thing many urologists want to do is send you for a biopsy.
But before you sign on for this painful — and often unnecessary procedure — you need to know that you have other options.
New research just published from the PROMIS study shows that magnetic resonance imaging (MRI) is twice as sensitive as a biopsy for detecting aggressive prostate cancer. Better still, it’s pain-free and comes without the risks of biopsies.
And here’s the best part — the treatment has a 90 percent success rate with virtually NO side effects after treatment!
When I checked for Tony, I found that the Klinik St. Georg in Aibling, Germany was continuing to offer hyperthermia for prostate cancer. And now going on 20 years, they still have that same, glowing 90 percent success rate.
The mainstream often has little trouble steering men to potentially dangerous (and often life-wrecking) treatments.
But most urologists in America are still refusing to adopt the treatment, despite how well (and safely) it works. In fact, there’s plenty of evidence that mainstream medicine and the federal government have been conspiring for years to keep hyperthermia out of your hands.
Our Government’s Secret Fight Against Hyperthermia
When I first met that German oncologist a decade ago, he shared a story that ought to have thousands of guys storming Washington, D.C.
He told me that he actually presented his data to the Food and Drug Administration on the 100 patients treated with hyperthermia. He proved that the treatment had a 90 percent success rate and no side effects. The FDA shot it down right away.
And if you’re wondering why a simple, effective, safe procedure is not being allowed, let me solve the mystery for you. It’s all about money.
It appears to me that the FDA is protecting the current treatment model. There are many vested interests that want to keep the $50,000+ prostatectomies going.
Hospitals are spending upwards of $2 million on surgical robots, like the daVinci. And you’d best believe they’re serious about recovering that investment.
The FDA doesn’t want to ruffle any financial feathers of these established treatments, even though there’s no evidence that they are more effective than doing nothing, as far as mortality is concerned.
Plus, urologists and surgeons understand the psyche of the typical American man. When most guys learn they have cancer, their aggressive sides kick in — they just want that sucker out.
So the mainstream often has little trouble steering men to potentially dangerous (and often life-wrecking) treatments.
How to Handle a Cancer Diagnosis
When you’re diagnosed with prostate cancer, don’t let anyone rush you into a treatment decision.
Springing into action at light speed isn’t always as important as some urologists will make it sound.
There was a major clinical trial called PROTECT that did a 10-year follow-up on guys with prostate cancer that included active surveillance (where you essentially monitor your prostate cancer to see if it gets worse and needs treatment), radical prostatectomy and radiation. There was no difference in survival between the three groups. Absolutely none.
Remember that the next time someone wants to wheel you in for surgery before you’ve had a chance to catch your breath. Instead, take time to consider your options.
If you’re up for travel, you can learn more about Klinik St. Georg at klinik-st-georg.de/. The website is in German, but most Internet browsers (like Google Chrome) will translate it for you, and you’ll find staff who speak perfect English.
Another therapy that’s increasingly available in the USA is cryotherapy, which freezes and kills prostate cancer cells.
Remember, too, that simple lifestyle changes can have a big effect on prostate cancer. Food and supplements that have shown to curb the development of prostate cancer include the cruciferous vegetables (cabbage, cauliflower, broccoli, Brussels sprouts), as well as lycopene, saw palmetto, and beta sitosterol.
Lycopene, saw palmetto, and beta sitosterol are all sold as stand-alone supplements and in combination in several multi-ingredient prostate supplements.
Finally, it’s important to fix any circadian disruptions in your life (the day and night cycle). Studies show that men who hide from the sun double their risk for prostate cancer. Low melatonin levels, which are a consequence of artificial light at night, have also been shown to significantly increase prostate cancer risk.
Breakthrough ‘Crystal Ball Test’ Predicts How Long You’ll Live
It’s Safe, You Do It at Home, and It Spots Serious Health Risks... Before It’s Too Late
I’ve been practicing medicine for 35 years. And if there’s one thing we docs love to do, it’s throw around numbers. I’m sure you’ve noticed, right?
We’ll talk about your systolic blood pressure, your triglyceride count, or your Hb1Ac… and somehow you’re supposed to put this all together and figure out what kind of health you’re in.
It’s no wonder so many patients leave their doctors’ offices with their heads swimming!
But, believe it or not, there’s a simple test you can do at home, that will give you the real scoop on your health. In fact, it can actually predict how likely you are to die in the next six years.
That’s a scary concept, I know. But by spotting serious health problems years before they show up on mainstream tests you get an opportunity to turn your health around.
The Major Health Risk Most Doctors Ignore
Before I explain how to perform this life-saving test at home, it’s important to understand exactly what it’s measuring — and why it’s important.
Because I can practically guarantee this is something your doctor has never discussed with you before.
What we’re going to assess is something called “functional movement” — and it goes all the way back to our caveman days.
For a moment, place yourself in the shoes (or, more accurately, the bare feet) of these earliest humans.
There were no cars, trains, planes or boats. You had to walk, run, crawl, or even swim to get where you needed to go.
There were no grocery stores or restaurants, so you had to chase down, dig up, and carry what you wanted to eat.
We developed strong hips, and the ability to squat, throw, run, climb, swim and lift heavy objects. This sculpted everything from our muscles, joints, and tendons to our nervous system and internal organs.
That’s right… this type of everyday activity, called functional movement, actually stimulates receptors in our bodies that affect our organs and how our genes express themselves. And, as more and more research proves, that all adds up to how long you live.
So what happens if you spend all day letting our modern conveniences do everything for you, without much functional movement? The result will be hip and knee replacements, blown discs, and also degenerative diseases like diabetes, cognitive decline, or even cancer.
The best way to extend your life is to incorporate more functional movement into your daily routine, like lifting, walking, squatting, or crawling. In other words, to have the health and the long life you deserve, you need to compensate for all the ways that modern conveniences are screwing us up.
Fortunately, there’s a simple, do-it-yourself test that can tell you what kind of functional movement ability you have… and what you may have lost over the years.
Science has actually proven that this test is like a crystal ball that can predict your risk of dying in the next six years.
But the good news is that you’ll be getting this information while you still have time to make some important changes.
The Crystal Ball Test For Longevity
An easy way to measure your ability to perform functional movement is the Sitting-Rising-Test (SRT).
Is That Gym Membership Really Helping You?
There are lots of people who don’t want to think about functional movement, because they’re convinced that they’re already in good shape.
They’ll talk about how they’re walking six miles on the treadmill, four times a week.
Well, those folks may be good at walking on a treadmill, but I don’t think this activity will help their health that much. That even goes for athletes.
The repetitive movement doesn’t give us the variety that we need to develop a healthy body.
After all, where in nature could you walk six miles on a rubberized, moving surface with no stimuli other than the fake, indoor light bombarding your eyes?
The bottom line is that you need to envision what a primitive human had to do in a day to survive and then duplicate it, if you want to have the health that you were designed to have.
Keep your exercise practical and outdoors as much as possible. You’ll improve your health, strengthen muscles you didn’t even know you had.
The test involves a score of 0–5 for each movement (sitting and rising), with a combined 10 being the highest score that is awarded for those who can sit and rise from the floor without any assistance from their hands or knees.
While appearing simple, it gauges several important factors, including your muscle strength, flexibility, balance and motor coordination, all of which are important to your overall health.
To perform the test, sit down on the floor and then get up, using as little assistance from your hands, knees or other body parts as possible. For each body part that you use for support, you’ll lose one point from the possible top score of 10.
As an example, if you put one hand on the floor for support to sit down, then use a knee and a hand to help you get up, you would lose three points for a combined score of 7.
If you lose your balance, then a half-point is deducted. Research shows your SRT score strongly correlates with your risk of death within the next six years.
But the good news? For each one-point increase in SRT score, study subjects gained a 21 percent improvement in survival. That sounds pretty good, right?
OK, so take a moment to perform the test and give yourself a score. Once you have your number, here’s what the research says:
- Those who scored 0–3 were 6.5 times more likely to die during the six year long study than those who scored 8–10.
- Those who scored 3.5 to 5.5 were 3.8 times more likely to die within the next six years.
- Those who scored 6 to 7.5 were 1.8 times more likely to die within the next six years.
Need to Boost Your Score? Here’s How
Now, I know, the results of this test can be discouraging for some people. I’ve had these conversations with more patients than I can count.
One thing I hear a lot is that we’ve evolved past these early cavemen and learned to adapt to our environment.
Well, the people who have completely adapted to our modern environment, and whose spines perfectly fit their recliners, won’t look that great.
They won’t be making the cover of *Men’s Health* magazine, or the swimsuit edition of *Sports Illustrated*. And, research shows, they won’t live that long, either.
So how do you improve your SRT score? Well, the first step, as I said, is to try to compensate for all the modern conveniences we take too much advantage of. Take that short walk to the post office, instead of using your car. Carry your own bags out of the grocery store, instead of relying on the clerk.
If you have a regular exercise routine, focus on time of day. Believe it or not, that matters a lot.
Many people are early morning exercisers, because they want to get it out of the way. Our bodies, however, tend to respond better with forceful movements in the late afternoon.
If you work out hard before sun exposure, there is more damage to the structural protein in our joints, collagen.
This gets a little scientific, but collagen is actually unzipped from its structure in the early morning by the hormone cortisol and then is re-zipped by the energy from daily sun exposure.
That is why it’s good to get some sun exposure in the morning, but to exercise in the late afternoon if you can. That strengthens your collagen and protects it from injury and degradation.
Also, I would recommend consulting with a certified Functional Movement Specialist or a certified MovNat trainer. This expert can evaluate your movement patterns and prescribe corrective exercises to improve your functional movement abilities.
You can find a Functional Movement Specialist near you at [functionalmovement.com](http://functionalmovement.com) (click “Find Certified Members”). For a MovNat trainer, go to [movnat.com/find-a-trainer/](http://movnat.com/find-a-trainer/). |
GUANGDONG GUIDELINES ON STANDARD ESSENTIAL PATENTS: AN ATTEMPT TO STRIKE BALANCE BETWEEN SEP HOLDERS AND IMPLEMENTERS
Dr. Vishwas H. Devaiah*
1. INTRODUCTION
In recent years China has become the leading country in terms of patent filing as nearly 42.8 percent of the total patent filed were by Chinese innovators and entities.\(^1\) Chinese telecommunication companies like ZTE and Huawei have filed the largest number of PCT applications in 2016.\(^2\) As per the global smartphone shipments and market share data received in the first quarter of 2018, six Chinese smartphone companies have a total of 32.7 percent of the total market share. Companies like ZTE and Huawei have been the leading telecommunication innovators in China and also have significant number of Standard Essential Patents (SEPs). China also has a significant number of mobile manufacturing companies like Vivo, Oppo, Xiaomi who are largely implementers. Thus, there are many domestic implementers and SEP holders in the Chinese telecommunication market and it is necessary to develop policies or guidelines related to SEPs that strikes a balance between innovators and implementers. Towards this end the Beijing High People’s Court recently formulated guidelines\(^3\) that largely borrows principles enshrined in cases like *Huawei v ZTE*.\(^4\) The Beijing guidelines develops a fault-based framework to resolve disputes between SEP holders and implementers.\(^5\) However, the Beijing guidelines is limited in scope as it is applicable to cases that are within the purview of Beijing High People’s Court.
In April 2018, the Guangdong High People’s Court issued a ‘Guidelines on Trials of Standard Essential Patent Disputes’ (hereinafter referred to as Guangdong Guidelines) for trial implementation. The Guangdong Guidelines is one of the most comprehensive guidelines related to SEP disputes. The Guangdong Guidelines specifically states that it seeks to address SEP disputes in the telecommunications and may be applicable to disputes in other fields.\(^6\) The Guangdong Guidelines is limited in its territorial application as it would be used to resolve disputes arising in Guangzhou Intellectual Property Court, Shenzhen Intellectual Property Tribunal and Guangdong High People’s Court.\(^7\) The significance of the Guangdong Guidelines is that it readily incorporates the principles enshrined in cases decided in U.S., U.K., Court of Justice of the
European Union (CJEU) and China.\textsuperscript{8} It seeks to address the issues related to injunctive relief and develops a fault-based framework, which is similar to Beijing Guidelines. It also addresses issues concerning the determination of fair, reasonable and non-discriminatory (FRAND) royalty and the antitrust issues concerning the conduct of SEP holder.
2. **INJUNCTIVE RELIEF**
Guangdong Guidelines sets out clear norms for seeking injunctive relief. The behaviour of the parties involved in the SEP license negotiation determines whether the SEP holder or the implementer is at fault. The Guangdong Guidelines takes into consideration the entire negotiation process between the SEP holder and the implementer, time taken to negotiate the license, communication between them and reasons for failure or breakdown in negotiation of the SEP license.\textsuperscript{9} It affirms the principles evolved in cases like \textit{Huawei v ZTE} and \textit{Unwired Planet v Huawei}. It requires parties to negotiate the license on principles of good faith.\textsuperscript{10} It also states that in an SEP dispute, the Guangdong High People’s Court will consider the full contribution of the SEP holder towards the innovation and protect its rights, but at the same, it goes on to state that it will balance the interest of all the stakeholders i.e. the SEP holder, the implementer and the interests of the public.\textsuperscript{11} In doing so it states that it will take into consideration the industry practices.\textsuperscript{12}
It goes on to specify the instances when the fault lies with the SEP holder and the resultant consequences.\textsuperscript{13} Similarly, it identifies the circumstances when the fault lies with the implementer and the possible relief available to the SEP holder in such scenarios.
2.1 **IMPLEMENTER’S FAULT**
Implementer would be at fault if it does not intend to negotiate with the SEP holder after being notified of its infringement or when it does not respond within a reasonable time.\textsuperscript{14} In all such circumstances the SEP holder who has notified the implementer of the infringement would succeed in its efforts to seek injunctive relief. Guangdong Guidelines also states that the implementer is at fault if it does not provide a response within a reasonable time after receiving information about the patents being infringed and the relevant claim chart.\textsuperscript{15} Further, failing to respond to the licensing conditions proposed by the SEP holder within a reasonable time would also be implementer’s fault.\textsuperscript{16} Guangdong Guidelines clearly emphasizes on the need to negotiate licenses without indulging in delaying tactics as this could frustrate the SEP holder’s efforts to offer a license to the implementer.\textsuperscript{17}
Further, it is the fault of the implementer if it refuses to sign a non-disclosure agreement (NDA) without due cause, proposes a licensing condition which is unreasonable resulting in the failure, breakdown in concluding the licensing agreement.\textsuperscript{18} SEP holders normally require implementers to enter into an NDA as it is likely to reveal sensitive information about the patents involved in SEPs and also such other information that is necessary to establish the infringing practices of the
implementer. As NDA is a common business practice in SEP licensing agreements, refusal to enter into such an agreement is clearly seen as an instance where the implementer is primarily indulging in a conduct wherein it has no intention of concluding an agreement.
2.2 SEP HOLDER’S FAULT
SEP holder would be at fault if it fails to notify the implementer about the existence of the SEP and the set of relevant patents and claim charts that are being infringed by the implementer.\(^{19}\) Any failure on the part of the SEP holder to negotiate the license within a reasonable time frame or seeking unreasonable licensing terms, and unreasonable licensing fee calculation method which results in failure, breakdown in negotiating the license would be treated as fault on the part of SEP holder.\(^{20}\) Any other conduct of the SEP holder that results in delay or interrupting the negotiation without any reason would be seen as its fault.\(^{21}\) If the SEP holder is at fault and applies for injunctive relief then the court will deny injunction.
2.3 FAULT IS NOT OBVIOUS OR BOTH PARTIES ARE AT FAULT
There could be instances wherein both the SEP holder and the implementer have negotiated the license in good faith, the SEP license has been offered on FRAND terms and the implementer has not adopted delaying tactics and there is no obvious fault of either of the parties. In all such instances, request for injunctive relief by the SEP holder will be denied provided the implementer has submitted a reasonable amount security to use the SEPs.\(^{22}\)
The Guangdong guidelines also recognise that there are instances where it may not be clear as to which of the negotiating parties are at fault.\(^{23}\) In such circumstances, it allows the court to determine fault based on comparing the degree of fault of the negotiating parties, the impact of the fault on the negotiation process of the license, the causal relation between the fault and the breakdown or stalling of the negotiation.\(^{24}\)
3. DETERMINATION OF ROYALTY: POWER OF THE COURT TO DETERMINE GLOBAL ROYALTY RATES
As per the guidelines if there is no consensus between the parties over the FRAND royalty rate even after extensive negotiations then either of them can apply to the court to determine the FRAND royalty rate. The guideline states that when such a dispute is raised before the domestic court and the issue involves determining the FRAND royalty rate,\(^{25}\) then the Guangdong High People’s court could fix global royalty, provided the opposing party does not have any reasonable objections to it.\(^{26}\) It does not elaborate as to what amounts to a reasonable opposition to a Chinese court which is tasked with the duty to determine the royalty rate beyond its jurisdictions. The implication of allowing courts in China to determine FRAND royalty beyond its jurisdiction means that Chinese implementers could readily approach domestic courts to determine global royalty.
rates which causes inconvenience to foreign SEP holders especially those who do not have faith in the Chinese courts. Further, an objection filed by such SEP holder which is purely claiming that determination of global royalty rate by Chinese courts may inconvenience them may not fall within the ‘reasonable’ ground requirement. However, it is relevant to state that the Guangdong Guidelines seems to have adopted the approach followed in *Unwired Planet v. Huawei* and *TCL v. Ericsson*. Would the courts in other jurisdictions enforce the global royalty rates decided by a Chinese court, especially when there are concurrent disputes related to FRAND royalty rates in multiple jurisdictions.\(^{27}\) SEP holders who see Chinese courts as unfavourable adjudicatory body to resolve disputes might insert a clause to resolve such disputes through arbitration.\(^{28}\)
### 3.2 POWER TO STAY TRIAL AND TO ORDER SUBMISSION OF EVIDENCE
Further, the guidelines allow parties who have raised a FRAND royalty dispute before the court may opt to seek a stay of the trial if both the parties agree to continue negotiating the SEP license within a specific time.\(^{29}\) However, if either the implementer or the SEP holder does not want to continue the negotiations they can request the court to remove the stay.\(^{30}\) During the trial, if one of the parties to the dispute demonstrated that the other party possesses key evidence that can be used to determine royalty rates then such a party could request the court to order the opposing party to submit the evidence. Refusal to do so without any due cause may result in the court determining the royalty based on the evidence provided by the party that has requested the court's intervention.\(^{31}\)
### 3.3 DETERMINING ROYALTY RATES
The court may determine the FRAND royalty rate by referring to a comparable license agreement, analyzing the market value of the SEPs involved, referring to the information available about comparable patent pool and such other methods as may be necessary.\(^{32}\)
To determine comparability of licensing agreement the court is required to take into consideration factors like entities involved in the licensing transaction, relevance between transacting subjects and genuine interests of the parties negotiating a license agreement.\(^{33}\) To determine the comparability of the licensing information in a patent pool, the court is required to take into consideration the participant in the patent pool, power that is controlling the patent pool, its influence on the industry, the licensing policies of comparable pools and the entities involved in the patent pool.\(^{34}\) The court shall also take into consideration the degree of differences between the comparable licenses and license agreement at issue.\(^{35}\) In doing so the courts are required to consider the differences in terms of the licensing background, licensing content and the terms involved in the licensing agreements.
To determine the market value of the SEPs involved in a transaction the court is required to take into consideration the ratio of the SEPs involved in the license agreement to all the SEPs involved in
the particular standard as well as the total royalty of all the SEPs.\textsuperscript{36} Either the SEP holder or the implementer involved in the licensing agreement will have to provide information as regards the ratio related to proportion and contribution of the SEPs relevant to the licensing agreement in relation to all the SEPs involved in the standard technology.\textsuperscript{37} To determine the total royalty of all the SEPs relevant to the standard technology, the court is required to take into consideration the cumulative royalty declared to be relevant to participants involved in the development of the standard technology.
Market value is determined by taking into consideration the contributions of all the relevant SEPs to sales and profits earned, contribution of the relevant SEP to the standard, advantage of the relevant SEP over any other alternative technologies that existed before the development of the standard, and sum of all the royalties paid for all the SEPs involved in the standard.
4. SEP AND COMPETITION CONCERNS
To determine whether an entity is in a dominant position, the Guangdong guidelines requires the antitrust agencies to take into consideration Anti-Monopoly Law of the People's Republic of China, the characteristics of the SEPs involved, assess the relevant market on a case-by-case basis and then conclude whether the entity is in a dominant position in the market. Based on the above factors it requires antitrust agencies to assess whether the conduct of the entity has an adverse effect on the competition and the impact of such conduct on innovation, market efficiency and consumer welfare.\textsuperscript{38}
4.1 RELEVANT MARKET AND MARKET SHARE
Relevant market is understood as per the definition provided in the State Council Anti-Monopoly Committee's Guidelines on Definition of Relevant Market.\textsuperscript{39} In understanding the relevant market it is necessary to take into account: the attributes of the underlying SEP, degree of substitutability of the SEP, competition within the market, dependence of this upstream technology by the downstream product market. Guangdong Guidelines also states that it is necessary to determine the relevant geographical market and the territorial limits of IPR. If a transaction involves SEPs of multiple jurisdictions, then it is necessary to consider the effects of standards and restrictions imposed by different jurisdictions in defining the relevant geographical markets.
In understanding market share to determine whether the SEP holder is in a dominant position it is necessary to consider the competitive conditions in the market, obligatory nature of FRAND commitments, conditions imposed in the licensing agreements, degree of dependence of the licensee on the relevant SEP.\textsuperscript{40} According to the Guangdong Guidelines, violation of the FRAND obligation by the SEP holder or request for injunctive relief in itself does not amount to abuse of dominant position.
4.2 CASE-BY-CASE APPROACH TO DETERMINE ABUSE OF DOMINANT POSITION
An SEP holder violating the FRAND obligation or seeking injunctive relief does not automatically give rise to abuse of dominant position. Whether or not this amounts to abuse of dominant position needs to be examined from the lens of the Anti-Monopoly Law and the circumstances of the specific case. Whether seeking injunctive relief amounts to abuse of dominant position needs to be examined by looking into the conduct of the parties negotiating the license agreement. If the SEP holder has negotiated the licensing agreement in good faith then it may not be an instance of abuse of dominant position. Further, it is also necessary to examine whether the SEP holder is forcing the implementer to accept the license on unfair terms or at excessively high royalty rate or on unreasonable terms. In addition to this, the courts will have to examine whether such conduct of the SEP holder has led to market exclusion or restricted the competition in the market.\(^{41}\) Further, the courts will also have to look into the past conduct of SEP holder by examining previous license agreements, the extent to which the royalty rate in the current agreement is deviating from the market rate, the negotiation process, share of the royalty on the product and the impact on competition by such conduct of the SEP holder.\(^{42}\)
Further, to determine whether the licensing model of the SEP holder is resulting in a tying arrangement that is amounting to abuse of dominant position, it is necessary for the court to examine whether SEP holder’s license model is coercive, whether the license model is reasonable and whether such model leads to market exclusion or restriction of market competition.\(^{43}\)
5. CONCLUSION
The Guangdong Guidelines elaborates on some of the issues left unaddressed in the Beijing Guidelines, especially concerns related to the determination of the FRAND royalty and determining the abuse of dominant position. It also develops on the fault-based approach to granting injunctive relief which was initially addressed in the Beijing Guidelines. Although the Guangdong Guidelines has limited territorial applicability as it only applies to Guangdong and Shenzhen region it is necessary to note that some of the leading telecommunications companies are either headquartered or operate in this region. The Guangdong Guidelines also demonstrates the keenness of the Chinese courts to resolve SEP disputes, especially by clearly stating that its courts could decide the global royalty rate. Further, it also attempts to address the SEP related issues by developing a framework that balances the interests of SEP holders and implementers.
WIPO IP Facts and Figures (WIPO, 2018)
John Carson & Andrew Schwabb, ‘Chinas Innovators Applying for More Patents Than Ever Before’, South China Morning Post 16th July, 2017.
Gao Dong & Xueni Gu, ‘Beijing High People’s Court revises Guidelines for Patent Infringement Determination’ (International Law Office, 6 November, 2017) <https://www.internationallawoffice.com/Newsletters/Intellectual-Property/China/Wanhuida-Peksung/Beijing-High-Peoples-Court-revises-Guidelines-for-Patent-Infringement-Determination>
‘Across the Fault Lines: Chinese Judicial Approaches to Injunctions and SEP’s’ (China IPR, 6 May 2018) <https://chinairp.com/category/huawei-vs-zte/>.
‘Beijing Intellectual Property Court held the First Briefing on Patent Trial Work’ (Sohu, 23 March 2017) <https://m.sohu.com/n/484406784/?wsrcid=953607>
Article 32, Guangdong Guidelines
King Mallesons and Wood, ‘Guangdong High People’s Court Issued a Guideline for Trial of Sep Disputes | China Law Insight’, (updated 2018-05-23) <https://www.chinalawinsight.com/2018/05/articles/intellectual-property/guangdong-high-peoples-court-issued-a-guideline-for-trial-of-sep-disputes/>
Ibid, Huawei v. ZTE ECLI:EU:C:2015:477, Unwired Planet v. Huawei [2017] EWHC 711 (Pat), Motorola v. Microsoft 696 F.3d 872 (9th Cir. 2012), TCL v. Ericsson (C.D. Cal., Dec. 21, 2017, SACV 14-341 JVS(DFMx) and CV 15-2370 JVS (DFMx), Iwncomm v. Sony (2017) Beijing Civil Final No.454 and Huawei v. Samsung
Article 11, Guangdong Guidelines
Article 2, Guangdong Guidelines
Article 4, Guangdong Guidelines
Article 5, Guangdong Guidelines
Article 12, 13 & 14, Guangdong Guidelines
Article 14(1), Guangdong Guidelines
Article 14(3), Guangdong Guidelines
Article 14(4), Guangdong Guidelines
Article 14(6), Guangdong Guidelines
Article 14 (2), Guangdong Guidelines
Article 13(1) & (2), Guangdong Guidelines
Article 13(3), Guangdong Guidelines
Article 14(4) & (5), Guangdong Guidelines
Article 12(3), Guangdong Guidelines
Article 12(4), Guangdong Guidelines
Ibid
Article 15, Guangdong Guidelines
Article 16, Guangdong Guidelines
Ben Ni & Wood Mallesons, ‘The Guangdong High Peoples Court Guideline for Sep Disputes: A Primer’, Managing Intellectual Property, (2018).
Ibid
Article 17, Guangdong Guidelines
Ibid
Article 19, Guangdong Guidelines
Article 18, Guangdong Guidelines
Article 20, Guangdong Guidelines
Article 21, Guangdong Guidelines
Article 22, Guangdong Guidelines
Article 23, Guangdong Guidelines
Ibid
Article 25, Guangdong Guidelines
Article 26, Guangdong Guidelines
Article 27, Guangdong Guidelines
Article 29, Guangdong Guidelines
Article 30, Guangdong Guidelines
Article 31, Guangdong Guidelines
ABOUT O.P. JINDAL GLOBAL UNIVERSITY
O.P. Jindal Global University (JGU) is a non-profit global university established by the Government of Haryana and recognised by the University Grants Commission (UGC). JGU was established as a philanthropic initiative of its Founding Chancellor, Mr. Naveen Jindal in memory of his father, Mr. O.P. Jindal. JGU has been awarded the highest grade ‘A’ by the National Accreditation & Assessment Council (NAAC). JGU is one of the few universities in Asia that maintains a 1:13 faculty-student ratio and appoints faculty members from India and different parts of the world with outstanding academic qualifications and experience.
The vision of JGU is to promote global courses, global programmes, global curriculum, global research, global collaborations, and global interaction through a global faculty. JGU is situated on an 80-acre state-of-the-art residential campus. JGU is a research-intensive university, which has established several research centres. JGU has established eight schools: Jindal Global Law School (JGLS), Jindal Global Business School (JGBS), Jindal School of International Affairs (JSIA), Jindal School of Government and Public Policy (JSGP), Jindal School of Liberal Arts & Humanities (JS LH), Jindal School of Journalism & Communication (JSJC), Jindal School of Art & Architecture (JSAA), and Jindal School of Banking & Finance (JSBF).
ABOUT JIRICO
Jindal Initiative on Research in IP and Competition (JIRICO) is an initiative of JGU. It focuses on initiating and complementing well-informed policy related deliberations that can result in concrete reforms. Towards this end, JIRICO seeks to become a leading think-tank that engages in interdisciplinary and high-impact work. This involves contributions from experts in the fields of intellectual property law, competition law, economics and management. Further, JIRICO focuses on global developments, with a special emphasis on the Indian policy environment, which inform stakeholders about the issues in this niche area. JIRICO provides a unique platform to facilitate dialogue amongst industry partners, policymakers, regulators, practitioners and academicians.
O.P. Jindal Global University at a Glance
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- Ranked 251-300 amongst 9000 universities in the BRICS
- QS UNIVERSITY RANKINGS BRICS 2018 Edition
- QS I-Gauge Diamond 2018 |
wireless world
SEPTEMBER 1982 80p
Eprom emulator/programmer
C.b. selective call unit
TRANSMITTER TEST SET, TTS520
Tests transmitters up to 100 watts rating
For testing base stations: mobile or fixed radios; pocket phones; pagers, etc.
Instrument incorporates: r.f. counter • modulation meter • directional power meter • a.f. voltmeter • a.f. synthesizer • distortion analyser • a.f. counter • weighting filters • r.f. power load/attenuator
Transmitter measurements include: frequency • power • modulation (a.m. or f.m.) level, frequency, distortion, sensitivity, bandwidth, capability • call tone modulation check • aerial efficiency
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Split concept (receiver/transmitter testing) offers distinct advantages over dedicated test set or discrete instruments
Programmable. Also IEEE488 option available for low cost computer controlled A.T.E.
Releases skilled engineers from routine tests. More time for repairs and other tasks
Pre-service diagnostic tool. Use printer to record condition of radio as received and to verify performance to specification after repair or recalibration
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NEXT MONTH
Modular preamplifier. The first of three articles in which John Linsley Hood describes his new preamplifier, which is modular in form and which features several novel ideas.
Electronic compass. Design by Neil Pollock for all-solid-state compass for small boats, using a flux-gate sensor. A microprocessor will process the sensor output or a hard-wired system, which is described, can be used.
Low-frequency oscillator. A sine-square oscillator, with tone-burst switching, which covers the 10Hz-250KHz frequency range.
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The simple answer to all your power supply problems.
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POWERFET AMPLIFIER MODULES
The people at Pantechnic have been designing with powerfets since they first became commercially available. Their experience of powerfet amplifiers, coupled with their insight into the sources of non-linearity often neglected by others, has resulted in a new range of powerfet amplifiers that are fast, tough, linear and cheap.
| MODEL | POWER RANGE (Continuous RMS) | TYPICAL LOADS | NOTES |
|-------|-----------------------------|---------------|-------|
| PFA 100 | 50W-150W | 4Ω, 8Ω | Physically small 38mm x 78mm x 108mm |
| PFA 200 | 100W-300W | 4Ω, 8Ω | High Watts per E ratio |
| PFA 500 | 250W-600W | 2Ω, 4Ω, 8Ω | 25A continuous output current |
| PFA HV | 200W-300W | 4Ω, 8Ω, 16Ω | 5dB dynamic headroom Drives 70V line direct |
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As they stand these modules suit most P.A. and industrial applications and satisfy all foreseeable audiophile requirements. (The HV is aimed at digital audio.) Where aspects of performance fail to meet specific requirements (e.g. in speed or power), low cost customising is often a possibility. Alternatively entirely new boards can be produced.
Pantechnic make more than just PFAs. Loudspeaker protection boards and the quietest, lowest distortion preamp boards currently available are just two of an ever-expanding range.
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PANTECHNIC (Dept WW7)
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Phil Himmer
on 01-800 6667
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ERASERS FOR THE DEVELOPMENT LAB
UV1T
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WIRELESS WORLD SEPTEMBER 1982
I.T. and M.I.S.S.
One of the aims of Information Technology Year and the Microelectronics Education Programme is to involve schoolchildren in the use of microcomputers and related electronic devices. There are the M.E.P., the Micros in Schools Scheme, exhibitions and events throughout the year and beyond. It is, perhaps, fortunate that Mr Callaghan happened to be watching television on the evening the programme "Now the Chips are Down" was broadcast and was spurred into action then, or we would probably find the propaganda even more frenetic than that now being put out by the energetic Mr Baker, the prophet of IT.
Information Technology is a curiously diffuse name for a Year. The official definition, "the acquisition, processing, storage, dissemination and use of vocal, pictorial, textual and numerical information by a microelectronics-based combination of computing and telecommunications" appears to encompass most of the activities of the average person, except eating and one or two other processes, although the use of a computer is not often considered essential to the more basic of these.
So far as its involvement of schoolchildren is concerned, the publicity is decidedly shrill, the Minister's aim being to have a computer in every secondary school by the end of the year and even to think about providing them for primary schools.
There can be no argument that young people must be aware of computers and how to use them, but it does seem possible that the present blaze of publicity tends to obscure the point that computers are a means, not an end. There is also the question of how the micros are to be used in schools.
According to the fifth edition of the Concise Oxford Dictionary (now, admittedly, modified), a computer is "a calculator — an electronic calculating machine" — an unfortunate description, taken too literally by at least some of those responsible for introducing youngsters to computing, with the result that the school micro is often given to the senior maths teacher to guard with his life, presumably on the grounds that computers are electronically mathematical and possess no relevance to any other subject.
In other schools, the computer is treated as a kind of totem, and the pupils are taught "Computer Studies". As a subject, computing (meaning programming) is a singularly empty one, unless the pupil learning it intends to become a programmer. A computer is an aid to the process in which it is used — in this instance, learning — and an element of transparency to the user rather than an obscuring of the subject by undue attention to the computer must be the aim.
Clearly, an overnight transformation, after which every teacher would be using a micro as to the manner born, is hardly feasible. But, until the school micro (or one of its terminals or even a micro owned by a pupil or teacher) can be used naturally, as is a dictionary or pocket calculator or a video recorder, it will dominate the learning process. Utmost priority should be given to teachers from all disciplines, from home economics to athletics, to use the computer as an aid, rather than as a distraction, so that pupils who are not to specialize in science or engineering can see that it is of advantage to them to be at ease with computers, but no more than that.
The Inner London Education Authority is aware of these problems and is educating teachers in the use of computers so that, even though there may be only one micro or terminal in the classroom, the pupils will learn the place of a computer by, to use ILEA's word, "osmosis". However, there is evidence aplenty that education authorities in other areas are either hypnotized or revolted by the new equipment and, accordingly, either enshrine it or pass it to the school computer fanatic to impress people with.
In short, a computer is a useful tool, but that is all it is: it can help or it can dangerously hinder learning, and only the education of teachers in its natural use as an aid can decide which.
Most radio receivers and transmitters use at least one variable oscillator, coupled with the turning dial. Such an oscillator, usually called a v.f.o., must be easily tuned, exhibit high frequency stability and provide a pure sinusoidal output. For s.s.b. communication, the stability requirement cannot be met with LC oscillators, at least not in the higher h.f. bands or the v.h.f. frequencies. Use is often made of a mixing scheme, the variable oscillator running at a lower frequency, but purity of output and simplicity suffer with this method. Ease of tuning has always been the hall-mark of good communication receivers, leading to the familiar looks and appreciable cost of a very long tuning dial, with very fine divisions, coupled to the tuning capacitor by means of slip-free reduction gear without backlash.
Of course, a digitally-set frequency is very useful in a test-oscillator, but useless when one wants to tune in with the 'handwheel'.
A simple stabilizer
Proposals have therefore been made to accomplish the old-fashioned continuous tuning while stabilizing the generated frequency at discrete spots. A simple method, now well known to amateurs, is given in Fig. 1. Since we are not interested in displaying the frequency digitally, only the first decade from the usual chain of counters is needed and its output used to correct the v.f.o. frequency.
To get a good mental picture of what happens, consider an example. The measuring period is exactly one second, the v.f.o. frequency is about 5 MHz, say, $5,123,456,78 \ldots$ Hz. The counter, being reset before the measuring time starts, contains after one second a 6 or 7. Because the digital output is taken from the fourth flipflop, a 1 only results when the counter contains an 8 or a 9, all other numbers giving a 0 at this point. The 1 may be regarded as the 'too high' signal, the 0 standing for 'too low'. This digit is stored in a buffer, so the counter can be reset and a new measurement initiated. A large time-constant smoothes the control signal from the buffer to the Varicap v.f.o. In the working system, the frequency of the oscillator is kept around $5,123,457/8$ MHz and wobbles around this value. The next points for stabilization are $5,123,467/8$ when tuning upwards and $5,123,447/8$ when going downwards. Any drift of the v.f.o. is taken care of by changing the ideal equal number of ones and zeros to some other proportion, for instance five ones against four zeros in a sequence like 01010110101, etc. (To say any drift is compensated for is fine, so long as it is taken to mean 'any small drift'. A very bad oscillator equipped with the stabilizer will not 'creep' but 'jump'. It is a very simple system, compared with other possibilities.
Besides a crystal-controlled (one-second interval) time-base, few 1.cs are required and its elegant simplicity appeals to constructors.
There are drawbacks, however, all connected with the long measuring time: to get a reasonably smoothed control signal, the integrating time-constant has to be very large. A further point to think about is the delay in the system - even if the large RC product could be avoided, the information about the frequency becomes available every second and this is a somewhat elusive way of saying that some of it is almost one second old. The system just described needs at least several seconds to stabilize after the tuning knob is touched.
So, the first thing one tries to do is to shorten the measuring time to 0.1s. This is
Fig. 1. Simple frequency-stabilized v.f.o.. When crystal-derived one-second period ends, 'high' or 'low' information from the decade counter is stored in the flip flop until next measuring period is completed. Clock and logic to provide the timing and controlling pulses not shown. R and C give large time constant.
Fig. 2. Connecting high-frequency clock directly to gate and dividing v.f.o. output down gives a varying distance between successive stabilized frequencies on the dial. Because high-frequency crystal oscillators give no problems, resolution and stability can be high. Integrator is now connected to Q on storage flip flop. Speed of logic elements forms limit for higher clock frequencies.
not a good idea, however, because the digit now contained in the buffer store represents not Hertz but tens of Hertz. In our example, with an initial frequency of 5,123,456.789 Hz, the counter contains that five and the feedback will arrange to make it alternate between 7 and 8 as before. The next higher stabilization (centre) point will be 5,12357/8, which is no less than 100 Hz from the previous one. The resolution of measurement is ten times reduced and the 'ripple' on the v.f.o. frequency is the same factor enlarged. The integrator time-constant can be ten times smaller now and the speed of response is subjectively very much improved — the only benefit of the change in measuring time.
The problem still remains: how to improve the resolution without lengthening the time for each measurement. When discussing this point with friends (one of them the prototype of Homo digitalis) one answer came up again and again: raise the frequency, so that the relative accuracy remains high enough when you shorten the gate time. In theory this is a way-out, because the high and stabilized frequency of, say, 51 MHz is divided by ten to get our original 5.1 MHz and the frequency variations are divided too. In practice, if you can build an oscillator that does not drift 10 Hz in 0.1 second at 50 MHz, frequency stabilization is probably not necessary. This approach did not seem attractive. Instead I pondered for some time, wondering whether it is at all possible to measure a frequency with an accuracy of 1 Hz in less than a second.
**Period counting**
Just to be complete, one may recall the 'period counting' method of measuring low frequencies. When the roles of the clock and the unknown frequency in a frequency counter are reversed the unknown period is measured in units of the clock period and this takes only one period of the unknown frequency. If the unknown is about 5 MHz we could count off 500 000 periods in about 0.1 second, during which time the gate would be open. The single decade connected to its output would receive the clock signal, let us say 10 MHz. The resolution is still plus or minus one pulse in (about) a million and the grid of stabilization frequencies is now nonlinear; the distance between grid points at 5 MHz is 50 Hz. This is twice as good as the 100 Hz grid obtained with 0.1 second measuring time when counting the frequency direct and solely due to the clock frequency being twice as high as the v.f.o. frequency: a block diagram is given in Fig. 2. This is a good set-up when high-speed logic is used and the clock frequency can be raised to 20 or preferably 50 MHz (no prescaling; the gate and the counter following it must discriminate between those fast pulses).
To conclude the period-counting line of thought, the change of the distance between stable points over the dial is often not important. The ratio of the divider between oscillator and gate might well be a power of 2. Frequencies like f/2, f/4 are then available, all stabilized.
**Counting reviewed**
The above stabilizations work well, but there is an extra irregularity not yet described, which is caused by the counting process itself. The specifications of commercial counters usually give the measurement error as ± 1 count + time base error. The time base is not important for this discussion: the reference crystal oscillator drifts a little, but presents no problem. The real problem is with the last digit of the counter, which in successive counts (if it were provided with a display) would show two values — it would 'jitter'. The stabilizing counter does the same thing,
**Fig. 4. Analogue weighting circuit doing the same work as many gates. Result is stored in cross-coupled gates. Input resistors should have narrower tolerance when more and more signals are to be weighted. Supply lines are well regulated.**
**Fig. 5. Simple delay line using propagation delays in buffers.**
even when the incoming frequency is perfectly stable since there is no phase relationship between the reference oscillator and the v.f.o. This is most disturbing and leads to noise on the correcting voltage to the oscillator.
To get a clear picture I drew a few pulses on graph paper, as in Fig. 3, which represents a 5 Hz signal as it appears before and after the gate of a frequency counter. The flip-flops in the counter toggle on the positive-going slope. When a window of exactly one second moves over the 5 Hz pulse train, we see immediately what happens: half a pulse has just the same positive-going slope, which is what is counted, when the two waveforms glide past each other. Only when the situation is exactly stable (no gliding) do we get consistent answers from the counting process. Figure 3 (c) shows that stretching the pulses out (by lowering the frequency to 4.5 Hz) does not produce a different result; even 4.1 Hz does not make the fifth pulse 'fall out of the window'.
The only way to make this one-pulse ambiguity less important is to count more pulses, for instance by counting during ten seconds or by making ten, separate, one-second counts and averaging the answers. The last method was used very often when counters had no switch position for 'multiple frequency' and the resolution was just one decimal place too low.
A new method
All this may be interesting but does not look very promising for our v.f.o., until a new idea is brought in. It is not necessary to do the individual one-second measurements one by one: the measuring times may overlap. The aim is to average out the one-pulse variation and obtain the high resolution that may be expected from a long counting time, but before placing endless rows of decades on the breadboard it might well be asked why one should use four flip-flops to get a single 0 to 1 out of them? Well, it depends largely on the stability of the oscillator when the controlling loop is disabled, and on the nature and magnitude of any impulsive noise that might enter the system. With a simple four-bit counter there is plenty of margin on both sides of the dividing line between 7 and 8, but with a decade counter one side is limited; two pulses extra make a zero from that 8 to give a 'correction' in the wrong direction.
Because the decade on the breadboard worked well once the starting time was over, I decided that two-bit counters were all I needed. There were times I wished I had used the SN 7493 four-bit counter, but some of the problems turned out to be hardware-oriented and not so much a system fault.
Voting logic
The majority-vote is taken by the analogue circuit of Fig. 4, which works easily with 21 inputs — an odd number to get a majority in all situations. The input resistors are of the carbon-film type, selected for close tolerances for a larger batch with the circuit of Fig. 4 itself (without $R_1$-$R_9$). A voltmeter at point P indicates output voltage during the selection; the setpoint and sensitivity potentiometers are partly incorporated for this occasion. Even this circuit is a simplification from the breadboard circuit, where the digital outputs of the counters were stored by 'buffer' flip-flops. These buffers are not required if a reasonable amount of time is available for the voltage at P to take on the proper value. If take over and reset must take place in 1 or 2 $\mu$s, it becomes necessary to use the buffer store.
Counting in the parallel, but delayed, counting operation, it is immaterial...
whether the clock is delayed or the v.f.o. signal. For oscilloscope testing, it is very pleasant to be able to delay the highest frequency (the v.f.o.): it would take a storage oscilloscope or one with dual timebase to display 10 Hz signals with small delays. The end of the counting, take over and reset and start can now be the same for all counters, which keeps matters simple. The last question to resolve is, with a 5 MHz v.f.o., over what period must the delays be extended and how many counting systems are needed? In a practical system, with cheap t.t.l. building blocks, there are only two possibilities for building a delay line. The first one to think of is a series of 'monostable' delays, SN 74121 being the monostable block. A second way to achieve delay is the use of the intrinsic propagation delay of logic elements, the standard inverter SN7404 giving, in pairs, a delay of about 20 nanoseconds, according to the data sheet, although measurement shows the delay of n pairs often to be shorter than n times 20ns. To get a maximum delay of at least one period of the 5 MHz, the delay line consists of a series string of inverters with outputs every two pairs, which takes six blocks, one more being used to make sure the input to the delay line has the appropriate switching times.
**Complete system**
A block diagram of a complete system gives Fig. 6. The v.f.o. frequency of 5,123,456.789 Hz is counted during 0.1 second in a modulo-four counter which is another way of saying that it contains, when the counting is over, the remainder of the division-by-four of the number of input pulses. If the remainder is 0 or 1 a 0 level is presented to the analogue weighing network, a count of 2 or 3 producing a 1. The nine counters get a 0.1 second gate signal, the closing of the gates immediately being followed by storing a 0 or 1 in the flipflop, depending on the dominance of the counts 0 and 1 ('too low' signal) or 2 and 3 ('too high' signal). The integration time constant is related to the repetition rate of the measurements, which is ten per second.
The stabilization points (the grid on the tuning dial) have such frequency values that the average remainder in the counters wobbles between 1 and 2. The next grid point is one cycle of the counters further, or four more counts. Four counts in one tenth of a second means 40 in a second, so the grid points have 40 Hz spacing: the +0/+1 irregularities are not so well averaged out as I had hoped. A little calculation and comparison with other processes where a random disturbance is reduced in prominence by a form of averaging leads to the unpleasant conclusion that these variations are reduced by $\sqrt{N}$, where N is the number of counters. This is disappointing and meant that the nine counting systems give only three-fold reduction in 'randomness'.
This should be regarded as a by-product of the process, the main advantage being the faster response of the loop. In the system of Fig. 6, drift of the oscillator leads to *all* counters giving the same signal, e.g. 'too high', and this leads to a consistent 1 in the buffer, which is something different from the random 1 appearing occasionally. Before examining this more closely, it is necessary to remember that the v.f.o. stabilizer is not perfect - not only is the number of counters N very low, but the delay-line sections do not have equal delays. Then there is the question of the length of the delay line: one feels by intuition that the discrete length of the line is important, and the same intuition tells us that when N is really high, this discreteness is not quite so important.
Another point to remember is the fact that the 'feel' of the turning knob is so much better, because of the improvement in response speed, compared with a one-second gate period. The ripple on the frequency is probably as shown in Fig. 7 and even a $3\times$ improvement looks good.
**Further development**
At this stage of the experiments a set of flipflops was in place, and for a reason I cannot remember now these storage flipflops were reinserted between the counters and the weighting network. Instead of the v.f.o. a crystal oscillator was connected to the input and a digital-to-analogue converter with a set of equal resistors feeding an indicator in the form of a 50 $\mu$A meter (Fig. 8). The frequency of this oscillator can be varied slightly by varying the supply voltage so, by breaking the line controlling take-over of information at certain times by means of the switch and changing the oscillator frequency by small amounts, the effects of a drifting oscillator can be seen on the meter. There is no closed loop and we see just the information-gathering part of the process.
The demonstration was set up without thinking very much of it, but it became apparent that this 'analogue' method of adding the information from the counters is very good; the occasional +0/+1 variation is much smaller than the swing of the pointer when a small frequency shift occurs, several counters responding in the same direction. It really come down to the fact that the limiting applied by the 709 in Fig. 4 to the sum signal should be avoided. What is needed is linear amplification, which can be done with the left-hand part of Fig. 4, the storage in the right-hand part now being redundant. The control line to the v.f.o. may not go negative, but little d.c. amplification is required.
Some amplification can be had before the d-to-a conversion takes place by providing a higher voltage difference between logic levels. The SN 7406 or discrete transistors may be used, connected between the buffer flip-flops and the summing resistors. This was not tried, but seems an easy way to get some gain when a well-regulated supply of 20 V or more is already available. This method gives well-defined voltage levels for 'high' and 'low', but the system is very tolerant of faults in
the logic levels and even a distinct fault of one of the t.t.l. blocks feeding the resistors must be more than 0.3 volt to become a nuisance. (I know this very well as a user of out-of-specification i.cs.)
**Starting-up**
There is a small problem to be solved in connexion with the starting conditions: the integrating capacitor should be charged to the average value on the line and the loop disconnected when starting up. The large drift of the oscillator in the first minute or so after the power is switched on is often not due to the oscillator itself, the transistor taking only a few milliwatts, but to settling down of the regulated power supply, where more power is dissipated, the threshold voltages being temperature-dependent.
During the experiments, a push button was used, as shown in Fig. 9, its contacts connecting the capacitor to the slider of the 1 kΩ preset potentiometer across the power supply. The low impedance of the potentiometer reduces the loop gain when the button is pressed. When the voltage on the slider is set to the average value of the voltage on the capacitor the loop gain can be adjusted with the impedance across the button without undue frequency shift. Further refinements like suppressing the output of the v.f.o. during warm-up are possible.
**Delayed clock**
The combination of Figs. 6 and 8 (shown in Fig 10) work well. There is still the feeling left, however, that the subject of the parallel working counters should be looked upon from another point of view. This is stimulated by a remark made by one of my friends that the number of packages is not very high, after all. Besides, a v.f.o. with several frequency bands and a long dial is always a fairly large part of any telecommunications apparatus, and who would object to the number of i.cs used if a better performance is obtained? So I started to trace the decisions made (and reported here) and found a badly argued one in the preference for a delay line connected to the v.f.o. signal.
Knowing now it can be done that way, I wondered if I could delay the clock with equally good results. Schemes using a long delay, like the one with the timing diagram of Fig. 11, all seem to use more time without any improvement in performance, compared to that of Fig. 10. The idea behind such schemes is that when the first gate closes, some information about the unknown frequency is available, this information getting improved every time a gate closes. Here is still an opportunity for thought and experiment as I can see no practical way to achieve something useful along these lines.
**Clock oscillator**
The clock used in the experiments consists of a crystal oscillator, buffer amplifier and pulse shaper, followed by a chain of counters. When experimenting with longer or shorter gate times, complicated switching...
to get the command pulses at the right times was avoided by taking the exact repetition frequency used from the divider in question (e.g. 0.1 Hz, 0.2 Hz, 0.4 Hz, etc.), and triggering a 74121 monostable block with it. The time between monostable pulses is used as the gate time. A few more monostables produce the command pulses 'take over' and 'reset' as in Fig. 12. The gate time is now not exactly 0.1 second, etc., but this is unimportant. The stability of the gate time is still good, as the 1µs from the 74121 is only a small part of it and a drift to 1.1 µs is unlikely to happen in a short time.
**Further possibilities**
Next to waiting for the proper integrated circuit to appear on the market, containing a large number of fast gates and counters, the most straightforward approach would be to use a number of nominally equal crystals, as in the scheme of Fig. 13. This is especially attractive in countries where ex-second world war supplies are available and cheap. Of course, very efficient decoupling and buffering is necessary to prevent the oscillators from locking on to each other. The v.c.o. frequency may be chosen freely, taking into account the division ratio N of the divider chain.
This should preferably be a power of 2, providing symmetrical output waveforms from all intermediate tap points. The number of flip flops in the divider should be such that the output frequency of the divider is, say, 10 to 20 Hz. As outlined before, there is no need for separate flip-flops controlling the gates, this being done just as easily with monostable circuits.
The use of 27 MHz crystals was not successful, these being probably less stable than the surplus types, which were around 5 MHz. The lower oscillator frequency makes the isolating problem less severe, too. It is not necessary to make the frequencies of the crystal oscillators very nearly equal when the weighing network is large, as it is here. Starting from a nominal v.c.o. frequency (e.g., the one that gives exactly 0.1s gate time) it is easy to find out what is the maximum allowable spread in crystal frequencies, the limits being given by the size of the counter. Obviously, one requirement is that all counters overflow the same number of times. As can be expected, a better alignment of the crystal oscillators makes it possible to reduce the number of resistors in the network.
Reducing the size of the counter from modulo 16 or modulo 10 to modulo 4 or even modulo 2 is worth thinking over, if the v.c.o. is extremely good. Starting up and locking is going to be much more troublesome; this makes other components necessary (automatic loop gain reduction when turning the v.c.o. wheel). With modulo 2 counting no working system is obtained, however, because in theory no frequency difference is allowed that leads to a zero in some counters and a one in the others. In this case there is no discrimination between a higher and a lower v.c.o. frequency. For some frequencies, or grid points, this is not true, a form of stabilization is taking place near certain points of the dial — more a drift reduction than true stabilization.
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**Computing**
*Apple Interfacing*, by J. G. Titus, D. G. Larsen and C. A. Titus. 206 pp., paperback. Prentice-Hall International, £7.65. ISBN 0-672-21862-3.
Interface control signals between the Apple II and external devices are thoroughly explained in theory and practice by the use of experiments. A general-purpose breadboard assists in circuit construction and there is enough information to enable the experimenter to build a printed-board type. Only a nodding acquaintanceship with digital electronics is assumed.
*The Logic Design Of Computers*, by M. P. Chinitz. 413 pp., paperback. Prentice-Hall International, £11.15. ISBN 0-000-218-006.
Neither hardware nor software are the province of this book, but rather the logical processes which are performed by the former when instructed by the latter. A short historical section and a piece on number representation are followed by chapters on programming and switching theory. Logic elements are treated in outline and the final chapter deals with microprogramming.
*The 6809 Companion*, by M. James. 88 pp., paperback. Bernard Babani, £1.95. ISBN 0-85934-077-5.
A discussion of the characteristics of the 6809 microprocessor from the programmer's point of view. This is a small book, but nonetheless a very useful contribution. A slight drawback is that the text was produced by a Centronics printer, which is good for its purpose but not, perhaps, for a book.
*16-bit Microprocessor User's Manual*. 231 pp., paperback. Prentice-Hall International, £11.20. ISBN 0-13-566695-3.
This is the third edition of what is effectively Motorola's handbook for the MC68000 series of microprocessors. Full information on all aspects of instruction, signal and bus operation and memory management are provided, with all characteristics.
*The Explorer's Guide to the ZX81*, by M. Lord. 120 pp., paperback. Timedata, £4.95.
In the words of the author, this "attempts to carry the reader on from where the ZX 81 manual leaves off". There is no introduction to Basic or the ZX81, although the first chapter does provide some programming aids which help to use the limited r.a.m. available more economically. A number of games are included as illustrations of techniques. There is a chapter on machine language, which is included to help the inexperienced, and the final section deals with practical matters, such as loading from cassettes and connecting a monitor. Timedata Ltd, 57 Swallowdale, Essex SS15 5BZ.
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**Operational Amplifiers and Linear Integrated Circuits**, by R. F. Coughlin and F. F. Driscoll. 376 pp., hardback. Prentice-Hall International, £16.45. ISBN 0-13-637785-8.
Written at a slightly less advanced level than the previous book, this is even more practical and a little wider in scope. It is intended for a one year course, all the circuits described having been tested. Students not specializing in electronics will find the book helpful and the practical approach is ideal for amateurs.
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**Radio frequencies**
*Introduction to Radio Frequency Design*, by W. H. Hayward, 383 pp., hardback. Prentice-Hall International, £20.95. ISBN 0-13-494021-0.
Students and amateur electronics engineers commonly find their way into electronics by way of digital circuitry and components, r.f. design being well in the background. This is an attempt to do for r.f. what thousands of texts at this level do for digital design. It is practical, with many examples, mathematics up to about A level being used. A working knowledge of simple circuit theory is needed to make full use of the book. All the components of a modern receiver are described in detail, including a chapter on transmission lines and the Smith chart.
*H. F. Antennas for All Locations*, by L. A. Moxon, G6XN. 260 pp., hardback, RSG1. £5.00. (£6.67 by post, from RSGB, 35 Doughty Street, London WC1N 2AE. ISBN 0-900612-57-6.
This is a remarkably helpful book, which deals with a subject often regarded as being akin to black magic, in a thoroughly practical manner. That is not to say that theory is neglected — it is not — but it is kept in its place. The author has been well served by his publishers, who have turned out a well-produced book at an extremely low price — well under half the price of many technical paperbacks of half the size.
A basic cause of distortion in power amplifiers is quite simply that they have to drive loads, something which is clearly seen in Fig. 1 (b), when the higher resistance load of 2.4Ω can have ±25 volts of swing generated across it whilst the low resistance load of 0.8Ω can have only ±10 volts across it before it limits. Another way of looking at the situation is to try and generate ±25 volts across the 0.8Ω resistor, when severe distortion in the form of limiting will occur. In other words, it is much easier to drive a high-resistance load than a low-resistance one.
The object of Class 'S' is to perform the task of making a low-resistance or impedance load appear to the voltage amplifier as a high, ideally infinite impedance.
**Basic configuration**
Let $V_o$ (Fig. 2) represent the voltage output of the voltage amplifier and $I_L$ the output of the subsidiary current amplifier which also provides load power. $R_m$ is a small resistor which develops a voltage $V_m$ proportional to the load current $I_L$. $R_L$ is the load resistance.
If $V_m$ is used to make the subsidiary amplifier develop a current $I_L'$ as close in value to $I_L$ as possible then $I_L - I_L' = 0$ and $Z_{in}$ will tend to infinity.
This is the simple idea behind a whole family of circuits, one of which will now be described.
**Basic circuit**
This consists, as seen in Fig. 3, of a voltage amplifier, comprising a standard operational amplifier with feedback ($A_1$, $R_1$, $R_2$) and a voltage-controlled, high-impedance-output current amplifier ($A_2$ with its associated bridge of $R_{m'}$, $R_{m''}$, $R_G$, $R_G'$).
As the non-inverting (+) and inverting (−) inputs to $A_2$ are virtually at the same potential, irrespective of what this potential is (a basic property of operational amplifiers), it follows that the bridge must be in balance and that, ideally, since $I_L = I_L'$, $A_1$ sees an infinite load.
**Demonstration circuit**
The circuit of Fig. 4 works on the principle of the basic circuit, with the addition of a complementary push-pull pair at the output ($T_{r1}$, $T_{r2}$) to provide more current than the second 741 and its voltage follower $T_{r3}$ is capable of.
During the crossover region time when, say, $T_{r1}$ stops conducting and $T_{r2}$ has not yet started to conduct, $T_{r3}$ provides the output voltage and the impedance it sees
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**Fig. 1.** In the basic voltage-amplifier stage, a high-resistance load provides a larger swing with less distortion.
**Fig. 2.** If the current from the current amplifier equals that into the load $R_L$, the voltage amplifier sees an infinite impedance. Voltage $V_M$ controls the current amplifier.
**Fig. 3.** Basic circuit of Class A amplifier. $A_2$ is current amplifier.
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**The author**
Mr Sandman was born in 1933 of Jewish parents and almost become a tailor! After gaining City and Guilds Full Technological Certificate in 1957, he obtained his M.Phil. degree from London University in 1978.
Many years ago, he published a scheme for automating the railways as part of a scheme for road traffic automation – he tells us that his chief pleasure lies in the invention of new schemes such as a bandwidth compression system, currently in the pipeline, and "Error Take Off", a method of reducing amplifier distortion published in Wireless World in October 1974.
A deeply held, though hardly novel, belief is that we shall never resolve our problems as a country until, we pay our engineers about twice as much as we do now.
drops from, ideally, infinity to 122Ω. However, this is only for a small excursion voltage and current and so Tr3 can easily handle it. What is more important is that when the transition is completed, the impedance seen switches from low to high impedance, which will produce a voltage spike at the output.
However, this spike is of very low amplitude due to the low output impedance of the first 741 and its voltage follower and, more to the point, at least one other class 'S' circuit, which will not be described at this time, exists in which this minor problem does not occur to a measurable degree.
Resistor R2 may be taken to the junction of the 22Ω, 100Ω and 6.2kΩ resistors, so reducing the output impedance to zero.
The crossover distortion of A2, Tr2, Tr1 (W1) has a very small effect on the output (W2) and this effect (W3) is less than 6mV (spike voltage) at the virtual earth of A, corresponding to 12mV at the output (allowing for attenuation by the two 10kΩ resistors). That is 12mV in 24V p-p, or 0.05%.
**Circuit analysis**
Referring to Fig. 3,
\[ V_{M'} = V_M \left( \frac{A_2}{1 + A_2 \beta} \right) - V_M \]
where \( \beta = \frac{R_G}{R_G + R_G'} \),
(1)
whence
\[ V_{M'} = V_M \left( \left[ \frac{1}{\beta \left( 1 + \frac{1}{A_2 \beta} \right)} \right]^{-1} \right) \]
and
\[ I_{L'} = \frac{V_{M'}}{R_M'} \]
\[ = V_M \left( \left[ \frac{1}{\beta \left( 1 + \frac{1}{A_3 \beta} \right)} \right]^{-1} \right) \left( \frac{1}{R_M'} \right). \]
But \( V_M = V_0 \left( \frac{R_M}{R_M + R_L} \right), \)
therefore
\[ I_{L'} = V_0 \left( \frac{R_M}{R_M + R_L} \right) \left( \left[ \frac{1}{\beta \left( 1 + \frac{1}{A_2 \beta} \right)} \right]^{-1} \right) \left( \frac{1}{R_M'} \right). \]
Now
\[ I_L = \frac{V_0}{R_M + R_L} \]
and
\[ R_{in} = \frac{V_0}{I_L - I_{L'}} \]
whence
\[ R_{in} = \frac{R_M + R_L}{1 - \left( \frac{R_M}{R_M'} \right) \left( \left[ \frac{1}{\beta \left( 1 + \frac{1}{A_2 \beta} \right)} \right]^{-1} \right)} \]
(2)
**Approximations**
\[ A_2 \beta \gg 1 \]
\[ \beta = \frac{R_G}{R_G + R_G'}, \]
Let \( R_G = R_G' \) and \( R_M = R_M' \)
whence
\[ R_{in} = \frac{R_M + R_G}{1 - \left[ \left( \frac{1}{\frac{1}{2} \left( 1 - \frac{2}{A_2} \right)} \right)^{-1} \right]} \]
Therefore
\[ R_{in} = \frac{A_2 (R_M + R_L)}{4} \]
from (3), and applying Binomial Theorem.
\[ A_2 \to \infty \]
\[ R_M R_G' = R_M' R_G \]
\[ R_{in} = \frac{R_M + R_L}{1 - \left( \frac{R_M}{R_L} \right) \left[ \left( \frac{1}{\beta} \right) - 1 \right]} \]
from (2),
whence
\[ R_{in} = \frac{R_M + R_L}{1 - \frac{R_M R_G'}{R_M' R_G}} \]
therefore
\[ R_{in} \to \infty \]
\[ A_2 \to \infty \]
\[ R_G = R_G' (1 + \Delta) \]
\[ R_M = R_M' (1 + p) \]
whence, from (1) and (2),
\[ R_{in} = \frac{R_M + R_L}{1 - \left( \frac{R_M (1 + p) R_G'}{R_M' R_G' (1 + \Delta)} \right)} \]
and thus, by binomial approximation,
\[ R_{in} \approx \frac{R_M + R_L}{\Delta - p} \]
(6)
which, for \( \Delta = -p = 0.01 \) (1% resistors), gives \( R_{in} \approx (R_M + R_L)/0.02 = 50 (R_M + R_L) \), so that for \( R_M + R_L = 8 + 1 = 90 \Omega \), the load appears as 450Ω to A1. The formulae (4) (5) and (6) are useful as initial design guides, but the full formula (2) should be used for the final calculations.
The circuit is a stable one and has the great advantage of dealing with the problem of crossover distortion whilst not needing any setting-up, even though a class B amplifier is employed in the subsidiary amplifier. It is also insensitive to the effects of temperature, specimen and ageing variations on cross-over performance, unlike the standard class B amplifier.
TOUCH-SENSITIVE V.D.U.
I read with interest News of the Month, *Wireless World*, p.69, July 1982, to be informed that Tony Booth and his engineering staff of British Telecom, London, have 'invented' the system called City Business System, described as a v.d.u. terminal with a touch-sensitive screen, the sensitivity being obtained using a matrix of infra-red beams which can sense which part of the screen is being touched.
Worthy of note as this may be, I feel I should bring to your attention that an identical system to that 'described' was designed and built (invented?) by myself as part of a computer-controlled system on a large research particle accelerator called Nimrod back in 1971, and was in use until the machine shut down in 1978.
A report containing sufficient information to make such a device was available to anyone, price 20p., from HMSO or through any good bookseller entitled:
*A Transparent Touch-Screen Device for Interactive Computer-Graphic Displays.*
R.H.E.L./R 248 1972.
Sorry, it's all been done before.
E. M. Mott
Rutherford and Appleton
Didcot Laboratories
Oxfordshire
LEAKY FEEDER RADIO SYSTEMS
I have read with interest the recent articles on underground radio systems by my former colleague, Dr David Martin.
Whilst I am in general agreement with most of his paper, I feel that it would be desirable to clarify the position of the National Coal Board.
There are about 130 leaky feeder radio systems installed underground, the majority of which are of the daisy-chain type. This technique, which requires separated transmitter and receiver, and which makes spurs difficult to achieve is now considered obsolescent. Over the past few years, experimental installations have been made of a number of alternatives, including the BDR system (one installation) the back-l.f. system (one installation) and the forward-drive system (two installations). The two-way repeater is, however, now being installed routinely, and there are currently 15 installations of this type operating successfully underground, the largest being at Easington Colliery with a total length of about 10 km. The repeaters used are more expensive than comparable unidirectional repeaters, but the difference does not significantly effect total system costs; and their performance is entirely adequate even in terms of radiative noise and intermodulation distortion for any NCB requirement expected over the next few years. In addition, the technique is conceptually simple and needs only two types of line module; a normal repeater, and a splitting repeater at each branch point.
In the medium term (say 5 to 10 years) underground mobile communications systems may need to provide additional services such as high speed data or vision signals. Such requirements would involve considerable changes to our current systems, which fully meet present needs. It is our intention to embark on further development as future needs become clearer.
R. J. Parsons,
Head of Communication Applications Group,
National Coal Board.
3D TELEVISION
The publication of your article on 3D tv, following the 'Real World' programme on TV5 on May 4th prompts me to write and reiterate that this country could have had 3D tv 30 years ago, without the need for colour spectacles.
You published a letter of mine on the subject some three years ago when I mentioned that my father (the late Granville Bradshaw who, though designing in many fields, was better known in that of the internal-combustion engine, examples of which are to be seen in the Science and other museums) had developed in the 1930s a system of 3D photography, which was widely used in advertising displays.
With this system in mind I designed for him a system for television. Both the BBC and the ITA were extremely interested but had to admit in the end that they had no brief to proceed with 3D, let alone the money with which to experiment.
The result - another British invention stifled at birth for being, so it would now appear, at least 30 years ahead of its time.
Geoffrey Bradshaw
Leatherhead
Surrey
INTENTIONAL LOGIC SYMBOLS
Referring to the latest Letter (July '82), why keep bickering about old BS symbols, now defunct or otherwise unknown this side of the Channel? There exists a set of ANSI/IEEE/IEC approved logic symbols, that provides throughout diversification, ease of drawing (no circles, no bows and functionality if one wishes. Please refer to e.g. the 1981 Supplement to The TTL Data Book by Texas Instruments (2nd edition), pp. 318/343.
Of course, in a manufacturer's handbook, all of the functions provided should be fully documented, so the schematics look a bit weird. But practice shows that a little pruning here and there yields drawings that are very intentional indeed, and easy to read.
Ing. J. Eyckmans
St.-Truiden, Belgium.
S-100 BUSES
Do you know if anyone has made a comparison chart between the various S100 computers in terms of the bus definition? Some of the early 'S100' equipment differs with that designed after the specification was finalised. Can your readers help?
S. B. Hayes,
Toltec Computer,
Cambridge.
IT'LL DO — OR WILL IT?
I am involved in various aspects of electronics including design, application, trouble-shooting, repair and construction. Like many people who have a general knowledge of the subject, I have an appreciation of the principles of each aspect and a respect for experts in each field. Some of my spare time is given to private repair work, TV, calculators, electronic musical instruments, hi-fi, etc., so that I consider myself not inexperienced in the area of consumer electronics. Recently I completed two jobs that provided real food for thought.
The first was a Goodman's 'One-Ten' tuner amplifier, which sports a very elaborate power amplifier with several transistor stages in d.c. connection. Only the output pair proved to be damaged, but the underlying cause was the fuse-holders, one of which had become high resistance, due to oxidation. This is not incomparable to a safety belt causing a car crash.
The other job involved a Ferguson (Thorn) 'Revolver' radio/cassette player, given as a Christmas present only six months ago. This had become erratic and finally stopped altogether. The problem was simply traced to the amplifier power switch, which had simply burnt itself out. The machine boasts a very large power-output stage requiring (I calculate) about an amp. of current, but this was switched by a small-signal switch just not up to the job.
These exemplify the Great British "It'll do" attitude that has made Japan what it is today. While years of soak testing are clearly not feasible for such products, only a little more care would result in machines as dependable as the valve radios of the '50s that I still use, and worthy of the remarkable development that has gone into the i.cs that are put into products of amateurish design.
Mike Feeney
North Gosforth
Newcastle-upon-Tyne
Having said this, I do not feel that Mr Feeney illustrates his case well. The Goodmans unit to which he refers was engineered by one of the country's leading hi-fi designers of the period, the late Frank Rowdell, no less than 12 years ago. Perhaps more significantly the last ones were actually made about 8 years ago. If corroded fuse holders were a general fault on these models, then it would worry me more, but they are not, and I am sure that there must be many reasons apart from intrinsic bad quality why isolated cases of contamination might emerge over so long a period.
The 'Revolver' falls into an entirely different category. This is an o.e.m. product sourced for Ferguson by a leading Japanese-owned manufacturer. This is not to say that we divorce ourselves from its technical standards; quite the reverse, and as it happens power and switch areas always get particular scrutiny for safety reasons apart from anything else.
It is quite impossible to judge the rating of a switch merely by looking at it. Approval specifications run to many pages, and tests take hundreds of hours to conduct over tens of thousands of cycles of operation. A switch handling an amp. or so on low voltage in a small audio product would very likely be lighter in appearance than a television mains component which could be rated at over 100 A surge; but it should not be condemned for it.
This failure may well be a symptom of Far Eastern manufacturers having chinks in their armour too!
D. R. Toping
Director of Engineering
Thorn EMI Ferguson Ltd.
THEORIES AND MIRACLES
My initial reaction to the article by Dr Murray in the June issue of Wireless World was "Why all the fuss?". All scientific theories can be shown to generate anomalies if pushed far enough, indeed one would be suspicious of one that did not. Anomalies are not the catastrophe that Dr Murray seems to think, they serve only to indicate the limits of present theories and are therefore the starting point for the next development. Dr Murray also attacks 'pragmatism' in science; as I shall show below it is the only measure, of which we can be certain, that can be applied to a scientific theory.
Dr Murray seems to believe that there is an absolute truth or ultimate scientific theory towards which we should be moving, that we can measure our theories against the real world, and so improve and upgrade them, that one day we will achieve this absolute truth. In this he is sadly mistaken, for two reasons. Firstly in testing our current theories we must observe the world, and in doing so we must also accept as true other theories that explain the operation of our observing apparatus (including the physical bases of our own sense organs), and those theories may in turn depend on the truth of other theories, including in some cases, the theory we are testing. Secondly (and much more fundamentally) not only must we observe via our senses (and other apparatus) but we must also interpret what we observe, and these interpretations are, at base, limited by our human psychology, we are, as it were, bounded by our humanness. We can never observe the world directly, but only a human version of it.
There is nothing we can do about this limitation, no advance in our observing apparatus can affect it. Any interpretation we care to put on our observations, no matter how obtained, must be human centred, but there will always be the possibility that the same observations could be interpreted by a non-human thinking entity in another but equally valid way. Even if we extend our mental capacities by building artificial or machine intelligences that can interpret observations of the world in other ways, they could not explain what they perceived directly to us without translating it into human terms.
Dr Murray may have, if he wishes, his belief in the simple truths of nature, but as I have shown above, they are (and must always be) limited and biased truths.
John W. T. Smith
Hatfield
Herts
RF RADIATION HAZARDS
I read with interest the two articles referring to r.f. radiation hazards; the first, WW, October 1981, page 42 and the more recent article WW, April 1982, page 58.
There are, in Australia, many hundreds of small craft fitted with microwave radar. The majority would be professional fishing boats. However, privately owned pleasure craft are being equipped in increasing numbers. Many of the installations that I have seen have been installed with the rotating antenna barely above the head of the helmsman. This applies in particular to those vessels which have a fly bridge above the main super-structure.
I would be interested to know if any of your readers have observed, or have knowledge of, any adverse effects resulting from exposure to micro-wave radiation in the situation outlined above.
John Allan, VK5UL
Ovingham
South Australia
NIKOLA TESLA
Nikola Tesla is a fascinating subject for study and I join with Desmond Thackeray (May 'Letters') in the toast "Tesla Lives!". But surely the centennial for Tesla was in 1956 and wasn't the Tesla Society formed for the celebration?
As for Tesla's claim to having invented wireless telegraphy, his patent 645,576 was upheld by the US Supreme Court against the claims of the Marconi Wireless Telegraph Company of America on June 21st 1943. Ironically, Tesla had died in January of that year.
A factual account of what Tesla accomplished, particularly towards the wireless transmission of power would make most interesting reading; may we hope for an article along these lines?
Martin W. Berner 9Y4TAM
Trinidad, W.I.
COST EFFECTIVE IGNITION
Far from being criticised (Letters, June), Mr Cooper is to be congratulated on producing a design for electronic ignition using components that can be obtained by the home constructor.
*Wireless World* has never claimed to be a magazine merely catering for the amateur constructor and in the course of demonstration the latest technology has, quite rightly, published circuits using components not generally available, and requiring alignment equipment found in only the privileged laboratories.
However, certain designs are still clearly intended to be built even though articles with the constructional detail of, for example, the Dinsdale high-quality audio amplifier of January/February 1965 are no longer published. Designers should therefore consider carefully whether any component they are fortunate enough to have available may not be available to the majority of readers.
Before quoting past numbers, Mr Pickavance should consider the attitude of many firms, and perhaps also his, to requests from private individuals for the less-common components in small quantities.
C. G. Gardiner
Chelmsford
Essex
I have read Mr Cooper's article on electronic ignition in March *Wireless World* and wonder if I might be permitted to summarize my own experiences and views on alternative ignition systems?
If the cause of bad starting is not in the ignition system but, say, in the fuel supply, as it often is, no alternative form of ignition system will help. Unless you want to be able to start your car with a nearly flat battery, I do not think changing the ignition system will help. It is not in starting the car that the failings of the Kettering system have most effect.
As Mr Cooper points out, if your engine only has a 6,000-6,500 r.p.m. maximum (as most have), there is nothing the Kettering system can't achieve if kept in good order.
I have used many different systems for many years but have never really noticed any significantly better fuel consumption. I have not made any detailed tests but over say a tank full, no change is noticeable. I would love to think that better consumption resulted — it is a tangible and worthwhile benefit in these days of high fuel costs — but I have grave doubts whether it exists.
In their freedom from maintenance, alternative systems can, I think, produce benefits. The first task is to relieve the contact breaker of the high current demanded by the Kettering system. Contrary to Mr Cooper's opinion, I believe this alone is worthwhile. If the system chosen also obviates adjustment of the dwell angle, so much the better. This leaves any residual mechanical weaknesses of the ordinary contact breaker. These do not manifest themselves under say 7,000 r.p.m. — probably more — save for wear. The contacts may not wear but the fibre block on the cam can and does and this wear is not compensated for by contact wear. The contact gap may not be important in alternative systems but there must be one! Do alternative systems affect the plugs? Those which produce more energy in the spark (i.e. C.D. systems) do but only in the sense that the plugs will go on working long after they would misfire with the Kettering system. I have never noticed any reduced wear and it would be interesting if Mr Cooper could elaborate on the short paragraph in his article on this aspect (what is an electronic spark?) I have noticed that wide gaps (up to 60-70 thou) still work and so do sooted plugs — due, I have always assumed, to the greater energy available with C.D. Incidentally, has anyone noticed smoother running at minimum throttle openings just to maintain speed, with wide plug gaps?
On the subject of current consumption, does it really matter (within limits) how much current the ignition system uses unless you are in the habit of leaving it on without the engine running?
C. E. H. Benson
Market Drayton
Shropshire
I had to abandon any idea of constructing Watkinson's Opto-electronic contact breaker (*WW*, April 1981) simply because I was unable to obtain the i.c. specified through normal retail channels. In the light of Rod Cooper's remarks about using readily available components contained in your letter in the June issue, I approached the construction of his ignition system with more hope. Alas, I have come up against the same problem of supply in respect of the Mullard FX 3720 ferrite power transformer.
Of two main stockists tried, Phillips and Marshalls, the former would only supply for their own equipments, and the latter, whom I rang, said they did not stock the item! So far as I can see none of the usual suppliers who advertise in *WW* and elsewhere stocks the FX 3720, and I am beginning to suspect that it is again one of those desirable components available only to industrial users and electronic engineers through privileged channels of supply.
As to the circuit itself, this seems to have suffered somewhat in the reproduction process for publication and I would appreciate your help in my difficulties of interpretation. You will have noticed that $D_7$, unlike $D_{150}$, has not been specified. This may be a misprint for a 3 A fuse, or possibly a decoupling capacitor. The capacitor values in the multivibrator have been omitted. Perhaps Mr Cooper would confirm that $\frac{1}{2}W$ resistors were intended throughout the circuit.
J. E. Stevenson,
Purley, Surrey.
The author replies:
I agree with Mr Stevenson's comments about components for construction articles: such components should be available through accessible supply channels and not just to professionals, but it's a fact that some of the most interesting items remain relatively obscure because they are only available via the privileged channels, which I think is a pity. It needs a change of heart on the part of certain British component suppliers and manufacturers to alter this situation.
However, this is not the case with the FX3720, which is a Mullard ferrite available through their stockists. My local Mullard stockist is Hawnt Electronics Ltd., Firwood Road, Garretts Green, Birmingham B33 0QT, and they will be pleased to supply this ferrite, which they stock in depth. The FX3720 is 44p per piece (you need two pieces to make a transformer) and the bobbin DT2723 to suit is 35p. This firm has a minimum charge of £2, which should cover a transformer, bobbin, v.a.t. and postage.
There is a world of difference between the non-availability of silicon diodes as discussed in the *WW* 'Letters' column and the limited availability of a more specialized component through manufacturers' selected agents, such as Hawnt Electronics. Unfortunately it is all too easy for an author to slant his constructional project towards the professional supply channel without realising it. In this case, I checked that the FX3720 was available without spotting that there might be a problem for people like Mr Stevenson who may not know the supply channel.
Regarding the other comments, corrections appeared in the August issue. As for resistors, I did not give wattage ratings for resistors because I think most readers of *WW* will see at a glance what is needed; it is quite easy to use the formula $V^2/R$ and then make an allowance for ambient temperature and duty cycle. My view is that a constructional project should not be a cookery-book type recipe to be followed blindly, but should involve at least a little thought by the constructor about what he is doing. In the same vein, I hope you will read about r.f. suppression before winding a transformer as suggested in the article.
The 3 A rectifier diode, $D_7$, was not specified because it is non-critical; its only function is to provide reverse-polarity protection and it can be by-passed with a shorting link once the unit is installed and working correctly.
POOR DEAL FOR AMATEUR RADIO
I feel I must reply to G3DRN's letter criticising my own letter 'A poor deal for amateur radio'. Like him, I shall endeavour to answer and comment on his 'points' in turn.
Firstly, his 'All Fools' comment — Is this the best he can manage? Likewise, his claims to impartiality can be dismissed with little (or better still) no comment.
As a member of the RSGB (fighting from within) I feel that I have every right to question its actions and expect a reply. As regards my claims to speak for many others, for three evenings after the publication of my first letter I was inundated with phone calls agreeing with my comments, including four suggestions that I should stand for a Regional Rep. post.
His comments on the RSGB's neutrality are no more valid to me than mine are to him. As I see the facts, the RSGB is an anti-c.b.; they will not even allow the advertising of c.b. sets in *Rad Com*.
The fact that 70 MHz is a national allocation is hardly relevant to the morse argument — and what about 28 MHz? I acknowledge the introduction of the new u.h.f. bands and *one* of the new h.f. bands. With regard to the American case, G3DRN is comparing bad with worse — never a good defence. Remember, the Americans have 220MHz and 50 MHz, easy repeater licencing, sel. call, third-person message rights etc., etc.
His analogy of 'phone abuse and repeaters is quite amusing. We, as a society, have come to need 'phones: we do not need repeaters, nice as some of them are.
His comments on the RAE, in general reinforce my own. However, his attack on my standing as a licenced amateur is quite unjustified. Firstly, my RAE was obtainable under the
old system and I am an engineer by profession. Many A licencees (possibly G3DRN included) never took the RAE, which was introduced in about 1947. Any person who held an experimental licence before the war (as G3DRN said he did) was exempted from the RAE. His contention that morse makes you a better operator defies comment – the first ‘Squeaky’ on GB3LO was a G3. Japan has no Morse test and few would disagree that the Japanese are impeccable operators.
Amateur radio is a technical hobby and a statement implying this is included in the licence. I do not say that amateurs must build their own equipment, but I do believe they should take a serious interest in how it works. The RAE (even now) does not include p.1.1s and it certainly did not in 1947. In my view, some amateurs have their licences under false pretences.
I do not deny that the RSGB is strong and vigilant, but I also believe it does not pursue the interests of the majority of amateurs, just the select few who run it. His ‘wood and trees’ comment – well soon, if not already, the majority of amateurs in this country will be B licencees, many of them discontented. Soon, the new trees will outnumber the old.
B. Reay, B.Sc., G8OSN
Woolwich
London S.E.18
THE RIGHT FORMULA
Two points of information. First, regarding Mr Young’s letter in the July issue “The Right Formula”, the super-luminal velocities he mentions in astronomical objects are adequately explained as illusions created by high-energy beam phenomena (see, for example, Scientific American June 1982).
Secondly, having consulted several dictionaries of a range of authorship, even one dating back to 1932 (Nuttall’s Popular Dictionary of the English Language), I find that every one gives the pronunciation of “patent” as being acceptable with either long or short “a”. I object to Mr Fox’s tone in his article in the same issue and will continue to pronounce “patent” similar to “latent”.
K. Wood,
Ipswich,
Suffolk
Ronald G. Young of Peacehaven asks in his July 1982 Letter to you “How come wires don’t weigh heavier when current flows?” In Einstein’s Special Theory of Relativity one of the end results is that mass is energy, gravity is acceleration and time is space. Units of mass and units of energy are therefore related and it comes about that 1 gram is $9 \times 10^{16}$ ergs.
Now, if one passes 1 amp through a wire of resistance 1 ohm with a potential difference of 1 volt the energy required to do so is 1 watt, which is equal to 10 ergs per second.
According to precision, 1 gram is equivalent to $9 \times 10^{20}$ ergs. Now $10^{16}$ ergs are expanded by $6.2 \times 10^{18}$ electrons per second and this corresponds to a mass of $1.1 \times 10^{-14}$ grams per second. The confusion between mass, amps and ergs lies in their “Relativity” and different frames of reference perhaps. One may measure the distance of a star from earth in feet, miles, seconds or light years or even angles. Mass is a measure of resistance to a change of velocity.
O. B. Balean,
Chatham,
Kent
In July, R. G. Young wrote, “… all such ‘theories’ [e.g. Theory C, WTW Dec. 1980] are purely human artifacts, designed to make predictions of the way things work!”
Young is describing the reigning philosophy in science today, called “instrumentalism” by Karl Popper, see “Conjectures and Refutations”, RKP, 1963, p100. As Popper says on page 101, instrumentalism is used in a defensive mood – to rescue the existing theory. The instrumentalist view is that the winning theory is the theory which has produced practical results, and that since there is no such thing as absolute truth (which last remark is held to be absolutely true!), we should not modify our theories if they are serving well enough.
The flaw in the instrumentalist argument is that the decision on whether the old theory serves well enough is a value judgement based on experience, and if (as is the case) the guardians of the faith – professors, lecturers, Nobel prize winners and text book writers – have no experience of high speed logic (and have never used a sampling oscilloscope), they will reject (and in my case suppress) theories which help in that field. Instrumentalism is the philosophical rationale for a general clamp-down on progress in science into new fields by those whose experience, careers and prestige are based on the old (analogue) experience.
Young writes, “Does Mr Catt find his theories enable him to do better design work?”
The pre-Catt pot-pourri which served as electromagnetic theory (see for instance D. B. Jarvis, “The effects of interconnections on high-speed logic circuits,” IEEE Trans. Electronic Computers, vol. EC-12, pp476-487, Oct. 1963), could not help me to successfully design high speed systems (see Fall Joint Computer Conference, 1966). The new Catt theories were developed in order to make possible the reliable interconnection of high speed (1 ns) logic gates.
The refusal to publish my theories by instrumentalists in the IEE, the Institute of Physics and elsewhere led to a collapse in the use of fast (1 ns) logic gates already available in 1964 and a decline back to slower t.t.l., and then to the very slow microprocessors of today. The computer industry has paid a heavy price for the suppression of theoretical advances by means of instrumentalist arguments. Still today, hardly anyone can successfully assemble 1 ns logic as I did in 1964.
Similarly, in the field of computer architecture, the suppression of the content addressable memory by instrumentalists who only know (and who live off) von Neumann has blocked advances towards more practical machines for a third of a century.
References.
1. I. Catt et al., “A High-Speed Integrated Circuit Scratchpad Memory”, Proceedings – Fall Joint Computer Conference, 1966, pp315-331
2. M. H. and B. R. MacRoberts, “The Scientific Reference System”, Speculations in Science and Technology, Vol. 3, No. 5 (1980) – p573-578
3. I. Catt, “The scientific reception system as a servomechanism”, Journal of Information Science 2 (1980) pp 307-308
Ivor Catt
St Albans
Herts
FIRE SHIPS
The Falklands conflict has shown up a fire problem in some of our war ships. Part of the trouble is caused, we are told, by the p.v.c. insulation on the cables. This must mean the multi-core signal cables, since the power cables would be mineral insulated.
Silicone rubber would clearly be better than p.v.c. It remains an insulator after it is burnt, and it contains no chlorine, so cannot produce phosgene.
However, it occurs to me that it might be possible to use fibre optics for communications between the different locations in the ship. This may seem at first a silly suggestion for distance of a few metres, because the cost of the terminations would be large. But if the idea proved practicable, there would be great advantages. A single fibre could carry all the signals for the whole ship, and there could be many parallel routes, so that if several were damaged, the signals could still get through. And of course the fibre cannot burn, though it would melt in a fire.
C. Q. Keiller
Heathfield
Sussex
MICROCHIPS AND MEGADEATHS
As both an electronics engineer and occasional disarmament activist, I have been following the correspondence in WW on military electronics and the responsibility of the engineer, both before and since the November 1980 editorial, with more than a passing interest. The Falklands/Malvinas crisis has thrown the issues raised in your May 82 editorial into sharp focus.
10% of Argentina's armaments, including a great deal of radar and communications equipment, came from British companies. In the media this is usually described as "ironic" - but it is no irony, merely the logic of the international arms trade. The Defence Sales Organisation, a 400-strong government department, exists purely to ensure that whenever someone is blown up, burned, drowned or maimed, it's done with quality British equipment and none of your foreign rubbish. And still it goes on, with WW readers (unless they've all cancelled their subscriptions) making their own contribution - for example, Plessey, Racial-Decca and Ferranti between them supplying systems for four new Brazilian corvettes, and Marconi selling China £14m of electronics for their fighter aircraft.
Much of the correspondence opposing the theme of the 'Microchips and megadeaths' editorial has dwelt on the well-worn bogey of the Perceived Soviet Threat, with various refinements such as Defending our Democracy (what democracy?) and Maintaining Technological Superiority. In fact, the motivation which keeps these people beavering away at improving their killing capacity, and which keeps their opposite numbers in the U.S. and the Soviet Union doing the same, has little to do with any of these. It has to do with lack of imagination. They cannot imagine the reality of a full-scale nuclear war, or even a full-scale "conventional" one; the most they can stretch to is a brace of foreign tanks rolling down the High Street, and they cling to this image with patriotic fervour. The Russians (or any other aggressor) can have no desire for Britain powerful enough to justify invading it. We have enough trouble managing it ourselves, and we live here; imagine how a foreigner would fare.
Where do engineers stand in all this? The usual prescription - to refuse as a matter of principle to work on military electronics - is glib, and not so easy to put into practice. (Though the if-I-don't-do-it-someone-else-will argument is no more than a cop-out, at individual or national level.) Where do you draw the line between military and non-military work? Does the manufacture of MiG-spec components count as a crime? How about production control systems for weapons factories? Or for the nuclear fuel cycle, which has a dual-purpose role?
This is not to denigrate those (of whom I am one) who will not work in overtly military industry. But it should be realised that often the main effect of such an individual stand is simply the amelioration of the individual's conscience - and to achieve an end to the technological arms race we need much more than that.
One aspect that needs constant effort is information. Much, if not most, military work is shrouded in secrecy, some of which may be justifiable but a great deal of which is not. For example, how many people know that France is still conducting nuclear weapons tests on the Muroroa atoll in the Pacific (the most recent on December 8, 1981) and that in March 1981 several pounds pf plutonium and other radioactive wastes were swept out to sea by a tropical storm? This information was leaked to the Australian press by a group of French engineers working on the island, who were concerned about their government's apparent decision to ignore the problem. Closer to home, Jock Hall's letter in June 1981 WW cites another example of this kind of action; part of the social responsibility we are talking about is a willingness to take the risk in exposing such harmful activities.
Another aspect that needs more work is conversion - the conversion of military companies to manufacturing socially useful products, with a concomitant increase in job security and job satisfaction. The classic example here is the Lucas Aerospace Shop Stewards Combine, who devised a detailed plan for such a move for their company. Predictably perhaps, the management were uncooperative, eventually sacking the most active figure in this project. This has not deterred employees of other firms from producing similar plans.
Finally, there is the most positive action of all - applying your engineering skills to relieve the real needs of the world and the human race. H. M. Butterworth, in November 1981 letters, described agricultural electronics as an order of magnitude more satisfying, than military electronics. Professor Meredith Thring, in his recent James Clayton lecture Engineering for Humanity, argued that planners of the future can only plan with the machines that engineers have already developed, and went on to say that "it is the primary responsibility of the engineer to envisage the machines that will be needed to give our grandchildren a stable material world in the twenty-first century." (Digital watches and video games?) He identified appropriate technologies for the energy, food and transport requirements of the Third World to be the urgent priority.
There is no shortage of prognoses. Why then, since the problem is generally accepted, do we still have the arms race, are there still starving billions? From the engineering point of view, a clue can be found in Dr Peter Hartley's excellent piece "Educating engineers" in December 1981 WW, where he argues that engineering has been dominated by humanist values which are inherently antisystemic - the system in this case being global in nature. In the context of the arms race and the North/South divide, political and technical forces have concentrated on fragmented solutions, usually nationalist or economic, without reference to the global system in which they are embedded - as a direct result of the humanist world-view. But the solution he proposes, that of educating future engineers towards an ecological outlook, is far too long-term. The problems are with us now. If we do not face them now, by educating ourselves towards ecology and a systemic view and acting from that perspective, we won't have to worry about educating a future generation.
Tim Williams,
Wadhurst,
East Sussex
The wisdom of your editorial ('Arms and the Man', May 1982) is not to be doubted by anyone who has an intelligent concern about the future of our species and the environment we inhabit. But how are we to escape from the senseless militarist cycle which our society, East and West, is caught in? You suggest that it is the responsibility of engineers to refuse to work on the production of armaments. This proposition misses the fundamental problem of our present social order which is that engineers, and other producers of wealth, do not own or control the means of production and distribution, i.e. factories, mines, farms, docks, offices, etc. Wealth producers can only begin to seriously use productive machinery for rational uses when we commonly own and democratically control it. Such a transformation of society (which I would call a socialist revolution) would have two direct consequences: firstly, it would put an end to rivalries over the possession of property and thus eliminate one of the principal causes of war; secondly, it would allow humanity to produce wealth solely for use, not for profit. Political organisation to establish a society of common ownership and free access seems to be a more scientific and less risky course than to rebel against employment in the armaments industry and gain for oneself a place in the dole queue.
Stephen Coleman
Clapham
London
This correspondence is now closed. -- Ed.
DIGITAL PHASE CONTROL OF THYRISTORS
Easy computer interfacing for power control devices is provided by this digital circuit. Adjusters are eliminated and a definite off-case ensures no motor creep or light flicker.
by B. H. Pardoe
Ph.D., M.I.E.E.
Phase control of thyristor and triac devices using analogue techniques is a well-established method. The input analogue signal may be generated by a rheostat or a digital-to-analogue converter. This input is compared with a ramp and a pulse generated when the ramp voltage is greater than the input. Such circuits are usually provided with two adjustments, one for absolute level of the ramp and one for the rate of rise. This circuit eliminates these potentiometers and makes the control circuit easy to interface to a computer.
The power supply circuit, see diagram, is a conventional design, except for $D_1$, giving a stabilized 12V output. Diode $D_1$ ensures a full-wave rectified signal appears at the output of the bridge rectifier. This is attenuated by $R_9$ and $R_5$ with $R_9$ also acting as a current limiter to an input of IC$_6$. The output at IC$_6$ pin 3 is broad pulse with long rise and fall time. This signal is differentiated by the next two gates combined with $R_8$ and $C_3$. The output, IC$_6$ pin 10, is a positive-going pulse with duration $\tau$ where $\tau \approx C_3 R_8 \log_2 2$. The duration must be sufficient for gate output IC$_5$ pin 10 to discharge capacitor $C_1$. The discharge takes time $\approx 1000 C_1$ in a c.m.o.s. circuit running on 12 volts. The sync-generator and power supply are only required once per line phase in a system where there could be many triacs running off each line phase.
The sync-generator pulse occurs every 10 ms on the zero crossing of the mains supply and clears bistable IC$_{5a}$ which removes the reset signal from the counter IC$_2$ and the hold signal from the oscillator. The oscillator drives counter IC$_2$ whose eight least-significant bits are connected to an eight-bit comparator made up from two four-bit comparators. A second eight-bit input to the comparator comes from the eight-bit store IC$_1$. The input to this is fed in asynchronously and may give an incorrect pulse in the first half cycle in which the data has been placed in the store by the external strobe pulse.
The counter output value rises until it equals the store output. This creates a one on the equal line which turns on the transistor TIP121 and sets the bistable IC$_{5a}$. The bistable clamps the oscillator thereby holding the equal signal at the comparator output. The bistable output causes the reset to IC$_2$ signal to rise exponentially. When the reset passes the threshold, the counter output goes to zero and the equal signal disappears. The output to the power amplifier is switched for a time set by $R_1$ and $C_1$
$$t_{on} = R_1 C_1 \log_2 2.$$
The counter IC$_2$ remains reset until the next sync pulse arrives at the end of the half cycle. This hold ensures only one pulse is generated per half cycle.
The case of zero in the store is used as turn-off guarantee. When the counter reaches zero for the first equality a positive transition is sent to the power amplifier. The bistable IC$_{5a}$ stops the oscillator and after a delay a reset level appears on the input to IC$_2$. This tries to create zero which already exists and reinforces the equal signal. The sync pulse removes the reset at the end of each half cycle, but not for long enough to give one half clock cycle. The counter therefore remains at zero and there is no output as the d.c. signal is blocked by $C_7$ and $R_{10}$.
The clock must go through 256 cycles in 10ms which sets the frequency at 25.6kHz and the standard values for $R_2$ and $C_2$ are given by*
$$R_2 C_2 = 1/2.2 \times 25600.$$
The choice of both triac and pulse transformer require some care. The pulse length required on the triac gate depends on the holding current of the device and the load. This circuit was designed to handle 500 to 2000 watt loads. The supply voltage and load can be used to predict the time taken from the zero crossing for the current to rise to the holding current. This gives a worst case figure and turns out to be about 135$\mu$s, set by $R_1 C_1$.
The pulse transformer connections are arranged to give the most sensitive operation of the triac device. The pulse transformer has 12 volts switched across it by Darlington transistor TIP121 for a time equal to $t_{on}$. The final current in the primary is
$$I_{\text{max}} = \frac{12}{2\pi} (1 - e^{-t/t_L})$$
where $t_L = 4\pi r / 2\pi L$ is the inductance of one primary winding and $r$ its resistance. For the coil specified $I_{\text{max}}$ is 133mA, whilst the saturation current is 200 mA which ensures there is no excessive collector current. Collector current of the TIP121 will be 133 mA plus half the gate current. The value of $R_5$ can be fixed by the minimum gain of the TIP121 and its maximum collector current. Components $C_7$ and $R_{10}$ are only used for d.c. blocking and should be chosen to be transparent to a 135 $\mu$s pulse feeding the load $R_5$.
* RCA Data Handbook, 1977.
Poor pre-detection selectivity, second-order mixer intermodulation and high-gain amplification problems are all reduced by using differential circuitry for direct frequency conversion
by Paul E. Gili, WA1WQH
In single-ended transmission systems, the signal voltage is taken with respect to a reference (usually "ground") which is assumed common to all stages of the receiver. Unfortunately this assumption cannot be realized in practice. In the differential mode, by which I mean that connections from one stage to the next are made with two wires and the signal information is contained in their voltage difference, with proper device selection and circuit design, push-pull type circuits naturally evolve which reduce second-order intermodulation products and untuned signal detection. Induced hum and power supply ripple can similarly be reduced by using the high common-mode rejection ratios available in modern op-amps. The beneficial side-effects are at least these three:
- a balanced receiving antenna such as a small directional loop can be directly interfaced to the receiver without the phase and gain inaccuracies attendant with baluns
- r.f. circuit layout problems are drastically reduced because in a differential mode we don't worry about maintaining a constant impedance to ground (there is no "ground")
- if we ever cared about transmitting with a balanced antenna we would need both + and - drive signals --these are automatically available with a differential layout.
I have built the receiver whose block diagram appears in Fig. 1, and found that it does indeed achieve all of the advantages outlined above. I wouldn't waste your time describing something that doesn't work, so at this point you can either go ahead and duplicate my circuit, shown in Fig. 2, or read on and find out why it works.
I used a tuned-loop antenna to differentially drive the balanced inputs to IC₁, an MC1590 untuned video amplifier with a voltage gain of about 10 and a 10kΩ differential input impedance. A collection of small loop-antenna design equations is given in the appendix, which also explains why you should be using a loop antenna on the h.f. bands. The receiver's first stage performs two functions: it provides constant input and output impedances and acts as a buffer between antenna and mixer, and it provides about 20dB gain for the inefficient loop antenna. Due to atmospheric noise in the h.f. bands for which this receiver was designed, noise figure and antenna efficiency or G/T are unimportant factors. The important consideration is dynamic range, and for the direct conversion receiver, second-order intermodulation products. They must be low to reduce untuned signal detection. In the circuit, the MC1590 operates in a push-pull mode which suppresses this type of non-linearity by generating two equal and opposing non-linearities (when the device is driven non-linear) and cancels even-order harmonics.
After the antenna is amplified, it is differentially converted to the audio frequency range by a doubly balanced mixer circuit incorporating a CA3049. In fact, this circuit could be considered "triply-balanced" as there are no unbalanced ports at all (don't fall over on that one). The CA3049, to be described later, operates as a differential amplifier with its outputs switched in polarity at the local oscillator rate. The fact that gain is available in the upper switching transistors whose bases are at pins 1, 4, 7 and 10 and also the fact that the l.o. signal is a square wave ensures fast switching transitions from positive gain to exactly the same but negative gain. Lack of symmetry during the short switching transition time is known to cause intermodulation products. At h.f. relatively faster switching can be achieved with active devices using squared-up drive waveforms than can be achieved with diode ring-type balanced mixers. Up to 30 MHz, therefore, I think that the integrated bipolar transistor type of balanced mixer driven by a square wave is superior to other types of mixers. It will, however, respond to signals at odd harmonics of the l.o. almost as well as it does to the fundamental; these can be easily filtered out as they are widely separated in frequency.
At points C and D of Fig. 2, then, there is a differential audio signal which is amplified differentially by IC₂. These are the two op-amps connected in the classical differential instrumentation amplifier configuration with a differential gain of 40dB. This is where power line hum gets rejected and the amount of rejection depends on how closely you can match the gains to maximize common-mode rejection. You might want to make the gain of IC₂ slightly variable (±10%) by using a 910-ohm feedback resistor in series with a 200-ohm potentiometer instead of the fixed 1kΩ resistor shown. Residual power supply ripple from the 6.2-volt zener diode is in-phase at the inputs to IC₂ but the desired signals are 180° out of phase with each other at these points. With the circuit shown, differential signals get amplified by 40dB, whereas changes in the zener diode reference voltage come through unchanged. A 40dB improvement in signal-to-ripple ratio over a single-ended design is therefore effected.
At the output of IC₂ the signal has been amplified and filtered to a level where it is relatively impervious to the interference effects important to a direct-conversion receiver. From here on, we can use standard single-ended operational amplifier circuitry with one input, one output, and ground as a reference. I used a three-section Tchebychev 0.1dB ripple lowpass active filter with cutoff at 500Hz for c.w.
Fig. 1. Block diagram of differential direct conversion receiver
operation to drive the output stage. The lowpass filtering results in better c.w. copy than a high-Q, narrow-band-single-section active filter because of less ringing.
The local oscillator has to be stable, yet simple. In this circuit, oscillator transistor and integrated circuit provide an adequately stable differential local oscillator signal over about a 30% bandwidth centred at 3.6MHz. As the circuit shown is electrically tuneable, frequency stability depends on how stable a tuning voltage you can generate. After building and using the receiver, I came to the conclusion that unless some type of closed-loop frequency synthesis technique is used to stabilize a free-running wide-band v.c.o., mechanical tuning is preferable. I am, therefore, presently looking at electronically switched L-C networks which may be the subject of a future article.
With the differential signals available, we can take a very different perspective on circuit layout. By maintaining relatively high common-mode impedances compared with differential-mode impedances, we can do without a ground plane. Actually, the presence of a ground plane may negate some of the advantages achieved by the differential concept. If you intend to build a circuit of this type, feel perfectly confident that you can do it on perforated board with no decrease in the performance attributes outlined here. In fact, the further away you can get the balanced r.f. circuitry from a ground plane, the better off you will be.
Integrated circuits should still be bypassed at their supply voltage terminals. All differential signal leads should be tightly twisted pairs, as short as possible, and as far away from chassis or circuit ground as possible. This applies particularly to the following four transmission paths:
- connections from the balanced antenna outputs to pins 1 and 3 of IC₁
- connections from pins 5 and 6 of IC₁ to the A and B inputs of the mixer
- connections from points C and D of the mixer to pins 6 and 2 of IC₂
- i.o. connection from pins 5 and 6 of IC₃ to points E and F of the mixer.
The CA3049 should be laid out and wired as shown in Figs 3 & 4 which relate to the terminal connections of Fig. 2. This device is a high-frequency, layout sensitive component and we are using its high frequency capabilities to reduce intermodulation distortion, as described earlier. (The no-
**Fig. 2. Differential direct conversion receiver shown uses only five i.cs and three discrete transistors.**
**Fig. 3. Block labelled fig. 2 is really a "custom-made" integrated circuit including a CA3049 dual diff-pair.**
**Fig. 4. Mixer block in fig. 2 and shown in Fig. 3, can best be laid out as shown above. This will result in good high frequency performance and intermodulation reduction as discussed in the text. Using this layout will also insure a stable non-oscillating active h.f. mixer.**
menclature of points A, B, C, etc, on the mixer of Fig. 2 has been generated mainly to reduce the clutter which would appear on a detailed circuit schematic, but which is much more simple in an actual physical realization, as Fig. 4 shows.)
Appendix
Small loop antennas are useful for receiving systems in the h.f. band because their dipole-like directional characteristics are preserved even though their size is orders of magnitude smaller than an actual dipole at these frequencies. Their efficiency is extremely low, but at h.f. where most of the receiver noise is due to random atmospheric disturbances, it doesn't matter if you have a lossy, noisy receiver front end. A small loop's main attribute is its ability to easily null out a coherent man-made interfering signal by simple physical re-orientation of the loop. A 3.5MHz receiving loop antenna can be as small as two feet in diameter and have the same directional properties as a rotatable 80-metre dipole which would be about 130 feet long. Null depths of around 20dB can be achieved if phase and gain of the balanced antenna output are preserved. Naturally, you'll need a differential direct conversion receiver to do a good job at this.
For convenience in building small loop antennas, I've put together a number of design equations from various sources, shown on the right. Included is one relationship assembled by me which allows you to calculate the approximate r.f. voltage received from a transmitter as a function of the transmitter's range, power, frequency, and your receive loop antenna parameters. Of course the range depends on how the signal got to you, i.e. how many ionospheric bounces it took and how high the reflecting ionospheric layer was at the time. Polarization of the received wave also plays a part, as does the angle of arrival from the sky with respect to the loop's orientation (elevation as opposed to azimuth). One can easily get carried away trying to account for more variables than can be measured or even defined; however, the equation does give an answer which probably is within an order of magnitude of the actual number.
The small loop antenna has an equivalent circuit which may be derived from its physical parameters.
\[ R_t = 31.200 \left( \frac{nA}{\lambda^2} \right)^2 \text{ ohms} \]
\[ R_w = 2.61 \times 10^{-7} \sqrt{\frac{f}{2nR/d}} \text{ ohms for copper} \]
\[ L = n^2 \mu_0 R (\log_e (8R/a) - 2) \text{ nanohenries} \]
\[ V_r \approx \frac{(\lambda/4\pi D)}{\sqrt{8P_t R_t}} \text{ volts} \]
Definitions
- \( R \) mean radius of loop
- \( A \) area of loop, \( \pi R^2 \)
- \( d \) wire diameter
- \( n \) number of turns in loop
- \( a \) radius of bundle of wires in loop or \( d/2 \) if \( n=1 \)
- \( V_r \) peak amplitude of received signal
- \( R_t \) radiation resistance
- \( R_w \) conductor loss resistance with skin effect
- \( L \) inductance of loop (nH)
- \( f \) frequency (Hz)
- \( \lambda \) free space wavelength
- \( \mu_0 \) 12.56 nH/cm
- \( P_t \) transmitted power (watts)
- \( D \) range (same units as \( \lambda \))
---
LITERATURE RECEIVED
"Phase-locked Upconverters for Pulse-compression Radar" is the title of a booklet containing three re-printed papers by Microwave Associate's principal engineer. The articles are extremely well presented and form a useful collection of information on the subject. Publication available free from Microwave Associate Ltd, Dunstable, Bedfordshire LU5 4SX.
WW401
Timers, controllers, relays and connectors are all fully illustrated and described in a 60-page Tempatron catalogue, now freely obtainable from the Sales Department, Tempatron Ltd, 6 Portman Road, Reading, Berkshire.
WW402
Characteristics and mechanical details of microwave and r.f. power transistors, working in the range 1MHz to 4GHz at up to 500W peak pulse power are given by a catalogue for Acrian. There are, in addition, paged on reliability, testing and a glossy of transistor terms. March Microwave Ltd, 112 South Street, Braintree, Essex.
WW403
A leaflet on relays and timers of all types, which provides both electrical and mechanical information, is available from Appliance Components Ltd, Cordwallis Street, Maidenhead, Berkshire SL6 7BQ.
WW404
A selection guide giving brief details of all transistors and integrated circuits made by Raytheon can be obtained from Raytheon distributors and sales offices. Raytheon Semiconductor UK, Howard Chase, Pips Hill Industrial Area, Basildon, Essex SS14 3DD.
WW405
The Philips LDK 14SL colour television camera system is briefly described in a colour leaflet, available from Pye TVT Ltd., P.O. Box 41, Coldhams Lane, Cambridge CB1 3JU.
WW406
Semiconductors made by Plessey are listed, with salient characteristics, in a short catalogue, obtainable from Plessey Semiconductors Ltd, Cheney Manor, Swindon, Wiltshire SN2 2QW.
WW407
Test signals for audio equipment are described in a Standard from the International Electrotechnical Commission. A weighted noise test signal with a mean power spectral density is close to the average mean power of programme signals is described. The Standard includes the specification of the frequency weighting, together with filters for deriving signals from pink-noise and white-noise sources. Publication 268-1C available from IEC, 1 Rue de Varembe, 1211 Geneva 20, Switzerland.
WW408
National Semiconductors have issued a leaflet describing their NSC 800 \( \mu^2 \)CMOS microprocessor and associated devices. The double layer of polysilicon connections (hence the \( \mu^2 \)) are claimed to provide very high speed at low power consumption for the 8-bit m.p.u. family. Details from ITT Electronic Services, Edinburgh Way, Harlow, Essex.
WW409
The Pro-Audio Yearbook 1982/83 contains 686 pages of information and pictures to do with the various aspects of professional recording and sound broadcasting. Link House Magazines, Dingwall Avenue, Croydon CR9 2TA.
WW410
High power thyristors in small packages are detailed in Bulletins E2515 and E2516 from International Rectifier. Bulletin E2746A describes the IRK series of thyristor/diode combinations. Details from IR, Holland road, Hurst Green, Oxted, Surrey.
WW411
Electrically-Small HF Transmitting Antennas is the title of a Technical Note from Technology for Communications International Ltd, Kingston House, Stephenson Way, Three Bridges, West Sussex RH10 1TN.
WW412
Wilmslow Audio charge £1.50 for their new catalogue which includes details of their d-i-y loudspeaker kits and components as well as a range of ancillary equipment. There is a lot of useful information about loudspeakers and enclosures. Wilmslow Audio Ltd, D.A.T.A. books have published new editions of their Transistor, Diode and Thyristor D.A.T.A. books. along with the listings of the available devices and their characteristics, there is a new section which lists the replacements for components. Any replacement listed can, of course, be compared in detail in the device listings. Other recent additions to the 24-volume D.A.T.A. series are ones on Modules and hybrid i.c.s and others on discontinued linear devices. D.A.T.A. International Inc., Portman House, 16-20 Victoria Road, Romford, Essex RM1 2JH.
WW414
BS 6204 is a new British Standard for Safety of Data Processing Equipment. It specifies the requirements of data processing and associated electronics units intended to be connected to a supply system having a maximum nominal system voltage of 600V and designed for continuous operation. The Standard has been drafted to avoid the risk of personal injury or damage to equipment or buildings arising from electric shock, fire, energy hazards, mechanical and heat hazards, radiation and chemical hazards associated with the installation of such equipment. British Standard Institution, 2 Park Street, London W1A 2BS.
WW415
A massive catalogue of Linear Integrated Circuits lists the products of Precision Monolithics Inc. It includes op. amps, comparators, voltage reference, d-to-a converters, multiplexers, telecommunications chips and much more. Each entry gives a full specification, a schematic diagram and applications notes. The PMI 1982 Catalogue is available in the UK from Bourns Electronics, 17 High Street, Hounslow TW3 1TE.
WW416
SIMPLE, LOW-FREQUENCY OSCILLOSCOPE
A simple oscilloscope is based on the old ex-Government radar tube VCR517, which is still available, along with its variations VCR97 and small screen VCR138.
by P. J. Taylor
The circuit was designed to give good performance suitable for most simple low-frequency measurements. It uses, as far as possible, components which are readily available, and the circuit is straightforward with no critical adjustments or line-up. The total cost of components including the tube should not be more than about £35-£40.
Circuit description
The tube is run at about 2000 V e.h.t., which gives adequate brightness and spot size and at the same time eases the deflection-plate drive requirements. The X and Y amplifiers drive the deflection plates directly at a mean voltage of +100 V and the tube cathode is at a potential of −2000 volts.
For good focus, the potential on A₃ of the tube must be the same as the deflection plate potential and therefore a preset control is used to set A₃ potential, and acts as a second focus control.
The e.h.t. is generated by a voltage tripler, driven by a 500 V transformer winding.
The A₂ and A₃ focus controls are preset potentiometers. A₂ focus should be suitably insulated, since it is at about −1500V. Similarly, the brightness control should have a nylon spindle and the body should be fixed to an insulating mounting.
Y amplifier and input attenuator
The Y amplifier is a fully balanced, d.c.-coupled circuit with the Y input connected to one side and the Y shift to the other. The LF357 operational amplifier was chosen to drive the long-tailed pair, as it has a 20MHz unity-gain bandwidth and fet input. The voltage gain from the Y input to the output of each operational amplifier is ×12 and to each Y plate ×300.
The input attenuator gives accurate input attenuation with a constant 1 kΩ input impedance using a moulded, single-pole, 10 position switch. This type of switch, which is also used for the X speed control, is available in a plastic moulded form which gives good insulation resistance. A ring on the fixing bush is used to limit the rotation to 10 positions for the Y attenuator, or is left off if all 12 positions are used, as in the X sweep circuit. Non-standard resistor values can be made up from two resistors, for example, 470 k and 33 k give 500 kΩ, using 2% tolerance if possible.
Note that the simple input attenuator has no high-frequency correction, which this results in the full Y amplifier bandwidth only being obtainable at the 0.05 V/cm setting. At other settings of the attenuator (except 0.1 V/cm) the bandwidth is between 200 and 300 kHz. At 0.1 V/cm the bandwidth is 100 kHz.
The Y amplifier gain may be adjusted by the 1 kΩ resistor between the inverting inputs of the two operational amplifiers.
Sawtooth generator and X amplifier
The sawtooth oscillator is based on a CA3130 operational amplifier which has a c.m.o.s. output stage and permits the output voltage to reach the rail voltages (0 or +12 V). The basic sawtooth oscillator is shown in Fig. 1, in which the operational amplifier operates in a switching mode with the output at either ground or positive rail potential.
At switch-on, the capacitor is discharged and the output (A) will be at +12 V. The positive input of the amplifier will therefore be at +8 V and the transistor will be supplying current to the capacitor. The current will be defined by $V_e/R_T$ where $V_e$ is the voltage across $R_T$. In the basic circuit, this will be about 3.3 V when the amplifier output is at +12 V.
The capacitor charges up linearly until the voltage on the negative input of the amplifier equals that on the positive input (+8 volts). At this point the output will rapidly fall to ground potential, turning the transistor off and turning the fet on, discharging the timing capacitor through the 1 kΩ hold-off resistor. The positive input of the amplifier is now at +4 V. At the point at which the negative input is the same as the positive input the output voltage switches to the positive rail again and the whole cycle repeats. In the final circuit, a logic gate is used between points A and B, so that the sawtooth oscillator can be inhibited, ready to trigger.
The emitter resistor $R_T$ is used to set the sweep speed and is replaced in the final circuit by the sweep-speed switched resistors, which vary the current supplied by the transistor into the timing capacitor between about 0.8 mA 0.2μA.
The X amplifier takes the same form as the Y amplifier. There is a voltage gain of 2 to the output of each operational amplifier (8 V p-p sawtooth) and a further gain of about 30 to each X plate (240 volts p-p).
Trigger circuit
This circuit, comprising the three integrated circuits 4011, 4070 and 4013, takes
continued on p. 87
Specification
- Sweep speeds: 5 μs/cm to 20 ms/cm
- Vertical: 0.05 V/cm to 50 V/cm ac/dc
- Bandwidth: 1 MHz at 0.05 V/cm
100 kHz at 0.1 V/cm
200-300 kHz at other settings
- Input impedance: 1 MΩ // <20 pF
- Triggering: free run or trigger from +ve or -ve edge of input
- Calibrate waveform: 1 volt p-p square-wave, 1 kHz
* The bandwidth could be improved to 1 MHz on all settings using a more complex input attenuator with compensating capacitors. However, the simple input attenuator shown gives accurate low-frequency performance.
Fig. 2. Complete circuit diagram, less calibration oscillator.
Trigger circuit
Slew rate generator
X amplifier
Y amplifier
1Hz bandwidth at 0.5V/cm
100Hz " 0.1V/cm
200 - 300MHz " other settings
Input Z = 1M
SELECTIVE-CALLING UNIT
Designed for use with citizens'-band radio, this pocket-sized unit can be programmed to accept one of 65 536 different four-digit codes, and can call as many individual stations from values entered on a hexadecimal keypad. Coupling to the transceiver may be acoustical in both directions or through the radio's external loudspeaker socket for receiving. This unit could be adapted for use in electronic combination-lock applications.
by Brian Drury
The concept of selective calling for private-mobile, citizens'-band and amateur radio is not new, but existing systems are usually incorporated in the transceiver and often use expensive components. Also, the number of individual codes available is more often than not inadequate, especially where citizens' band is concerned.
Described here is a unit housed in a calculator-sized case, which can handle up to 65,536 different codes and uses readily available components. The received signal can be acoustically coupled to the selective-call unit by placing the latter near to the receiver's speaker, should the preferable method of connecting the unit directly to the receiver's external loudspeaker socket be undesirable.
Basically, a four-character hexadecimal number entered on the unit's keypad results in the generation of a sixteen-bit serial signal which is used to modulate the transceiver's carrier. This allows the user to selectively call any of up to $16^4$ receivers, and means that potential recipients only need to listen for a 'bleep' - rather than having to constantly monitor conversations on what may be a busy shared channel.
All the i.c.s used are c.m.o.s. types, the main element being the Intersil IM6402 uart (universal asynchronous receiver/transmitter), so operation from nickel-cadmium cells small enough to fit into the calculator-sized case is practical. Also, the components used are readily available and at moderate cost. The unit was designed to be small and versatile to allow it to be modified for other purposes, particularly in security applications, where it might be used to permit access to information, or to a telephone-answering machine, or, say, to unlock a garage door. In transpond mode, the unit may also be used for remote data interrogation.
Circuit description
Board A. This board, shown in Fig. 1, provides an interface between the keyboard and main logic board, board B, which is described separately. Hexadecimal codes are entered on a 16-key matrix-type keypad which is connected directly by eight wires to a keyboard encoder, IC$_2$. This i.c. responds to closed-contact resistances of up to 5kΩ, and provides a contact-debounce period proportional to the value of C$_1$; here, 1μF is used, giving a debounce period of around 1ms.
A clock signal applied to pin 5 of the keyboard encoder determines the keyboard-scan rate. The frequency at pin 5 in this case is 3.2768kHz, derived from a crystal oscillator, IC$_5$, and divide-by-ten circuit, IC$_1$. Half of a dual D-type flip-flop, IC$_4$, further divides this signal to provide the main 1.6384kHz clock used on the second board. The remaining half of IC$_4$ is used to steer the keyboard encoder's strobe output either into the 4-bit latch, IC$_3$, or off board A as STB.
When the unit is switched on, circuit elements R$_2$, D$_1$ and C$_3$ ensure that the steering logic starts out in the correct state, and provide a system-reset signal, RST, for the second board. Immediately after power-up, the first hexadecimal character entered on the keypad will be held at the Q outputs of IC$_3$. Entry of the second character will result in an eight-bit byte being shifted off board A by the STB signal. This board, while specifically designed for use with the 6402 uart, could be used in any application requiring manual entry of an eight-bit-wide data byte.
Board B. The main component on this board, shown in Fig. 3, is the previously mentioned 6402 uart, IC$_6$, which is used in its eight-bit mode, with even parity and...
one stop bit. More information on this can be obtained from the appropriate Intersil data book.
IC4 divides the 1.638kHz clock signal from board A by two to provide receiver and transmitter clocks for the uart. Within the 6402, these clocks are divided by 16, giving a bit rate of 51.2 baud.
In transmit mode, a zero at the buffer-register load input, pin 23, transfers data at inputs TBR1-TBR8 to the transmitter buffer register. A low-to-high transition on pin 23 results in a request to transfer data to the transmitter register. If the register is free, the two hexadecimal characters are sent to the TRO output, pin 25, in the form of an 11-bit frame consisting of eight data bits, one parity bit and two framing bits.
For receiving, the unit may be electrically coupled to the loudspeaker output of a radio, or acoustically coupled, when the unit is placed near to the radio's loudspeaker. As an aid to testing both transmitting and receiving functions, the unit may also be connected so that it monitors its own transmissions.
Although the signal source may vary, amplification in each case is provided by Tr1 and IC5. Tr1, used as a grounded-base voltage amplifier, has a low input impedance well matched to the moving-coil transducer and its parallel resistor, R9. When a jack plug is inserted in socket 2, however, switch S2 opens and the source impedance rises, reducing the gain of the amplifier.
Capacitor C3 couples the output of Tr1 to the inputs of one quarter of a c.m.o.s. Nand gate, IC5, used as a linear amplifier. The resulting modulated square-wave version of the carrier signal is then applied to Tr2, where data is recovered by removal of the carrier.
Recovered serial data is fed directly into the serial input of IC6, pin 20. When a complete frame has been received, a data-available signal, DR, appears at pin 19. This signal is used to gate the parity and framing error signals, hence, if a valid, errorless frame is received, pin 10 of IC1 will go high while DR is high; in practice, this period is around 10ms long, determined by R10 and C4.
A monostable, half of IC3, is triggered by the 10ms pulse to give an output for 2.2s. This signal, the duration of which was found by experiment to be the most convenient, is required in the event that a valid two-character data frame is received, but not followed by a second within 2.2s. The Q output at pin 6 of IC3 is connected to one clock input of a dual D-type flip-flop, IC4. On the rising edge of the signal at this input, the D input's state is transferred to the Q output, pin 1.
Logic used to compare a 'call number' stored in a diode memory with the first-received, valid data byte determines states at the flip-flop's D input. Figure 3 is used to help explain how the comparison circuit works. In the example, the diodes are drawn to represent a stored call number of 55 hexadecimal, and any binary-bit pattern other than 55 applied to the data input will result either in a logic 1 at point A or a logic 0 at point B. In either case the output will be 0. But when 55 is applied, point A will be at 0 and point B at 1, resulting in a 1 at the output.
Two such roms are used to store the 16-bit call word. If the first byte of the selective-call signal is equal to the value stored in the first rom, which has its output connected to point X, Fig. 2, the Q output of IC4, pin 1, will go high. If a
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**Fig. 2.** Main board B, based on the 6402 u.a.r.t. Here, eight-bit parallel words are turned into serial words and used to modulate an audio carrier in transmit mode. On receive, serial words are demodulated, converted to parallel and compared with hexadecimal values set on diode roms. If two received eight-bit words correspond with two words stored in diode roms, an audible alarm is sounded for 10s (C3). Pins 5-12 of IC6 should be reversed.
second byte is received within 2.2s of the first, it will be compared with the second diode rom, whose output is connected to point Y of Fig. 2. Where the stored and received bytes are equal, the second monostable of IC3 will be triggered for around 10s and gate the 1.638kHz carrier to produce an alarm.
Power for the rechargeable batteries is supplied through a jack socket to a bridge rectifier, so that a.c. or either polarity of d.c. may be used. R1 provides current limiting and D21 overvoltage protection.
**Construction**
A small, calculator-sized plastic case is used to house various components of the unit, as shown in Fig. 4. An aluminium facia, supplied with the case specified, must be accurately drilled according to the dimensions given in Fig. 5, especially in the case of the retaining-stud holes, as the studs are only 1mm away from the keypad. A position for an on/off switch is not given since the type of switch used and its placing are not critical. If rechargeable batteries are not used, the on/off switch may be omitted.
The moving-coil transducer is pressed into place and fixed using one or two drops of an epoxy-type adhesive applied from behind. A ¼in drill was used to remove the plastic supporting pillars in the plastic case and the keypad was fixed in place on the facia by ‘riveting’ the retaining studs using a warm soldering iron. Dimensions for the jack-socket holes are given in Fig. 6 and for board A in Fig. 7. Board B measured 4.15in by 2.35in.
Components on board A must be mounted as close to the board as possible, otherwise, problems will be encountered when attaching the facia assembly. When assembling board B, the batteries should be mounted last because an accidental short will probably cause damage to either the batteries or components.
When determining diode positions for the roms, it is best to write the bit pattern of the chosen number with the most significant byte on the right. In my version, only 5mm was available between the surface of the board at the position where the diode roms were situated, and the moving-coil transducer. Internal wiring is best done with flat cable since it gives a neat finished product. It is practical to wire the two boards together before mounting the keyboard and facia plate.
Finally, current consumption is measured and should be approximately 1.5mA in standby mode and over 20mA when an alarm is given. If the alarm is triggered each time that power is applied to the unit, an additional tantalum-bead capacitor should be connected in parallel with R11 on board B. The alarm may be cancelled manually by momentarily switching the unit off.
**Operation**
When completed, the unit is easily tested by entering its own selective-call number, which should result in the alarm being given for around 10s. If two units are available, they may be placed side by side and a rigid reflector positioned directly in front of the two transducers to provide acoustical coupling: each unit’s selective call number is entered on the other’s keypad, whereupon the relevant alarm should sound.
Normally, the unit will be used with a transceiver and be coupled electrically through JK2. Sufficient voltage gain is provided to cope with the lowest anticipated input signal so in most cases, a resistor will be needed in the signal line to provide a potential divider with R9. A typical value for this resistor when the unit is connected to a loudspeaker output, and the radio’s volume control is set at 50%, is 100kΩ, but some experimenting will probably be required.
If a call is unsuccessful, it is not possible to judge whether the failure is due to the potential recipient not being at home, or due to the signal not reaching its intended destination. This problem may be overcome using a third jack socket to tap the alarm monostable’s signal, pin 10 of IC3, which may be used to activate the potential recipient’s transmitter in transpond mode. Modulation is provided...
Fig. 5. Dimensions for the facia are critical. Four of the small holes are for the keyboard's mounting studs, which are riveted using a warm soldering iron. The transducer should preferably be a push fit in its hole, and fixed from behind using one or two drops of epoxy adhesive.
Fig. 6. Dimensions for the jack-socket holes. A third jack socket may be used, as described in the text.
Fig. 7. Dimensions for board A and positions of the keyboard connection holes. Board B measures 4.15in by 2.35in.
Although it is not advisable to use the unit when the background-noise level is high, a degree of success has been obtained under adverse conditions, including operating the unit from a noisy mini-van using simple moving-coil microphones.
If microphones with automatic-gain controls are used, it is possible that noise during the 'quiet' period preceding the first data byte will be sufficient to trigger the uart. Should the noise initially provide the correct parity and framing signals, it is unlikely that further noise will follow with the same correct parity and framing signals, in which case, the monostable will be reset through a negative-going signal at its CD input. Such a microphone was not available to test this theory.
Table 1. Mnemonics for the 6402 universal asynchronous receiver/transmitter.
| Mnemonic | Description |
|----------|------------------------------|
| VCC | positive supply |
| N/C | no connection |
| GND | ground |
| RRD | receiver register disable |
| RBR | receiver buffer register outputs |
| PE | parity error |
| FE | framing error |
| OE | overrun error |
| SFD | status flags disable |
| RRC | receiver register clock |
| DRR | data received reset |
| DR | data received |
| RRI | receiver register input |
| MR | master reset |
| TBRE | transmitter buffer register empty |
| TBRL | transmitter buffer register load |
| TRE | transmitter receiver empty |
| TRO | transmitter register output |
| TBR | transmitter buffer register inputs |
| CRL | control register load |
| PI | parity enable |
| SBS | stop bit select |
| CLS | character length select |
| EPE | even parity enable |
| TRC | transmitter register clock |
Comments
This selective call unit was designed with the sure knowledge that the facility it would provide could not be relied upon in the same way that the telephone service can. However, tests so far conducted suggest that the unit is useful even in less than ideal conditions, and generally the operational range is the same as that achieved with normal speech. Further improvement could no doubt have been achieved had a filter been added to bandpass the 1.638kHz carrier signal, but this idea was rejected because of the extra test equipment needed to align the unit. Also, the bulky components required for a passive filter would not fit in such a small case. A phase-locked-loop was rejected because of the need for passive pre-filtering and power-supply dependent oscillator frequency problems.
The design was based upon a standard c.m.o.s. uart in view of its low cost and availability; also, the use of eight-bit bytes provides for easy interface to microcomputers should the need arise. Modular construction allows the unit to be used as a byte-wide parallel-data entry terminal for microprocessor applications when board B is omitted. Alternatively, the unit may be used for serial data-entry applications using both logic boards, but with some components omitted.
Photo-copies of the p.c.b.-foil patterns and components positions can be obtained by sending a s.a.e. to Wireless World, Selcall, Room L203, Quadrant House, The Quadrant, Sutton, Surrey SM2 5AS. Requests for printed-circuit boards, whose price will depend on demand, should be sent to the same address.
Fifth-generation computers
The government has recently announced that it will be financing research into the development of 'Fifth generation computers'. The need for this is illustrated by the peculiar effect of the tumbling cost of large-scale integrated circuits. The very cheapness of the hardware means that we are using computers to solve bigger and more difficult problems and this results in an escalating cost in the writing of the programs. The situation has been referred to as the 'software crisis'.
The principal reason for the software crisis is that the internal structure of the computer allows it to operate on one piece of data at a time, using only one instruction at a time - the von Neumann architecture. The next step is to allow the computer to operate by overlapping the various stages that make up the execution of an instruction, so that a number of consecutive instructions are simultaneously active in various stages of partial execution. This is called 'pipelining', first used in Manchester University and is employed in large, fast computers such as the Cray 1. From a programmer's point of view there is little difference - it just runs faster.
An 'array processor' uses an array of similar processing elements but still has a single stream of instructions emanating from a central point. Each instruction is simultaneously carried out by all the processing elements in the array. Finally in this catalogue of existing computer architecture, we come to the multi-processor multi-instruction machine. These are still at the experimental stage. The CYBA-M computer, built at UMIST has a number of independent processors arranged around a common memory. Each processor has its own tasks to perform and is coordinated with the others through the shared memory. The shared memory when built normally can cause a bottleneck as it can only be accessed by one processor at a time. This may be overcome by having a number of separate memory elements, connected to the processors through a switching network.
This brings us to the Dataflow computer, the next, 5th, generation. The basic plan for a dataflow machine is that there are two main components; a block of processing units and an activity store (where the program is kept). They are interlinked by a high bandwidth communications path in the form of a ring. At any given time the processing units will be performing a number of tasks, each of which might be quite simple such as a multiplication. A packet of data complete with its instruction arrives at the processor from the activity store. The processed result is transmitted back to the activity store and its arrival there triggers the release of further tasks to be transmitted to the processing units. Many of the tasks may be performed independently and therefore asynchronously, the only time that operations need to be sequential is when one operation depends on the results of another. A program consists of a very large number of small tasks, coordinated only through their data dependencies.
As all the existing program languages are based on von Neumann architecture, completely new programs need to be developed. One such is KRC, The Kent Recursive Calculator, developed at the University of Kent. An interesting distinction is that once a value is assigned to a variable (i.e. X=A+B), this cannot be altered as there is no sequential order. So an assignment such as X=X+1 is not valid. The left-hand side of each assignment equation must be unique. In KRC there is a SORT operation and if we want to sort the elements of list X we could write Y=SORT X. Y is the name for the new sorted list while X remains unaltered. All data structures are built using lists including such elements as 'infinite lists' for example (1,3..), the list of all odd numbers. Many such lists constitute mathematical sets so elements of the language can be built by obeying the rules of set theory.
Such languages have still a long way to go as at the moment they actually take longer than conventional programs.
Much of the above has been extracted from a paper presented by David Turner of the University of Kent, presented at a recent seminar on the Fifth Generation.
For QWERTY read QPYCB
After an exhaustive computer analysis of the frequency of the use of letters in keyboard operations, and of the ease finger movements, PCD Maltron Ltd. have rearranged the positions of letters on the keyboard. They claim that their keyboard has 90% of the letters of the 100 most commonly used words on the 'home' row, which on the usual typewriter is ASDFGHJKL. On the Maltron keyboard this becomes ANISFDTHOR. The analysis also suggested that the distribution of the letters could be arranged so that the same finger is used less often successively and that there could be a lot less hopping up and down the rows of keys. In these two respects the improvement claimed is in the ratios of 9:1 and 256:1 respectively. Not only are the keys altered in their relative positions but they have been arranged so that the keys operated by each hand are physically separated and instead of being on a single plane are adjusted so that the keys operated by the longer fingers are sunk into the plane of the keyboard and all the keys require a
minimum of movement to be operated.
New learners can be trained faster than on traditional keyboards, according to trial tests. Even those already skilled in QWERTY operation can be supplied with the ergonomically moulded keyboard but with the traditional order of the keys. Error rates have been shown to be reduced to one tenth while speed can be increased by up to 40%. This could be very important as the keyboards for computers seem to be invading every aspect of our lives, at least until there is an efficient voice recognition system.
**Engineers surveyed**
The Institution of Electrical and Electronics Incorporated Engineers (formerly the IEETE) have conducted a salary survey of their members which showed that there has been an average increase in income of 30% over their last survey two years ago. The most noticeable difference is that the difference between salaries in the public and private sectors of industry has increased with Incorporated Engineers now taking home an average of £1,190 more than their counterparts in the private sector, compared with a difference of £410 in 1980. For the technician who was better off by £50 in the private sector, he is now worse off by £300 compared with his publicly employed peer.
Incorporated engineers can expect to break the five-figure barrier. Technician Associates on average get £8,000 in the public domain and for graduates the figure is £8,400 (their private-sector counterparts get £1,000 less).
The best paid members work in General Administration, the next best in Broadcasting, Telecommunications and Postal Services. After them come the workers in Electricity Generation and Distribution (and for technicians the Armed Forces). Where they used to earn most, in the chemical and processing industries, they have now been relegated to fourth place.
The predominant qualification for members is still the HNC.
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**BT up for sale**
As predicted in our May issue, the Government has at last announced its plans for the 'privatization' of British Telecom. The process started with the granting of a licence to Project Mercury. Then there was the opening of the doors to allow private-sector selling of telephone apparatus direct to the public. Patrick Jenkins, in a Statement to the House of Commons, said that the liberalisation of telecommunications had started and that he intended to see it through.
He pointed out that 90% of BT's investment programme was financed by BT, or rather by their customers. Consequently, costs to the customer had risen to an 'unacceptable level'. Selling BT would generate capital for investment: the proposed sale would take place after the next General Election. Any legislation would keep BT as a single enterprise.
The Board of British Telecom has been very cautious in its response. Until detailed proposals are put forward, the Board is unwilling to express any general view on the proposals. They welcomed the Secretary of State's commitment to full consultation and would be seeking to ensure that BT would have a stable basis for future development.
British Rail's R&D Division at Derby is using a Dataport 5 hand-held microcomputer to record the measurements of the effects that vehicles have on rails. The Dataport can retain the data and then at a later stage transmit it to a host computer, by telephone if needed. It is hoped that the research will lead to improved passenger comfort and into a better understanding of rail and wheel maintenance. The Dataport 5 is produced by Data Recognition in Earley, Berkshire.
24-track digital recorder
Sony have launched their PCM 3324 recorder which offers many of the advantages usually associated with analogue machines. Spliced joins or punch-in recordings are simplified by means of a computer-generated cross-fade over the join to give a continuous signal round the insert or edit point.
At a recent demonstration, Sony transferred a recording from the first track to the second and then to each of the 24 tracks in turn and then played the 24th recording in stereo with the original. There was no audible difference. In addition to the 24 digital tracks there is a stereo pair of analogue tracks, a control track and a time-code track. There is a long catalogue of features and operations; one that appealed to us was the ability to rehearse an edit; to be able to hear what it would sound like without losing the originals.
There is a claimed dynamic range in excess of 90dB and all 28 tracks fit onto \( \frac{1}{2} \)in tape.
The head configuration of a Sony PCM 3324 digital tape recorder. The heads from left to right are 1. Advance digital recording head. 2. Digital play-back head. 3. Analogue erase head. 4. Analogue record and playback head, and 5. The synchronised digital recording head.
Micros in primary schools
At last Clive Sinclair has a foot in the door. The ZX Spectrum microcomputer has been accepted as suitable for use in primary schools. This is an extension of the 'Micro in schools' project which is part of Information Technology campaign of the Government, through the Department of Industry. Like the scheme for secondary schools the DoI is offering 50% of the cost of the computer to schools which can raise the other 50%.
Other systems selected for the scheme are the BBC Model B and the Research Machines Link 480Z.
Recording medium
The needle-like particles used in magnetic recordings have a limitation. Because of their physical length, there is a minimum distance between the two points where a change of magnetic flux can be recorded. The current maximum density for data storage is about 15,000 bits per inch; with multi-track recorders it is possible to get a large amount of information onto the magnetic medium. However there is a limitation and any attempt to increase bit-density can lead to a loss of data. One solution has already been mentioned in these columns; the EMI Watermark system orients the magnetic needles across the magnetic track — transverse instead of longitudinal. Another system proposed by Vertimag of Minnesota, USA (co-incidentally the home of 3M), is to get the magnetic particles to stand on end, perpendicular to the surface.
With the vertical system, each particle can be shorter and thinner without losing its magnetic coercivity. In fact by some
quirk of nature it is found to improve the coercivity.
This leads to a tenfold increase in the bit density. 100,000 bits per inch is already achieved and experiments have shown that 400,000 will be possible. This may be compared with 25k b.p.i. for an optically read laser disc and in terms of bits per square inch can even compare favourably with a 64K, random-access memory, which can hold $10^6$ bits in a square inch while the vertical magnetic recording can have $10^{10}$.
Vertimag are concentrating their development into the production of computer memory discs. First the 'floppy' variety where a disc will offer three to five times the capacity of an equivalent conventional disc. One drawback is that the medium is produced by using a sputtering technique to deposit the chromium cobalt crystals on to the backing. This is expensive and discs are likely to cost up to 75% more than the conventional ones.
Further advantages will become apparent when the technique is applied to hard disc memories of the Winchester type. With their sealed environment and more precise mechanisms it is possible not only to improve the linear density but also the number of tracks on the disc. Similar advantages will accrue to digital tape and disc recording for audio and video applications.
The vertical magnet idea was developed in Japan but Vertimag are hoping to beat the Japanese at their own game and be able to sell products ahead of them.
**News in Brief**
British Aerospace has been appointed prime contractor for the European Space Agency's Giotto scientific satellite which will intercept Halley's Comet in 1986. Giotto will be Europe's first space explorer when it begins its eight month journey to the interception some 150 million km from Earth. Data will be transmitted back in the S and X bands.
Other news from the ESA is that the Marrecs-B Inmarsat satellite and Sirio-2 the Italian communications satellite are to be launched together from Ariane L5 — the first fully operational launch of Ariane. The two satellites will be put into orbit by a dual launch system developed by Aérospatiale known as Sylda.
Video coverage of the attempt at the land speed record is to be provided by lightweight TV colour camera and a portable tape recorder to be installed in the cockpit of the jet-powered Thrust 2 car, driven by Richard Noble. The equipment supplied by Sony will be subjected to forces up to 6½G and it is not yet known if it can stand up to it. Sony are quietly confident.
Two fibre-optics experts, Dr George Newns and Dr Keith Beales have been awarded the Martlesham Medal by their employers, British Telecom. They developed a method of cladding one type of glass in a sheath of another type to improve its internal reflectivity along the fibre. Their 'double-crucible' technique is a versatile process, capable of producing most types of fibre.
After seven years of producing professional audio equipment Monogram are seeking a buyer. Don Purkis, the company's founder, says the unexpectedly high development costs, spent on an as yet unexploited new product, have lead to the downfall of Monogram. Now Mr Purkis is looking for a buyer prepared to spend, we believe, around £12 000. He can be contacted by ringing London 573 3362.
The Home Office has set up an Independent Review of the Radio Spectrum under the chairmanship of Dr. J. H. H. Merri man. The first area of enquiry is to be the use of TV Bands I and III once the 405 line services are withdrawn.
Channel 4 commences broadcasting in November and already some 31 transmitters are ready to provide the service to about 87% of the population. The task of converting all the main IBA transmitter and 600 relay station will not be completed until 1984.
TRANSMITTING AERIALS ON MODERN MERCHANT SHIPS
Following a lengthy correspondence in our Letters pages on the deficiencies of modern marine communications, John Wiseman presents photographic evidence of what he calls "the insanities of ships' aerials".
by J. Wiseman
Mr Wiseman is a freelance marine radio officer.
In the early days of marine radio, almost every merchant ship had two tall masts for the very practical purpose of supporting the cargo derricks, the principal method of cargo handling of those days. This fortunate circumstance provided, at no extra cost, a ready made means of supporting a transmitting antenna for operation in the band 400 to 525 kHz, a band chosen to take advantage of the 24 hour, long-distance, ground-wave propagation characteristic of low frequencies, while still permitting the erection of a reasonably efficient aerial in the space available onboard ship.
The aerial provided was invariably a capacitive "flat-top", inverted "L" or "T", resonating with the transmitter tank inductance at the transmitted frequency, heaviest current up, and omni-directional radiation from, the vertical section, rising to a good height and clear of the superstructure.
Textbooks of those days had whole chapters on antenna theory. For example, the Textbook of Wireless Telegraphy, by Rupert Stanley, 1919, makes the following observations: "... the range of transmission, or the energy radiated, depends on the (height)$^2$ for a given aerial current ..." and "... the greater the capacity of the aerial the less will be the maximum voltage strain on its insulation for a given aerial current and frequency ... the capacity of the aerial is increased by having two or more wires in parallel ... the greater the capacity of the aerial, the more energy it will take from the closed circuit for a given voltage strain ..."
The wisdom of Stanley's words is echoed by the Admiralty Handbook of Wireless Telegraphy, 1931, according to which: "... the greater the capacity of the aerial, the less inductance will be required for tuning to any particular wave, and consequently the less will be the oscillatory potential of the aerial above that of the deck insulator. $V = \frac{I}{\sqrt{LC}} \ldots$", and "... defective insulation will account for a considerable loss in efficiency, especially on long wave ... leakage to earth in this way is equivalent to having a resistance in parallel across the aerial capacity, and this can be replaced by an equivalent series resistance, whose value (approx) is given by $10^{-2}C^2R$, where $R$ is the resistance of the leakage path ...".
The following table will illustrate that aerials of low capacity are less tolerant to problems of parallel leakage. It is compiled for antennas of 500, 250 and 150 pF operating at 500 kHz.
| series parallel | series equivalent at 500p | series equivalent at 250p | series equivalent at 150p |
|-----------------|--------------------------|--------------------------|--------------------------|
| 10kΩ | 40.5Ω | 162Ω | 450Ω |
| 100kΩ | 4.05Ω | 16.2Ω | 45Ω |
| 1MΩ | 0.405Ω | 1.62Ω | 4.5Ω |
| 10MΩ | 0.0405Ω | 0.162Ω | 0.45Ω |
I only mention these elementary matters to show that all necessary information on good aerial design has been readily available for 50 or 60 years.
Times have changed: only passenger ships have long aerials now. Since the early 1960s, bulk-carriers, container ships, supertankers, chemical and gas tankers, with their specialized, shore-based loading gear and gantries, have done away with masts, changed the shape of ships, and created a whole new menagerie of aerials. Some of the problems they have given have...
Fig 1. Collection of diagrams on sound marine aerial design from early textbooks. Inverted L and T aerials at (a) and (b) are from "The Maintenance of Wireless Telegraph Apparatus", P.W. Harris, 1917. Diagrams (c) to (f) show 'capacity aerials', taken from "Wireless Principles and Practice", L.S. Palmer, 1928, and the insulators at (g) and (h) come from "Handbook of Instruction for Wireless Telegraphists", Hawkhead and Dowsett, 1918.
British flag, 11,897 g.r.t., B.1973, taken at Kobe, Oct. 1981. Parts of aerials radiating most are two horizontal wires, hanging from bottoms of whips below funnel and optimistically described as 'feeders'. Whips look very 'modern'. Insulators are inaccessible for inspection and maintenance. These are really mini inverted L aerials rotated through 90 degrees. To obtain sufficient capacity for full power operation, both are operated in parallel, frustrating the concept of main and reserve aerials. No use is made of signal mast to obtain good aerial height. Works well at h.f.
been discussed in the Letters to the Editor columns of WW over the past three years, under the heading "Failure of distress signals at sea". The photographs reproduced here have not been specially selected. They are by no means an exhaustive collection, but they are typical enough. There is a 'Murphy's Law' about photographing aerials; the most interesting and splendid examples sail past during a tropical thunderstorm, or are seen in ports where persons with telephoto lenses are likely to be shot on sight.
There are neither "good" flags nor "bad" flags. The "designers" of these aerials appear to be (a) d.i.y. enthusiasts, (b) practitioners of black magic, (c) persons who have not heard of Rupert Stanley, and who believe that "a more powerful transmitter will compensate for an inefficient aerial", or, in too few cases, (d) real radio engineers.
The commentary accompanying the photographs will refer in general to operation at 500 kHz. The Home Office 'Code of Practice for Ships' Wire Antenna Systems for Radio Telegraphy Transmissions in the Frequency Band 405 to 535 kHz", MPT 1270, published 1974, gives, as the "major objectives at the design stage", the following criteria: "... in order that the required antenna shall
From left: British flag – plywood lead-in-trunk for minimum shunt capacitance – brass bells shield lead through insulators from spray and rain, but they are shunted by unprotected strain insulators; Italian flag – steel mesh offers neither protection from weather nor reduction in shunt capacitance; British flag – no trunk at all – cheaper and quicker to cut holes in wall, but efficiency of shielding bells on horizontal insulators is doubtful – bells shunted by unprotected strain insulators (seems to be universal practice).
USSR flag, 3236 g.r.t., B.1963. Photographed in W.Africa, Sept. 81. Maximized capacity, minimized leakage on a 19-year-old ship. Return to the basic principles, of 1919 and rational design.
East German flag, 11,127 g.r.t., B.1976. Photographed at Yokohama, Oct. 81. High capacity ‘sausage’ aerial with good height and only three possible points of leakage. Many splendid examples of this type can also be found on French, Belgian and Soviet vessels. The mast aerial in the background is a standard model widely used on eastern bloc merchant ships.
British flag. Receiving whip bends in strong wind, almost touching transmitting aerial.
current at the radio transmitter could be misleading and would not give a good indication of the radiation from the antenna.
(10) the radio installation is efficiently earthed to the ship’s hull.
How would the aerials depicted measure up to these requirements?
Linsley Hood 100W amplifier – corrections
Several errors and omissions made the circuit diagrams of the amplifier – given on p.28 of the August issue – misleading. We apologize for them and give the corrections below.
Ordinary small-signal transistors (high-voltage, where necessary) are suitable for the early stages, and it was not intended to tie them down too specifically, but the types used in the prototype are: Tr₁–BC447; Tr₅,₆–MPSA93; Tr₄,₇–MPSA43; TR₁₃–BC212; Tr₁₀–BC182; Tr₁₁–2SK134; Tr₁₂–2SJ49. The output transistors should be n-channel (Tr₁₁) and p-channel (Tr₁₂).
The negative supply to Tr₃ should be negative, the Zener and C₃ being shown upside down. Capacitors C₉ and C₁₀ can be reduced to 100μF.
Resistor values in Fig. 25 are not shown, since they are the same as those in Fig. 24; R₅,₈ are 1M5, R₆,₇ are 3M9 and R₄,₁₄ are 2M2. Care should be taken to connect the pins of Tr₃ to the correct pads on the p.c.b., since the case outline is shown ‘twisted’ from the correct position.
This year, a record number of well over 72,000 visitors attended the Consumer Electronics Trade Show in Chicago. There were more than 1,000 exhibitors dispersed in the huge McCormick Center and various hotels in the city. In general, the mood was one of cautious optimism and most dealers were looking for increased business in the future when the political and economic climate improves.
As with the last three Shows, the emphasis was very much on video – which in this context includes computer-based electronic games, many now embellished with “speech”.
**Video discs**
Big news from RCA was the introduction of a new video disc player which features an infra-red remote control, a fast search speed (16×) in both directions, rapid access (120×) and stereo audio tracks with CX noise reduction. Similar models using the RCA CED system were being demonstrated by Zenith, Toshiba and Hitachi. RCA’s Vice-President, Thomas Kuhn said: “Despite the recession, US consumers spent more than $90 million for CED players and discs in the product’s first year”. Although the VHD players were being heavily promoted by Panasonic and JVC with programs in NTSC, Pal and Secam formats, release has been postponed again. Rumour has it that work is proceeding on a recordable disc although many experts believe this is unlikely. However, it is known that the Japanese broadcasting Corporation (NHK) has developed a video disc that can be recorded and erased any number of times. It uses a thermomagnetic principle for recording and the Kerr optomagnetic effect for laser playback. Prototypes have a carrier-to-noise ratio of only 38 dB but work is proceeding on methods of improving it.
The third system-LaserVision, was represented by Pioneer and Magnavision among others and the new models also use CX noise suppression. At the January Show in Las Vegas, Kenwood caused a minor sensation with the introduction of the first audio-video amplifier which features a video enhancer circuit, switching for VCR’s and V-Disc players, provision for mic dubbing and more, all combined with a 50 watt integrated amplifier. This model really heralded the coming audio-video ‘marriage’ caused by the enormous number of potential video program sources and the need for better sound quality.
**Television**
Although as yet there is no stereo tv in the US, apart from some cable systems, most of the new VCR’s and video disc players have this facility, usually with some kind of noise reduction system, so the tv set with its poor quality loudspeaker is just not good enough. In addition there are the electronic games, computers and satellite tv signals – all requiring connections to the tv. There is no question that the tv of the future, the near future, will be just a monitor, part of a component system needing only a video signal for direct application to the tube. Sony’s Profeel system is one of the first and similar units were shown by nearly all the other tv manufacturers. Some have amplifiers built in to the monitor while others like Jensen, offer a combined audio-video receiver. Model AVS-1500 combines a a.m.-f.m. digital tuner, a 133-channel tv tuner and a stereo 50 watt amplifier with a microprocessor controlled switching unit – all in a single unit. There is a choice of 51cm or 67cm colour monitors. The smallest monitor comes from Hitachi; it has a 10cm screen and there are two built-in 6.5cm loudspeakers.
There is a definite trend towards larger tv screen sizes: Sony were showing a prototype with a new 80cm picture tube and there were a number of new projection models. GE unveiled a 110cm rear projection model which has a built-in stereo amplifier rated at 10 watts per channel – plus two loudspeaker systems. A switch panel allows connection to external video sources. Other rear projection systems with similar size screens were shown by RCA, Sony and RCA. Pioneer’s LS-501 is a forward projection model and the screen size is about 130cm. Zenith claim to eliminate picture distortion in their 100cm projection models. The red, green and blue tubes are mounted side by side but the faceplates of the left and right tubes are tilted to cancel out distortion caused by the angle of projection.
**Video cassettes**
Now for a look at some of the new video cassette recorders. With the appearance of the T-160 long-playing tapes, most of the new VHS recorders can record up to eight hours. At the other extreme, a number of mini-portables were seen using a new format called UCM, for Ultra Compact Machine. These mini-VHS models were shown by RCA, Sharp and JVC, the average weight being only 4½lbs. Playing time of the cassettes – which are slightly smaller than a cigarette pack – is 20 minutes. Adaptors permit them to be used with standard VHS machines as ½ inch tape is used. Apparently the UCM format was developed to meet competition from Grundig, Funai and Technicolor who make small portables using 6mm tape. Discussions are being held among some Japanese manufacturers concerning an entirely new format employing 8mm tape for portables but production might be two, or even three years away.
Marantz were demonstrating a Beta VCR which was specially designed for high quality sound reproduction and among the features is Dolby C and stereo sound. Panasonic’s VHS model PV-1780 also has a similar specification with Dolby and Stereo but, like many VHS models it employs four video heads. This means that field-by-field scanning is used for the “still” mode instead of frame-by-frame.
Sony had a new Video Special Effects Kit which includes an effects generator, a monochrome video camera which, when...
combined with a colour camera and VCR can provide such effects as superimposition, colour keying alteration in up to six colours, monochrome reversal, plus remote control of VCR transport functions. The kit also has a close-up lens, camera stand and title holder. For the professional, Sony introduced a waterproof "marine pack" designed to protect portable Betamax video equipment during underwater shooting. It is equipped with a built-in microphone.
**Audio**
Although audio seems to be taking second place to the more glamorous video products, there were plenty of new items in all price ranges. Here are some of the most interesting: AR were demonstrating their new digital signal processor which compensates for loudspeaker-room acoustic deficiencies. Figure 1 shows the basic circuit: the listener presses the re-set button and a random noise-like signal from the m.p.u. memory is sent to the loudspeakers via the a-to-d convertor. This signal is picked up by a microphone located in the remote hand-held module and stored as ram data under control of the m.p.u. The data is analyzed and compared with the original to produce a filter which is then inserted into the preamp circuit. Each channel is analyzed separately so there are really two filters. The system operates to 1 kHz and a typical pair of before-after response curves are shown in Figure 2.
Last year Onkyo introduced a double cassette deck, this has now been joined by a "second generation" model with other twin decks from Sansui, Hitachi, Sharp, JVC and Technics. Most offer a fast speed for dubbing so a single side of a C-60 can be copied in 15 minutes. Perhaps the most significant development in cassette decks is a revival of interest in microcassettes. Panasonic make a miniature model using dbx, while Sony's TC-MR3 is described as "the first home microcassette deck." One of its advertised functions is to make tapes for the Sony Walkman and similar models. Few pre-recorded microcassettes are available at present but this situation is likely to change soon. Meanwhile, blank cassettes using metal formulations are being marketed by Sony, Fuji, and TDK among others.
Denon were showing a 'Pure Class A, No-Feedback' 200 watt amplifier last year and now they have a matching preamplifier. This is the PRA-6000 which also uses no feedback. Equalization and tone controls use passive circuits while input switching is electronic. The price is pretty steep at $3,000. Another interesting amplifier comes from Harman-Kardon, the Citation XX which was designed by the Finnish engineer, Matti Otala. It includes an instantaneous current capability of 200 amps so the amplifier can deliver 14,000 watts per channel into a 0.35 ohm resistor under transient conditions; a low value of negative feedback; dual power supply with a total capacitance of 80,000 mfd; three thick copper plates are used to form a low impedance transmission line from the power supply to the output transistors.
Rated output is 440 watts per channel into 4 ohms with no more than 0.1% THD. A special feature is a three-position switch for bias so the current can be adjusted according to the power level desired.
The new Quad ESL was attracting a lot of attention - so was the latest electrostatic loudspeaker from Acoustat, the Model Eight which stands 94 inches high. It has a radiating area of over 23 square feet and is capable of a s.p.l. of 125 dB at a distance of 25 feet. The impedance is said to be "an extremely peaceful 6 ohms". At the other extreme; in terms of size B & W were making some impressive sound with a new mini system measuring 240mm by 155mm by 190mm which was designed for domestic or car use.
New turntables caused no great excitement among dealers; although there were several new linear tracking designs from manufacturers like Sansui, Luxman, JVC and Technics. The most unusual was a precision linear arm from Southern: unlike all the other models now on the market, it doesn't use a servo-drive mechanism as the record groove pulls the cartridge across, just like a conventional pivoted arm. In order to do this, arm friction needs to be very low indeed, as does the mass. The arm is actually made from a glass composition and weighs only 1/4 grams. A three-point suspension is used with stainless steel and sapphire bearings and it runs on pure quartz rods. Price is about $600. Yet another unusual arm was the Townsend Elite which is a pivoted design with a difference. An extension section near the cartridge floats on an arc-shaped trough filled with silicone to provide damping and the turntable base can be hit quite hard before mistracking occurs.
**Radio**
One of the issues causing some arguments among engineers is the proposed a.m. stereo transmissions. There are no less than five systems contending for acceptance: Magnavox, Kahn, Belar, Harris and Motorola. All employ some kind of phase modulation but the Kahn system has independent left-right sidebands. The Belar approach is to frequency modulate the carrier while the other three systems phase modulate the carrier. Most of the Japanese manufacturers appear to favour the Magnavox system although the Harris system which was demonstrated at the Show has several advantages. These include a wider bandwidth, separation up to 15 kHz and the smallest occupied bandwidth. As shown in the block diagram, (fig 4) the Harris system amplitude modulates two RF carriers separated by 30 degrees and 90 degrees phase difference. The left channel modulates one of the signals while the right modulates the other. A pilot tone is varied from 55 to 96Hz to enable the receiver to track this varying phase difference and provide normal stereo decoding. Although this means that channel separation can only be maintained down to 200 Hz, this is not considered a serious drawback. The block diagram shows the decoder arrangement: unmodulated i.f. is generated with the phase locked loop to quadrature detect the l-r stereo difference information. After attenuating the L+R to match the L-R, both are fed to an audio matrix to recover the left and right audio channels. The basic circuit will be available in a 24 pin ceramic DIP (HS-3604) later this year. Harris say that orders for over 150 transmitter adaptors have already been received, but these will obviously be cancelled if one of the other systems is adopted. It is now up to the broadcasters to make a decision. At the Show, Sansui were demonstrating a receiver equipped to receive signals from a local transmitter in the Kahn, Harris and Magnavox modes.
Arguments are still going on concerning the compatibility of the CBS CX noise reducing system. Fewer than two dozen CX records have been released although some 200 are promised by the end of the year. Several receivers were to be seen featuring CX and a number of decoders are now available while the system is being used in video disc players and VCR's.
I counted 17 compact digital disc players at the Show but only one company, Cybernet, claim that units are being actually produced. The software situation is not too clear although Polygram claim that they will release 200 to 300 records by the end of the year.
**Electronic music**
Casio's new musical keyboard lets the user create 1000 different sounds which are stored in 10 memories. Arpeggio patterns can be programmed to match the music by reading in up to 127 steps, 9 note pitches and rests. There is a built-in "sequencer" which allows the user to program a series
of notes, play the sequence and create other sounds – all at the same time. Other features include digital frequency display, vibrato, sustain, delayed vibrato and preset sounds for such instruments as a bassoon, pipe organ and flute. The keyboard is a full-size 61-key model and the instrument has a built-in loudspeaker. Another musical instrument from Casio is the CT-701 computerized electronic player piano. It uses a “miracle scanner” and the user just passes a wand over a printed bar code music sheet and the tune is instantly put into the keyboard’s memory for instant playback. The instrument can store up to 345 melody notes and up to 201 accompaniment chords.
**Home computers**
The Commodore MAX machine uses a new m.p.u., the 6510, to produce a variety of music and sound effects. There are three “voices” each with a 9 octave range and the instrument is said to, “command amazing orchestration when used with a good quality audio system.” With a BASIC language cartridge, MAX users can learn the fundamental language of computing and write their own programs which can include maths functions. Commodore also introduced a home computer, the Model 64, which the American Express said, “could be the m.p.u. industry’s outstanding new product introduction since the birth of the industry”. It can use VIC 20 peripherals and the addition of an IEEE-48 cartridge will enable it to run other peripherals including CBM printers and disc drives. Another feature is its capability of using a Z-80 add-on processor board to run CP/M. The 40 column by 25 line screen and 16 colours, plus its 64K of RAM help to give it one-third more computer power than the Apple II at $595.00 – less than half the price.
The most inexpensive computer at the Show was the Timex-Sinclair, which sells at less than $100. It is a modification of the Sinclair ZX81 and manufactured in Scotland.
An interesting telephone adaptor was shown by International Mobile Machines Corporation and it is intended to screen phone calls, tell you who is calling and it also features a memory. It works like this: whenever someone dials your number, the phone will not ring but a pleasant synthesized female voice asks the caller to enter their personal access code by pressing the appropriate buttons. If the code you’ve authorised is entered, the number appears on a digital display so you know who is calling and who the caller wants to speak to. A touch of a button and the Access codes of all those callers who tried to reach you will be displayed. The system is called “Privecode” and one of its uses is to stop people from being bothered with wrong numbers, obscene calls and slick salesmen.
Mitsubishi were demonstrating what they called a “Micro Robot Minicomputer system” which consisted of a keyboard computer with display, plus a “mechanical arm”. This was a jointed structure mounted on a base and powered by six drive motors. There are five degrees of freedom with independent rotation around six independent axes and a multi-location memory. The device, called a Move-Master can be controlled by a number of standard computers but the Mx-6000 was specially designed to interface. It has a 5 inch green display, 64K dynamic RAM, floppy disc, 640 character display and an impact type dot matrix printer. Programming languages include BASIC, assembler and a new robot-oriented language called M-Roly. What can this robot be used for? Well, the makers say it is useful for getting practical experience in robotics either for the hobbyist or for educational.
**Etc.**
Do you play golf? If so, Mitsubishi have just the gadget for you – the GL-500 Golf Trainer. It consists of a computerized display unit mounted on an artificial grass mat base. As the club passes over this base, the shot is detected by four sensors and the data displayed. This includes head speed, head angle, hitting area of club, shot direction and the difference in distance between the aimed and actual point at which the ball would land. Now if they would only make a similar device for cricket . . . Prize for the smallest radio must go to Sony’s wrist watch model which uses on-chip technology. A four-function LCD displays time, alarm time and AM station frequency. Loudspeaker is a one-inch model . . . Marantz were demonstrating the “Sing Along System” which uses a cassette deck with special tapes so the lyrics of popular songs are displayed on a screen . . . Texas Instruments were showing the “Magic Wand” reader designed for young children. It features an optical scanner built into a “Magic Wand” to read talking book codes which are translated into “human-like” voices. The vocabulary consists of 200,000 words and there are various sound effects and music songs.
---
**Fig 4. The Harris system for receiving stereo a.m. radio**
Air data links
During recent years there have been several major disasters that appear to have been brought about, or at least assisted to happen, by misunderstanding of air traffic control messages in circumstances which suggest that poor speech intelligibility may have played some part. The hazard, if hazard there is, occurs less on routine messages than where there is some marked departure from message formats that follow a pattern familiar to the pilot.
Voice communication with aircraft involves achieving intelligibility in a very difficult environment, and it is this factor rather than basic distortion that appears to account for some of the problems. Whatever the cause, aircraft communications still fall a long way short of high fidelity.
One approach would be to replace voice communications with a data link, provided that this would not add to the load already imposed on the eyes of a pilot. An alternative would be voice assisted by data. G. Bennelli of Florence University has put forward proposals for simultaneous voice-data links over a simple radio channel by using combined amplitude-phase modulation of a single carrier, rather akin to some of the proposals for medium-wave stereo broadcasting in America. He suggests (Electronics Letters, June 24, 1982) that this could provide a simple and economic method of introducing a certain degree of automation into air-traffic-control functions without the need for entirely new equipment, so opening the way to extend data-link operations to small as well as large aircraft.
Computer studies suggest that problems of mutual interference between voice and data in a narrow bandwidth need not be excessive with AM-MSK (m.s.k. — minimum shift keying, or in other words f.f.s.k. — fast frequency shift keying) modulation systems which, it is suggested, have greater potential than AM-PSK (p.s.k. — phase shift keying).
Engineers at the Nippon Telegraph & Telephone Public Corporation have reported the fabrication of a single-chip c.m.o.s. coherent demodulator for m.s.k./f.f.s.k. working at an i.f. of 455 kHz at bit rates up to 32 Kb/s, a considerably higher bit rate than proposed by the Italian team for ground-air-ground communications, for which bit rates of from 300 to 2400 b/s were considered in the simulation tests.
E.m.c. and c.b.
The Home Office radio interference report for 1981 underlines the large increase of complaints made by viewers and listeners during the year, many relating to the operation of illegal 27 MHz amplitude-modulated transceivers in the months leading up to the licensing of 27 MHz f.m. equipment. However, a reading of the report shows that many of the arguments publicly used for a number of years by the Home Office to oppose allocating 27MHz for c.b. were based on the false premise that the prime cause of r.f.i. to domestic equipment is harmonic radiation. The report shows that not harmonics but "direct audio break-in arising from the close proximity of the c.b. transmitters" is the main problem. It could thus be argued that c.b. operators have been (and still are being) blamed for the poor electromagnetic compatibility of modern domestic electronic equipment.
Of the 14,359 complaints ascribed after investigation to illicit c.b.; over 3000 referred to m.f. radio and more than 9200 to Band IV-V u.h.f. television — few of these appear likely to have been caused by "harmonic radiation". The statistics do, however, lend support to the view that f.m. transmissions cause less problems than a.m. (though listening in the London area reveals that widespread use of illegal a.m. is continuing).
There can be no doubt that there are many home-entertainment equipments, such as cassette recorders, that are vulnerable at distances up to 50-100 ft or so to interference from low-power a.m. (or s.s.b.) transmitters of the type marketed for c.b. operation. The vulnerability undoubtedly increased significantly when solid state devices replaced valves in domestic equipment; it was also made worse by "unit" audio equipment with interconnecting leads that act as aerials. Yet there is also little doubt that domestic equipment could have much improved electromagnetic compatibility at relatively little added cost. For many years, British and American manufacturers have resisted suggestions that tv sets could be made far more resistant to r.f.i., although some European firms have been more responsive.
The recent showing at CETEX of "unit-vides" systems by Sony and Philips may raise the question once more, since there is evidence that a number of separate units tends to be more vulnerable to r.f.i. than a single unit; for example the combination of a video recorder with a tv set tends to increase e.m.c. problems.
Interference complaints in 1981 rose sharply over 1980 — from 35,790 to 70,452. This near doubling in numbers appears to have overwhelmed the system with 28,490 uncompleted cases carried over to 1982. Nevertheless the number of completed investigations rose by 47 per cent from 41,086 to 60,571. Although much of this large increase is due to 27 MHz c.b. operation, there appears to have been a general increase in complaints of interference from other causes, although there was a significant drop of 16.57 per cent in complaints identified as due to contact devices, from 10,684 in 1980 to 8,914 in 1981 — almost wiping out the very large jump in such interference recorded in 1979.
Despite the increase, the complaints amounted to less than one for every 500 tv licence holders; on the other hand, over 11 per cent of licence holders for the two-way land mobile radio services reported interference, though it should be stressed that 18,048 licences cover 340,830 l.m.r. receivers.
Radio complaints were sharply up (24,648 compared with 20,345) but this puts radio back on the ascending curve of the past decade with 1980 the odd-man-out. The v.h.f./f.m. service accounts for about half the number relating to l.f./m.f.
In the news
British Aerospace are building the largest solar generator yet announced for non-military space applications. Designed to provide 5 kW of electrical energy, using almost 50,000 solar cells made by AEG-Telefunken, it represents a cost of about £300,000 per kilowatt, underlining the limitations on the number of d.b.s television channels that could be provided in the near future on a single satellite.
The firm of Daini Seikosha, Tokyo, is reported to have developed a new photolithographic technique for the manufacture of GT-cut quartz crystals to provide tiny crystal resonators in the megahertz region.
With a number of British communications and electronics firms noticeably absent from the 1982 British Army Equipment Exhibition (more from megacost than megadeath considerations) it is interesting to note that Racalex '82, the private exhibition of the Racial Electronics Group, is to be opened by the Secretary of State for Defence, John Nott, MP, next October. But Racial continue their unbroken record of expansion, announcing a pre-tax profit to March 1982 of over £100 million from a turnover that has climbed in ten years from £25 million to £644 million.
The recent joint presentation by NHK and RTE (with encouragement from CBS) of the NHK-developed high-definition television system having 1115 lines, 5:3 aspect ratio and 60 fields per second undoubtedly impressed all those who saw the excellent quality pictures at Killarney. It should encourage the use of electronic techniques in the production of cinema material (remember the 1000-line black-and-white system developed by High Definition Films in 1951?) but it would set broadcast engineers the almost impossible task of finding spectrum space transmitting 20MHz of luminance plus 7MHz and 5.5MHz of chrominance — and keeping these as separate components! Electronic production for cinemas could undoubtedly reduce costs but it may prove difficult to convince film production teams that they should switch to video.
Solar upset
Sunspot Cycle 21 developed a square wheel during June that gave a very bumpy ride on the h.f. bands — and posed the interesting question once again of what triggers off Sporadic-E propagation conditions. From early to mid-June there was a succession of solar flares, sudden ionospheric disturbances, magnetic storms and the largest X-ray event for several years. These gave rise predictably to very disturbed h.f. conditions including some daylight "black outs".
This period also witnessed two Sporadic-E openings extending up to 144 MHz, the first on May 25 when Scandinavian amateurs, including many in Finland, were heard and worked by British amateurs. The second on June 5 when the 144 MHz band opened to the Central Mediterranean area, including Malta, Sicily, Southern Italy, Corsica etc. Although it is not common for Sporadic-E conditions to extend as high as 144 MHz, there seems little reason to link these openings with the solar disturbances on h.f.
50MHz
Long-distance openings in a generally north-south direction continued to occur in early June on 50 MHz, including reception by Gordon Pheasant, G4BPY of the Brazilian beacon station PY2AA, in the afternoon of June 4 and the FY7THF beacon on June 5. A number of South African signals also continue to come through on 50 MHz.
British amateurs have for long sought use of the 50 MHz band available in the other WARC Regions, and have recognised that such an opportunity could arise in the UK with the phasing out of the BBC 405-line television service in Band 1 (due to be completed about 1986). This objective has become a live issue with the setting up of the independent review, under the chairmanship of Dr J. H. H. Merriman, charged with producing an interim report by September on the future use of Bands 1 and 111 "taking account not only the need to provide for expansion of the land mobile services but also of various possibilities for the continued use of these bands for broadcasting". The main review, by June 1983, is to examine the present occupancy and utilization of frequencies from 30 to 960 MHz, and thus covers the 70 MHz, 144 MHz and 430 MHz amateur bands. The RSGB will make a submission to the Merriman committee.
Less formally, it is hoped by many amateurs that the committee will note how much more generous are the frequency allocations to amateurs and broadcasters in North America than in Europe, with not only the 50 to 54 MHz band but also the allocation of 220-225 MHz and the much wider 430 MHz band; yet at the same time extending the v.h.f./f.m. broadcast band right up to 108 MHz and continuing to use Band 1 (except Channel 1) and Band 111 as the main television bands plus 55 u.h.f. television channels. The sometimes-heard premise that the valid needs of the land mobile service can be satisfied only by whittling away the frequencies allocated to existing non-military users needs to be challenged.
CQ out?
Those who, like myself, operate c.w. on h.f. bands normally listen until we hear a reasonable signal calling CQ and then reply. It is considered bad form to reply to European stations calling "CQ DX" or "CQ Africa" etc. Just occasionally one puts out a CQ call.
On s.s.b. much the same procedure applies although the growth of multistation "nets" means that there are far fewer CQ calls than on c.w.
But from an editorial by Gary O'Neil, N3G0 in Ham Radio one learns that launching a CQ call on 144 MHz f.m. is now regarded in the States as an unusual and peculiar event. Instead a station announces it is listening "on channel" in a rather forbidding manner that does not invite a random reply but suggests only a wish to be called by known friends or members of a particular organization or someone with a positive reason for seeking contact. The tendency for amateurs to form elitist coteries, cold-shouldering all outsiders, is not entirely unknown this side of the Atlantic.
Here and there
The effects of inflation, the less-strong exchange rates, the growing use of frequency synthesizers, up-conversion, digital readout and the like have all combined to push up the price of amateur radio equipment. The Yaesu "FT-ONE" h.f. transceiver retails around £1300, the latest Trio (Kenwood) TS930S is over £1000, and some American-built models such as the KWM380 and the Signal/One (built to a military specification) tend to be well over £2000. One notes that more and more advertisers, particularly in the USA, are becoming very coy about disclosing prices and this appears to conceal substantial discounting as the market becomes rather more sluggish. Though it would seem that sales of the lower cost transceivers, both h.f. and v.h.f., are suffering more than the "top-of-the-range" models.
The GB3SWH 10.368 GHz beacon at Bushey, North London, has been rebuilt and now provides 22mW output to an omnidirectional aerial (6dBi gain). It has been heard in Hampshire over a difficult 80 km path. The 10 GHz beacon at Martlesham, like the British Telecom Research laboratories with which it is associated, is changing away from GB3BPO that linked it with the British Post Office.
A Scottish Amateur Convention will be held at Aberdeen University (Nat.Phil.Dept), St. Machar Drive, Aberdeen, on September 11, from 10 a.m. to 5 p.m., with trade stands. Among the speakers will be Professor R. V. Jones, M. C. Hatley, GM3HAT, John Nelson G4FRX and members of the Moray Firth Amateur Television Group.
A Midlands VHF Convention is planned for October 9 and will be at Wolverhampton Polytechnic, near the centre of the town.
Reminder of the British Amateur Television Club convention at The Post House, Leicester on September 5 and the British Amateur Radio Teleprinter Group rally at Sandown Park Racecourse, Esher, Surrey on August 29.
In brief
Launch date for the Phase 3B satellite could be any time between September and March 1983 depending on the completion of the main load for the Ariane launcher... Proposals for five amateur television repeaters in Leicester, Luton, Stoke-on-Trent, Bath and Worthing are being put to the Home Office... The Home Office is introducing an annual fee for "experimental v.h.f. licences" which permit holders to use powers up to 1kW and are considering the provision of other forms of experimental licence... Members of the Barry College of Further Education Radio Society are to operate GB2F1 on Flatholme island in the Bristol Channel from August 27 to 30. Flatholme was the site of Marconi's first radio transmission across water in 1897. Since the island is administered from South Glamorgan it also represents the southernmost point of the Principality... Mobile rallies: August 22 Avoncroft Art Centre Bromsgrove. August 29 ITT Social Centre, Old Brixham Road, Paignton. September 12 Telford New Town Centre Malls, Telford, Shropshire and Nicholas School, Basildon, Essex. September 19 Wirrina Sports Stadium, Bishops Road, Peterborough... Chris Chisholm, G2CX, who died recently, played a prominent role in R.S.G.B. activities in the 1930s including a long spell as QSL Manager and also as a Council Member. He was also one of a number of radio amateurs who played a role in secret radio activities during World War II. He was licensed in the 1920s. Another loss has been Jack Box, G6BQ for long an outstandingly successful 1.8MHz contest operator.
PAT HAWKER, G3VA
Simple divider
The GAP-01 general-purpose analogue processor, primarily intended for synchronous demodulation, may be used as the basis of a versatile divider.
In the first circuit diagram, two CA3080 transconductance amplifiers are shown, each with a $g_m$ of $I_B/2V_T$, where $I_B$ is the bias current and $V_T$, the thermal voltage at 23°C, is 26mV. Given that $I_{B1} = aV_1$ and $I_{B2} = aV_2$, and further, $V_{x1} = V_{in} \frac{k}{(k+1)}$ and $V_{x2} = V_{out} \frac{k}{(k+1)}$, where $a$ and $k$ are constants, the equation
$$g_{m1}V_{x1} + g_{m2}V_{x2} = 0$$
yields
$$\frac{V_{in}}{V_{out}} = -\frac{I_{B2}}{I_{B1}} = -\frac{V_2}{V_1}$$
and hence
$$V_{out} = -V_{in}\frac{V_1}{V_2}$$
This equation demonstrates the advantages of this circuit over others, i.e., that errors resulting from temperature variations do not influence the output voltage.
The first circuit may be simplified by replacing the two amplifiers by a GAP-01, as shown in the second diagram. This i.c. consists of two differential-input transconductance amplifiers, two 'low-glitch' current-mode switches, an output buffer and a comparator. Values for $R_1$ and $R_2$ are 50 and 15kΩ respectively and $k$ is 0.01.
Kamil Kraus
Rokycany
Czechoslovakia
10+1 MHz comb generator
A 1 MHz frequency comb with every tenth spectrum line raised by 10 dB is very convenient for use as a spectrum analyser calibrator or sweep generator marker. It can be generated using the simple logic and pulse shaping shown, by gating out every tenth pulse of the incoming 10MHz clock. The resulting pulses, of nearly 1.4 ns duration, ensure an essentially flat spectrum to 250MHz into 50 ohms. A faster, larger-signal p-n-p transistor such as BF479 or MM4018 and a higher supply voltage for the second transistor might raise this limit to 400 or 500MHz.
The principle works for any other ratio $N$, with the exception of $N=2$, by having the counter divide by $N$ and selecting its outputs to enable gate 3 during $N-1$ clock pulses.
J. C. Baumeister
Chantraine, France
Analogue-channel switching
Logic signals to control analogue gates in channel select/mixing applications are provided by this circuit. A series of single-pole push-buttons are arranged to operate either independently in push/push (latching) mode, or as an interlocking bank. When the mode switch is set to "interlocking", a common-reset pulse is generated by pressing any switch, resulting in the appropriate channel flip-flop being clocked high, thus ensuring break-before-make operation. In push/push mode, the reset signal is gated off and each flip-flop is toggled by its associated push-button. The 330Ω/100µF RC network, together with the 74121's Schmitt input, provide switch debouncing. The circuit may be expanded to any reasonable number of channels and only minor modifications are required if c.m.o.s. i.cs are to be used.
Tim Williams
Wadhurst
East Sussex
Improving adjustable-regulator performance
Three-terminal regulators in general function best when their input/output-voltage differential is just above the specified minimum, especially where high currents are being drawn and the device is subject to large temperature changes. On average it is simpler, more economical and more practical to design a regulator-input supply so that it just exceeds the regulator's minimum input/output differential requirement when the anticipated load is maximum, but with adjustable regulators, such as the LM317 shown, the minimum requirement can only be obtained for one output voltage when the supply voltage is fixed.
The circuit shown keeps the variable regulator's input voltage close to its output voltage throughout the circuit's operating range using a preregulator consisting of an op-amp and series-pass transistor, keeping the regulator's performance optimal. Curves given are for an output current of 1A.
Supply voltage to the 741 must not exceed 36V; for the circuit shown, $V_E$ is 30V and the op-amp's negative supply is $-5.1V$, determined by the zener. As can be seen from the graph, without the negative supply, the circuit still performs fairly well.
Czeslau L. Barczak
Escola Federal de Engenharia de Itajuba
Brazil
First it is desirable to define what is meant by insertion loss. The concept arose in communication engineering where there is a frequent need to break a circuit to insert a filter or other network. More recently, it has given its name to a class of filters designed so that the response when inserted between the correct resistive terminations can be accurately predicted. Because of the great advantages this brings, many of the filters for video purposes, for example, belong to this type.
For the sake of simplicity assume that the input and output terminations are equal. Although this is not necessary, it is by far the most common situation. A more complete treatment will be found in chapter 2 of Skwirzynski.
Now consider the illustration in which a generator with e.m.f. $e_1$ and source resistance $R$ feeds a network also terminated in $R$. The loss from input to output is $|e_1/e_0|$, but if the network is removed and the junctions reconnected the output is $e_1/2$. Hence
\[
\text{insertion loss} = -20 \log_{10} |e_1/2e_0|
\]
\[
\text{insertion phase shift} = \angle e_1/e_0.
\]
The use of the reciprocal ratio to determine the phase shift has no effect other than to make a lagging angle positive instead of negative, as is the more usual convention.
For computational purposes the circuit shown needs to be considered in terms of the input and output voltages and currents, in fact it is completely described by the Kirchhoff equation
\[
e_1 = a_{11}e_0 + a_{12}i_0
\]
\[
i_1 = a_{21}e_0 + a_{22}i_0
\]
provided the system is linear. In general, the $a$'s are complex numbers. The next step is to consider the output termination as forming an integral part of the network, which is perfectly justifiable; Then the system is open-circuited at the output making $i_0=0$, and the above equations reduce to
\[
e_1 = a_{11}e_0
\]
and
\[
i_1 = a_{21}e_0
\]
It follows that the insertion loss and phase angle are now
\[
\text{insertion loss} = -20 \log_{10} |a_{11}/2|
\]
\[
\text{insertion phase} = \angle a_{11}.
\]
Nevertheless the input impedance is not always needed, and if the computation of the insertion loss only can be accepted then a considerable simplification can be introduced. Equations 3 and 4 reveal that the lower row of the A-matrix does not enter in any way into the calculation of $z_{11}$. It can therefore be removed entirely with a consequent halving of the amount of complex arithmetic which needs to be performed.
Equations 3 & 4 now reduce to the extremely simple recurrence algorithms
- addition of series arm $z_s$
\[
(z_{11}, z_{12}) \rightarrow (z_{11}, z_{12} + z_s, z_{11})
\]
- addition of shunt arm $z_p$
\[
(z_{11}, z_{12}) \rightarrow (z_{11} + z_{12}/z_p, z_{12}).
\]
Incidentally, even including the complex arithmetic the first only occupies two program lines and the last three lines.
Now that the basic algorithm has been established, it becomes possible to examine the actual program listing. Although the number of REM statements has been kept small for obvious reasons, some notes have been added to the listing which should make it possible to follow most of the procedure without too much difficulty.
The component values of the ladder are stored in sequences as L(N) and C(N) where N is the branch number. The auxiliary arrays G(N) and T(N) indicate the type of impedance in branch N, and direct execution to the appropriate one of the four routines contained in lines 900 through 1140. The output in each case is in the form Re+jIm, where these are the real and imaginary parts of the branch impedance.
The single reduced matrix row corresponds to the two-dimensional array A(I,4), i.e., $z_{11}=A(1,1)+jA(1,W)$, and $z_{12}=A(1,3)+jA(1,4)$ where I=1 and W=2. Accordingly the initial matrix line has A(1,3)=R1 and A(1,1)=I (lines 750,760). The indispensable information on whether the first network branch is series or parallel is provided by M(N) being I or −I respectively. Subsequently, M(N) reverses sign with successive values of N so as to ensure alternating series and parallel branches.
The next step after N has reached its maximum value MN is the addition of the output termination RO (lines 1330, 1340), which completes the computation of $z_{11}$ and allows the insertion loss in dB to be derived in lines 1400, 1410. The insertion phase shift is also available in the form of $\arctan \beta=A(1,W)/A(1,I)$, and is stored in the array P(S) as this is only part of the necessary information.
The group delay is defined as dβ/dω which is not calculable by purely numeriLadder analysis and group delay equalization
The best one can do is to replace it by the approximation $\Delta B/\Delta \omega$, where $\Delta B$ is the change in insertion phase shift resulting from a small increment in angular frequency $\Delta \omega = 2\pi \Delta f$, achieved by adding a small quantity to the current frequency value and computing $\beta + \Delta \beta$ (line 1450). The fact that this doubles the running time is unfortunate but inevitable, and it is a credit to the ZX81 that nevertheless the total execution time is still remarkably short.
The choice of the frequency increment poses a difficult problem. In principle one would like to make it extremely small, but too small a value would be self-defeating because the accuracy gained by approaching the theoretically infinitesimal $d\omega$ would certainly be outweighed by the arithmetical limitations of the ZX81. When two almost equal numbers are subtracted, rounding-off errors can result in a very large percentage error in the difference quality. On the other hand, too large an increment will give rise to inaccuracies where the rate of change of the group delay is high.
The compromise adopted was a frequency increment of 0.001, i.e. a 1kHz difference when frequencies are in MHz. It was checked by comparing the computed group delay with the calculated values in some special cases where it is available in closed form. This suggested a likely accuracy of 1 or 2 nanoseconds, which would be acceptable. Nevertheless, such a compromise cannot be optimum for all cases, and simple modifications can be made to lines 1450, 1500 and 1510 to suit individual needs.
One possible source of inaccuracy could however be avoided. Truncation errors in the ATN algorithm might have a large effect on the value of $\Delta \beta$ if it were derived from expressions of the form $\arctan A - \arctan B$ where $A$ and $B$ differ only slightly. It was replaced by $\arctan(A-B) = \arctan((\tan A - \tan B)/(1+\tan A.\tan B))$, executed in line 1510.
Such difficulties do not arise with the group delay equalizer sections whose group delay is available as closed expressions. These are
first order
$$\frac{dB}{d\omega} = \frac{1}{\pi f_c}(1+x^2)$$
second order
$$\frac{dB}{d\omega} = \frac{1}{\pi f_c}K(1+x^2)((1-x^2)^2+K^2x^2)$$
where in each case $x=f/f_c$. These correspond to lines 1840 to 1860 and lines 1880 to 1900 respectively.
Furthermore, they are constant-resistance all-pass networks, so that in principle it should be possible to connect them between the filter and a termination with no change in loss, only added group delay. For convenience the filter group delay is held in the array $X(R)$ and transferred to the working array $Z(R)$ each time the EQU subroutine is called by GOTO EQU. Each pass is therefore executed very quickly.
The performance of these equalizer sections deviates from the ideal for two reasons. Assuming the component values are correct and that strays are negligible, the alignment may not be correct and the components will not be dissipationless. In point of fact the strays are usually by no means negligible, but this is too extensive a topic to be entered into here.
However, the extra loss due to dissipation in the delay equalizer components can easily be calculated by a little known, but extremely useful theorem due to Mayer. This states that provided the dissipation is reasonably small, say no greater than about 0.02, then the loss is
$$\Delta \alpha \approx 8.686D.\frac{dB/d\omega}{\omega}$$
As in the loss program, $D$ is the sum of the capacitative and inductive dissipations, assumed to be equal, but in practice this condition need not be obeyed at all rigidly.
Continued on page 79
DISC DRIVES
Winchester technology
Winchester drives are totally-sealed, high-density storage units, as opposed to floppy disc drives that provide low-cost data storage on a medium similar to ordinary magnetic tape. Electronic, electrical and mechanical aspects of these two quite different types of drive are discussed in two sections, starting with Winchester technology.
by J. R. Watkinson*
These offshoots of the conventional exchangeable-pack disc drive described in five preceding articles satisfy quite different requirements, as will be seen. First, Winchester technology is covered, followed by a description of floppy-disc drives in the next article.
Servo-surface disc drives, as dealt with in last month's article, permit a great reduction in disc-track spacing since the read/write head's position is determined by information on the disc's surface, rather than by an external reference. Winchester technology — initially developed near the Hampshire town of Winchester — is the next step forward.
Briefly recapping, there are two ways in which storage density may be increased:
- by increasing the number of bits stored per unit length of track
- by increasing the number of tracks within a given radius.
It was shown in the second article (April) that an increase in writing density must be accompanied by a reduction in the head's flying height. But reducing the flying height magnifies the problem of providing a contaminant-free environment. A conventional disc is well protected while in its drive, but outside the drive, even when the disc is protected by a cartridge, the effects of contamination become intolerable.
In last month's article it was explained that the difficulty of aligning the heads increases as the tracks become closer together. There comes a time when it is not physically possible to make a mechanism which can provide the microscopic adjustments necessary, and compatibility between drives could not be achieved.
The essence of Winchester technology is that each disc pack has its own set of read/write and servo heads, with an integral positioner. The whole is protected by a dust-free enclosure, and the unit is referred to as a head/disc assembly, or h.d.a.
As the h.d.a. contains its own heads, compatibility problems do not exist, and no head alignment is necessary or provided for. It is thus possible to reduce track spacing to about one half that of exchangeable servo-surface drives. The totally enclosed assembly can ensure a clean environment for the heads and disc, permitting a reduction in flying height without loss of reliability, which leads in turn to an increase in the number of bits which can be recorded per unit track length. If the rotational speed is maintained, this increase in density leads to an increase in the data transfer rate. Ways in which high transfer rates are accommodated will be covered in a subsequent article.
The h.d.a. is completely sealed except for a small port covered by a filter, which equalizes pressure changes due to temperature and/or air transport. Into this sealed volume of air the drive motor delivers the majority of its power, and the resulting heat is generally dissipated by fins on the h.d.a. casing, in conjunction with an external fan. The disc is designed to circulate the air inside the h.d.a., Fig 1. Some h.d.as have a temperature sensor to monitor this dissipation. An alternative, for where it is not intended that the h.d.a. be exchanged by the operator, is to use a conventional blower and absolute filter for cooling. An exhaust filter is also necessary to protect the h.d.a. when no power is applied, Fig 2.
An exchangeable-pack drive must retract the heads so that the disc can be removed. With an h.d.a., retraction is not necessary as the heads are integral. An area of the disc surface is reserved as a landing strip for the heads. The disc surface is lubricated, and the heads are designed to withstand landing and take-off without damage. When the term retraction is used in this context, it refers to the process of positioning the heads over the landing area.
Disc rotation must be started and braked as quickly as possible to minimize the time for which the heads are in sliding contact. A motor with good starting characteristics is required. On small units, an extra winding may be used for starting, whereas on large units a three-phase motor will be necessary, consuming perhaps 10A per phase during startup. Running current will, of course, be much less — of the order of 1A per phase. Eddy-current braking cannot be used, since in the event of a power failure, the unbraked discs would turn for an extended period with the heads in sliding contact, resulting in damage. A mechanical friction brake is commonly used, actuated by a spring. The brake is held off by a solenoid, which makes the system failsafe in the event of a power failure. Figure 3 shows motor-brake assembly.
An advantage of contact start/stop technology is that the provision of more than one head per surface is easier in the absence of mechanisms for retraction and alignment. This leads to two gains, firstly that travel of the positioner is reduced in proportion to the number of heads per surface, reducing the average access time, and secondly that more data can be stored at a given detented position of the carriage, increasing efficiency on long transfers.
*B.Sc., M.Sc., Digital Equipment Co.
Figure 4 illustrates the relationship between various areas of servo and read/write surfaces.
**Positioning velocity and rotation sensing.**
In preceding articles, several types of transducer used to monitor the velocity of the positioner and the rotation of the disc have been described. Whatever the principle of operation, these devices all share the drawback that they require both mechanical adjustment and electrical calibration, with consequent demands upon the skill and training of those who maintain them. With contact start/stop technology, the servo head is always over the disc surface, and can be used for positioner-velocity and disc rotation sensing.
Figure 5 shows the position-error signal generated by servo circuitry during a seek, which rises and falls as the servo head crosses servo information, and that the position-error signal's slope is proportional to the positioner velocity. The position error signal is differentiated and rectified, the resulting signal representing the magnitude of the positioner velocity. The process of differentiation exaggerates any h.f. noise present, and a low-pass filter is placed before the input to the differentiator to combat this. At high seek velocities, however, the filter would attenuate the position-error signal, and is therefore switched out when the velocity exceeds a certain threshold; since the differentiated signal is large at this time, the absence of the filter is of no consequence.
Owing to the sign change of the differentiated signal, the output waveform contains troughs where the position-error slope falls to zero at the peaks. These troughs prevent direct use of the signal by the velocity-feedback loop during a seek, as they would be interpreted by the servo amplifier as momentary, large-velocity errors, causing saturation of the output. The troughs cannot be filtered out, since this would introduce an extra pole into the open-loop response of the servo, causing instability.
In April's article covering read/write heads, it was shown that the area under a graph of electromagnetic actuator (e.m.a.) current against time represents the energy put into the positioner. As the mass of the positioner is almost constant, the velocity of the positioner is proportional to the integral of the e.m.a. current, neglecting losses due to friction and air resistance. Despite errors resulting from these effects, integrated e.m.a. current is sufficient to carry over the velocity signal when the troughs in the differentiated position error occur. Figure 6 shows that the e.m.a.-current integrator has a finite output impedance, whereas the differentiator has low output impedance in series with an analogue switch. When the position-error signal exceeds a reference voltage, the switch is opened and the trough is blocked. Now, the integrator signal is used. When the position error falls below the reference, the switch is enabled, and...
the differentiated position-error signal overrides the integrated c.m.a.-current signal by virtue of its low output impedance. Any difference between the two signals appears across the integrator's output impedance.
Having obtained velocity information from the servo surface, it is necessary to ensure that velocity feedback is available over the entire positioner travel. In the last article, it was shown that conventional servo-surface guard bands result in steady-maximum position-error signals at the extremities of the data area. Clearly this approach cannot be used when velocity feedback is derived from the servo surface, as there is no slope to differentiate in the guard band. With contact start/stop, the head landing area is defined by a guard band, and the servo must be capable of operating there and identifying its position.
A modification of the usual servo surface is used, shown in Fig. 7, where there are extra transitions, identical in both type A and type B servo tracks, along with the familiar dubits. The repeating set of transitions is known as a frame, in which the first dubit is used for synchronization, and a phase-locked oscillator is made to run at a multiple of the sync. signal rate. The p.l.o. is used as a reference for the write clocks, to open windows to extract a position error from the composite waveform and to provide a window for the frame's second dubit, which may or may not be present. Each servo frame thus contains one data bit, and successive frames are read to build up a bit pattern in a shift register. The parallel output of the shift register is examined by a decoder which recognises a number of unique patterns. In the guard bands, the decoder will repeatedly recognise the guard-band code as the disc revolves. An index* is generated in the same way, by recognizing a different pattern. In a contact start/stop drive, the repetition rate of index pulses is used to monitor safe rotational speed, eliminating a further transducer. It must, however, be possible to detect index anywhere in the travel of the positioner, if speed errors are to be avoided. For this reason, index is still found in the guard bands, simply by replacing the guard-band identification pattern with the index pattern once per revolution.
An exchangeable-pack servo-surface drive locates cylinder zero using the steady position-error generated in the guard bands. In a contact start/stop drive, this form of guard band has been abandoned because of conflict with the requirements of velocity feedback, so the cylinder-zero position has to be established by different means.
A common solution uses a unique area of the servo surface known as the reference gap.
In the reference gap, which is adjacent to cylinder zero, there is a servo track which is three times the width of all others. In the reference gap and in several servo tracks outside it, is a third data pattern which is decoded by the index/guard-band circuits to indicate that the reference gap is close. Figure 8 shows position error in the cylinder zero area, which is generated as the servo head crosses that part of the disc. Note that there is a plateau in the position-error waveform. During the head load, which in the context of contact start/stop refers to the process of positioning the heads at cylinder zero, the heads move inward at fixed speed away from the head-landing area. When the reference code is detected, positioner velocity is reduced to typically 2in/s, and the position error is sampled repeatedly. When successive samples of position error are the same, the plateau due to the reference gap has been found, and if the servo is put into track following mode, the positioner will detent at cylinder zero.
**Rotary positioners.** Figure 9 shows the geometry of a rotary positioner with two heads per surface. As the positioner moves, the spacing between tracks will be different from one head to the other, and there will be a certain amount of skew between the flux gap in the head and a true radius of the disc. The tolerances involved in the manufacture of the cantilever are such that no two would generate the same pattern on the disc surface with both heads. None of these effects is of consequence with contact start/stop drives, since data is always read by the heads that wrote it; they are however reasons why exchangeable-pack drives are not found with rotary positioner, as compatibility would be impossible.
Having established that rotary positioners have no fundamental drawbacks for contact start/stop drives, advantages can be detailed. Firstly size — the rotary positioner can be tucked into a corner of the h.d.a. where it can easily be cooled by air thrown out by the disc. Secondly cost — a rotary positioner requires only two ballraces on the shaft, compared to six or more on a linear positioner, and a precision
---
*The term index refers to a once-per-revolution signal used to locate sector positions on the disc and was fully described in the July issue of WW.*
carriageway is unnecessary. Figure 10 shows an h.d.a. with a rotary positioner, which functions in the same way as a moving-coil ammeter. Other aspects of the associated circuits are almost identical to those required by a linear positioner, with the exception that rotary positioners suffer from windage due to the spinning disc having a component which tries to turn the positioner inwards. In linear positioners, windage is almost at right angles to the positioner axis, and can be neglected. Windage is overcome in rotary positioners by feeding the current cylinder address to a r.o.m. which sends a word to a d-to-a converter for inserting an offset voltage into the track-following circuit.
As has been stated, it is possible to make a Winchester-type disc drive with an operator exchangeable h.d.a. The h.d.a. is ejected by a motorized mechanism, and a system of levers disengages the drive belt from the stack pulley and removes electrical connections. The machinery involved adds to the unit cost, and to avoid this, many drives have fixed h.d.as, only replaceable by an engineer. Head/disc assemblies, like all human artefacts, can fail, but unlike a conventional disc pack, which can often be put in another drive, a failure can take place in electronic circuitry inside the h.d.a., which means that the data is essentially lost. This places added emphasis on the necessity to back up data stored on disc. Back-up is however made more difficult by a fixed h.d.a. and it is necessary to use high-speed magnetic tapes or conventional disc drives to perform the necessary copying. One useful technique is known as 'journaling', where a permanently mounted magnetic tape records all of the changes made to the disc since it was last backed up. In the case of a failure, the tape and the backup disc can be merged to create an up to date working disc. Contact start/stop technology offers extremely low cost per bit, rapid access and high transfer rate with the inherent reliability of the sealed medium. It is these desirable features which override the above problems in many cases.
Previous articles in this series.
Introduction, the drive's role in a computer system, March 1982.
Read/write head assemblies, April 1982.
Read/write head positioning systems, May 1982.
Motors, mountings, bearings and cooling/filtration, July 1982.
Servo-surface and embedded-servo disc drives, August 1982.
Subsequent articles planned cover floppy-disc drives, disc control logic and data integrity.
Fig. 9. A Mini-Winchester disc drive having a capacity of nearly 10 megabytes shown with a rotary positioner having two heads per surface. The tolerances involved in the spacing between the heads and the axis of rotation means that each arm records data in a unique position. That data can only be read back by the same heads, which rules out the use of a rotary positioner in exchangeable pack drives. In a head disc assembly the problem of compatibility does not arise.
Fig. 10. A head disc assembly with a rotary positioner. The adoption of this technique allows a very compact structure.
Last month's article showed that the introduction of the servo surface permitted a great reduction in the cylinder spacing, but that each read/write head was assumed to be at the same temperature as the servo head. At extremely small cylinder spacings, small differences in head temperature become significant, and it is necessary to combine the principle of the servo surface with that of the embedded servo. In this approach, the servo head generates velocity feedback and coarse positioning information for the carriage, but when in the vicinity of the desired track, the selected head adjusts itself perfectly to the embedded servo information on each surface. This permits several thousand tracks to be accommodated on one surface.
At the small end of the capacity scale, the mechanical simplicity of contact start/stop yields a low cost product. The nature of the market rules out advanced positioners such as have been described, on grounds of cost. Current 'Mini-Winchester' have simple open-loop stepping positioners, in conjunction with moderate track spacing. Despite this, the price-to-performance ratio of these drives is still impressive. Figure 9 shows a typical Mini-Winchester disc drive with a capacity of almost 10 megabytes. The disc diameter is about five inches.
Many methods of designing digital filters have been proposed, but most from the point of computer-based filtering for speech-signal processing. In audio, digital techniques have entered the field of recording and p.c.m. recorders are being developed, and it is expected that digital processing such as filtering will be incorporated. For this purpose, digital filters using second-order digital filters as the basic building block have been described by McNally\textsuperscript{1}, but the realization requires a large table for storing filter coefficients and a large filter word length, i.e. more than 30 bits for the arithmetic operation of digitized audio input signals to avoid errors occasioned by overflow and coefficient truncation. What is needed is a digital filter of least filter word length and the minimum number of coefficients to obtain the desired spectrum shaping of input signals\textsuperscript{2}.
**Basic filter**
The design of digital filters is simplified by the $z$ transfer function which can be realized using adders, coefficient multipliers and delay elements. The $z$ transform operator, which corresponds to a unit delay in the discrete time sequence, is related to a frequency $f$ by
$$z^{-1} = e^{-j2\pi f/F}$$
where $j = \sqrt{-1}$ and $F$ is the sampling frequency. As usual, suppose in the following discussion that the frequency response of the digital filter is considered in the region $f < F/2$ and that the frequency of an input signal is limited to half the sampling frequency.
Figure 1 (a) shows the structure of a basic digital filter for low-frequency shelving, which consists of a non-recursive filter with a coefficient $A$ and a first-order recursive filter which comprises a coefficient $B$. The transfer function is
$$\frac{1 - Az^{-1}}{1 - Bz^{-1}}$$
in which the numerator corresponds to the non-recursive filter and the denominator to the recursive filter.
The processing required to implement the basic digital filter is two adders, two multipliers and one unit display element. But to avoid overflow, the digital filter structure shown in Fig. 1 is preferable, with impulse and frequency response of the filter shown in (b) and (c). The maximum slope of the frequency response is +6 dB/octave when $B = 1$ and the minimum slope is −6 dB/octave when $A = 1$.
**Tone controller**
A tone controller can be obtained by the serial combination of the first and second basic digital filter shown in Figs 1 & 2. The transfer function of the tone controller is
$$D(z) = \frac{1 - Az^{-1}}{1 - Bz^{-1}} \cdot \frac{1 - Gz^{-1}}{1 - Hz^{-1}} \cdot \frac{1 - H}{1 - G}$$
with the low-frequency shelving characteristic defined by two coefficients $A$ and $B$, and the high-frequency shelving by two coefficients $G$ and $H$. For example, when the sampling frequency is 44kHz and the turnover frequency $f_1$ is chosen as 500Hz,
The digital tone controller discussed above is well suited for a digital audio system based on microprogramming where minimum instruction steps and a maximum dynamic range for a given word length are required. The filter of equation 1 has been accomplished by hardware controlled by the microprogram of six instructions using about 1 µs.
**Record equalization**
The recording characteristic is specified by three time constants $T_1 = 3180$, $T_2 = 318$ and $T_3 = 75$ µs which correspond to turnover frequencies 50.05, 500.5 and 2122Hz. For example, when $F = 44kHz$, applying 88kHz as the sampling frequency of the high-frequency shelving process, the RIAA coefficients are
$$A = FT_1/(1 + FT_1) = 0.993$$
$$B = FT_2/(1 + FT_2) = 0.933$$
$$G = 2FT_3/(1 + 2FT_3) = 0.868$$
$$H = 0.$$
In practice the quantization error of coefficients will cause certain deviations from the ideal curve. For $F = 44.056kHz$ (88.112kHz for the high-frequency shelving), we have $A = 0.9921875$ (binary 0.1111111), $B = 0.9296875$ (0.1110111), $G = 0.875$ (0.111) and $H = 0$. In this case, the deviation from the ideal curve is within ± 0.5dB and the additional ten bits (three bits for headroom and seven bits for coefficient word-length) are sufficient to avoid both overflow and coefficient truncation.
**Channel dividing filter**
Complementary low and high-pass filters in a parallel combination have a linear response in amplitude and phase, expressed by
$$L_1(z) = \frac{1 - B}{2 - B} \cdot \frac{1}{1 - Bz^{-1}}$$
$$H_1(z) = \frac{1}{2 - B} \cdot \frac{1 - Az^{-1}}{1 - Bz^{-1}}$$
$(1 > A > B > 0 \text{ and } A = 2B - B^2)$
respectively. $L_1(z)$ and $H_1(z)$ satisfy the identity
$$L_1(z) + H_1(z) = 1.$$
Figure 4 shows the frequency response of $L_1(z)$ and $H_1(z)$, whose crossover is
$$f_c = (F/2\mu)(1 - B).$$
These complementary digital filters can be used for a digital two-way limiter analogous to the conventional analogue two-way limiter. Incidentally, a digital limiter can be realized by either a variable coefficient multiplier, where a digital input signal is multiplied by a coefficient whose magnitude varies with an appropriate time constant according to the amplitude of an input signal, or an s-type non-linearity which can be realized by a simple arithmetic operation of the input signal.
Squaring the identity $L_1(z) + H_1(z) = 1$, we have complementary low, band and high-pass filters
$$L_2(z) = L_1^2(z)$$
$$B_2(z) = 2L_1(z)H_1(z)$$
$$H_2(z) = H_1^2(z)$$
respectively. They satisfy the identity
$$L_2(z) + B_2(z) + H_2(z) = 1.$$
Figure 5 shows the amplitude response of these three filters, while the phase response of $L_1(z)$, $H_1(z)$, ... and $H_2(z)$ is shown in Fig. 6.
**Notch filter**
The z transfer function of the simplest notch filter is
$$N(z) = 1 - \frac{N(1 - z^{-1})}{(1 - Bz^{-1})^2}, \quad N = 2(1 - B)$$
which is realized by the digital structure shown in Fig. 7. If $B \approx 1$, the response of this equation is approximately
$$N(f) = 1 - \frac{1}{1 + (j/2)(f_d/f - f/f_d)}$$
where $f_d = (F/2\pi)(1/B - 1)$
**Graphic equalizer**
The z transfer function of the simplest filter which can control a mid-band level is expressed by
$$M(z) = 1 + \frac{K(1 - B)(1 - Az^{-1})}{(1 - Bz^{-1})^2}, \quad (1 > A > B > 0)$$
where $K$ is a variable coefficient. If $A = 1$, a peak-level occurs at
$$f_p \approx (F/2\pi)(1/\sqrt{B} - \sqrt{B}), \quad (K > 0)$$
and a dip-level occurs at the frequency $f_p$ of equation 4 when $0 > K > -4$. The diplevel becomes minimum at $K \approx -2$ (notch filter). When $B \approx 1$ and $\approx -4$, the amplitude of $M(z)$ is approximately equal to 1 (all-pass filter). Adjusting $\Lambda = 2B/(1 + B^2)$, gives
$$f_p = f_d = (F/2\mu) \cos^{-1}(\Lambda + 1/\Lambda - B/2 - 1/2B).$$
The mid-band level is controlled by the single variable coefficient $K$.
A family of measured curves of equation 5 obtained by a hardware filter is shown in Fig. 8, where $F = 44.056$kHz and $\Lambda = 1$. The difference between $f_p$ and $f_d$ at $f_d = 10$kHz is theoretically given by 3.58kHz. If the maximum level is limited to 15dB, for example, the additional two bits (theoretically and experimentally) can prevent overflow.
The z transfer function capable of control for a narrow-band level using a single variable coefficient can be obtained also by the combination of first-order digital filters. This allows implementation of the filter as hardware with a relatively small word-length, i.e. the additional bits are less than eight.
**References**
1. McNally, G. Computer-based mixing and filtering system for digital sound signals, BBC RD 1979/4.
2. Hirata, Y. Digitalization of conventional analogue filters for recording use, *J. Audio Eng. Soc.*, vol.29, no.5, 1981, p.333-7.
Ishida, S., Nagatani, S., Hirata, Y. & Itow, T. Digital filter for tone control and spectrum shaping, Acoust. Soc. Japan Convention Report, May 1981, p.577-8.
3. Sekiguchi, K., Ishizaka, K., Matsudaira, T. K. & Nakajima, H. New approach to high-speed digital signal processing based on microprogramming, Audio Eng. Soc., 70th Convention Report, 1841(A-1), 1981.
4. Hirata, Y. Digital limiter, IECE Japan, Technical Report EA79-67, Dec. 1979.
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**EVENTS**
**September 6-12**
*SBAC Show* — 25th air show and exhibition, society of British Aerospace Companies Ltd., 29 Kings Street, St Janes, London SW1Y 6RD.
**September 8-10**
*Auditorium Acoustics and Electro Acoustics Conference* at the David Hume Tower, Edinburgh University. Details from Institute of Acoustics, 25 Chambers Street, Edinburgh EH1 1HV.
**September 13-17**
*12th European Micro Wave Conference* in Helsinki. Details from LPL, Convex House, 43 Dudley Road, Tunbridge Wells, Kent TN1 1LE.
**September 14**
*Power Control Seminar*. A one-day event on Motorola solid-state power control, Cavendish Conference Centre. Details from Motorola Ltd, York House, Wembley, Middlesex HA9 0PL.
**September 21-23**
*International Conference on Electromagnetic Compatibility*. IERE Conference at University of Surrey, Guildford, on radio interference problems. Details from Conference Department, IERE, 99 Gower Street, London WC1E 6AZ.
**September 28**
*7th Sound Broadcasting Show*. Albany Hotel, Birmingham. Details from Audio and Design Recording, North Street, Reading, Berkshire RG1 4DA.
**September 19-24**
*Human Aspects of Computer Systems*. Course on Ergonomics and Computers Systems in commercial organizations, at Loughborough University. Details from Rachel Shattock on Loughborough (0509) 212041.
**October 5-6-7**
*Electronic Displays '82*. Conference and exhibition on displays at Kensington Exhibition Centre, London. Details from Network Exhibitions Ltd, Printers Mews, Market Hill, Buckingham MK18 1JX.
**October 6**
*Radio and TV interference*. IEEEIE. At Royal Star Hotel, High Street, Maidstone, at 7.30pm. Details from IEEEIE, 2 Savoy Hill, London WC2R 0BS.
**October 7**
*Auto Electronics*. IEEEIE meeting at Conference Centre, Friargate Hill, Preston, at 6.30pm. Details from IEEEIE, 2 Savoy Hill, London WC2R 0BS.
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**Publication delays**
Production problems have meant the late publication of *Wireless World* in July and August. We apologise for the delays and expect to be on time in September with the October issue.
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Continued from page 72
The theorem is useful not only quantitatively, but also qualitatively. For example it predicts that a second-order delay corrector should have a loss maximum in the neighbourhood of its resonant frequency, which is true.
The corresponding subroutine is called up by GOTO DISS, which in the listing starts at line 2100.
**References**
3 J. K. Skwirzynski, Design theory and data for electrical filters. Van Nostrand, 1965.
4 J. W. Head, Mathematical techniques in electronics and engineering analysis. Iliffe, 1964.
5 H. F. Mayer, Über die Dämpfung von Siebketten im Durchlässigkeitsbereich. *E.N.T.*, vol.10, no.2, pp.335-8.
I made the comment in the first article of this series, last October, that I felt the advent of the 741 integrated-circuit operational amplifier was the turning point in the conversion of many linear circuit engineers to the use of i.c.s. However, useful though the 741 and other similar contemporary i.c. op-amps were, they were relatively slow and their input impedance was low enough to make it necessary to consider the likely effects of the flow of the input bias current in the input circuitry.
**CA3140**
It is understandable, therefore, that the advent of the RCA ‘mosfet-input’ op-amp, the CA3140, with an input impedance of more than $10^{12}\Omega$ and a slew-rate of some 9V/μs in comparison with that of the 0.5V/μs typical of the 741 in the mid-1970s, should have been greeted with great enthusiasm by the industrial electronic-engineering fraternity, for whom a lot of rather awkward jobs now became very much easier to accomplish. Examination of the circuit, drawn in simplified form in Fig. 1, shows a very great similarity in general structure to that of the 741, except that the complementary-pair output stage emitter followers have been replaced by a single emitter-follower Darlington pair (Tr$_{17,18}$) with an active emitter load built up from Tr$_{15,16}$ and Tr$_{21}$.
The input stage is conventional, consisting of an input long-tailed pair of p-channel mosfets driving a current mirror (Tr$_{11,12}$) and a single class-A amplifier (Tr$_{13}$) with a constant-current source as its collector load. High-frequency compensation is again conventional in form, with a collector-base capacitor ($C_C$) connected across Tr$_{13}$ to impose a dominant-lag type reduction in h.f. gain.
The major advantage of this circuit arrangement stems from the replacement of the relatively poor ‘lateral’ p-n-p transistors which would have to be used in a conventional, bipolar only type of i.c., with p.m.o.s. devices, which have an exceedingly high input impedance and very good h.f. characteristics. Unfortunately, in this circuit, there is an inevitable load mismatch so that, in spite of the current-mirror load, the gain of this input stage is only about 10×. Also, the need to protect the input gates from inadvertent breakdown due to electrostatic charges forces the use of internal Zener diodes, whose leakage currents effectively limit the input impedance to some $1.5 \times 10^{12}$ ohms at 25°C.
In order, therefore, to get the gain up to the 100,000 mark expected from his type of device, some ingenuity has been applied to the design of the second class-A gain stage and the output circuitry, shown in full in Fig. 2. In this, the most obvious feature, apart from the four p.m.o.s. devices (Tr$_{8,9,10,21}$), is the most elaborate biasing circuitry, with its ladder of current-mirrors built up from D$_1$, Tr$_1$, Tr$_6$ and Tr$_7$, all fed from Tr$_{8A}$, whose geometry is organized to make it act as a current source. This ladder of current-mirrors is used to control the cascade-connected current sources (Tr$_2$ and Tr$_5$) in the ‘tail’ of...
the input long-tailed pair (Tr9 and Tr10) and in the load circuit (Tr3 and Tr4) of the class-A amplifier transistor (Tr13). This second pair of cascade-connected current sources is used as an ingenious output overload protection device, in that if the current through the output transistor (Tr18) exceeds some 30mA at 25°C (or less at higher temperatures), Tr19 will be turned on, and will steal the current from the driver stage.
The maximum current available from the lower half of the output stage (Tr16,15) is already limited by the current fed into the two output current-mirrors (Tr15+D2, Tr16+D6 and R7) from Tr8 and R12, which is itself fed from a semi-fixed voltage source arranged around the zener diode D8 and Tr20.
All in all, it is a rather elaborate circuit arrangement, which has always been somewhat expensive to produce and has demanded a relatively large chip size. Nevertheless, the performance of the i.c. is very satisfactory, and it has retained its place in instrumentation use, where its good high-frequency performance, its high input impedance, and its ability to operate over the supply voltage range ±2V – ±18V has made it a useful circuit component. Characteristic gain/frequency and output swing/frequency graphs are shown in Figs. 3 and 4.
**TL071**
From the point of view of the audio circuit engineer, the remaining requirements which remained to be satisfied in the field of i.c. operational amplifiers were guaranteed low noise and low distortion parameters. These residual requirements were amply met in mid-1977 when Texas Instruments introduced their TL0* series of ‘BiFET’ devices, based on a combination of bipolar and junction fet technologies, which were now capable of fabrication on the same chip.
Of these, for reasons of personal interests, the one which was most immediately attractive was the TL071, 072, 074 series of single, dual and quad op-amps which are characterized for use in audio circuitry, with a noise specification of 18nV/√Hz and a total harmonic distortion, just below clipping, of typically less than 0.01%. In addition, the typical input impedance was still of the order of $10^{12}$ ohms, and the unity-gain slew rate was typically 13V/μs. The use of junction fet input devices has also allowed a somewhat simpler circuit configuration, shown in its basic form in Fig. 5.
Once again, the circuit architecture is of familiar form, with an input long-tailed pair of p-channel junction fets driving a current mirror to add the signal components of both halves, a single class A amplifier stage (actually a Darlington-pair connected stage), and a complementary pair of n–p–n and p–n–p output transistors biased into class AB1 operation. The only curious feature to the professional op-amp watcher is the apparently complete absence of any formal positive-excursion output short-circuit protection, other than the use of an output resistor, $R_{10}$, and the adoption of relatively high-value emitter resistors for the output emitter-follower pair. However, the makers claim that such an output short-circuit can be sustained indefinitely.
I have shown the full circuit of the TL071 in Fig. 6, in which there are a few further details not apparent from the simplified diagram. It will be seen that the input circuit load is formed from a more highly developed form of current-mirror Tr4,5,6 and R1,3,4) than the simple, twoFig. 7. Comparison between TL071 and LF351 from National Semiconductor, showing variations in input stage and overload protection.
Fig. 8. Open-loop gain and phase characteristics of TL071-4.
Fig. 9. Output voltage swing as function of supply voltage and frequency in TL071.
Fig. 10. Harmonic distortion plotted against frequency.
Fig. 11. Equivalent input noise voltage.
Fig. 12. Typical application of CA3140 is as ionization chamber amplifier at high impedance.
The transistor circuit employed in the 3140, and a catch-diode is connected across the compensation capacitor (D₁) to bypass the amplifier stages Tr₇ and Tr₈ if Tr₁₃ is driven into saturation. This assists in output overload protection, and also speeds up recovery from any swing which drives the circuit into negative line clipping.
Transistors Tr₂,₁₁,₁₄ form a current-mirror group fed from the constant current source Tr₁₆,₁₅,R₁₁, with transistors 2 and 11 acting as the input 'tail' and the class 'A' stage load, respectively. The transistor pair Tr₁₀ and Tr₉, are merely a passive biasing network for the output emitter followers, in which Tr₁₀ acts simply as a forward-biassed diode. Because of the relatively large proportion of the total (1.5-2mA) quiescent current consumption
Continued on page 87
Fig. 13. Low noise and low distortion of TL071 make it very useful in small-signal audio circuitry.
EPROM EMULATOR
A 2K-byte 2516/2716 emulator to aid software development. Designed for use in a secondary school, the unit is simple yet provides eight control functions, including two for storing and recalling data on cassette. A directly compatible eprom programmer is to be described in a subsequent article.
by Peter Nicholls, M.A.
Microprocessor system design requires some facility for transferring software from paper to semiconductor memory. Often, an eprom programmer is used, but it is extremely useful to be able to evolve and test a piece of software without having to repeatedly erase and reprogram an eprom — a process required even if only one byte needs altering.
An emulator provides the facility to load software into ram using a keyboard and display, and then to use that software to control an external microprocessor system. Any byte in ram may be changed at will, making for easy testing and correction of the software and breakpoint insertion. A 24-way jumper and 'header' plug connects the emulator to the external system through its eprom socket.
This article describes an emulator for 2516/2716 eproms, designed for use in secondary schools with cheapness and simplicity in mind. At the same time a range of useful facilities are provided making the emulator suitable for the 'serious' system designer. Manual input to the emulator is through eight control keys and a hexadecimal keypad. A description of the control key functions should help one understand how the circuit operates, Table 1.
The eighth control key is spare and may be used to add another function, such as a print command, which might allow the emulator ram's contents to be recorded on a printer. At present, the unmodified monitor program, to be shown, causes a jump to the start when the eighth key is pressed, resulting in a display of 'a', 000, XX.
To make the unit easier to use, the following features have been added to supplement the single-character prompts for constantly monitoring the emulator's operating mode:
- If ↑ is pressed at addresses 7FF or 000, resulting in an attempt by the system to go to an illegal address, an error message is displayed for one second, after which the monitor jumps to the start.
- When recording of the memory contents on tape is finished, the display 'sent' is given until the 'a' key is pressed.
- The cassette-recorder interface used is not RS232, but a software interface called Transwift. With this, a check-byte is included at the end of each transmission and checked when the data is read back. If the received parity is correct, the display will show 'read', and if incorrect, will give an error message. This display is held until the 'a' key is pressed.
- When eprom programming is complete, the display shows 'burnt'.
If the software to be programmed does not fill an eprom, further data bytes sent by the emulator must be FF if remaining eprom locations are to be left free. Without software this is a tedious business but it was felt that a separate function key for filling superfluous locations would lead to students loosing their software by accidentally pressing the wrong key.
So, to overcome this, the software is designed so that if the 'e' key is pressed within one second of a first depression, the prompt will show 'f' and all ram displayed from the address when 'e' was pressed will be filled with FF.
Table 1. Control-key functions and prompts
| Control key | Prompt | Function |
|-------------|--------|----------|
| A | | Address entry. When display shows this character, an address may be entered on the keypad. This address is displayed together with ram contents at the address. |
| D | | Data entry. This function allows data to be entered at the displayed address. |
| ↑ | | Increment address. With this function, the system remains in data-entry mode. |
| ↓ | | Decrement address. Here, again the system remains in data-entry mode. |
| T | | Transmit to tape. On display of this character, ram contents are transmitted to cassette recorder through a 'software interface'. |
| R | | Receive from tape. Reads data recorded using previous function. |
| E | | Eprom program. This function programs a 2716 with the emulator contents using a small external board. |
Fig. 1. A typical display. The 8080 processor has only 12 address lines, hence the hexadecimal address display consists of only three digits.
Fig. 2. The emulator's memory map in load mode. Additional logic is used to rearrange the memory map so that an external system addresses the emulator between 000 and 7FF.
Table 2. The 24-way jumper lead that plugs into the external system's eprom socket should be connected to the emulator board by a transition socket to provide strain relief. A 26-way socket was used with the following pin assignments.
| Point on board | Pin number | Pin name (2716) |
|----------------|------------|-----------------|
| 1 | 24 | +5V |
| 2 | 1 | A7 |
| 3 | 23 | A8 |
| 4 | 2 | A9 |
| 5 | 22 | A9 |
| 6 | 3 | A5 |
| 7 | 21 | Vpp (+5V) |
| 8 | 4 | A4 |
| 9 | 20 | (OE to CS on emulator) |
| 10 | 5 | A3 |
| 11 | 19 | A10 |
| 12 | 8 | A2 |
| 13 | 18 | CE (IV) |
| 14 | 7 | A1 |
| 15 | 17 | D7 |
| 16 | 8 | A0 |
| 17 | 16 | D6 |
| 18 | 9 | D0 |
| 19 | 15 | D5 |
| 20 | 10 | D1 |
| 21 | 14 | D4 |
| 22 | 11 | D2 |
| 23 | 13 | D3 |
| 24 | 12 | GND |
| 25 not used | | |
| 26 not used | | |
The reset button functions in the usual way and can be useful when, for example, a badly corrupted data transfer from tape occurs, the error message will not be displayed until 16K-bits of data of some sort have been received. A Schmitt trigger inverter is used to provide a clean pulse for 8060’s reset input.
Operation of the load/emulate switch should be self explanatory.
Use of the emulator
Normally, the emulator is operated as follows.
– With the header plug disconnected from the external system and the load/emulate switch in the load position, the required software is loaded into the emulator.
– After loading, the system is switched to emulate mode.
– Now the header is connected to the external microprocessor system, which may need resetting so that it fetches from the emulator’s first location.
Care must be taken with power supplies. For example, if the system connected to the emulator has to be powered by the emulator, it is not advisable to use the 24-way connecting cable for this purpose. Generally, if the external circuit has its own supply, it may be connected to the emulator’s supply, provided that both are regulated and nominally 5V.
If the system under development has a microprocessor that will relinquish its buses in response to a control command, this facility may be used so that the two systems may remain connected together while the emulator is in load mode. An appropriate control command could be derived from the load/emulate switch and connected through a separate lead to the microprocessor of the system under development.
Circuit description
As stated, the prime considerations for a piece of school equipment are complexity and cost, so an attempt was made to eliminate the need for buffers on the buses. This influenced the choice of processor for the emulator; the 6502, for example cannot be switched to a high-impedance state on all its buses. The INS-8060 can, and also has the following features that make it suitable for this application.
– no external clock is required
– the device may be rendered static for 50ms in the eprom-programming cycle
– control lines are available that simplify implementation of the emulator’s ‘t, r, e’ and ‘p’ functions.
Referring to the main circuit diagram, Fig. 4, the processor is linked to an 8154 parallel-interface adapter – which provides 128 bytes of ‘scratch-pad’ ram and two sets of 8-bit input/output lines for display and keypad control – to a 2716 eprom containing the monitor program, and to a 2K by 8-bit cmos ram. This static ram, the HM6116, is more compact than the slightly cheaper equivalent of four 4114s, simplifying p.c.b. design, and it consumes only 20µA in standby mode. A p.c.b.-mounting nickel-cadmium battery will power the 6116 in standby mode for some 200 days. This makes the emulator more reliable and allows one to develop a piece of software over extended periods with minimal use of the cassette-storage facility.
When the main-power supply is used, Tr1 conducts, allowing the ram’s chip-select input to be controlled by the NAND gate. When the main supply is removed, R13 holds the input high without excessive battery drain. Provided that the board is used on average for about a half an hour each day, the back-up batteries will be sufficiently trickle charged through R12.
Figure 2 shows the memory map, which is implemented by most of the low-power Schottky gates. When the ram is addressed by the outside world though the header, data appears in memory between addresses 000 and 7FF. Since the processor only has 12 address lines, which is adequate addressing capability for this application, a fourth hexadecimal digit is not found in either the display or the memory map.
A further small economy may be made when the crystal used for the 8060 clock is replaced by an RC circuit as shown in Fig. 3. The only section of the emulator likely to be affected by the small reduction in timing accuracy caused by this modification is the cassette interface.
Switch S1 on the main circuit diagram, the load/emulate switch, applies either or logic 1 or a logic 0 to the processor’s NENIN input. At this input a logic 1 disables the processor, setting all the address and data lines and control lines NRDS and NWDS to their high-impedance state. In this condition, the external system may control the emulator buses without impediment. The signal at NENIN is also used to rearrange the memory map so that the 6116 appears at the bottom of the map as far as the external system is concerned.
Tape interface Data is sent to the tape by the processor as a series of 16K bits preceded by a header and ended by a parity-check byte. The value of each bit is conveyed as the time interval between two successive changes in magnitude of the output signal. When reading, the signal from the tape is squared using two Schmitt trigger inverters, and the data is then recovered by software.
Transwift, the name given to this interface by its designer, Barry Savage, requires very few components, yet it is relativery insensitive to changes in tape speed and output level and is fast, taking about nine seconds to load the emulator's 2K ram contents.
**Keyboard/display.** Functioning of the display and keyboard is straightforward, as the second circuit diagram shows. A 7445 decodes three bits of port B and provides sufficient current to drive the multiplexed-display cathodes. Seven bits of port A control the display anodes through a darlington driver i.c., IC3. This technique is slightly wasteful of current, but it is a practical solution as p-n-p - driver i.cs are difficult to obtain.
The keypad is connected to port B in such a way that no software decoding is necessary. Lines B3 to B0 carry the hexadecimal value of the key pressed. Depression of a control key results in a low transition on B7, which is easily detected by the software using a jump if positive command.
Diodes one to seven may be replaced by wire links if the emulator is to be kept basic, but they were included in my design to allow printer heads to be driven by IC3.
**Construction and testing**
Wire wrapping was used for the prototype, resulting in a compact unit, and later, a single-sided board was made measuring 233 by 220mm. A 26-way transition connector was used to join the 24-way rib-
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**Fig. 4. Circuit diagram of the emulator. Address lines to the 6116 need not be in the order shown, but may be rearranged to simplify p.c.b. layout. The 8060 processor is linked to an 8154 parallel-interface adapter — which provides 128 bytes of 'scratch-pad' ram and two sets of 8-bit input/output lines for display and keypad control — and to a 2716 eprom containing the monitor program. Programs being written are stored in the HM6116 2K-by-eight-bit static cmos ram.**
Fig. 5. Diagram of display/keyboard section. Port B and the keyboard are connected such that no software decoding is necessary and the hexadecimal value appears on lines B3 to B0. A logic 0 on B7 indicates to the software that a control key is pressed.
When construction is complete, the load/emulate switch should be set to the load position and the power applied. If the display is blank, pressing reset should result in a display of 'a', 000, XX. If this does not happen, a fault must be assumed as there are no adjustment points on the board. Should a close visual inspection fail to reveal the fault, checking the circuit from i.c. pin to i.c. pin with an analogue multimeter which uses a 1.5V battery for its resistance range will usually locate the fault, without risking the semiconductors.
Operation of the address and data entry and address increment and decrement functions may easily be checked by referring to the previous description of functions. Next, connect a cassette recorder to the interface, set the displayed address to 000 and press the 'e' key twice (if an eprom programmer board is to be used with the emulator it should not be connected for this test). This should fill the whole of the ram with FF and after a few seconds, the display will show 'burnt'. Now, when 'a' is pressed, the usual display will be restored.
Set up the cassette recorder for recording, then press 't'. When the display shows 'sent' the recording is complete, and should consist of a steady tone of about 1.3kHz for a few seconds after a short leader. This recording can be used to set up the tape interface using an oscilloscope. First, connect the oscilloscope to pin 18 of the 8060 and start replaying the tape. Play back the recorded data and adjust the 4.7kΩ variable resistor on the main circuit diagram to give a 1:1 mark-to-space ratio. After pressing the 'r' function key, a further replay of the recorded data should result in the acceptance message 'recd' being displayed.
Should 'error' appear, or the display continue to show the 'r' prompt, it should first be checked that the whole message has been sent and received, and that part of it has not been lost on the cassette's leader. Minor adjustments to the cassette recorder volume control and to the setting of the variable resistor may be made to ensure that the signal at pin 18 of the 8060 is 5V peak-to-peak.
Without an oscilloscope, the voltage at pin 18 of the 8060 may be set to 2.5V using an analogue meter, provided that the cassette recorder input is grounded and that one is certain that noise is not falsifying the reading.
As a final test of the cassette interface, switch off the emulator-power supply and touch pin 24 of IC₆ to ground. This will fill the 6116 with random data which can then be recorded on tape and played back again, the display confirming accurate reception and transmission.
Single-sided printed-circuit boards (233 by 220mm) and monitor eproms for the emulator, at £8 and £5 respectively, will be available from PKG Electronics, Oak Lodge, Tansley, Derbyshire.
Acknowledgements
The Transwift interface, designed by Barry Savage and incorporated in Softy I and Softy II, is used by kind permission and is the subject of a patent. Acknowledgments also go to the Microelectronics Education Program, without whose financial support this project would not have been possible, and to Denys Gaskell for his patience and skill.
the vertical signal from the Y amplifier and triggers the sawtooth oscillator if the switch on pin 2 of the 4070 is in the 'Trig' position (closed). In the 'Free Run' position, the sawtooth oscillator runs continuously.
Two exclusive-Or gates form the clipper circuit, the 2.2 MΩ feedback resistor across the two gates preventing the trigger waveform having multiple edges due to noise on the vertical signal. The polarity of the trigger waveform may be inverted by the following ex-Or gate when the switch is in the negative position. The first of the two Nand gates in the feedback path of the sawtooth oscillator is used to inhibit the oscillator when Q of the 4013 is logic 0.
With the circuit waiting for a trigger edge, and the switch in the 'Trig' position, logic levels are:
- 4011 pin 8 – logic 1
- 4011 pin 9 – logic 0
- 4011 pin 1 and 2 – logic 1
- 4011 pin 12 and 13 – logic 1
- 4070 pin 3 – logic 1
- 4013 pin 4 – logic 0 (reset is off)
- 4013 pin 8 – logic 0 (set if off)
When a positive-going trigger edge clocks pin 11 of the 4013, the Q output pin goes to logic 0, the 4011 pin 3 goes to logic 1 and resets the 4013, Q pin 2 to a logic 1; this allows the sawtooth oscillator to run. Further trigger waveform edges cannot now inhibit the oscillator until it has reset and the positive-going edge following flyback clocks the 4013 at pin 3. The circuit is then ready to accept a further trigger pulse.
Note that when the sawtooth generator is waiting for a trigger edge, the CA3130, pin 6, is at +12 V (the fet is therefore off) and the 4011 pin 4 is logic 0, so that the current transistor is off. The timing capacitor therefore floats from a starting voltage of +4 V and, depending on the leakage, would gradually drift over a period of tens of seconds. However, this drift has no effect when the circuit is operating normally.
**Flyback suppression**
This is a.c. coupled to simplify the coupling to the tube grid, which is at about −200V. The pulse amplitude is about 35V negative-going at the collector of the 2N2369. A.c. coupling results in a spot at the left-hand side of the trace when the circuit is waiting to trigger.
**Calibration oscillator**
The squarewave oscillator generates an accurate 1 kHz squarewave at 1 volt p-p.
*Cathode-ray tubes for this design can be obtained from: Colomor (Electronics) Ltd, 170 Goldhawk Road, London W12; Langrex Supplies Ltd, Climax House, Fallsbrook Road, Streatham, London SW16 6ED.*
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**Next month**
**Modular preamplifier.** John Linsley Hood begins his description of a new, modular preamplifier, designed for use with the 100W power amplifier recently featured. Among its features are a noise-blanker stage to minimize scratch 'clicks', a push-button, eight-octave tone-control, a four-input mixer, a rumble filter with a 22dB/octave cut and a signal-strength meter.
**Electronic compass.** This is a 'no-moving part' design, by Neil Pollock which uses a fluxgate sensor, the construction of which is described. The output of the sensor can be processed by a microprocessor to provide a numerical display, or the hardwired circuit shown in the article can be used.
**Low-frequency oscillator.** A sine-plus-square oscillator, working in the 10-Hz to 250KHz range, which provides a tone-burst output for loudspeaker testing. There is octave switching and a RIAA pre-emphasis network, and the instrument is built in the modular manner.
**On sale Sept 15.**
500MHZ FREQUENCY SYNTHESIZER
Internal or external references may be used to determine output frequencies from 1 to 500MHz in steps of 0.1Hz on the PTS500 synthesized-signal generator. All functions may be programmed using either binary-coded decimal signals or the IEEE488 bus. Switching between frequencies takes from 5 to 20µs, output levels are between +3 and +13dBm, and resolution may be selected. Wessex Electronics, the manufacturer's representatives, say that the instrument introduces little phase noise (−63dBc from 0.5Hz to 15kHz) and that the simple synthesizing method used involves fewer components than competitive instruments do, resulting in a reduction in power consumption of up to 50%. A wideband-i.f. linear amplifier from RF Power Labs is since recently also available from Wessex Electronics. This 150W instrument may be used at frequencies from 1 to 30MHz with an average gain of 50dBi, within ±1.5dB. Comprehensive circuit protection is incorporated in the design. Wessex Electronics Ltd, 114-116 North Street, Downend, Bristol BS16 5SE.
WW301
MONITORS FOR PORTABLE USE
An uncased 5in monitor from Kent Modular Electronics has 25MHz bandwidth and is claimed to be suitable for displaying up to 80 columns by 36 lines. Designated the MC500, this monitor is suitable for displaying characters, in point-of-sale terminals and computers for instance, or for use in picture-display applications including surveillance and closed-circuit tv. It requires a 12V d.c. supply, may be driven by either composite video or separate t.t.l.-level signals, and has line and field-scan rates of 15, 6kHz and 50 or 60Hz respectively. Resolution is 700 lines at screen centre and 500 lines at the corners. Different phosphors can be obtained. Kent Modular Electronics Ltd, Maidstone Road, Rochester, Kent ME1 3QL.
WW302
12-BY-12-BIT MULTIPLIER
What is claimed to be the fastest unsigned-magnitude 12-by-12-bit multiplier, the MPY112K from TRW LSI Products, multiplies in under 50ns. This 48-pin device, available through MCP Electronics, has dual-input registers, a multiplier array and a 16-bit output-product register with three-state t.t.l.-compatible output buffers. Applications include real-time video-signal processing, digital filtering, FFT calculations and geometric transformations. MCP Electronics Ltd, 38 Rosemont Road, Alperton, Wembley, Middx HA0 4PE.
WW303
BYTE-ERASABLE EEPROM
Limited samples of National Semiconductor's 2K-by-eight electrically-erasable prom can be obtained for evaluation purposes. Two versions are available, the NMC2816 and the NMC9716, the difference being that the latter device may be erased or written using a t.t.l. pulse on the chip-enable input while the programming-pulse input is held at 21V. The erase/write cycle is similar to that of the industry-standard 2716 eeprom. To erase or write a byte takes 10ms, or alternatively the whole device may be erased at once in 10ms. Apart from the difference mentioned, the devices are pin and function compatible with each other. Prices for 250ns and 450ns versions are between £30 and £40 for small quantities. National Semiconductor (UK) Ltd, 301 Harpur Centre, Horne Lane, Bedford MK40 1TR.
WW304
MICROWAVE TRIMMERS
Four microwave trimming capacitors from Waycom cover 0.3 to 1.2, 0.4, to 2.5, 0.6 to 4.5 and 0.8 to 8pF ranges respectively and have minimum-Q values of between 1000 and 5000 at 250MHz. Self-resonant frequencies are between 5 and 13GHz. The MTRX2X series can directly replace the company's MTMX0X trimmers. Waycom Ltd, Wokingham Road, Bracknell, Berkshire RG12 1ND.
WW305
DIL PREFORMING TOOL
As many readers will be aware, integrated-circuit pins are intentionally splayed so that the device stays in place when mounted on a board by an automatic-insertion machine or tool. If manual insertion is preferred, the pins must be preformed in some way. Kam Circuits sell two small preforming fixtures, one for 0.3in-wide devices and one for 0.6in-wide types, which can quickly preform i.e. pins. One-off prices are £15 for the DHPT3 and £18 for the DHPT6, excluding vat. Kam Circuits Ltd, Porte Marsh Road, Calne, Wilts SN11 9BW.
WW306
LED MOUNTINGS
Glass-filled polycarbonate holders for mounting 5mm leds either horizontally or vertically on a p.c.b. are available from Zaerix Electronics Ltd. These holders may be end or stack mounted on a 3mm pitch, used between -50 and +125°C and serve as a guide for led lead forming. Zaerix Electronics Ltd, Electron House, Cray Avenue, St Mary Cray, Orpington, Kent BR5 3QJ.
WW307
CONTROL COMPUTER
This single-board microcomputer which, it is claimed, can function as its own development system, uses the Zilog Z8671 'single-chip microcomputer' – a microprocessor with a Basic interpreter, two timers, a uart, four i/o ports, vectored interrupts and 144 bytes of ram. The Arc computer, designed for control applications, can be set to initiate itself on power up so that it may be used as a stand-alone controller. Built on a Eurocard, by Arcom Control Systems, the computer has a real-time clock/calender with battery back-up, 4Kbytes of ram and a 2Kbyte eeprom containing demonstration programs written in Basic, and an RS232 interface, rate selectable from 110 to 19200 bit/s. Space is available on the board to extend the memory capacity to 20K. Excluding vat, the Arc's price is £135. Arcom Control Systems Ltd, 38 Grantchester Road, Newnham, Cambridge CB3 9ED.
WW308
COMPUTER SPEECH
Keyboard entries may be converted into speech on most computers using the Votrax Type-and-Talk, claim Intelligent Artefacts (a company name). Typewritten words are translated into electronic speech by the unit's microprocessor-based text-to-speech algorithm. Suggested applications include education for, say, spelling tests, and in aiding blind and dumb persons.
Communication with the computer is through an RS232 link and the device gives its verbal response according to the English language, but possibly with an American accent since it originated in the US. It can be obtained for £275 excluding vat. Intelligent Artefacts, Cambridge Road, Orwell, Royston, Herts SG8 5QD.
WW309
LARGE G.T.O. THYRISTOR
A gate turn-off thyristor capable of handling 50 to 150kW in uninterruptible power supplies, inverters, variable-speed a.c. motor drive circuits etc., is manufactured by International Rectifier. The 160PFT is a 250A r.m.s., 600A peak device with a 1200V-maximum repetitive peak off-state rating and a turn-off time of 8us. International Rectifier Co. (GB) Ltd, Hurst Green, Oxted, Surrey RH8 9BB.
WW310
CONTINUITY TESTER
Some find it difficult to imagine what a continuity tester costing £54.40 might feature. The Buzzbox, from Kelvin Electronics, can locate p.c.b. short circuits since, claim its makers Kelvin Electronics, it is possible to resolve resistances lower than 10mΩ with the aid of the unit's ten-turn potentiometer and audible-signal generator. A similar method using a medium-resistance range of 0.5 to 30Ω can be used to identify and check multiple cables. Here, a built-in intercom may be of use should the cable ends be far apart. The instrument is also claimed to give consistently more reliable indications than most multimeters where general continuity testing is concerned. Internal calibration resistors are included, and the unit may be used to check capacitor leakage current, as a simple signal generator for audio-amplifier testing, and for alternating and direct voltage checks. In short-circuit location mode, current through the circuit under test is about 20µA and the alternating test voltage too low to turn on a silicon junction. Kelvin Electronics, 18 Exeter Close, Tilgate, Crawley, Sussex RH10 5HW.
WW311
POLYPHONIC-SOUND GENERATOR
An integrated circuit for simplifying the construction of polyphonic keyboard instruments, the M112, is manufactured by SGS. The device contains a microprocessor interface, eight sound-generating channels and output-control logic. Each generator consists of gating logic to select required tones and harmonics, and an a.d.s.r.-envelope shaper to determine the sound's dynamics. Twelve-bit words are sent to the i.c. through a six-bit data bus to determine pitch, a.d.s.r. and output options such as 'hold' and 'pedal'. The device has fifteen outputs in all and includes an input to provide a percussion effect. Cascading of the M112 is possible. Sample quantities of the device should be available in September. SGS recently introduced a 28-pin version of the M3870 microprocessor, the M2870, which will sell in large quantities at 'significantly' under $3. The device is identical to the 3870, except in the number of i/o lines. Both have a 2K rom, 64 bytes of ram, a counter/timer, programmable i/o, external-interrupt facility, internal clock, and require a single 5V supply. SGS-ATES (UK) Ltd, Walton Street, Aylesbury, Bucks.
WW312
THREE DIMENSIONS
There is an advertisement in my paper for one of those new Sony television outfits made up from a set of separate units. It has a separate picture monitor, a separate receiver/demodulator, teletext unit, video cassette unit, etc. It's the logical video extension of the audio hi-fi philosophy, and I'm sure it will be a winner with the "video" enthusiast. It makes good sense in terms of flexibility and must have considerable prestige value.
It is clear from the advertisement picture that Sony intends the tv sound to be handled by the hi-fi stereo system, a small loudspeaker being shown placed at each side of the picture monitor. Of course, British tv sound does not come in stereo, so the system would have to operate in mono for broadcast entertainment. Perhaps some video cassettes have two-track sound, and broadcast television with stereo sound is being developed in Germany.
Personally I have my doubts about the advantages of stereo sound on television. Even with a very large picture tube, I find it hard to believe that the stereophonic illusion can pinpoint the sound source image to coincide with the visual image accurately enough to improve the realism. But I'm probably wrong. Even with real sound sources I find it difficult to locate them aurally. I have very little aural sense of direction, and I am usually unable to tell whether a two-speaker system is providing stereo sound or just doubling up on the monophonic.
Had I not made this admission, however, I am sure I could pursue the argument on the futility of the combination of television and stereo sound and convince a significant following. But there is bound to be a large number of viewer/listeners who can locate the direction of a sound source within a tenth of a second of arc or even less. Indeed, I'm probably the only person who can't do it.
I made the mistake some years ago after a demonstration 3D film at the local cinema. It was based on the use of a different colour filter for the left and the right eye, with appropriately coloured images on the screen.
I found that the stereoscopic effect was far greater than I was accustomed to in real life, and I was easily able to persuade a large number of my colleagues that we were only able to detect the three dimensions visually to a range of about 10 feet. I frequently heard my opinion voiced by others, and each occasion reinforced my conviction of the truth of the statements.
Then I got some new spectacles. The moment I put them on out-of-doors my whole flat world leapt into 3D, and I realized that my disciples were preaching a false doctrine. I was not too penitent, for some were, presumably, normally sighted and should have known that the 10-foot limit was nonsense, even if the film's stereoscopic effect was somewhat exaggerated.
The moral of this story is that, if you believe what you are saying, you can probably fool some of the people most of the time, even in contradiction to the evidence of their eyes.
MARKING TIME
Quite recently a kind lady gave me an electronic ball-point-pen — all-solid-state with quartz-crystal frequency control — a high-technology writing instrument if ever there was one.
Actually it was not really intended as a gift so much as a prize for ordering more stationery than one really needs. It is what our supplier calls a "promotion"; and there are, I know, folk who regard the acceptance of such gifts as not quite proper, especially as they are nearly always received by somebody else. Anyway I'm quite pleased with mine. It is not everyone who has an electronic ball-point pen.
It's just the same as any other ball-point pen really, except that it has a tiny digital clock built into its upper half, with an i.c.d. readout on the side giving the time in hours and mminutes. It has been quite well engineered — in Hong Kong — and it has some attractive features; e.g., it takes Parker refills, which are readily available outside Hong Kong, and it is fat enough to hold comfortably when writing.
I'm not too fond of digital timepieces in general. I find it easier to relate time intervals to distance round the circumference of my wrist watch than to do the arithmetic with digital information. This is particularly true first thing in the morning, when it comes to the nice assessment of time for a final doze before crawling out of bed. Although the digital characters on our clock radio are large and bright, the concentration needed to subtract 6:33 from a quarter to seven is such that I find I'm wide awake and the pleasure is lost; so I still squint bleary-eyed at my old fashioned watch.
Of course, my analogue mind lasts all day and, in common with the rest of the human race, I find it easier to absorb diagrammatic information than to interpret characters. But that little digital timepiece in the stem of my ball-point has one important advantage over the wrist watch. It is easy to read when holding the pen in the normal writing position.
This means that, when I get involved in one of those boring office meetings, I am able to keep track of the time without the more obvious frequent reference to my wrist watch. It is perfectly natural to look in the direction of one's pen when taking notes, and I can look as often as I like without upsetting anyone.
Terry Wogan has just announced that it is coming up to eighteen minutes to ten. Is that later than 9:41?
STRANGER THAN FICTION
So it's arrived at last. There it is on the front page of the Financial Times complete with a full-size photograph — the world's first wristwatch television. Needless to say, it's Japanese; and I must admit it upstages my electronic ball point pen. It must have impressed the FT, because I cannot recall ever having seen a new-product photograph on the front page before.
According to the paper it is all made possible by the development of a liquid-crystal display with a matrix of 32,000 dots covering a 1.2-in screen. It says, "the tv is part of a slightly oversized electronic wristwatch with digital time display, calendar, stop-watch and alarm."
Fantastic; but how do they manage to pack the receiver circuit and all the video signal processing etc. into the wristwatch case? Well, actually, they don't. The watch tv is connected by a thin cable to a pocket-sized receiver unit, weighing just under half a pound, complete with batteries and all the normal controls. An earphone is also attached by a lightweight cable; so it seems that the wearer of the wristwatch tv must be wired for vision and sound.
The manufacturer expects to start mass production in Japan in six months' time, and perhaps we shall see them here in time for Wimbledon 1982. It should be fairly easy to spot the wristwatch television viewer out of doors watching the tennis. With a viewing screen about half the size of a 35mm negative, it will be necessary to hold it about eight inches from one's eyes to keep an eye on the ball; and, no doubt, an aerial will be needed for all but the highest field-strength areas, suggesting some interesting headgear.
So if, next July, you should see a man in the park with a deaf-aid and an antenna on his hat, staring intently at his wristwatch, you'll know what he's doing, won't you? You could be wrong, of course. If he talks to his wristwatch and then slowly fades away to nothing, it could mean that he's been "beamed up" to a 25th century space ship.
YOU'RE LOOKING AT 31 ANTEX SOLDERING IRONS!
The secret is in the range of bits for each model, from 19mm down to 0.5mm! No screws to seize up — push-on bits which cover the elements to save time and energy.
The new range of Antex irons come with or without safety plugs fitted. They are tougher than ever, and about twice as efficient as conventional designs.
Specify low wattage, low leakage Antex Irons now.
ORYX
the new name in quality solder
Now there is another choice in high quality solder. The new Oryx resin cored solder. Try it and you will find it spreads easier than the solder you are using.
Specially formulated for fast precision solder work, it is 60% tin, 40% lead alloy with quality flux construction and melts at 183°C. Two gauges are available—18 SWG (1.2mm) and 22 SWG (0.71mm) in 2.5 Kg, 500g, 250g and 100g reels. Pocket size dispenser with 10 feet of Oryx 1mm solder is also available at only 68p (+ VAT).
Oryx is competitively priced—write now for details and technical information.
Greenwood Electronics
Greenwood Electronics Limited, Portman Road, Reading, Berkshire RG3 1NE. Telephone: (0734) 595844. Telex: 848659
The TC82—a significant development in temperature controlled soldering
The new Oryx TC 82 has features unique to any temperature controlled precision soldering iron. Available in 24 V, 50 V, 115 V and 210/240 V models, the TC 82 has a facility allowing the user to accurately dial any tip temperature between 260°C and 420°C by setting a dial in the handle without changing tips.
This eliminates the need for temperature measuring equipment. You get faster and better soldering.
For 24 V models a special Oryx power unit connects directly to the iron and contains fully isolated transformer to BS3535, a safety stand, tip clean facility and illuminated mains socket switch.
The Oryx TC 82 is also extra-safe. Removing the handle automatically disconnects the iron from power source.
Other TC 82 features include: Power-on Neon indicator in handle; burn proof cable; choice of 13 tip styles.
And more good news
The Oryx TC 82 iron costs only £13.00 (+ VAT) and the power unit for 24 V operation £23.00 (+ VAT).
The TC82 240 volt is also available as a 30 watt general purpose iron at only £4.95 (+VAT).
Greenwood Electronics
Greenwood Electronics Limited, Portman Road, Reading, Berkshire RG3 1NE. Telephone: (0734) 595844. Telex: 848659 |
The Oakleaf Magazine
July 2015
START
Summer Sermon Series
Beginning July 5
OAKWOOD BAPTIST CHURCH
Intimacy with God ~ Fellowship with Believers ~ Connecting with the Lost
Start: Summer Sermon Series
It is my privilege to write a sermon series once again for the Associational Missions Emphasis. I had this privilege back in 2012 with my “Life on Life” series and this time I am writing for the 2016 emphasis. This series will begin on July 5 and will focus on the action packed word, “start.” The Christian life is all about new beginnings and every new beginning means a new start. Where do we start? Find out beginning July 5.
Love Africa Mission
I ask your prayers for Kristi and Aimee as they join a team headed to Kenya, July 18-30. God has provided both the opportunity and the means for them to make this trip. I want to thank you for supporting them generously over the past several months. You’ve helped in so many ways. Now I ask that you pray for them as they travel and serve in Kenya. You can learn more about the Love Africa Mission at www.loveafricamission.org. Click on “Upcoming Trips” and there you will find information about the Kenya trip.
In a few weeks we’ll have the opportunity to hear from our Moldova mission team. God used this small team in big ways. Also, please be in prayer for Fred Smith and the team he will be a part of as they head to Peru in July as well.
Welcome Aboard!
I am excited about Dwayne Baxley joining our staff as our full-time Associate Pastor. By the time you receive this newsletter, his work will have started. Please pray for Dwayne and his family as they make this transition. God has opened many doors and has moved dramatically to bring this about and I know Oakwood will be blessed. I praise God for the step of faith taken by offering this position to Dwayne.
Our Library is on the Move
We’ve enjoyed our new building over the past 3 years. Still, we’ve made some tweaks along the way which has improved our building’s use. There are some things I wish we had done differently. The placement of our library across from the offices has not drawn the crowds it once had. After some consideration, the library will return to its former location in Room 1107. The current library will become office space to accommodate our growing staff.
We have a fantastic library. Drop by and explore the collection of books, Bible studies and video resources which will enhance your Christian walk.
email@example.com
HOSEA
Unfailing Love Changes Everything
BY JENNIFER ROTHSCILD
7 week video based Bible study
Beginning Monday, July 6 at 6:30 PM
Book cost is $13—available first night
See Deanie Shelton for information.
You are Invited to a
Baby Shower
Honoring
Margie Lee
Sunday, July 12
2:30—4:00 PM
Margie is register at Target and her nursery theme is little lambs.
Every Tuesday at 6:00 AM
MEN’S PRAYER BREAKFAST
THANK YOU
Dear Church Family,
You have all been so kind and generous and given me such TLC since Dale passed away and I am thankful to you all. The prayers and phone calls and meals and cards and visits really have been uplifting and comforting. It is amazing what a difference it all made to me and my family.
Thank you for allowing us to see Christ in you.
With love and appreciation,
Pat Grosjean and family
Dear Church Family,
Thank you so much for your prayers, cards, calls, visits and meals during my surgery and recovery. You have been His hands and feet and we are so grateful for you.
Much Love,
Marcie Frick
Golden Oaks BMW Plant Tour $25 Deposit due July 13. Tour is limited to 40 people. Get your deposits in early to guarantee your spot. See Shirley Hilton for details.
OAKWOOD BAPTIST CHURCH
BROTHERHOOD
Saturday, July 25 at 6:00 PM
All men are welcomed and encouraged to attend
Raylee Grace Hodge invites you to the ceremony that will make her parents
Hailey Renee Wise and Richard Paul Hodge husband and wife on Saturday, the eighth of August two thousand and fifteen at six o’clock in the evening Oakwood Baptist Church 3320 Mineral Springs Road Lexington, SC
Reception immediately following at The Columbia Conference Center, 1301 Columbia College Dr., Columbia SC
MONTHLY STATISTICS
Average Worship Attendance For June—281 Previous Months:
May—293, April—311, March—259
June Web Hits: 11,789 (Another Record!!)
Total for 2015: 37,298
A Note From Jamie
There are a lot of good things that I could talk about in my column this month. There are a lot of good things going on at Oakwood. But I absolutely HAVE to thank everyone who gave their time, effort, and energy to making our G3 Missions trip possible. I can safely say it is easily one of our most successful trips yet. We had six sites for needy families right here in our community, six daunting projects, and our kids finished them ALL! We had an incredible week of worship, hearing from various speakers. The Lord blessed us with an absolutely fantastic week of service and growth. None of that would have been possible without our kids, our WMU, all the volunteers who came to make lunches, or take pictures, or even just pray for our group. Thank you, thank you, thank you! I can’t wait to see what the Father has in store for us next!
Jamie
IMPORTANT STUDENT MINISTRY DATES
July 2: Frankie’s Fun Park! Meet at the church at 1pm!
July 9: Progressive Dinner! Meet at the church at 6pm!
July 16: Car Wash! Meet at the church at 11:30 to wash some cars to benefit the youth!
July 19-25: Youth Week! Check out our youth summer calendars around the church for more information!
July 30: Lunch and a movie! Meet at the church at 12!
Youth Group is at 6:30 on Wednesdays and 6:00 on Sundays! We’re currently going through the Gospel of Mark. Hope to see you there!
Random Youth Stuff
Weekly prayer for the youth takes place in the Prayer Room at 5:30 PM on Wednesdays, before the service. We’d love to have you join us!
Be sure to pick up our summer calendar! There are flyers around the church, but if you’d like your own copy, please see Jamie.
firstname.lastname@example.org
Children’s Ministry with Kimberly McLeod
Drive-In Movie Night
(Ages 5- 5th grade)
Friday, July 17
6:00 - 9:00 PM
We will make our own box cars, then enjoy a movie with snacks at our Drive-In Movie Theater. Please sign up at the Welcome Center, so we know how many cars to bring!
Wednesday Night Themes
(Ages 3—5th grade)
July 8—Be Hopeful
July 15—Be Diligent
July 22—Be Obedient
July 29—Be a Steward
Memorials for June
IN MEMORY OF DALE GROSJEAN
~ Mr. & Mrs. Z. McDaniel III
~ Mr. & Mrs. J. R. Lovelace
~ Mr. & Mrs. Julius Rhodes
~ Belvia Wint
IN MEMORY OF PAUL CORBITT
~ Dalton Corbitt
A BIG Goal: 1000 Shoeboxes
More Time: July—Mid-November
Two Ways to Participate:
Fill your own boxes or donate $ for bulk buying
June Scrapbook
And the rockets’ red glare, the bombs bursting in air, gave proof through the night that our flag was still there.
Oakwood Baptist Church
Glenville-Waverly, Ohio
**Additional Activities for June**
**Sunday, July 5**
- Deacon’s Meeting
- 3:45 PM
**Monday, July 6**
- Hosea Bible Study begins
- 6:30 PM
- in Room 1118
**Tuesday, July 7**
- Building and Grounds Meeting
- 6:30 PM
- Connections Meeting
- 6:30 PM
- at Mary Ard’s home
**Sunday, July 12**
- Baby Shower for Margie Lee
- 2:30 PM
- in the Modular Building
- Church Conference
- After Evening Message
**Friday, July 17**
- Kid’s Activity—Drive-In Movie
- 6:00—9:00 PM
**Tuesday, July 21**
- Connections Meeting
- 6:30 PM
- at Laura DeFee’s home
**Saturday, June 25**
- Brotherhood Meeting
- 6:00 PM
**Tuesday, July 28**
- Connections Meeting
- 6:30 PM
- at the Church
---
**Volunteers Serving in July**
**Nursery Volunteers**
**Nursery Coordinator:** Kimberly McLeod
**July 5th**
- Morning: Terri Anderson and LiAnne Crosby
- Evening: Pam and Rick Spires
**July 12th**
- Morning: Cheryl Cartner and Sara Burton
- Evening: David and Charity Wilkerson
**July 19th**
- Morning: Ginger Rutland and Karen Rudd
- Evening: Beverly and Larry Mixson
**July 26th**
- Morning: Mary Ard and Peggy Hunt
- Evening: Carolyn and John Yelton
**Deacons for 2014-15**
David Wilkerson: Chairman
- Cecil Bradley
- Danny Frick
- William Harman
- Tim Hoffman
- Jeff Hunter
- William Joyner
- Larry Knight
- Tim Land
- Mike Lindler
- Rev. Grady Parker
- Rick Spires
BIBLE READINGS FOR JULY
July 1 - Isaiah 1:18-20; Titus 3
July 2 - Psalms 115; Isaiah 5:15-16; Jude
July 3 - 2 Chronicles. 26; Isaiah 6:1-8; Philemon
July 4 - Hebrews 1
July 5 - Hosea 2:19-20; Hebrews 2
July 6 - Hosea 6:1-6; Hebrews 3
July 7 - Psalms 73; Hosea 10:12; Hebrews 4
July 8 - Psalms 100; Hosea 13:4-6; Hebrews 5
July 9 - Micah 4:2; Hebrews 6
July 10 - Micah 5:4-5; Hebrews 7
July 11 - Isaiah 9:6-7; Hebrews 8
July 12 - Isaiah 11:1-5; 14:27; Hebrews 9
July 13 - Hebrews 10
July 14 - Hebrews 11
July 15 - Hebrews 12
July 16 - Isaiah 25; Hebrews 13
July 17 - James 1
July 18 - Isaiah 33:5-6; James 2
July 19 - Isaiah 46; James 3
July 20 - 2 Chronicles 31:20-21; James 4
July 21 - 2 Chronicles 32:7-8; James 5
July 22 - Psalms 76; Isaiah 37:14-20; 1 Peter 1
July 23 - Psalms 75; 1 Peter 2
July 24 - Isaiah 40; 41:10-13; 1 Peter 3
July 25 - Isaiah 43; 1 Peter 4
July 26 - Isaiah 46; 1 Peter 5
July 27 - Psalms 92; Isaiah 52:7; 2 Peter 1
July 28 - Isaiah 53; 2 Peter 2
July 29 - Psalms 103; Isaiah 58; 2 Peter 3
July 30 - Isaiah 60; John 1
A Thank You from WMU®
Thank you members of Oakwood Baptist Church for the AMAZING response to some of our missions projects. We are so appreciative of the 115 sundresses and 100 t-shirts for the Moldova Mission Team, for the 55 Health Kits, for everyone who came out to make sandwiches, cookies and pack the lunches for our Youth G3Mission and for the out pouring of love shown to the Sanders family in "pounding" their pantry. We are so glad to be a part of a "Family of God" who loves missions and serves whenever and wherever they are needed. May God continue to bless OBC members and staff. |
TH predictions for SM Higgs
Daniel de Florian
ICAS - UNSAM
Argentina
Higgs 2020
October 26, 2020
Outline
▶ Why TH precision?
▶ TH accuracy required by the HL-LHC
▶ Concentrate on precision on (dominant) gg channel
• inclusive X-section
• transverse momentum distribution
▶ Conclusions—Requirements for precision in Higgs production
▶ Do not discuss two very relevant topics
• EFT and Higgs pair production
Higgs discovered, re-discovered and re-re-discovered
- Uncertainty in mass $\sim 0.2\%$, better than for top ($\sim 0.5\%$)!
- Signal strength measurements:
\[
\mu = 1.17^{+0.10}_{-0.10} = 1.17 \pm 0.06 \text{ (stat)}^{+0.06}_{-0.05} \text{ (sig. theo)} \pm 0.06 \text{ (other syst)}
\]
\[
\mu = 1.11^{+0.09}_{-0.08} = 1.11 \pm 0.05 \text{ (stat.)}^{+0.05}_{-0.04} \text{ (exp.)}^{+0.05}_{-0.04} \text{ (sig. th.)} \pm 0.03 \text{ (bkg. th.)}
\]
- Cross sections in “agreement” with SM in all channels (large errors)
- Observation in all production channels including $t\bar{t}H$!
- Observed decay into $\gamma\gamma, WW, ZZ, b\bar{b}, \tau\bar{\tau}$
- Second generation more difficult but searches towards $c\bar{c}, \mu^+\mu^-$
Higgs Couplings-2020
Three Generations of Matter (Fermions)
| Mass | Charge | Spin | Name |
|------|--------|------|------|
| 2.4 MeV/c² | 2/3 | 1/2 | u up |
| 1.27 GeV/c² | 2/3 | 1/2 | c charm |
| 171.2 GeV/c² | 2/3 | 1/2 | t top |
| 0 | 0 | 1 | y photon |
| 4.8 MeV/c² | -1/3 | 1/2 | d down |
| 104 MeV/c² | -1/3 | 1/2 | s strange |
| 4.2 GeV/c² | -1/3 | 1/2 | b bottom |
| 0 | 0 | 1 | g gluon |
| <2.2 eV/c² | 0 | 1/2 | νₑ electron neutrino |
| <0.17 MeV/c² | 0 | 1/2 | νₜ muon neutrino |
| <15.5 MeV/c² | 0 | 1/2 | νₜ tau neutrino |
| 91.2 GeV/c² | 0 | 1 | Z⁰ Z boson |
| 0.511 MeV/c² | -1 | 1/2 | e electron |
| 105.7 MeV/c² | -1 | 1/2 | μ muon |
| 1.777 GeV/c² | -1 | 1/2 | τ tau |
| 80.4 GeV/c² | ±1 | 1 | W⁺ W boson |
ATLAS Preliminary
√s = 13 TeV, 24.5 - 79.8 fb⁻¹
m_H = 125.09 GeV, |y_H| < 2.5, p_SM = 72%
SM Higgs boson
Particle mass [GeV]
Everything looks SM-like within (large) uncertainties
There is plenty of room for discoveries yet
Search for new states
Resonances: “Descriptive TH”
• Explore Higgs sector with precision
less known (room for surprises!)
more sensitive (Portal) to new physics
Potential: look at multiple Higgs production
EXP and TH: (for Higgs) Precision is the name of the game
HL-LHC projections ~20 years from now!
(S2) TH uncertainties scaled down by factor 2, EXP scaled according to $\sqrt{L}$
Theoretical uncertainties on SM predictions generally largest component
Precision becomes critical
TH: can we improve calculations? Where? How?
TH Precision in Higgs Production
Gluon-gluon fusion dominates due to large gluon luminosity.
Higgs at N3LO
- Very relevant observable called for higher orders (slow convergence)
\[
\sigma = \sigma^{(0)} (1 + 0.89 + 0.55 + 0.3 + ...) \\
\alpha_s^0 + \alpha_s^1 + \alpha_s^2 + \alpha_s^3
\]
\[ \mu = M_H \]
- Impressive calculation: new techniques
- Threshold expansion (very high order)
- Now full calculation Mistlberger (2018)
- Within heavy top approximation
- Inclusive over parton radiation
- Observe stabilization
- Small correction (2% at \( M_H/2 \))
- Scale variation at N3LO ~2%
\[
\begin{array}{c|c|c|c}
\text{LO} & \text{NLO} & \text{NNLO} & \text{NNNLO} \\
\hline
\end{array}
\]
\[ \mu = \mu_F = \mu_R \]
13 TeV
\[
\begin{array}{c|c|c|c}
\sigma & \sim 30\% & \sim 100\% \\
\hline
\end{array}
\]
Great improvement over the last years
Without QCD corrections: fail by more than a factor of 2
Need to attack in many fronts to further improve: pdf, top mass, EW
EW corrections
Add them to QCD result, how?
additive EW: \[ \sigma = \sigma_{LO}(1 + \delta_{QCD} + \delta_{EW}) \] ~2% effect
total factorization EW: \[ \sigma = \sigma_{LO}(1 + \delta_{QCD}) \times (1 + \delta_{EW}) \] ~5% effect
estimated in \( M_V \gg M_H \) EFT limit
- support total factorization
- but one source of uncertainty
NEW: 3-loop QCD-EW corrections computed
VERY NEW: full NLO QCD-EW corrections computed
- more detailed estimate of uncertainties (old/2)
\[ 2.19 \pm 0.26 \text{ pb} \quad \text{vs} \quad 2.37 \pm 0.49 \text{ pb} \]
New vs Old
more on pQCD corrections (finite mass effects)
- 3 loop form factor computed with exact mass dependence NNLO
- Numerically Czakon, Niggetiedt (2020)
- Leading Color analytically Praise, Usovitsch (2020)
- Confirms Pade approx for top (new for bottom)
Davies, Herren, Steinhauser (2019)
- 4 loop form factor computed with approx mass dependence N3LO
- large top mass expansion
Davies, Herren, Steinhauser (2019)
- On the way to more precise (mass dependence) fixed order calculations
- all tools available for full NNLO calculation with finite mass effects
top + top-bottom interference
Higgs Precision Era: DISTRIBUTIONS
CMS
35.9 fb$^{-1}$ (13 TeV)
$\Delta \sigma / \Delta p_T^H$ (pb/GeV)
- Combination
- Syst. unc.
- $H \rightarrow bb$
- $H \rightarrow \gamma\gamma$
- $H \rightarrow ZZ$
$aMC@NLO, NNLOPS$
$\sigma_{SM}$ from CYRM-2017-002
ATLAS
$H \rightarrow ZZ$, $H \rightarrow \gamma\gamma$
13 TeV, 36.1 fb$^{-1}$
$\sigma$ [pb]
- H $\rightarrow ZZ^* \rightarrow 4l$
- Combined
- H $\rightarrow \gamma\gamma$
- Syst. uncertainties
- JVE + XH
- NNLOPS ($K = 1.1$) + XH
- MG5 ($K = 1.47$) + XH
- STWZ + XH
- XH = VBF+WH+ZH+ttH+bbH
Theory/Data
$p_T^H$ (GeV)
$N_{\text{jets}}$
3 NNLO calculations
large $m_t$ approximation
- 3 now in agreement (numerical accuracy far from trivial)
Most recently including H decays
Fiducial cross sections
- $H \rightarrow \gamma\gamma$
- $H \rightarrow WW^* \rightarrow (2l, 2\nu)$
- $H \rightarrow ZZ^* \rightarrow 4l$
R.Boughezal, C. Focke, W. Giele, X. Liu, F. Petriello
R.Boughezal, F.Caola, K.Melnikov, F.Petriello, M.Schulze
X. Chen, T. Gehrmann, M. Jaquier, N. Glover
F.Caola, K.Melnikov, M.Schulze
Chen, Gehrmann, Glover, Huss
Beyond the large top mass approximation: full NLO
Jones, Kerner, Luisoni (2018)
Large K-factor ~2 and about flat
Similar to HTL (~8% increase from $m_T$ in virtual)
At large $p_T$ the $m_T \to \infty$ approx fails:
Rescale NLO by $R_{NNLO} = NNLO_{HTL}/NLO_{HTL}$
Produce NLO improved NNLO predictions for $H \to \gamma\gamma$ with fiducial cuts
Jones, Chen, Les Houches 2019
top quark mass scheme uncertainty: top pole mass vs $\overline{MS}$
$pp \rightarrow H + j$
$\frac{d\sigma}{dm_{h,j}} [fb/GeV]$
LHC 13 TeV LO
PDF4LHC15 NLO
$p_{T,j_1} > 30$ GeV
$\mu_R = \mu_F = \mu_t = H_T / 2$
$\frac{\overline{MS}}{OS}$ Scheme $m_t$
$\overline{MS} m_t(\mu_t)$
$\mu_t = \frac{1}{2} \left( \sqrt{m_h^2 + p_{t,h}^2} + \sum_i |p_{t,i}| \right)$
(only LO possible)
small effect below threshold, sizeable at large transverse momentum
Jones, Spira, Les Houches 2019
bottom-top quark interference in $pp \rightarrow H + \text{jet}$
- Interference studied at NLO (for $m_B < p_T < m_T$): full real + approx. virtual
$$\sigma_{tb}^{\text{virt}} \sim \text{Re} \left[ A_t^{\text{LO}} A_b^{\text{LO}*} + \frac{\alpha_s}{2\pi} (A_t^{\text{NLO}} A_b^{\text{LO}*} + A_t^{\text{LO}} A_b^{\text{NLO}*}) \right]$$
$m_T \rightarrow \infty$
$m_B^2 \ll |s|, |t|, |u|, m_H^2$
Lindert, Melnikov, Tancredi, Weber (2017)
- Ratio between $tb$ and $tt$ similar at LO and NLO
- Similar K-factor as for HTL
- 2% to -8% effect
- Uncertainty dominated by bottom quark mass scheme (even at NLO)
$$(m_b^{\overline{\text{MS}}}(100 \text{ GeV})/m_b^{\text{pole}})^2 \approx 0.4$$
Two-loop master integrals available for NLO H+jet (including mass effects)
Bonciani et al (2016), Bonciani et al (2019), Frellesvig et al (2019)
- real-virtual piece for inclusive Higgs at NNLO
boosted Higgs: all channels become relevant
precision needed for all of them
Becker et al (2020) HXSWG
Rapidity @ N3LO (exclusive)
Cieri, Chen, Gehrmann, Glover, Huss (2018)
- relies on qT subtraction method (assumption on 3rd order coeff.)
- will include decay and fiducial
- Flat K-factor (expected)
- similar features as inclusive convergence, scale dependence
- Fully exclusive calculation!
agrees with Dulat, Mistlberger, Pelloni (2018) Threshold expansion
Transverse momentum distribution $M_H^2, q_T^2$
$$\alpha_s^n \log^{2n} \frac{M_H^2}{q_T^2}$$
soft and collinear origin
Converge of perturbative expansion restored after resummation
- H known at N3LO
- H+jet known at N2LO
- resummation functions known at N3LL
qT resummation performed at (~)N3LL
Bizon et al (2018)
RadISH
$$\sigma^{NqLL} \sim H(\alpha_s)^{NqLO} \times e^{S(\log M_H/q_T)^{NqLL}}$$
+ matching with f.o. distribution $O(\alpha^{-1})$
very good convergence N2LL to N3LL
reduction in scale dependence
uncertainties around 6% for $5 < q_T < 35$ GeV
similar results for fiducial case $H \rightarrow \gamma\gamma$
resummation with jet vetoes (rapidity)
Gangal, Gaunt, Tackmann, Vryonidou (2020)
Conclusions, Prospects, Requirements
- Amazing progress in LHC calculations during the last 2 decades
- But to reach the TH accuracy required by the HL-LHC we will need:
- Higher order pQCD calculations (move towards N3LO)
- Resummation improvements
- EW/QED corrections
- Improvements in PS (>NL) and matching
- Higher Precision in pdfs (N3LO)
- More accurate extraction of coupling constant
- More rigorous treatment of TH uncertainties
- + many more
- Involve both signal and background
- SM and SM+EFT tools (complete framework for global fits) |
Determinants of Economic Growth in East Asia: A Linear Regression Model
Elizabeth Kowalski '00
Illinois Wesleyan University
Follow this and additional works at: https://digitalcommons.iwu.edu/econ_honproj
Part of the Economics Commons
Recommended Citation
Kowalski '00, Elizabeth, "Determinants of Economic Growth in East Asia: A Linear Regression Model" (2000). Honors Projects. 74.
https://digitalcommons.iwu.edu/econ_honproj/74
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Determinants Of Economic Growth In East Asia:
A Linear Regression Model
Elizabeth Kowalski
Research Honors Project
April 28, 2000
Advisor: Dr. Ossella-Durbal
Section 1: Introduction
The level of economic growth for a country represents many aspects of life in that country. These aspects range from the strengths or weaknesses of macroeconomic policy to the quality of life for the average citizen. High or stable levels of economic growth are associated with very productive economies, higher GDP per capita and higher standards of living. However, low levels of economic growth are linked to low levels of productivity, poor living conditions and stagnant markets. High levels of economic growth are clearly desirable.
Many countries have experienced substantial economic growth rates over the past century (Mankiw 80). However, a distinct group of countries which has recently achieved the most astounding growth is a group of countries in East Asia. According to the World Bank, the countries of East Asia\(^1\) have averaged well over a 5% growth rate per capita per year from 1965 through 1990 with the High Performing Asian Economies (HPAEs)\(^2\) growing at over 5.5% a year (World Bank 2). Figure 1 shows the average growth rate of East Asia as compared to other regions. Another reason why the economic growth in East Asia is widely studied is because of the amazing levels of equality in income distribution maintained throughout high growth periods. Figure 2 shows the relationship between GDP growth and the Gini coefficient (a measure of income inequality) in many East Asian economies. As a result of this “rapid, shared growth” (World Bank 4), human welfare has dramatically increased including higher life expectancy rates, decreased absolute poverty and improved education.
Figure 1
Figure 1. Average Growth of GNP per Capita, 1965–90
East Asia
HPAEs
East Asia without HPAEs
South Asia
Middle East and Mediterranean
Sub-Saharan Africa
OECD economies
Latin America and Caribbean
Source: World Bank (1992d).
East Asian Miracle pg.2
Figure 2
Figure 2. Change in Inequality and the GDP per Capita Growth Rate
Change in average Gini coefficient (1980s values 1960s)
GDP per capita growth rate (average, 1965–90)
Note: Figure 2 plots the relationship between average per capita income growth and changes in the decade average of the Gini coefficient from the 1960s to the 1980s; a negative number indicates that income became less concentrated. The decade average is used because data are available for different years at different countries; the decade average for the 1960s begins with data from 1965.
Source: World Bank data.
East Asian Miracle pg.4
In an introduction to his book *Lessons from East Asia*, Danny M. Leipziger describes many results of economic growth seen in East Asia.
The success of East Asian development is legendary. No other group of developing countries has done as well in fostering growth, reducing poverty, integrating with world markets, or raising standards of living. Over the past 25 years, per capita incomes have almost quadrupled. Absolute poverty has fallen by about two-thirds on average, population growth rates have declined rapidly, and health and education levels have improved markedly. (1)
Many economists have documented and written about the growth in East Asia in effort to explain how it has developed. A clear explanation of how the East Asian economies have performed so well might serve as a guideline for other developing countries to follow.
When analyzing East Asian economic development, it is necessary to keep in mind that the region suffered from a tremendous financial crisis in late 1997. This paper, however, will examine the period before the crisis. This will allow a focus on the non-financial determinants of growth without confounding the model with the effects of financial capital flows. Keeping in mind the financial crisis in East Asia, it is necessary to study the growth seen in this region prior to 1998 in an attempt to reestablish these economies after the crisis.
As the East Asian stock markets have begun to regain strength, these countries need to understand what factors aided them the most in their previous growth. While there are many theories presented in the literature, this study will focus on the neoclassical, structuralist and market friendly theories of growth in East Asia. Simply stated, the neoclassical model focuses on strong labor and capital markets, along with
increased privatization to encourage economic development. On the other hand, the structuralist view focuses on more government intervention to create such situations as price distortions encouraging savings, investment, and other behavior necessary for a strong growing economy. Directly in the middle of these two extremes lies the market friendly view which focuses on effective government policy to encourage efficient markets and outward orientation. This paper will focus on the key growth indicators of these three theories and determine which indicators are strongest when trying to predict economic growth. Variables representing outward orientation (exports and foreign direct investment), government intervention (spending and investment), and macroeconomic stability (debt and inflation) will be regressed against GDP growth. This regression will analyze a group of sixteen countries (listed in Appendix A) over a time period from 1983 to 1997\textsuperscript{iii}. It is hypothesized that the countries of East Asia have been most successful following the market friendly theory of policy integration.
This paper will follow a section by section approach to explain East Asian economic growth. Section II will consist of a review of the literature on this topic, presenting the various theories considered by economists. Section III will explain in detail the three theories examined in this study – the neoclassical, the structuralist, and the market friendly theory. Sections IV and V will analyze the data and empirical model as well as present descriptive statistics for all the variables used in the model, respectively. The results of the model will be discussed in Section VI. Finally, Section VII will present concluding thoughts along with policy implications.
Section II: Review of Literature
As was already stated, many economists have studied and written about the recent economic growth in East Asia. Throughout the literature, there are proponents of both the neoclassical and structuralist theories. However, some of the strongest and most conclusive research finds that the East Asian economies have more closely followed the market friendly approach to growth.
In a paper entitled “Common Foundations of East Asian Success,” Peter Petri (1997) analyzes different factors that have played a role in the strong economic development of many East Asian economies. In determining how these factors contribute, he hopes to find some common ties between the East Asian countries and “advice” for other developing countries. Unfortunately, he is not truly able to create an equation for the miracle economy. Petri notices many common trends but nothing that really stands out and leads in these economic developments.
Petri introduces four major theories which may represent the economic growth witnessed in East Asia. These theories include the neoclassical, structuralist, cultural and interaction views. This paper will focus only on the neoclassical and structuralist theories as they seem to be the two most economically-based theories. They will be discussed in further detail in Section III. The cultural theory discusses how cultural and religious traditions encourage economic organization. Petri states, “Confucian traditions may have been responsible for East Asia’s unusually high propensities to save and educate and for its strong, publicly motivated bureaucracies” (547). Alternately, the interaction theory discusses geographic relationships between the countries in the region. Petri introduced this interaction theory because he believes it “suggests that East Asian economic growth
may have been shaped by regional contacts – including flows of goods, investments, technologies, aspirations and ideas about governance” (547). Taking all four theories into consideration, Petri draws from these views to determine possible causes of East Asian economic growth.
Some of the variables he looked at were outward-orientated development strategies, public resource mobilization and investment, targeted industrial policies, regulated financial markets, and favorable external environment. Petri examines each variable which he thinks has an effect on economic growth and attributes that variable to one of the four theories. He takes a qualitative approach to his research by presenting ideas on which variables represent which theory. However, no rigorous analysis is seen regarding the impact of each variable on economic growth. Therefore, this paper builds on previous research by regressing each variable against economic growth and analyzing the results of this regression.
In the concluding sections of his paper, Petri determines that there is no single “recipe” for a developing economy to follow. Instead, he uses a metaphor of a road race to explain his findings. He uses the track to emphasize the importance of the “smoothness of the general economic environment” (555). Steering correlates with the allocation of resources in an efficient way. And finally the engines represent strong leadership. In each of these categories, Petri looks at specific countries that have strengths in each area and how these strengths can be adapted in other ways encouraging growth.
Petri came to the conclusion that “a ‘multifactor’ approach is needed to understand how success emerged from a variety of policies in a variety of institutional
settings” (557). Similar to Petri’s analysis, Vinod Thomas and Yan Wang ask the same questions about the growth in East Asia. In their paper entitled “Distortions, Interventions, and Productivity Growth: Is East Asia Different?” Thomas and Wang (1996) examine government intervention, distortions, trade and geographical proximity as possible explanations for East Asian performance. However, Thomas and Wang believe that the single most important factor is the “superior policy framework adopted by the East Asian economies” (266).
The methodology Thomas and Wang used to test their hypothesis is to compare the East Asian economies to other developing countries. The empirical models used in their paper follow neoclassical growth theory while also assessing the link between growth and distortion and growth and intervention. Through their models, Thomas and Wang come to some interesting conclusions. The first major conclusion is that trade openness and macroeconomic stability have a “significant and positive association with economic growth” (278). This result is also suggested by an analysis of the association between openness and stability and productivity growth as shown in Figure 3. As the graph shows, all of the HPAEs appear in the upper right corner. Another major conclusion that Thomas and Wang reach is that “moderate [government] expenditure alone is not necessarily associated with high performance. The quality of implementation, the quality of the human capital base, the type of expenditure, and intangible factors are all likely to influence outcomes” (273). Thomas and Wang believe that the East Asian economies do indeed have the high qualities of implementation, type of expenditure and other factors that have led to high levels of growth. Through their
research, they also come to the conclusion that the East Asian economies have a "greater return" (278) from their successful policy framework.
Another article that deals with the determinants of economic growth in East Asia is the paper by Reuven Glick and Ramon Moreno entitled "The East Asian Miracle: Growth Because of Government Intervention and Protectionism or in Spite of It?" In this paper, Glick and Moreno (1996) argue that "the ... Newly Industrialized Economies (NIEs) and countries in the region adopted interventionist although 'market friendly' policies involving some use of export promotion, selective import barriers, and industrial policies" (20). Through their analysis, Glick and Moreno have outlined three main theories on why policies favoring greater openness and international trade lead to better growth performance. The first theory is that international trade can contribute to growth by creating a channel for new technology and styles of management. Another theory on the importance of outward orientation is that policies encouraging this activity create an
incentive for companies to compete in world markets rather than only in domestic ones. And finally, Glick and Moreno believe that international trade may lead to economic growth because of the increased access to world markets.
Glick and Moreno have also researched how outward orientated policies have affected growth in East Asia. They believe that support was given to industries which were already successful, perhaps even already globally successful. Along with this support however, incentives were given to exporters across “virtually all industries and activities” (23). Free entry for imports also aided exporters with many of the necessary intermediate goods necessary for production. Glick and Moreno believe that all of these facts have lead to successful growth in East Asia. They also believe that these facts can lead to some important lessons for other countries.
The first important lesson from Glick and Moreno’s analysis of economic growth in East Asia is that government intervention may be important in picking industries that can compete in world markets. However, mistakes can be very costly. Another important policy lesson is that “industrial policies may succeed in promoting certain types of firms but may discourage the type of innovation and entrepreneurship needed to achieve higher levels of development” (24). With all of these studies in mind, we will now examine the three strongest theories associated with East Asian growth.
Section III: Theory
A: Neoclassical Theory
Neoclassical economic theory was first introduced by Alfred Marshall (1842-1924). Textbook theory focuses on the hedonism and rationality of consumers as
introduced by classical economics as well as a laissez-faire government. However, neoclassical economists felt there was indeed a need for some government intervention. As Yuval P. Yonay states in his analysis of the neoclassical economists, these economists “assigned the state the role of ameliorating the detrimental outcomes of free markets and looked favorably at trade unions as a necessary tool for improving the lot of laborers” (35). Yonay also states that neoclassical economists changed the focus of economics from macro questions of national income to micro analysis of firms and consumers.
Along with Petri’s analysis and description of this theory, he outlines the major characteristics of the neoclassical theory as applied to the East Asian experience. In light of this view, he believes that East Asian economies have succeeded because of four main reasons. First, they adopted an outward orientated trade strategy to build linkages with world markets and technology with such policies as export promotion and broad liberalization. They have also pursued conservative macroeconomic policies to create a stable economic environment. These countries have invested vigorously in human capital to develop an educated and technically competent labor force. And lastly, Petri highlights how many East Asian countries have maintained competitive markets to facilitate the transformation from primary production to manufacturing and eventually to knowledge-intensive industries (545-546).
Neoclassical theory also has current applications with the recent emergence of increasing numbers of private companies in China. An article published in *Business Week* by Mark L. Clifford, Sheri Prasso and Dexter Roberts states, “while thousands of state-owned factories still languish with massive debt, red ink, and bloated workforces, maverick entrepreneurs are picking up the slack, generating badly needed jobs and
helping Chinese industry approach world standards” (72). The article also states that this change in market composition will make markets more globally and technologically competitive (73). Another very recent example comes from the World Trade Organization’s (WTO) negotiations with China. In late 1999, U.S. negotiators started to work out a deal that would open one of the largest markets, with 1.2 billion consumers, to U.S. products (Holland 1). These negotiations show China’s enthusiasm for growth, decreasing barriers to trade and increased globalization. Both of these examples support Petri’s assertion that outward orientation and increases in human capital have aided East Asian economic growth.
B: Structuralist Theory
Structuralist theory falls on the opposite extreme from the neoclassical view. This theory stresses high levels of government intervention as necessary for strong economic growth. The model for aggregate demand and aggregate supply shows how shocks to the economy can cause recessions which result in such detrimental effects as high unemployment, low income levels, and reduced economic well-being. However, the model also shows that a government’s use of fiscal and monetary policy can prevent these recessions and respond to them to strengthen the economy. Some economists who follow this school of thought believe it is a waste for a government not to use fiscal and monetary policy to stabilize the economy or encourage growth (Mankiw 362). As suggested by the World Bank, many economists see market failures as “pervasive and a justification for governments to lead the market in critical ways” (83).
Petri also outlines some major characteristics of East Asian economies in this theory. With the structuralist theory in mind, Petri sees three main reasons for economic
success in East Asia. First, Asian governments have targeted areas of the economy that they believe have strong opportunities for growth. Second, they have also directed large amounts of resources to these growth areas. Some implications of this targeting may include trade restrictions and preferential access to credit. The third characteristic of East Asian governments that falls under the structuralist theory is that governments try to avoid making big policy mistakes by doing such things as setting export standards or promoting only certain successful firms (Petri 546).
A current application of the structuralist theory can be seen in the plans Malaysia has for redeveloping its economy. The focus in Malaysia is on public as well as private sectors to play a crucial role in the nation’s growth. Government officials stress “resuscitating the economy but also attending to the structural economic weaknesses for sustainable growth” (Berhad 12). Another example of this theory can be seen in Japan, Korea and Taiwan. These countries did not entirely rely on markets to allocate savings. “Rather, they repressed interest rates and directed credit in order to guide investments” (World Bank 83). These examples clearly represent how government intervention and distortion can support a growing economy.
C: Market Friendly Theory
The market friendly theory of economic growth was first introduced in the 1991 World Development Report (WDR) by the World Bank emphasizing an “effective but carefully limited government activism” (World Bank 10). This theory represents a synthesis of many growth theories including the neoclassical and structuralist theories. The main idea of the market friendly theory is the interaction of four central elements –
investment in people, global linkages, a stable macroeconomy and a competitive microeconomy. As the report indicates, "All four sets are worth doing in their own right. But because of their linkages, the results will probably be disproportionately strong if done together" (WDR 6). Figure 4 shows some of these linkages between the four main elements of this theory.
Figure 4
**Figure 4 The interactions in a market-friendly strategy for development**
World Development Report 1991 pg. 6
In the market friendly theory, investment in people involves much more than investments in human capital as suggested by most growth literature. This investment includes expanding work opportunities for women, providing day care services, family planning, clean water, improved waste disposal and environmental regulations (WDR
Evidence of this type of investment can be seen in the efforts to reduce infant mortality in Malaysia and health programs to raise life expectancy in China (WDR 7).
Global linkages and openness to trade have “improved resource allocation, increased competition and product specialization and provided a broad avenue for technology transfer” (WDR 108). The World Development Report also points out that many East Asian countries have been successful at assimilating technology and openness by taking such measures as sending students to study abroad, exploiting linkages with overseas nationals and encouraging exchanges with research centers (WDR 88).
The third main element in the market friendly theory is a stable macroeconomy. Overspending by the government can result in large deficits, excessive borrowing or such financial problems as inflation or overvaluation of currency. The World Development Report suggests that a stable macroeconomy is likely to promote savings and investment and will also “make it easier to attract foreign savings” (WDR 109).
Finally, a competitive microeconomy is necessary for strong economic growth in the market friendly theory. “It can help to transform a stagnating economy into a vigorously expanding one” (WDR 70). The World Development Report also suggests that competition has very often lead to innovation, the diffusion of technology and an efficient use of resources (WDR 7).
Section IV: Empirical Model and Data
The neoclassical, structuralist and market friendly theories all discuss many different variables which may act as indicators of economic growth in East Asia. The purpose of this paper will be to focus on only a few major indicators of economic growth.
to determine their relative importance to GDP growth. These indicators fall under three main headings: outward orientation, government indicators and macroeconomic indicators.
Outward orientation is one of the key indicators of economic growth as suggested by neoclassical theory. The variables included in this category will measure how successful a country is at utilizing its global linkages and how responsive other countries and markets are to this behavior. In this model, the indicators for outward orientation will include net exports (EXP) and foreign direct investment (FDI) as percentages of GDP. Exports of goods and services represent demand for that country’s products in other countries and therefore strong markets for that country’s goods. Demand for a country’s goods in world markets reflect growth potential and strong economic stability. As the 1991 World Development Report states, “By affecting the nature of inputs as well as production processes, trade could generate gains which greatly exceed this short-term benefit from improved resource allocation” (98). For this reason, exports should have a positive correlation with growth.
Also classified under outward orientation, foreign direct investment (FDI) represents how interested foreign companies are in that particular country’s companies and markets. If levels of FDI are high, this could be because foreign companies are enthusiastically interested in investing in these countries. Neoclassical theory suggests that FDI has a positive effect on growth because this investment would strengthen private markets. “Because foreign firms already have marketing linkages, know-how and production experience, some host countries have actively encouraged global exporters to establish production units in their country” (World Development Report 95). These host
economies know of the advantages of FDI in their country and how it can affect growth rates. However, the causation is not clearly defined between growth and FDI. Reasons for FDI encouraging growth have already been demonstrated. The reverse situation is also plausible. Levels of economic growth can be positive for numerous reasons as expressed throughout this paper. A company, looking for a country to invest in, values high levels of growth and economic potential. In this case, growth causes increased levels of FDI. However, for the sake of predicting a correlation between FDI and growth, this paper will only focus on the positive correlation as suggested by neoclassical theory.
Key indicators of growth as described by the structuralist theory deal with government indicators. Variables included in this classification represent the degree of government involvement in an economy. My model includes variables for government spending (SPEND) and total investment (INVEST) as percentages of GDP. Structuralist theory would suggest that both of these variables have positive effects on GDP as they involve increased government intervention and economic stimulation. Both of these variables represent ways in which a government can use fiscal policy to respond to or create shocks in the economy. Economists who follow structural theory believe government spending and investment is necessary for economic growth.
For this model, two other variables will also be included which help to complete the picture of growth as described by the market friendly theory. These variables are macroeconomic indicators including the inflation rate (INFLAT) and government debt (DEBT), both as a percentage a GDP. These indicators represent the macroeconomic stability of a country. High inflation rates and high levels of government debt usually signal a financial or economic problem with the economy. If this is the case, the
government and private markets are probably more interested in solving their own economic problems than finding room for growth. This leads one to believe that both the inflation rate and government debt have negative correlations with GDP.
GDP growth in annual percentages, based on constant 1995 U.S. dollars, is used as the dependent variable. This study analyzes a group of sixteen countries (listed in Appendix A) over a time period from 1983 to 1997. All data used was taken from the 1998 World Bank World Indicators Tables. A brief description of the variables used in the analysis is given in Table 1, with more complete definitions given in Appendix B.
Table 1
Regression Variables, Definitions and Expected Sign to Dependent Variable
| Category | Variable | Definition | Expected Sign |
|---------------------------|----------|-------------------------------------------------|---------------|
| Dependant Variable | GROWTH | GDP growth (annual %) | N/A |
| Outward Orientation | EXP | Exports of goods and services (% of GDP) | + |
| Outward Orientation | FDI | Foreign Direct Investment, net inflows (% of GDP)| + |
| Government Indicators | SPEND | Expenditure, total (% of GDP) | + |
| Government Indicators | INVEST | Gross domestic investment (% of GDP) | + |
| Macroeconomic Indicators | INFL | Inflation, GDP deflator (annual %) | - |
| Macroeconomic Indicators | DEBT | Central government debt, total (% of GDP) | - |
With all of these variables considered, the regression model for determinants of economic growth is as follows:
\[ \text{GROWTH} = a + b_1 \text{EXP} + b_2 \text{FDI} + b_3 \text{SPEND} + b_4 \text{INVEST} + b_5 \text{INFL} + b_6 \text{DEBT} + b_7 \text{COUNTRY\_DUMMY} + e \]
Since this model utilizes time-series as well as cross-country data, dummy variables for each country are also included. These dummy variables simply control the model for the multitude of other variables which can have an effect on a particular country’s economic growth rate.
Section V: Descriptive Statistics
As mentioned earlier, the sample used in this model consists of a group of sixteen East Asian countries over fifteen years (1983-1997). With perfect information, this combination should leave us with 240 data sets. However, not all data is available for each country in each year. Table 2 shows the descriptive statistics for all the available data.
| Variable | N | Minimum | Maximum | Mean | Std. Dev. |
|----------|-----|---------|---------|-------|-----------|
| GROWTH | 221 | -9.50 | 15.20 | 5.60 | 4.32 |
| EXP | 196 | 2.56 | 203.22 | 50.86 | 49.17 |
| FDI | 157 | -0.04 | 14.89 | 2.58 | 3.21 |
| SPEND | 112 | 6.43 | 35.05 | 19.00 | 5.50 |
| INVEST | 194 | 6.18 | 57.40 | 29.28 | 9.61 |
| INFIL | 220 | -31.91 | 411.07 | 17.34 | 49.26 |
| DEBT | 86 | 3.71 | 103.52 | 41.99 | 27.40 |
Many observations can be made from these descriptive statistics. As Table 2 shows, the variable with the most data points is the economic growth variable. The average growth rate for this region is 5.6% per year with a maximum of 15.2% per year. These relatively high percentages can easily be compared to world averages as was seen in Figure 1. Another statistic that stands out in this table is the average level of exports which is nearly 51% of GDP. The maximum level of exports is 203% of GDP. The
World Bank reports that among low- and middle-income countries, average export levels were 18% in 1980 and 24% in 1997 (272). While these high means and maximums (in relation to world averages) are indeed interesting, it is also important to notice the seemingly low levels of FDI as a percentage of GDP in this region. The mean for this sample is 2.58% of GDP – a seemingly small percentage of GDP. However, World Bank averages for levels of GDP in low- and middle-income countries are 0.4% of GDP in 1980 and 1.3% of GDP in 1997 (222).
While it is important to look at all the data points available, it will be more appropriate for this analysis to examine the descriptive statistics for only the complete data sets that were used in the OLS regression and compare them to those of the larger group. The complete data sample that was used in the regression only consists of 83 data sets as information was not available for every country in every year. Only in 83 cases were all the variables available. The descriptive statistics for all the complete data sets are shown in Table 3.
Table 3
Descriptive Statistics for All Complete Data Sets Used in the Regression
| Variable | N | Minimum | Maximum | Mean | Std. Dev. |
|----------|---|---------|---------|--------|-----------|
| GROWTH | 83| -7.32 | 13.29 | 6.17 | 3.95 |
| EXP | 83| 9.30 | 203.22 | 55.70 | 56.43 |
| FDI | 83| .00 | 14.89 | 2.39 | 3.49 |
| SPEND | 83| 10.06 | 35.05 | 19.04 | 4.76 |
| INVEST | 83| 15.33 | 48.49 | 31.03 | 6.93 |
| INFL | 83| -8.64 | 66.59 | 7.22 | 9.52 |
| DEBT | 83| 3.71 | 103.52 | 41.51 | 27.27 |
When comparing the statistics for each variable in Table 2 and Table 3, it can be observed that most of the values for the mean and standard deviation are fairly consistent. From this, it can be concluded that the sample actually used in this regression is
representative of the larger sample and perhaps the entire region. The only noticeable exception to this conclusion is the variable for inflation. The statistic for the larger group has a mean of 17.34 with a standard deviation of 49.26, whereas this statistic for the smaller group has a mean of 7.22 with a standard deviation of 9.52. This indicates that the variable for inflation is probably not truly representative of the economies of East Asia.
Section V: Results and Analysis
The results of the linear regression of all the variables against growth are shown in Table 4. The coefficients and significance levels for the country dummy variables are included as well. The country dummy variable left out of the regression as a means for comparison is Japan\textsuperscript{iv}.
Table 4: Results of Initial Regression*
| Variable | Coefficient | t-statistic | Significance Level | Predicted Sign? |
|--------------|-------------|-------------|--------------------|-----------------|
| (Constant) | -2.094 | -0.500 | 0.619 | N/A |
| EXP | 0.113 | 2.144 | 0.036 | Yes |
| FDI | 0.575 | 2.341 | 0.022 | Yes |
| SPEND | -0.351 | -3.071 | 0.003 | No |
| INVEST | 0.191 | 2.317 | 0.024 | Yes |
| INFL | -0.086 | -1.635 | 0.107 | Yes |
| DEBT | 0.106 | 2.509 | 0.014 | No |
| Indonesia | 3.615 | 2.090 | 0.040 | N/A |
| Korea | 5.178 | 2.364 | 0.021 | N/A |
| Malaysia | -5.927 | -1.719 | 0.090 | N/A |
| Mongolia | 2.186 | 0.573 | 0.569 | N/A |
| Philippines | -2.312 | -1.167 | 0.247 | N/A |
| Singapore | -24.181 | -2.786 | 0.007 | N/A |
| Thailand | 2.721 | 1.346 | 0.183 | N/A |
*Dependent Variable: GDP Growth in Annual Percentages
Adjusted R Square = 0.531
N = 83
Durbin-Watson Statistic = 1.485
These results are important and interesting for many reasons. An adjusted $r^2$ squared of 0.531 means that this model has successfully explained away over half of the variance in economic growth in many East Asian countries. This statistic along with the sign and significance level of each variable can tell us many things about growth rates in East Asia. Most of the variables returned the predicted signs and were highly significant. It should also be noted that the Durbin-Watson statistic was 1.485 which reports inconclusive results. This study did not further explore issues of autocorrelation and multicollinearity.
The variables that represent outward orientation - exports and foreign direct investment – both had positive correlations to GDP growth and were significant at the 0.04 and 0.02 levels, respectively. This model suggests that GDP growth would increase by 0.11% if exports were to increase by 1% of GDP. These results also suggest that if FDI were to increase by 1% of GDP, GDP growth would increase by 0.58%. As we saw earlier when analyzing descriptive statistics for this region, the average percentage of FDI was 2.39% of GDP. This regression shows that it would be economically beneficial for a country to try to attract more foreign direct investment. These two results from exports and foreign direct investment lead to the conclusion that there are strengths in the neoclassical theory of economic growth and outward orientation indeed has a positive effect on a country’s growth rate.
Government spending and investment are two variables that represent the structuralist theory of economic growth. The results on SPEND and INVEST were somewhat successful. This model suggests that government spending decreases economic growth rates but total investment (including government investment) increases economic
growth. These conclusions do not completely support the structuralist model of economic growth. Instead, the negative sign on government spending may be associated with more of an emphasis on the neoclassical theory of economic growth. The neoclassical theory focuses on less government intervention. In fact, a study done by Vinod Thomas and Yan Wang in 1996 found that “government interventions as measured by expenditures are positively associated with GDP up to a point. Beyond a certain point, the relationship seems inverse” (275). However, this negative result can also be indicative of the presence of the market friendly theory in East Asian economies – only a minimal amount of government intervention and spending is good for economic growth. Evidence of the market friendly theory is also supported by the fact that the sign on investment was positive and significant. In the article “Some Lessons from the East Asian Miracle” Joseph Stiglitz points out that the governments of East Asia confined their roles to “helping to direct investment to ensure that resources were deployed in ways that would enhance economic growth and stability and creating an atmosphere conducive to private investment and ensured political stability” (156). The combination of the signs on both government spending and total investment lead to the conclusion that higher levels of investment including “land improvements, plant, machinery, and equipment purchases, and the construction of roads, railways, and the like, including commercial and industrial buildings, offices, schools, hospitals, and private residential dwellings” (World Development Indicators) are more important for economic growth than government spending. Therefore, used together, the results from SPEND and INVEST support the market friendly theory which focuses more on government investment as an important influence on economic growth.
The last category of variables includes macroeconomic indicators. The model reports that if inflation were to decrease by 0.09%, GDP growth would increase by 1%. This result is very intuitive and supports the market friendly theory which emphasizes macroeconomic stability as an important variable in economic growth. The coefficient of central government debt is a positive 0.106 with a significance level of 0.014. This result suggests that economic growth will, however, increase as government debt increases. Unfortunately, this result is counter-intuitive and not as expected.
The positive coefficient on DEBT may be related to government investment. Some sort of financing needs to be done in order for a country to lay out such investments. High levels of government debt may lead to high levels of economic growth if the borrowing involved was intended and used for such productive means as investment in people or private markets. The World Bank has also reported how successful the East Asian economies have been in managing debt. "In particular, they generally limited fiscal deficits to levels that could be prudently financed without increasing inflationary pressures and responded quickly when fiscal pressures were perceived to [be] building up" (12).
Another important thing to notice from the regression results is the insignificance of the INFL variable. However, when considering the descriptive statistics for the sample, the only variable that was not similar and comparable to the larger group of data points was inflation. Therefore, the insignificance of this variable may not be an accurate reflection of the effect of inflation on GDP growth because this sample does not truly represent the inflation rates of the countries of East Asia.
When looking at the results of the linear regression, it is important to understand the value of using dummy variables for each East Asian country. Since the country dummy variable for Japan was removed from the regression, it becomes the basis of comparison for the dummies. For example, when looking at Thailand, you would interpret the dummy coefficient by saying that after controlling for all the variables in the model, Thailand’s growth rate starts out at 2.721 percentage points higher than Japan’s growth. When the coefficient is relatively close to zero, these differences in “starting off points” can be attributed to any number of other factors that may have an effect on the economic growth of a country. However, in this analysis, the coefficient for the Singapore dummy variable is -24.181. This would suggest that compared to Japan and keeping all variables in the equation equal to zero, Singapore has a starting off point 24 percentage points lower than that of Japan. An explanation for this result is that since Singapore is so export dependent, if their exports were in fact equal to zero, the country would be behind most other economies in the region. Glick and Moreno report that in Singapore, “openness was achieved by ending all restrictions on imports and giving free rein to the export sector” (22). In fact, over the fifteen year period examined in this study, exports in Singapore have averaged well over 125% of GDP.
Overwhelmingly, the results of this model support the market friendly view of economic growth in East Asia. The strong positive coefficients on exports and foreign direct investment reveal that outward orientation plays a large role in economic growth. Government intervention, mainly investment, also helps support a growing economy. Finally, this study has also shown that low levels of inflation are also important in a growing economy. Strong global linkages, a competitive microeconomy and a stable
macroeconomy – the key components to the market friendly theory – are all seen as highly significant in promoting economic growth in East Asia.
Section VI: Conclusion and Implications
The main conclusion that can be drawn from this study is that an empirical model which includes a wide variety of economic variables is highly successful in explaining the variance in GDP growth in East Asia. Variables explaining outward orientation, government indicators and macroeconomic indicators are all highly significant as determinants of growth. The market friendly theory of policy integration is supported by this model and comes closest to explaining the relationship between governments and private markets in East Asia.
This study also shows that increased levels of exports and investment including FDI and domestic investment will all help support increased levels of economic growth in East Asia. Some policy implications from these results are for government encouragement of market friendly activities (exports and investment). However, because it was shown that government spending will decrease economic growth, East Asian governments need to use discretion in their promotional activities.
Although this model was very successful in explaining the determinants of economic growth in East Asia and supporting the market friendly theory of growth, there were some limitations to this research. One limitation and reason for continued research is the availability of data. As was explained in Section V, only 83 complete data sets were used in this regression. The main reason for this was because additional data was not easily available. A second reason for continued research on this topic would be to
further look into issues concerning government spending and investment. This model showed that total domestic and government investment had a positive correlation to GDP growth. However, government spending had a negative correlation to GDP growth. It would be interesting to analyze different types of government spending and investment to determine which forms have the greatest effect on GDP growth.
Although there were a few limitations, this study was very successful in pointing out the key determinants of economic growth in East Asia. The market friendly theory which includes an interaction of investment in people, global linkages, a stable macroeconomy and a competitive microeconomy is the most successful in describing growth. Continued interaction of all available economic tools along with the flexibility to reevaluate growth strategies has lead to the above average success of East Asian economies.
End Notes
The World Bank defines “East Asia” as “all the low-and middle-income economies of East and Southeast Asia and the Pacific, east of and including China and Thailand” (xvi). Unless otherwise stated or defined, “East Asia” will refer to the geographical classification of countries.
The HPAEs consist of Japan; the “Four Tigers” – Hong Kong, the Republic of Korea, Singapore and Taiwan, China; and the three newly industrialized economies (NIEs) of Indonesia, Malaysia and Thailand (World Bank 1).
This study looks at the years 1983 to 1997 in an attempt for the results not to be affected by the financial crisis mentioned in the text.
Data for Japan was included in the model in terms of all the independent variables. Only the country dummy variable for Japan was excluded as is necessary for regressions using dummy variables.
Appendix A: Countries Considered for Analysis in Descriptive Statistics
Brunei
Cambodia
China
Hong Kong, China
Indonesia*
Japan*
Korea, Rep.*
Lao PDR
Macao
Malaysia*
Micronesia, Fed. Sts.
Mongolia*
Philippines*
Singapore*
Thailand*
Vietnam
*Countries Used in Regression Analysis
Appendix B: Variable Definitions
*Definitions taken from World Development Indicators, World Bank Tables, 1998
GDP growth (annual %)
Annual percentage growth rate of GDP at market prices based on constant local currency. Aggregates are based on constant 1995 U.S. dollars. GDP measures the total output of goods and services for final use occurring within the domestic territory of a given country, regardless of the allocation to domestic and foreign claims. Gross domestic product at purchaser values (market prices) is the sum of gross value added by all resident and nonresident producers in the economy plus any taxes and minus any subsidies not included in the value of the products. It is calculated without making deductions for depreciation of fabricated assets or for depletion and degradation of natural resources.
Exports of goods and services (% of GDP)
Exports of goods and services represent the value of all goods and other market services provided to the world. Included is the value of merchandise, freight, insurance, travel, and other nonfactor services. Factor and property income (formerly called factor services), such as investment income, interest, and labor income, is excluded.
Foreign direct investment, net inflows (% of GDP)
Foreign direct investment is net inflows of investment to acquire a lasting management interest (10 percent or more of voting stock) in an enterprise operating in an economy other than that of the investor. It is the sum of equity capital, reinvestment of earnings, other long-term capital, and short-term capital as shown in the balance of payments.
Expenditure, total (% of GDP)
Total expenditure of the central government includes nonrepayable current and capital (development) expenditure. It includes expenditures financed by grants in kind and other cash adjustments, but does not include government lending or repayments to the government or government acquisition of equity for public policy purposes. Data are shown for central government only.
Gross domestic investment (% of GDP)
Gross domestic investment consists of outlays on additions to the fixed assets of the economy plus net changes in the level of inventories. Fixed assets include land improvements (fences, ditches, drains, and so on): plant, machinery, and equipment purchases; and the construction of roads, railways, and the like, including commercial and industrial buildings, offices, schools, hospitals, and private residential dwellings. Inventories are stocks of goods held by firms to meet temporary or unexpected fluctuations in production or sales.
Inflation, GDP deflator (annual %)
Inflation as measured by the annual growth rate of the GDP implicit deflator. GDP implicit deflator measures the average annual rate of price change in the economy as a whole for the periods shown.
Central government debt, total (% of GDP)
Total debt is the entire stock of direct, government, fixed term contractual obligations to others outstanding as a particular date. It includes domestic debt (such as debt by monetary authorities, deposit money banks, nonfinancial public enterprises, and households) and foreign debt (such as debt to international development institutions and foreign governments). It is the gross amount of government liabilities not reduced by the amount of government claims against others. Because debt is a stock rather than a flow, it is measured as of a given date, usually the last day of the fiscal year. Data are shown for central government only.
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Well-defined enzyme architectures
Schoffelen, S.
2011, Dissertation
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Well-defined Enzyme Architectures
Een wetenschappelijke proeve op het gebied van Natuurwetenschappen, Wiskunde en Informatica
Proefschrift
ter verkrijging van de graad van doctor aan de Radboud Universiteit Nijmegen op gezag van de rector magnificus prof. mr. S.C.J.J. Kortmann, volgens besluit van het college van decanen in het openbaar te verdedigen op vrijdag 16 september 2011 om 15.30 uur precies
door
Sanne Schoffelen
geboren op 30 mei 1983 te Tilburg
Promotor:
Prof. dr. ir. J. C. M. van Hest
Manuscriptcommissie:
Prof. dr. G. J. M. Pruijn
Prof. dr. ir. L. Brunsveld (TU Eindhoven)
Dr. K. Blank
Paranimphen:
Mark van Eldijk
Rafke Schoffelen
Het onderzoek beschreven in dit proefschrift is uitgevoerd met financiële ondersteuning van de Nederlandse Organisatie voor Wetenschappelijk Onderzoek (NWO).
Omslagontwerp: Morten Borre Hansen
Druk: Ipskamp Drukkers B.V., Enschede
ISBN: 978-94-91211-75-1
# Table of contents
**List of abbreviations** 8
## 1 – Multi-enzyme systems 11
1.1 Metabolic channeling in nature 12
1.2 *In vitro* multi-enzymatic synthesis in solution 15
1.3 Non-specific, covalent co-immobilization of enzymes 16
1.3.1 Enzyme immobilization 16
1.3.2 Co-immobilization of multiple enzymes 17
1.4 Non-covalent encapsulation of enzymes 20
1.4.1 Enzyme encapsulation 20
1.4.2 Multi-enzyme reactions in nanostructures 21
1.5 Scaffold-mediated co-localization of enzymes 21
1.5.1 Selective immobilization on solid supports using affinity tags 22
1.5.2 Well-defined co-localization on a protein or DNA scaffold 23
1.6 Site-specific, covalent linkage of enzymes 26
1.6.1 Multi-enzyme systems obtained by gene fusion 26
1.6.2 Post-translational, selective enzyme modification 28
1.7 Outline of this thesis 29
1.8 References 30
## 2 – Residue-specific incorporation of azidohomoalanine in *Candida antarctica* lipase B 35
2.1 Introduction 36
2.1.1 *Candida antarctica* lipase B 36
2.1.2 Incorporation of non-natural amino acids 37
2.2 Results and discussion 39
2.2.1 Cloning, expression and purification of CalB 39
2.2.2 Introduction of azidohomoalanine 40
2.2.3 Optimization of yield and purity of azide-functionalized CalB 42
2.3 Conclusions 44
2.4 Acknowledgements 45
2.5 Experimental section 45
2.6 References 49
## 3 – Site-specific modification of azide-functionalized CalB
| Section | Page |
|------------------------------------------------------------------------|------|
| 3.1 Introduction | 54 |
| 3.2 Results and discussion | 55 |
| 3.2.1 Modification of azide-CalB at a single position | 55 |
| 3.2.2 Conjugation to polymer-like materials | 59 |
| 3.3 Conclusions | 61 |
| 3.4 Acknowledgements | 61 |
| 3.5 Experimental section | 62 |
| 3.6 References | 64 |
## 4 – Synthesis of covalently linked CalB oligomers
| Section | Page |
|------------------------------------------------------------------------|------|
| 4.1 Introduction | 68 |
| 4.2 Results and discussion | 71 |
| 4.2.1 Preparation of CalB dimers linked via the N-termini | 71 |
| 4.2.2 CalB mutants with a functional handle near the active site | 72 |
| 4.2.3 Preparation of CalB dimers using a dialkynyl linker | 74 |
| 4.2.4 Effect of dimerization on the activity of the ‘kissing’ dimer | 76 |
| 4.2.5 Activity of ‘kissing’ dimers towards alkyl diols | 77 |
| 4.2.6 Activity of ‘kissing’ dimers towards poly(ethylene glycol) diols | 79 |
| 4.2.7 Oligomerization of CalB containing an azide and alkyne moiety | 81 |
| 4.2.8 Oligomerization of CalB containing two accessible azides | 84 |
| 4.3 Conclusions | 86 |
| 4.4 Acknowledgements | 87 |
| 4.5 Experimental section | 87 |
| 4.6 References | 92 |
## 5 – Metal-free and pH-controlled introduction of azides in proteins
| Section | Page |
|------------------------------------------------------------------------|------|
| 5.1 Introduction | 94 |
| 5.2 Results and discussion | 95 |
| 5.2.1 Diazotransfer at pH 11 in presence and absence of Cu(II) | 95 |
| 5.2.2 Introduction of azides at pH 9.0 and 8.5 | 97 |
| 5.2.3 Identification of the single reactive amine | 98 |
| 5.2.4 PEGylation and activity of azide-functionalized proteins | 100 |
| 5.3 Conclusions | 102 |
| 5.4 Acknowledgements | 103 |
5.5 Experimental section 103
5.6 References 108
6 – Towards the production of a hybrid catalyst 111
6.1 Introduction 112
6.2 Results and discussion 116
6.2.1 Linkage of propynyl phosphine via the Cu(I)-catalyzed ‘click’ reaction 116
6.2.2 Linkage of a pincer ligand via the copper-free ‘click’ reaction 119
6.3 Conclusions 122
6.4 Acknowledgements 122
6.5 Experimental section 123
6.6 References 127
7 – A synthetic metabolon for piceid production 129
7.1 Introduction 130
7.2 Results and discussion 132
7.2.1 Production and purification of 4CL2, STS and Twi 132
7.2.2 Activity of the purified enzymes 133
7.2.3 Functionalization of STS by azidohomoalanine incorporation 135
7.2.4 Production of Twi-STS conjugates 136
7.2.5 Analysis of Twi-STS conjugates by mass spectrometry 140
7.2.6 Activity of Twi-STS conjugates 141
7.2.7 Modification of 4CL2 143
7.2.8 Formation of 4CL2-STS-Twi complexes 145
7.3 Conclusions 149
7.4 Acknowledgements 150
7.5 Experimental section 150
7.6 References 160
Summary 162
Samenvatting 164
Dankwoord 166
List of publications 168
Curriculum vitae 170
| Abbreviation | Description |
|--------------|-------------|
| 4CL2 | 4-coumarate:coenzyme A ligase |
| aaRS | aminoacyl tRNA synthetase |
| AHA | azidohomoalanine |
| ATP | adenosine triphosphate |
| AU | arbitrary unit |
| BSA | bovine serum albumin |
| CalB | *Candida antarctica* lipase B |
| CLEA | cross-linked enzyme aggregate |
| CoA | coenzyme A |
| Da | Dalton = one unified atomic mass unit |
| DABCO | 1,4-diazabicyclo[2.2.2]octane |
| DIBAC | dibenzoazacyclooctyne |
| DKR | dynamic kinetic resolution |
| DMAP | dimethylaminopyridine |
| DMF | dimethylformamide |
| DMSO | dimethylsulfoxide |
| DNA | deoxyribonucleic acid |
| dNTP | deoxyribonucleotide triphosphate |
| DsRed | *Discosoma sp.* red-fluorescent protein |
| DTT | dithiothreitol |
| EDC | 1-ethyl-3-(3-dimethylaminopropyl) carbodiimide |
| EDTA | ethylenediaminetetraacetic acid |
| ELP | elastin-like polypeptide |
| ESI-TOF | electrospray time-of-flight |
| FPLC | fast protein liquid chromatography |
| FTIR-ATR | Fourier transform infrared, attenuated total reflectance |
| GC | gas chromatography |
| Gly | glycine |
| GOx | glucose oxidase |
| HPG | homopropargyl glycine |
| HPLC | high-performance liquid chromatography |
| HRP | horseradish peroxidase |
| ICP-MS | inductively coupled plasma mass spectrometry |
| IPTG | isopropyl-β-D-thiogalactopyranoside |
| KR | kinetic resolution |
| LC-MS | liquid chromatography mass spectrometry |
| Abbreviation | Description |
|--------------|-------------|
| Leu | leucine |
| LRMS | low resolution mass spectrometry |
| Lys | lysine |
| MALDI-TOF | matrix-assisted laser desorption/ionization time-of-flight |
| Met | methionine |
| MQ | milliQ water |
| MS | mass spectrometry |
| Mw | molecular weight |
| MWCO | molecular weight cut-off |
| NHS | N-hydroxysuccinimide |
| NMR | nuclear magnetic resonance |
| NTA | nitrilotriacetic acid |
| OD$_{600}$ | optical density measured at 600 nm |
| PCR | polymerase chain reaction |
| PEG | polyethylene glycol |
| PIAT | poly(l-isocyanoalanine(2-thio- phen-3-yl-ethyl)amide |
| PMSF | phenylmethanesulfonyl fluoride |
| $p$-NPB | para-nitrophenyl butyrate |
| PS | polystyrene |
| RP-HPLC | reversed-phase high-performance liquid chromatography |
| RT | room temperature |
| SDS-PAGE | sodium dodecyl sulfate polyacrylamide gel electrophoresis |
| STS | stilbene synthase |
| TBST | tris-buffered saline tween |
| TEG | tetraethylene glycol |
| THF | tetrahydrofuran |
| tRNA | transfer ribonucleic acid |
| UDP | uridine diphosphate |
| Val | valine |
| wt | wildtype |
10
Multi-enzyme systems
Part of this chapter will be published:
Schoffelen, S.; van Hest, J. C. M., 2011, submitted
1.1 – Metabolic channeling in nature
Enzymes are nature’s catalysts. They increase the rate of an immense and diverse set of chemical reactions taking place in living organisms. They are involved in all processes essential for life such as DNA replication and transcription, protein synthesis, primary and secondary metabolism, signal transduction and the cell’s defense mechanisms.
Often a number of enzymes work together in multi-step reactions or cascade processes. In these metabolic pathways, the product of one enzyme is the substrate of the other. Activity is commonly regulated by spatial organization, in which enzymes of competing metabolic pathways are localized in separate organelles. Not only are cooperating enzymes often localized in the same compartment, they can also be associated in macromolecular complexes.
The organisation of enzymes in these specific assemblies has a major advantage that is referred to as metabolic channeling\(^{1,2}\). The active sites of the enzymes are brought in close proximity of each other. In this way the intermediate is transferred from one catalytic site to the other without or with less diffusion into the bulk phase of the cell. Furthermore, the complexes maintain high local concentrations of the metabolites, which is crucial for unstable compounds. As the concentration in the rest of the cell is low, toxic intermediates are less dangerous. Finally, assembly of cooperating enzymes facilitates metabolic control by coordinating the activities of competing pathways, which use the same enzymes or intermediates. This type of regulation is based on dynamic complexes, in which the enzyme components assemble and dissociate in response to the metabolic status of the cell.
Several reviews discuss examples of metabolic channeling.\(^{1,3,4}\) One of the best-characterized examples is the tryptophan synthase channel, which catalyzes the last two reactions in tryptophan biosynthesis.\(^{5}\) The two steps are catalyzed by two separate subunits (\(\alpha\) and \(\beta\)), which combine to form a stable multi-enzyme complex (\(\alpha_2\beta_2\)) (see Scheme 1). It has been shown that the intermediate indole is transferred through a physical tunnel from the active site of the \(\alpha\) subunit to the active site of subunit \(\beta\). The tunnel is 25 Å long and its diameter matches that of indole.\(^{6}\) It prevents diffusion of this hydrophobic intermediate, which could otherwise escape from the cell by passive diffusion across the cell membrane.
Other well-studied metabolons are the enzyme complexes involved in fatty acid oxidation\(^{7,8}\) and the Calvin cycle\(^{9,10}\), the pyruvate dehydrogenase complex\(^{11}\) and the citric acid cycle\(^{12,13}\). This last example is of special interest, as many other biosynthetic
pathways use its intermediates as starting compounds. It has been shown that six of the eight sequential enzymes interact with each other. Furthermore, it was found that all enzymes are bound to the mitochondrial inner membrane.
Scheme 1. The last two reaction steps in tryptophan biosynthesis catalyzed by tryptophan synthase. Indole, formed by subunit $\alpha$, is transferred through a physical tunnel to subunit $\beta$ where it reacts with serine resulting in tryptophan.
Scheme 2. Metabolic channeling in the citric acid cycle. Five out of eight enzymes (in grey) have been isolated as one multi-enzyme cluster.\(^{14}\)
Barnes *et al.* succeeded in isolating the five sequential enzymes fumarase, malate dehydrogenase, citrate synthase, aconitase and isocitrate dehydrogenase as one multi-enzyme cluster (see Scheme 2).\(^{14}\) They showed that the complex, which they found in extracts of several bacterial species as well as rat liver mitochondria, catalyzed the formation of oxoglutarate from fumarate.
Metabolic channels are present in secondary metabolic pathways as well. Secondary metabolism refers to the biosynthesis of small molecule products, which are not directly involved in growth, development or reproduction of the organism. Examples, including antibiotics and pigments, are the polyketides\(^{15}\), alkaloids and isoprenoids\(^{16}\), and non-ribosomal peptides (see Scheme 3).\(^{17}\)
**Scheme 3.** Examples of secondary metabolites synthesized via biosynthetic pathways involving metabolic channeling. Tetracycline is a polyketide, morphine and theobromine are alkaloids, linalool and capsaicin are isoprenoids, and cyclosporin A is a non-ribosomal peptide.
The advantages observed in metabolic channels have inspired researchers to mimic this approach by bringing enzymes together in an artificial way. Recently, two reviews have been published which describe both naturally occurring multi-enzyme complexes and engineering strategies to create such systems\(^{4, 18}\). While *in vivo* approaches such as metabolic engineering and the production of gene fusions are thoroughly presented, *in vitro* strategies based on controlled co-localization of multiple enzymes outside (micro)organisms are discussed in less detail.
This chapter aims at providing a more elaborate description of the *in vitro* methods, which vary in the degree of control over the assembly process. This control is two-sided. Firstly, it involves the specificity in which enzymes are immobilized or cross-linked. In addition, it takes into account the spatial organisation of the individual biocatalysts within the multi-enzyme complex. Scaffold-mediated approaches and methods in which enzymes are directly linked together will be discussed.
### 1.2 – *In vitro* multi-enzymatic synthesis in solution
Multi-step enzymatic synthesis can be carried out *in vitro* by adding multiple enzymes to the same reaction vessel.\(^{19, 20}\) In contrast to *in vivo* approaches in which metabolic pathways in microbial hosts are exploited, reaction conditions are easier to control in *in vitro* systems. Consequently, reactions are easily optimized. In addition, substrates can be freely chosen, as toxicity of the substrate or reaction intermediates is no issue. Furthermore, the final products are usually obtained in higher purity in cell-free systems, because of the absence of side reactions and cell metabolites.\(^{18}\)
In its most straightforward way the enzymes are present in solution. This approach is for example applied in cofactor regeneration. About 30% of the biotransformations performed in industry are catalyzed by oxidoreductases, which are dependent on cofactors, such as NAD(P)H and FAD.\(^{21}\) Therefore, a second oxidoreductase is added to the reactor to regenerate the reduced or oxidized cofactor (see Scheme 4).
**Scheme 4.** An example of cofactor regeneration: reductive amination of trimethylpyruvate to L-*tert* leucine by leucine dehydrogenase (LeuDH) in which formate dehydrogenase (FDH) is added to catalyze the regeneration of NADH via irreversible oxidation of formate to CO\(_2\).
These biocatalysts are used in industrial processes such as asymmetric reduction of ketones to enantiomerically pure secondary alcohols and reductive amination of keto acids to enantiomerically pure amino acids. A number of multi-step processes have
been developed that use two or more oxidoreductases. Examples are the making of denim fabric, degradation of lignin in the pulp and paper industry, and removal of pollutants from industrial waste and contaminated soil and water.\textsuperscript{20}
Other enzymes than oxidoreductases are applied in \textit{in vitro} biocatalytic multi-step reactions as well.\textsuperscript{19} Like redox enzymes they can be particularly useful in the synthesis of single enantiomers. Another application is the (selective) glycosylation of bioactive compounds by glucosidases and glycosyltransferases. A large number of enzymes is used in transferring sugar moieties to relatively complex molecules such as antibiotics and antitumor drugs.\textsuperscript{22, 23}
An additional field in which multiple enzymes are involved is biofuel production. Cellulases hydrolyze cellulose leading to the production of glucose, xylose and other sugars. A set of different cellulases is commonly used in that process.\textsuperscript{24} By fermentation, the sugars are converted into biofuels such as ethanol, longer chain alcohols and fatty acid-based biofuels.
Many of these processes will benefit from enzyme co-localization. For some, this has already been investigated. Those examples will be discussed in more detail in the following sections.
\subsection*{1.3 – Non-specific, covalent co-immobilization of enzymes}
In order to improve the stability of a biocatalyst, it is immobilized on a solid support. Besides of increasing stability, immobilization enables catalyst reusability, whereas at the same time substrate-specificity, enantioselectivity and reactivity can be modified. With respect to multi-enzymatic processes, different enzymes can be linked to the same support. By co-immobilization the biocatalysts are brought in physical proximity of each other, in this way mimicking multi-enzyme complexes that are present in cellular systems.
\subsubsection*{1.3.1 Enzyme immobilization}
Hanefeld \textit{et al.} provide a detailed overview of the different immobilization methods involving hydrophobic, hydrophilic, ionic or covalent interactions.\textsuperscript{25} Adsorption on lipophilic carriers is widely applied for lipases that are used in organic solvents for esterification and amidation reactions and dynamic kinetic resolution. Alternatively, lipases and other biocatalysts are deposited on hydrophilic carriers, of which Celite is
one of the most popular examples. Using a carrier bearing either negative or positive charges enables immobilization via ionic interactions.
Biocatalysts can be covalently bound to an insoluble carrier as well. This is particularly useful when the biotransformation takes place in aqueous medium in which non-covalent interactions with the carrier are not strong enough to prevent leaching of the enzyme. Usually the amino groups of the biocatalyst are employed for tethering to a solid support. As generally many lysine residues are present on the surface of a protein, multipoint attachment often occurs. More control over the site of immobilization can be achieved by employing a functional group that is less abundant in the enzyme, for example a cysteine residue.
A disadvantage of the attachment of enzymes to insoluble supports is the large amount of non-catalytic mass. In addition, the carriers can be considerably expensive. These drawbacks have led to the development of carrier-free immobilization techniques.\textsuperscript{26, 27} Quiocioho and coworkers introduced the cross-linking of enzyme crystals (CLECs) using glutaraldehyde. Insoluble enzyme particles were obtained while catalytic activity was retained.\textsuperscript{28} When crystallisation is not (easily) achieved, cross-linked enzyme aggregates (CLEAs) can be formed by solvent- or salt-induced aggregation followed by chemical cross-linking.\textsuperscript{29} The cross-linker, most often gluteraldehyde, can cause loss in activity due to chemical modification of essential residues or general denaturation. The use of dextran polyaldehyde has shown to be beneficial in some cases.\textsuperscript{30} For proteins that are poor in lysine residues the addition of BSA or polyethylenimine during cross-linking improved the CLEA formation.\textsuperscript{31, 32}
It is not only the enzyme which determines which immobilization technique is optimal. The reaction and the reactor in which the biocatalyst is used, play a role as well. This is illustrated by the fact that for the lipase CalB numerous methods have proven to be useful.\textsuperscript{33-38}
\subsection*{1.3.2 Co-immobilization of multiple enzymes}
Mosbach and coworkers reported one of the first examples of co-immobilization of two biocatalysts.\textsuperscript{39} Hexokinase and glucose-6-phosphate dehydrogenase were covalently linked to a matrix, Sepharose or a cross-linked copolymer of acrylamide-acrylic acid (see Scheme 5).
Scheme 5. Covalent immobilization of hexokinase (HK) and glucose-6-phosphate dehydrogenase (G-6-PDH). An increase in NADPH formation was observed using the co-immobilized enzymes when compared to the same enzymes in solution.\textsuperscript{39}
After addition of glucose, ATP and NADP\textsuperscript{+}, the enzymatic activity of the bound enzymes was followed by measuring the formation of NADPH. For both matrices an increase in NADPH formation was detected when compared to the activity of the same amount of enzymes in solution. This was attributed to the fact that diffusion of the intermediate glucose-6-phosphate was reduced. It could immediately be converted due to close proximity of the coupled enzymes.
Furthermore, so-called combi-CLEAs have been produced by aggregation and cross-linking of two or three different enzymes. The combined aggregation of an (S)-selective oxynitrilase and a non-selective nitrilase enabled the production of enantiomerically pure (S)-mandelic acid from benzaldehyde (see Scheme 6).\textsuperscript{40} It was suggested that racemization of the nitrile intermediate was suppressed because of immediate hydrolysis by the nitrilase without diffusion into the water phase.
Scheme 6. A cross-linked enzyme aggregate consisting of (S)-selective oxynitrilase ((S)-HNL) and a non-selective nitrilase (NLase) was used to produce enantiomerically pure (S)-mandelic acid from benzaldehyde. Racemization of the nitrile intermediate was suppressed as immediate hydrolysis by the nitrilase could take place.\textsuperscript{40}
Vafiadi *et al.* produced a combi-CLEA consisting of three commercial enzymes with feruloyl esterase activity.\textsuperscript{41} This CLEA was considered a multipurpose biocatalyst for the esterification of different ferulic acids, which are interesting compounds for synthetic purposes. A third combi-CLEA was prepared for the five-component cascade synthesis of nucleotide analogues.\textsuperscript{42} The multiple-enzyme system contains three enzymes of the purine nucleotide analogue pathway and an auxiliary ATP recycling system. The aggregate showed improved stability in comparison to the soluble enzyme pathway.
Recently, $\beta$-glucosidase ($\beta$-Glu), glucose oxidase (GOx) and horseradish peroxidase (HRP) were immobilized in multicompartment particles.\textsuperscript{43} In contrast to abovementioned examples, the location of the three enzymes in the cross-linked aggregates was controlled. They were sequentially co-precipitated in presence of calcium carbonate followed by cross-linking. Microparticles were obtained consisting of three concentric compartments. A cascade reaction was demonstrated to take place on microscopic scale. Two separating shells containing BSA were inserted to show the influence of spacing on the cascade reaction kinetics.
Logan *et al.* report spatially separated immobilization of three enzymes in a microfluidic channel.\textsuperscript{44} Different patches in a microchannel were subsequentially activated by photopatterning followed by covalent attachment of invertase (INV), GOx and HRP. The order of the enzymes was varied. The microchannel containing the enzymes in the correct sequential order showed the highest amount of final product being formed.
**Scheme 7.** Immobilization of three enzymes in a microfluidic channel. The cascade reaction involves hydrolysis of sucrose to glucose and fructose (not shown) by invertase (INV), formation of $H_2O_2$ by glucose oxidase (GOx), and oxidation of Amplex Red to fluorescent resorufin by horseradish peroxidase (HRP).\textsuperscript{44}
A last example in which multiple enzymes were co-immobilized is reported by Moehlenbrock and colleagues.\textsuperscript{45} Mitochondria from \textit{Saccharomyces cerevisiae} were extracted and cross-linked before disruption of the mitochondrial membranes. The lysates were immobilized in a biofuel cell. Bioelectrocatalytic activity of the covalently linked mitochondrial enzymes was higher than the activity of lysed native mitochondria. This indicated that preservation of the enzyme complexes before isolation had a positive effect as substrate channeling could take place on the bioanode.
\subsection*{1.4 – Non-covalent encapsulation of enzymes}
It has been shown that the specific activity of enzymes is often reduced upon immobilization on a solid support or after cross-linking. To avoid any negative influence on structure and/or function, the biocatalyst may be entrapped or encapsulated in nanostructures.
\subsubsection*{1.4.1 Enzyme encapsulation}
A commonly used material for enzyme entrapment is silica sol-gel.\textsuperscript{46, 47} This inorganic gel made out of SiO$_2$ is formed around the enzyme molecules. The gelation process can be adapted to the specific enzyme, which is being encapsulated, for example by using a pH consistent with catalytic activity. Ideally, each individual enzyme molecule is captured inside a nano-cage with enough space to change its conformation during the catalytic cycle. It is not necessary to attach the enzyme via adsorption, ionic interactions or covalent bonds. However, these interactions may occur and might interfere with enzyme efficiency. Other drawbacks are mass transfer limitations and low enzyme loading.
Alternatively, reverse micelles, liposomes, polymersomes and virus particles have been employed as self-assembled nanoreactors. The use of reverse micelles is summarized by Klyachko \textit{et al.}\textsuperscript{48} Walde and Ichikawa provide a review on the encapsulation of enzymes in liposomes,\textsuperscript{49} whereas the viral capsid as nanoreactor is highlighted by De la Escosura \textit{et al.}\textsuperscript{50} Examples of the use of polymersomes for enzyme encapsulation are described by Nallani and De Hoog.\textsuperscript{51, 52}
A special approach of enzyme entrapment was developed by Kim and colleagues.\textsuperscript{53} Single enzyme nanoparticles (SEN) were formed by extraction of individual enzyme molecules into a hydrophobic organic solvent. Polymer chains were
subsequently formed from the enzyme surface. By cross-linking a polymer network was formed which stabilizes the biocatalyst.
1.4.2 Multi-enzyme reactions in nanostructures
So far, the encapsulation of multiple enzymes in nanostructured materials has found limited application. Betancor *et al.* describe the co-encapsulation of nitrobenzene nitroreductase and glucose-6-phosphate dehydrogenase in silica particles.\textsuperscript{54} It enabled the continuous conversion of nitrobenzene to hydroxylaminobenzene with NADPH recycling. The enzymes were encapsulated simultaneously and were not localized in different compartments.
Kreft and co-workers report an encapsulation method, in which a semi-permeable membrane separates two enzymes.\textsuperscript{55} Shell-in-shell polyelectrolyte capsules were produced containing glucose oxidase in the outer surrounding compartment and peroxidase in the inner capsule. Oxidation of glucose led to formation of H$_2$O$_2$, which, in the presence of an electron donor, acted as a substrate for peroxidase.
Delaittre *et al.* report the synthesis of nanoreactors composed of horseradish peroxidase-polystyrene (HRP-PS) and HRP-poly(methyl methacrylated) giant amphiphiles. The HRP-polymer conjugates were obtained by cofactor reconstitution. The polymer was attached to the cofactor, which was subsequently added to the apoprotein. The HRP-containing nanoaggregates were shown to retain their enzymatic activity. Glucose oxidase was enclosed inside the self-assembled structure resulting in a nanocontainer in which a cascade reaction could take place.\textsuperscript{56}
Alternatively, both enzymes (glucose oxidase and HRP) were encapsulated inside polymersomes.\textsuperscript{57} By adding the lipase CalB as an additional enzyme a three-enzyme cascade reaction was performed by Van Dongen *et al.*\textsuperscript{58} In this last example the three enzymes were targeted to different locations in the polymersomes. Whereas glucose oxidase was inserted in the lumen, CalB was localized in the bilayer membrane and HRP was coupled to the surface of the polymersome nanoreactor.
1.5 – Scaffold-mediated co-localization of enzymes
The *in vitro* strategies discussed so far provide ways to bring multiple enzymes in close proximity of each other. However, there is limited control over the way the assemblies are constructed. As discussed in Section 1.3, immobilization and carrier-free cross-linking proceed in a non-specific way, most often via interactions with the amino
groups of the enzyme molecules. With respect to entrapment and encapsulation in nanostructures the distance between individual enzyme molecules may still be relatively large, even when the biocatalysts are in the same compartment.
To create multi-enzyme systems that mimic nature’s metabolons to a better extent, it is necessary to control the construction of the biocatalytic assemblies. First of all, one would like to define the position at which an enzyme interacts with a support or other enzyme to prevent interference with residues that are crucial for structure and activity. Furthermore, when more than two different enzymes of a biosynthetic pathway are assembled, the orientation of the catalysts relative to each other may be important. It is desirable to position the enzymes in the correct order to induce substrate channeling.
### 1.5.1 Selective immobilization on solid supports using affinity tags
Affinity tags have been used for selective immobilization of proteins.\textsuperscript{59} For example, via a genetically introduced histidine tag, enzymes have been attached to a Ni\textsuperscript{2+} chelating support. The histidine tag is specifically introduced at the N or C terminus of the enzyme and has little influence on the catalytic performance. Liu and coworkers have shown that this technique can be exploited for the biosynthesis of UDP-galactose.\textsuperscript{60} Seven different enzymes were involved in this pathway. Because of the stability of the immobilized biocatalysts a higher product yield was obtained compared to the solution reaction. Although the spatial organisation of the enzymes was not controlled, the site of immobilization was. All enzymes were tethered via their N-terminus, which prevented loss in activity due to non-specific immobilization.
Another affinity tag, which has been applied in site-specific immobilization, is the cellulose-binding domain (CBD). As originally shown by Ong \textit{et al.}, it can be fused to a protein of interest which is subsequently bound to an inexpensive cellulose support.\textsuperscript{61} The linker between the CBD and the enzyme is susceptible to proteolytic cleavage. This is prohibited by using a shorter linker with only prolines and threonines as shown by Gustavsson \textit{et al.} for a CBD-CalB fusion.\textsuperscript{62} In this example lipase activity was not affected by varying the linker length, whereas cellulose-binding slightly decreased upon shortening the linker. Several enzyme-CBD fusions are reported in literature. The most recent studies involve the immobilization of laccase, a lignin-degrading enzyme used for pulp bleaching, and mannanase, which is used for degradation of hemicellulose.\textsuperscript{63, 64} Rootman and co-workers reported the successful application of
CBD-protein fusions in a multi-enzyme reactor system containing three CoA biosynthetic enzymes.\textsuperscript{65}
Other proteins used for controlled enzyme immobilization are the S-layer protein, elastin-like polypeptide (ELP) and polyhydroxyalkanoate (PHA) synthase.\textsuperscript{26} S-layer proteins self-assemble in crystalline monolayers in suspension and at different interfaces among which liposomes,\textsuperscript{66} whereas ELPs precipitate reversibly upon heating above the transition temperature.\textsuperscript{67} PHA synthase remains covalently attached while producing the polyester PHA granule.\textsuperscript{68} Fusions of the enzyme of interest to these proteins provide means of immobilization.\textsuperscript{69-71} However, to our knowledge, these polypeptide modules have not been exploited yet for the co-immobilization of multiple enzymes.
\subsection*{1.5.2. Well-defined co-localization on a protein or DNA scaffold}
Whereas most affinity tags or binding modules fused to enzymes have been used for immobilization on solid supports, some assemblies have been constructed on protein scaffolds. Many anaerobic cellulolytic bacteria, which degrade plant cell walls, produce extracellular macromolecular complexes called cellulosomes.\textsuperscript{72} They are composed of a multidomain scaffoldin unit containing multiple cohesin domains linked to a CBD. The cohesin domains interact with a dockerin module, which is naturally present in hydrolytic enzymes such as cellulases, hemicellulases, pectinases, chitinases, glycosidases, and esterases (see Scheme 8).
\textbf{Scheme 8.} In a cellulosome multiple cellulases are co-localized on a protein scaffold consisting of cohesin and scaffoldin units. The protein scaffold is bound to cellulose via the cellulose-binding domain (CBD).
Cellulosomes have been constructed *in vitro*. The cellulases associated in this way showed to be more active than the same cellulases free in solution. Mitsuzawa and coworkers created a synthetic cellulosome containing 4 different cellulases assembled on a 18-subunit protein complex called a rosettasome. A cohesin module was fused to each 60 kDa rosettasome subunit to induce binding of the cellulases. Especially when all four enzymes were present in the complex, enhanced cellulase activity was detected when compared to the free enzymes or the unassembled rosettasome.
The stress-responsive protein SP1 from aspen plant forms an extremely stable ring-shaped dodecamer resistant to high temperature, a broad pH range and organic solvents. A fusion of SP1 with glucose oxidase (GOx) resulted in multi-enzyme nanotube particles containing hundreds of active GOx molecules per tube. Moraïs *et al.* produced an SP1 scaffold with cohesin modules to which dockerin-bearing exogluconases were linked. Highly effective degradation of cellulosic substrates was achieved after addition of a free endoglucanase. Alternatively, virus particles have been exploited as a scaffold for the controlled positioning of lipase molecules.
Recently, an elegant assembly strategy was reported by Hirakawa and coworkers. Cytochrome P450 and two electron transfer-related proteins were assembled by fusion to the protein PCNA (see Scheme 9). PCNA (proliferating cell nuclear antigen) is a trimeric ring-shaped protein that binds DNA and acts as a scaffold for DNA-related enzymes. A heterotrimeric PCNA was used to bring the three enzymes in close proximity to each other, enabling efficient electron transfer within the complex.
**Scheme 9.** Controlled co-localization of cytochrome P450, a ferrodoxin (putidaredoxin, PdX) and a ferrodoxin reductase (putidaredoxin reductase, PdR) via formation of a heterotrimeric PCNA complex. Efficient electron transfer was observed as determined by measuring NADH consumption.
Furthermore, Dueber *et al.* co-localized three mevalonate biosynthesis enzymes by engineering an artificial scaffold which contained three different protein-protein interaction domains (see Scheme 10). This strategy was applied *in vivo*. The number of repeats and order of the interaction domains was varied to control the pathway flux. A 77-fold increase in product titer was obtained compared to the non-scaffolded pathway.
**Scheme 10.** Controlled co-localization of three mevalonate pathway enzymes on a protein-based scaffold, in which variation of the number and order of interaction domains allowed for optimization of the metabolic flux.
Müller and colleagues employed DNA as scaffold for enzyme assembly. Two enzymes, HRP and GOx, were linked to thiolated oligonucleotides using sulfo-succinimidyl-4-(N-maleimido-methyl)-cyclohexan-1-carboxylate (sSMCC) as cross-linker. The biomolecules were brought together by hybridization on a carrier strand. The same enzymes were used by Wilner *et al.* Upon linkage of the oligonucleotides, the DNA-enzyme conjugates were added to a hexagon DNA scaffold containing free overhangs for hybridization of the biocatalysts. The distance between both enzymes on the same scaffold was varied. While hardly any activity was detected in absence of the DNA scaffold, ABTS oxidation took place in presence of the scaffold. The conversion was higher when both enzymes were closer in proximity.
DNA-mediated immobilization of multiple enzymes has been applied by Vong *et al.* as well. Two different oligonucleotides were linked to CalB and HRP. The enzymes were positioned in a microfluidic channel decorated with the complementary DNA strands. A three-enzyme cascade reaction was performed by applying a solution containing glucose oxidase and relevant substrates.
1.6 – Site-specific, covalent linkage of enzymes
In order to facilitate substrate channeling, the distance from one active site to the other should be minimal. Taking this into account, one can imagine that direct linkage of enzymes is preferred over encapsulation or coimmobilization on a solid support or protein or DNA scaffold. As already discussed in the previous section, control over the site of conjugation is important. It prevents loss in activity, which regularly occurs when enzymes are cross-linked in a non-specific way. This section describes two different approaches towards controlled, covalent linkage of enzymes. The first strategy relies on the preparation of gene fusions, while in the second method enzymes are linked post-translationally.
1.6.1 Multi-enzyme systems obtained by gene fusion
Genes encoding for two different enzymes can be joined in-frame resulting in a chimeric gene that encodes a polypeptide chain carrying two active centres. Bülow and Mosbach describe the concept and report some of the early examples.\textsuperscript{83} In general, the order in which the genes are fused is usually chosen arbitrarily. As the N- and C-termini are charged and therefore usually located on the surface of the protein, the tertiary structure remains often intact. The length of linker between both proteins is ideally 3 – 10 amino acids long. For longer linkers proteolytic degradation has been observed.
The genes of $\beta$-galactosidase and galactokinase were connected and the hybrid protein was purified from \textit{Escherichia coli}. It was shown that the fusion protein catalyzed the hydrolysis of lactose followed by phosphorylation of galactose.\textsuperscript{84} The bifunctional enzyme appeared to have a tetrameric configuration, which was in agreement with the fact that native $\beta$-galactosidase forms complexes usually consisting of four subunits. A third enzyme, galactose dehydrogenase, was used in a competition experiment by which substrate channeling was detected.\textsuperscript{85} An additional hybrid biocatalyst was prepared by fusion of $\beta$-galacosidase with galactose dehydrogenase.\textsuperscript{86} In this case, substrate channeling was observed especially at low substrate concentrations and when a pH was used in which galactose dehydrogenase was more active than $\beta$-galactosidase. The same group reported construction of a gene fusion containing all three enzymes.\textsuperscript{87}
Other biocatalysts have been linked by gene fusion as well. Mitochondrial citrate synthase (CS) and malate dehydrogenase (MDH), two enzymes taking part in the citric
acid cycle, were expressed as a fusion protein.\textsuperscript{88} The activity of the CS-MDH conjugate was studied in presence of the competing enzyme aspartate aminotransferase (AAT) (see Scheme 11). The intermediate oxalacetate appeared to be more sequestered by the fusion protein than in the system with free enzymes, in which AAT was a more effective competitor.
\textbf{Scheme 11.} Reaction scheme of an experiment in which the activity of a malate dehydrogenase (MDH) – citrate synthase (CS) fusion protein was tested. Aspartate aminotransferase (AAT) was shown to be a less effective competing enzyme when compared to free CS and MDH.\textsuperscript{88}
Brodelius and coworkers prepared a fusion of farnesyl diposphate synthase (FPPS) and \textit{epi}-aristolochene synthase (\textit{eAS}).\textsuperscript{89} The formation of the intermediate FPP and the sesquiterpene \textit{epi}-aristolochene was followed in time. The amount of \textit{epi}-aristocholene produced was considerably higher for the fusion enzyme than for the mixture of single enzymes, whereas the amount of FPP was essentially the same for both systems.
Furthermore, Iturrate \textit{et al.} constructed a bifunctional aldolase/kinase enzyme.\textsuperscript{90} Dihydroxyacetone kinase (DHAK) and fructose-1,6-bisphosphate aldolase were coupled by gene fusion. A one-pot C-C bond-formation procedure could be performed using dihydroaceton (DHA) as the starting compound. The unstable dihydroxyacetone phosphate (DHAP) was formed \textit{in situ} and used as a substrate in the aldol condensation catalyzed by a DHAP-dependent aldolase. Glycerol-3-phosphate dehydrogenase was added as competing enzyme to show that substrate channelling took place (see Scheme 12).
As a last example, a three-enzyme fusion was produced by Fan and colleagues.\textsuperscript{91} Three hemicellulases were fused using either flexible peptide linkers or linkers containing a cellulose-binding domain (CBD). The multimeric enzymes showed to be
as active as the parental enzymes. As seen before, the CBD-containing enzymes displayed higher hydrolytic activity towards substrates with a high-cellulose content.
**Scheme 12.** The activity of a kinase – aldolase fusion protein investigated using glycerol-3-phosphate dehydrogenase (GPDH) as competing enzyme. In presence of the fusion protein, activity of GPDH was almost twice as low when compared to GPDH activity in the free enzyme system.\(^{80}\)
### 1.6.2. Post-translational, selective enzyme modification
One of the limitations of the production of multi-enzymatic gene fusions is the fact that bacteria are often not efficient in the correct folding of large multidomain proteins. So, especially when more than two enzymes are to be linked to each other, gene fusion is not an ideal solution.
As an alternative, enzymes can be linked after being translated and folded. However, to retain the control over the coupling procedure, specific sites in the enzyme should be targeted. In Section 1.3 methods were discussed which make use of the reactive side-chain of lysine residues. As lysine is an abundant amino acid in most proteins, enzyme molecules are cross-linked at multiple positions, which readily leads to enzyme inactivation.
To overcome this limitation, numerous methods have been developed for site-specific protein modification. Reactive side-chains of natural amino acids can be exploited as summarized by Baslé *et al.*\(^{92}\) Especially, residues which are only located at the protein surface to a limited extent, such as cysteines, tyrosines and tryptophans, are useful targets when modification of a small number of positions is desired. The introduction of non-natural amino acids has expanded the toolbox for protein modification. The unique functionalities in non-proteinogenic amino acids can be addressed in highly selective, bio-orthogonal conjugation reactions.\(^{93-95}\) In addition, several enzymatic strategies have been developed which allow for selective
modification of proteins.\textsuperscript{96} For example, transglutaminase (TGase) has been used to transfer polymer chains or fluorescent probes to glutamine residues.\textsuperscript{97, 98} In addition to these approaches in which amino acid side chains are modified, the N- and C- terminus of proteins have specifically been functionalized.\textsuperscript{99, 100}
All these site-specific modification strategies have mainly been exploited for the linkage of relatively small molecules, such as fluorescent probes, to proteins. Additionally, they have been employed in the production of protein-polymer conjugates.\textsuperscript{101} For the linkage of proteins to each other, however, these approaches have hardly been applied. Among the few examples reported in literature are the conjugation of bovine serum albumin (BSA) to a lipase\textsuperscript{102}, the cross-linking of avidin to BSA\textsuperscript{103}, the coupling of two immunoglobulin-binding protein G domains\textsuperscript{104} and direct linkage of two GFP molecules\textsuperscript{105}.
To our knowledge, Hirakawa and colleagues describe the only example, in which proteins involved in a biocatalytic process are site-specifically coupled. A branched fusion protein was produced consisting of the monooxygenase cytochrome P450 and the electron transfer proteins putidaredoxin (Pdx) and Pdx reductase.\textsuperscript{106} The three proteins were coupled via an enzymatic procedure using TGase. Similar to the proteinscaffold mediated co-localization of these three proteins, which is described by the same authors\textsuperscript{78}, efficient electron transfer took place.
### 1.7 – Outline of this thesis
As presented in this chapter, enzymes have been co-localized in different ways. Surprisingly, the use of site-specific modification strategies to link enzymes to each other has hardly been investigated. The research described in this thesis aimed at exploring this approach, \textit{i. e.} to construct well-defined enzyme architectures via selective bioconjugation methods.
Chapter 2 describes the introduction of the non-natural amino acid azidohomoalanine in the model enzyme \textit{Candida antarctica} lipase B (CalB). Expression of CalB in \textit{Escherichia coli} is reported as well as its purification. In addition it is shown how some aspects of the protocol were studied in more detail in order to optimize the yield and purity of the azide-functionalized biocatalyst.
Application of the introduced azide moiety as a handle for bioconjugation is presented in Chapter 3. Studies with respect to selectivity of the conjugation reaction are described. It is demonstrated that residue-specific incorporation of
azidohomoalanine enables site-specific immobilization of the enzyme to different polymer-like materials.
Chapter 4 reports production of well-defined CalB oligomers. Four strategies are highlighted which all exploit the method described in the previous chapters. Studies investigating the activity of two different kinds of CalB dimers are presented as well.
In Chapter 5, an alternative way of introducing azide functionalities in proteins is described. A mild, metal-free and pH-controlled diazotransfer reaction is presented, which allows for selective conversion of amines into azides in a post-translational manner. This straightforward modification method is tested on CalB and two other model proteins.
Chapter 6 reports steps towards the production of a biohybrid catalyst. Two different transition-metal ligands are coupled near the active site of CalB. As soon as introduction of the metal is achieved, a unique system will be created containing both enzymatic and transition-metal activity. This will allow for performance of a two-step reaction in one pot.
In Chapter 7, the construction of a multi-enzyme complex is described. Three enzymes involved in the biosynthesis of resveratrol are coupled to each other. Heterotelechelic linkers are used to control the complex formation. It is demonstrated that the multi-enzyme complex successfully catalyzes the production of glycosylated resveratrol.
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Residue-specific incorporation of azidohomoalanine in *Candida Antarctica* lipase B
2.1 – Introduction
2.1.1 *Candida antarctica* lipase B
One of the most popular biocatalysts used in industry is *Candida antarctica* lipase B (CalB). It is an enzyme composed of 317 amino acid residues with a mass of 33 kDa.\(^1\) Its natural function is hydrolysis of triglycerides in order to break down fats and oils. Like other lipases, CalB is highly effective towards a broad range of small esters and amides.\(^2\) Furthermore, the lipase is resistant to quite harsh conditions. In aqueous media the enzyme is active from pH 3.5 to pH 9.5 and is thermostable up to 50 till 60 °C. Moreover, the enzyme remains active in non-aqueous solvents (organic solvents and ionic liquids). The biocatalyst is therefore widely applied in organic synthesis\(^3\), \(^4\). With its broad substrate specificity it is used for various applications such as amidation reactions, dynamic kinetic resolution, esterification and ring-opening polymerization\(^5\), \(^6\).
The activity and physical properties of CalB have extensively been studied. For example, its substrate specificity towards alcohols with different chain lengths and towards arylaliphatic glycolipids has been investigated.\(^{12}\), \(^{13}\) Other studies have focused on the influence of acyl chain length on the enantioselectivity in kinetic resolution, and the dependence of its amidase activity on length of the acyl residue and substituents groups in the aromatic ring of amides.\(^{14}\), \(^{15}\)
Immobilization of enzymes is usually favourable as it allows for application in industrial continuous processes and recycling of the biocatalyst.\(^{16}\) CalB and other lipases have been immobilized in different ways, resulting in increased stability and activity.\(^{17}\) The most popular commercial form of CalB is Novozym 435 in which the lipase is adsorbed on a hydrophobic macroporous polymer. Koops *et al.* describe the adsorption of modified CalB on both hydrophobic and hydrophilic supports.\(^{18}\) The increase in activity was especially high when the hydrophobic support was used. CalB was protected from structural alterations during adsorption onto the hydrophilic support by modifying it with polyethylene glycol (PEG) 2000 monomethyl ether, PEG 300 monoocetyl ether or \(n\)-octanol. Besides of that, the enzyme was attached to a ceramic membrane which enabled its use in an enzyme membrane reactor.\(^{19}\) Furthermore, the stability of immobilized CalB at elevated temperatures was studied,\(^{20}\) as well as the production of cross-linked enzyme aggregates (CLEAs).\(^{21}\)
Several studies have aimed at changing the catalytic and physical properties of CalB by protein engineering.\(^{22}\), \(^{23}\) Patkar *et al.* describe the effect of replacing threonine
103, a residue close to the active site, by glycine. Thermostability was substantially increased while activity was not affected.\textsuperscript{24} A second interesting example involves circular permutation, an approach in which the N and C termini of a protein are relocated. Several variants of the lipase were generated with increased catalytic activity.\textsuperscript{25} Additionally, by rational design CalB’s enantioselectivity was improved and its substrate specificity was expanded.\textsuperscript{26-28} Both Zhang \textit{et al.} and Chodorge and coworkers employed directed evolution resulting in CalB variants with enhanced thermostability\textsuperscript{29, 30}. Furthermore, chimeras have been produced in which one of the flexible regions in CalB, helix $\alpha$5, was substituted with the lid regions from related lipases. Lipase variants were created with increased enantioselectivity towards 2-arylpropanoic acid, a common core structure of the profen drug family\textsuperscript{31}.
In industry and in most of the genetic engineering studies, the lipase is produced in fungal hosts such as \textit{Pichia pastoris}, \textit{Saccharomyces cerevisiae} or \textit{Aspergillus oryzae}.\textsuperscript{26, 29, 32} The fact that the prokaryotic system \textit{Escherichia coli} is much easier to handle has resulted in several attempts to enable functional CalB expression in this microorganism.\textsuperscript{33, 34} Different groups have aimed at improving the expression yield in \textit{E. coli} by mutagenesis, by using different temperatures and expression systems and through the production of fusion mutants.\textsuperscript{35-37}
\subsection*{2.1.2 Incorporation of non-natural amino acids}
Genetic engineering facilitates not only the creation of mutants, in which specific amino acids are substituted by one of the other twenty natural residues. It also enables the introduction of novel functionalites via the incorporation of non-canonical amino acids. These analogues contain unique reactivities, which are different from the proteinogenic amino acid side chains. They add new biological functions to the protein or enable site-specific protein conjugation. They have been introduced into recombinant proteins in both prokaryotic and eukaryotic cells.\textsuperscript{38, 39}
Nowadays, two strategies are widely applied. The first method, which was developed by Schultz and coworkers, allows the introduction of an additional 21\textsuperscript{st} amino acid via ribosomal protein production. In order to achieve this extension of the genetic code, an orthogonal tRNA and aminoacyl tRNA-synthetase (aaRS) couple is introduced into the host cell. The tRNA, which is aminoacylated with the non-canonical amino acid, specifically recognizes the amber (UAG) stop codon. This stop codon can be inserted at any position of choice in the gene of the recombinant protein. By selecting an orthogonal aaRS/tRNA pair from another microorganism than the host
it is prevented that the introduced aaRS aminoacylates any of the endogenous tRNAs or that the suppressor tRNA functions as a substrate for any of the host aminoacyl tRNA-synthetases.\textsuperscript{40}
The second strategy involves the residue-specific replacement of a particular natural amino acid with a non-canonical analogue. It is added to the growth medium of an auxotrophic bacterial host, which is unable to synthesize the natural residue.\textsuperscript{41} The supplied amino acid is incorporated at every position where normally the natural analogue would be present. In its most straightforward way, this method relies on structural similarity of the analogue to the natural amino acid.\textsuperscript{42} However, Tirrell and others have expanded the set of amino acids that can be incorporated in this way by overexpression of the aaRS and by development of a mutant aaRS with more space in the amino acid binding site.\textsuperscript{43} Attenuation of the editing activity of specific aminoacyl tRNA-synthetases has allowed for introduction of additional novel amino acids.\textsuperscript{44, 45}
Among the functionalities that have been incorporated using these two approaches are alkynes\textsuperscript{46}, azides\textsuperscript{47, 48}, ketones\textsuperscript{49} and aryl halides\textsuperscript{50, 51}. These unique reactivities have shown to be very useful for \textit{in vivo} fluorescent labeling of newly synthesized proteins\textsuperscript{52} and for site-specific biotinylation, glycosylation and PEGylation\textsuperscript{48, 53, 54}. The introduction of fluorinated analogues of leucine has been used for the stabilization of hydrophobic folded structures\textsuperscript{55}, while photoactive side chains have been employed to study protein-protein interactions\textsuperscript{56, 57}. More recently, a metal-ion chelating amino acid has been incorporated to function as a biophysical probe.\textsuperscript{58} As a last example, Budisa and coworkers have succeeded in labeling a protein with three non-canonical analogues.\textsuperscript{59}
With regard to CalB the introduction of an unnatural amino acid will facilitate site-specific conjugation to solid supports. Furthermore, the introduction of a unique functional handle will enable the controlled linkage of other (bio)catalysts to the enzyme. For bioconjugation the biocompatible and orthogonal reactions between azides and (strained) alkynes, phosphines or oxanorbornadienes have proven to be highly suitable.\textsuperscript{60, 61} For that reason the introduction of an azide moiety in the protein is required. This chapter describes the production and purification of azido-functionalized CalB by residue-specific incorporation of the non-natural amino acid azidohomoalanine. The expression protocol was studied in more detail to improve yield and purity of the modified enzyme.
2.2 – Results and discussion
2.2.1 Cloning, expression and purification of CalB
The mature *calB* gene was cloned in the pET22b expression plasmid. This plasmid contains an N-terminal periplasmic localization signal for correct disulfide bond formation of this extracellular protein, and a C-terminal histidine tag. Signal and propeptide sequences of CalB were omitted as reported previously by Blank *et al.*\(^{34}\) As a consequence of the cloning strategy that was used, an additional methionine residue was introduced, which was the first amino acid after cleavage of the periplasmic localization peptide (see Scheme 1).
**Scheme 1.** Sequence of the N- and C-terminus of CalB when produced in the pET22b expression plasmid. The site at which an endogenous peptidase cleaves off the localization signal is indicated by the arrow.
After introduction of the plasmid in BL21(DE3)pLysS or B834(DE3)pLysS *E. coli* cells (Novagen), a culture was grown in 2xYT medium. When an OD\(_{600}\) of 0.8–1 was reached, protein expression was induced by adding IPTG (isopropyl-\(\beta\)-D-thiogalacto-pyranoside). Cells were incubated overnight at 25 °C before being harvested by centrifugation. Purification via Ni\(^{2+}\) NTA affinity chromatography was performed according to the manufacturer’s protocol (Qiagen). An additional purification step was carried out by size-exclusion chromatography. The protein was obtained pure as shown by gel electrophoresis (see Figure 1). The yield as determined by measuring absorbance at 280 nm was approximately 5 mg per litre bacterial culture.
The protein was further analysed by ESI-TOF mass spectrometry. Following ultrafiltration for salt removal, a mass spectrum was obtained which, upon deconvolution, resulted in a detected protein mass of 34269 Da. Taking into account the three sulfur bridges present in CalB this mass corresponded exactly with the calculated mass. This indicated that no mutations or any post-translational modifications had occurred and that the periplasmic localization signal was cleaved off as expected.
Figure 1. Purification of CalB from *E. coli* cells. A) Eluate from a Ni$^{2+}$ NTA affinity column analyzed by SDS-PAGE. B) Typical FPLC chromatogram obtained when the eluate was loaded on a size-exclusion column. C) SDS-PAGE analysis of the FPLC fractions that were expected to contain CalB (see grey box in FPLC chromatogram).
2.2.2 Introduction of azidohomoalanine
In order to incorporate azidohomoalanine 1 in CalB, protein synthesis was performed in methionine auxotrophic B834(DE3)pLysS *E. coli* bacteria (Novagen). The procedure that was followed is depicted in Scheme 2. Cells were grown in minimal medium containing all twenty natural amino acids till the desired optical density was reached. To ensure incorporation of 1, methionine had to be removed. However, as the pET system was used, in which protein expression is under control of the T7 promoter\textsuperscript{62}, it was necessary to induce for a short period of time while the cells were still in methionine containing medium. This allows synthesis of T7 RNA polymerase under normal conditions, which is required for efficient transcription of the gene of interest. After incubation at 37 °C for 15 minutes the medium was removed. Cells were washed and resuspended in medium containing all natural amino acids except for methionine. The bacteria were left at 37 °C for 10 minutes before adding the non-natural amino acid together with a fresh amount of the inducer IPTG. After 18 hours at 18 °C centrifugation of the culture was followed by purification as described in the previous section. This resulted in approximately 1-2 mg protein from a 1 L bacteria culture.
The mass of CalB containing azidohomoalanine (AHA-CalB) was expected to be 25 dalton less than the mass of CalB harboring methionine residues (Met-CalB), \textit{i.e.} 5 dalton for each methionine - azidohomoalanine replacement. This mass difference was
detected by ESI-TOF mass spectrometry (see Figure 2). More insight in the degree of AHA incorporation was obtained by trypsin digestion followed by MALDI-TOF MS. This is described in chapter 3.
**Scheme 2.** Procedure for the residue-specific incorporation of azidohomoalanine in a protein expressed in methionine auxotrophic *E. coli* cells. (1) Cells are grown till the desired density in minimal medium containing methionine (Met). (2) Protein expression in presence of Met is shortly induced to allow synthesis of T7 RNA polymerase. (3) A medium shift is performed by centrifugation and washing the cells twice with 0.9% NaCl. (4) Cells are kept in minimal medium containing all natural amino acids except for Met (19AA) allowing the cells to use any Met that was left. (5) Azidohomoalanine (AHA) and IPTG are added for protein synthesis in presence of the non-natural amino acid.
**Figure 2.** Deconvoluted ESI-TOF spectra of A) Met-CalB and B) AHA-CalB. Calculated masses for Met-CalB and AHA-CalB are 34269.7 Da and 34244.7 Da, respectively.
2.2.3 Optimization of the yield and purity of CalB containing azidohomoalanine
Due to the fact that protein production is induced for a short period of time before the medium is changed (step 2 in scheme 2), some CalB will contain methionine instead of azidohomoalanine. In order to reduce the amount of Met-CalB, it was investigated whether this step could be shortened. Induction periods of 0, 5, 10 and 15 minutes were tested. The influence on the final amount of protein was determined by Western blot analysis.
As shown in Figure 3, the duration of step 2 had a significant influence on the amount of protein that was produced. Even though the Western blot film did not allow quantification of protein amounts, it was clear that CalB production increased when synthesis of T7 RNA polymerase in presence of methionine had been allowed to take place for a longer period of time. Lanes 2-5 show that shortening this stage indeed led to less production of MetCalB. However, lanes 6-9 show that considerably less AHA-CalB was synthesized as well. It was therefore decided not to decrease the duration of step 2.
**Figure 3.** Western blot of crude cell lysates collected before induction (lane 1), before addition of azidohomoalanine (lanes 2-5) and after overnight incubation (lanes 6-9). Initial induction while cells were still in methionine containing medium was allowed to take place for 0 (lane 2, 6), 5 (lane 3, 7), 10 (lane 4, 8) and 15 (lane 5, 9) minutes. Anti-CalB antibody was used to visualize the amount of CalB.
When CalB was expressed in minimal medium, a protein of approximately 25 kDa was co-purified. As estimated from electrophoresis gels, the amount of this contaminant varied per expression experiment from hardly any to up to 50% of the total amount of purified protein. According to ESI-TOF mass spectrometry the exact mass of the contaminating protein was 22340 Da. This corresponded to the mass of one of
the native *E. coli* proteins, which was known to be co-purified by Ni$^{2+}$ NTA affinity chromatography.\textsuperscript{63}
The contaminant, YodA, is a stress-responsive protein that is over-expressed in response to oxidative and acid stress. It could be separated from CalB by eluting the proteins with two different concentrations of imidazole. While YodA eluted at 80 mM imidazole, most CalB eluted only at 250 mM imidazole. However, as shown in Figure 4, a small amount of CalB was lost by washing with 80 mM imidazole, and not all YodA could be removed.
\textbf{Figure 4.} Separation of YodA (22.3 kDa) and CalB (34.3 kDa) via Ni$^{2+}$ NTA affinity chromatography analyzed by SDS-PAGE analysis. Lanes 1-3 are from elution with 80 mM imidazole. Lanes 4 and 5 contain CalB eluting at 250 mM imidazole. The most left lane contains the mix of both proteins before the additional Ni$^{2+}$ NTA purification step.
We therefore investigated whether production of YodA could be prohibited. One of the tryptic fragments of YodA containing methionine - and not azidohomoalanine - was detected by MALDI-TOF. This indicated that the protein was produced before the medium shift. Thus, the bacteria appeared to experience some stress during the growth in M9 minimal medium (step 1 in scheme 2).
It was tested whether minimal medium containing methionine could be replaced by 2xYT medium. As an alternative to azidohomoalanine, the non-natural amino acid homopropargyl glycine (HPG) \textbf{2}, which is also recognized as an analogue of methionine, was used in this experiment.\textsuperscript{42} Even though the cells were expected to experience less stress because of the nutritionally rich medium, the efficiency of HPG incorporation was reduced significantly. As detected by mass spectrometry, protein was obtained in which the number of non-natural residues varied from 0 to 5 (see Figure 5). Clearly, 2xYT medium is too rich in methionine. It cannot be removed completely by washing the cells twice with 0.9 \% NaCl solution.
Figure 5. Deconvoluted ESI-TOF spectra of CalB upon introduction of the methionine analogue homopropargyl glycine (HPG, 2) using different culturing conditions. Calculated masses for this CalB mutant (149CalB, see Chapter 4) containing five methionines or five HPGs are 34227.4 Da and 34117.4 Da, respectively. A -22 Da mass shift is expected per Met-HPG replacement. Both cultures contained the same amount of HPG during protein induction. A) Structure of homopropargyl glycine. B) Mass spectrum of 149CalB obtained from cells grown in rich 2xYT medium. C) Mass spectrum of 149CalB obtained from cells grown in minimal medium.
Finally, it turned out that growing the cells to an OD$_{600}$ of 0.8 or lower before induction had a positive effect on the purity of AHA-CalB. In that case, hardly any YodA was co-purified with the protein (data not shown). Larger culturing volumes might be desirable using this procedure, as less protein will be produced by a smaller amount of cells.
2.3 – Conclusions
In this chapter we have described the production of CalB in *E. coli* via periplasmic expression of the protein. Purification by Ni$^{2+}$ NTA affinity chromatography followed by size-exclusion chromatography resulted in 5 mg pure protein per litre bacterial culture.
Using methionine-auxotrophic bacteria, azidohomoalanine was successfully introduced in CalB. Approximately 1-2 mg azide-functionalized protein was obtained per litre bacterial culture. Mass analysis confirmed replacement of methionine by its non-natural analogue.
Changes in the procedure for azidohomoalanine incorporation resulted in less protein or less efficient incorporation of the non-natural amino acid. Shortening step 2 (induction in presence of methionine) led to lower amounts of Met-CalB, but also much less AHA-CalB was produced. Using rich medium in step 1 while growing the cells to
the desired OD\(_{600}\) resulted in protein containing a varying number of non-natural residues as not all methionine could be removed.
When AHA-CalB was produced, a protein was co-purified that was identified as the stress-responsive protein YodA. The contaminant could be removed by eluting the proteins separately from Ni\(^{2+}\) NTA beads using 80 mM and 250 mM imidazole, respectively. A better solution was to grow cells not further than an OD\(_{600}\) of 0.8. This reduced production of YodA.
### 2.4 – Acknowledgements
E. Akpa and M. H. L. Lambermon are acknowledged for the preparation of the CalB expression plasmid. L. Schobers and M. B. van Eldijk are thanked for their contribution to the optimization of the non-natural amino acid incorporation protocol.
### 2.5 – Experimental section
#### Materials and general remarks
Primers were purchased from Biolegio (Malden, the Netherlands) and dNTP mix from Invitrogen. Restriction enzymes were from New England Biolabs and Promega. Natural amino acids, chloroamphenicol, lysozyme, PMSF, Triton X-100 and imidazole were obtained from Sigma Aldrich. Ampicillin and IPTG were purchased from MP Biomedicals, and thiamine and glucose from Merck. Triflic anhydride and sodium azide were obtained from Acros. 2xYT medium was provided by the Nijmegen Centre for Molecular Life Sciences (NCMLS, the Netherlands). Solutions used for protein expression were sterilized by autoclave or by filtration over a 0.2 µm membrane (Corning Life Sciences, or Whatman GmbH).
Centrifugation was performed on a Biofuge Pico microcentrifuge (Heraeus Instruments), a Multifuge 3 S-R (Heraeus Instruments) using a Sorvall Heraeus 75006445 rotor, a RC-5 Superspeed Refrigerated centrifuge (Sorvall, Dupont Instruments) using a GS-3 or SM-24 rotor and a Sepatech Minifuge RF (Heraeus Instruments) with a #3360 rotor. Cell cultures were shaken at 200 rpm in an Infors HT Multitron shaker. Cell densities were measured on an Ultrospec 10 Cell density meter (Amersham Biosciences). NMR spectra were recorded on a Varian Inova 400 (400 MHz for \(^1\)H) and a Bruker DMX 300 (75 MHz for \(^{13}\)C), while infrared spectroscopy was performed on a Thermo Mattson Nicolet 300 FTIR.
#### Construction of CalB plasmids
The gene encoding CalB was isolated from the yeast *Pseudozyma aphidis*, strain 70725 (Deutsche Sammlung von Mikroorganismen und Zellkulturen GmbH, Germany) by colony PCR.
Forward (CATATGAAGCTACTCTCTC TGACCG) and reverse (AGATCTTAGGGGGTGACGATGC) primers were derived from the beginning and the end of the lipase B gene from *Candida antarctica* respectively as determined by Uppenberg et al.\(^1\). Restriction enzyme recognition sites, *NdeI* in the forward primer and *BglII* in the reverse primer are shown in italics. For colony PCR, cells of an overnight culture (50 µl) were pelleted and treated with a zymolase solution (1 mg/ml) containing 1 M sorbitol, 10 mM Tris pH 8.0 for 1 hr at 37 °C. Cells were again pelleted by centrifugation at 5000 rpm. PCR was conducted on a PE Applied Biosystem 9700 thermal cycler under the following conditions: 95 °C for 1 min followed by 25 cycles of (95 °C for 30 s, 55 °C for 30s, 68 °C for 120s) and finally 68 °C for 3 min. The reaction mixture (50 µl) contained 200 pmol of each primer, Advantage cDNA polymerase mix (1 µl, Clontech), dNTP mix (0.2 mM), the cell lysis pellet and 10x reaction buffer (5 µl). The PCR amplified fragment was purified using QIAQuick PCR purification kit (Qiagen) and was cloned into the *NdeI/BamHI* of the pET15b expression vector (Novagen).
The mature calb gene (lacking signal and propeptide coding sequences) was cloned into pET22b vector (Novagen) for periplasmic expression. pET22b contains a pelB signal sequence and a His\(_6\)-tag. The calb gene was amplified from the plasmid containing the complete calb gene in pET15b described above by PCR using the primers, AGTACCATGGGACTACCTTCGGTTCCGGACC and AGTACTCGAGGGGGGT GACGATGCGG. Restriction sites, *NcoI* and *XhoI* are shown in italics. After purification the PCR fragment was cloned into the *NcoI* and *XhoI* sites of pET22b, thus creating pET22b-calb.
The DNA sequence encoding for this lipase contains 8 nucleotides different to the original calb gene as reported by Uppenberg et al.\(^1\). Only two of these mutations lead to amino acid changes which are Thr(57)Ala and Ala(89)Thr, respectively (numbers refer to the amino acid position in the mature lipase which starts with the three amino acids LPS). After cleavage of the periplasmic localization signal, the amino acid sequence is as follows:
MGLPSPGSDPAFSQPKSVLDAGLTCQGASPSSVSKPILLVPGTGTGPOQSFDNSWIPLSAQL GYTPCWISPPPFMLNDTQVNTEYMVNAITTLYAGSGNNKLPVLTSQGGLVAQWGLTF FPSIRSKVDRLMAFAPDYKGTVLAGPLDALAVSAPSVWQQTTGSALTTALRNAGGLTQI VPTTNLYSATDEIVQPQVSNSPLDSSYLFNGKNVQAQAVCGPLFVIDHAGSLTSQFSYYVV GRSLRSTTGQARSADYGITDCNPLPANDLTPEQKVAAAALLAPA AAAAIVAGPKQNCEPD LMPYARPFAVGKRTCSGIVTPL EHHHHHH
**Production and purification of MetCalB**
*E. coli* BL21(DE3)pLysS or B834(DE3)pLysS cells (Novagen) were transformed with pET22b-calb plasmid. 2x YT medium supplemented with ampicillin (100 mg/L) and chloramphenicol (50 mg/L) was inoculated with a single colony and incubated overnight at 37 °C. The culture was diluted in 1 L 2x YT medium to an OD\(_{600}\) of 0.1 and grown at 37 °C. When an OD\(_{600}\) of 0.8 was reached, isopropyl-\(\beta\)-D-thiogalactopyranoside (IPTG) was added to a final concentration of 1 mM. Protein production was allowed to take place for 20 hours at 25 °C.
The His$_6$-tagged protein was purified by Ni$^{2+}$ NTA affinity chromatography under native conditions (Qiagen, Hilden, Germany). The bacteria pellet was lysed in lysis buffer (30 mL of 50 mM NaH$_2$PO$_4$, 300 mM NaCl, 10 mM imidazole, pH8.0) containing Triton X-100 (0.1%), PMSF (1 mM) and lysozyme (1 mg/mL). After sonication on a Branson Sonifier the lysate was cleared by centrifugation at 4 °C (13000 g, 30 minutes). The protein was allowed to bind to Ni$^{2+}$ NTA beads (1.5 mL, Qiagen) for 2 hours at 4 °C. Upon loading, the column was washed once with lysis buffer and twice with wash buffer (20 volumes of 50 mM NaH$_2$PO$_4$, 300 mM NaCl, 20 mM imidazole, pH 8.0). The protein was eluted in elution buffer (10 mL of 50 mM NaH$_2$PO$_4$, 300 mM NaCl, 250 mM imidazole, pH 8.0).
Elution fractions containing CalB were concentrated (Amicon® Ultra-15 Centrifugal Filter Device 10,000 NMWL). Further purification was performed by size exclusion chromatography using a Superdex 75 PC 10/300 column on an ÄKTA FPLC™ (GE Healthcare Life Sciences). A buffer solution containing 50 mM NaH$_2$PO$_4$ and 150 mM NaCl (pH 7.0) was used as eluent while applying a flow rate of 0.5 mL/min and collecting 0.5 mL fractions. Protein concentration was determined by measuring the absorption at 280 nm on a Nanodrop ND-1000 spectrometer.
**Synthesis of azidohomoalanine**
TfN$_3$ was prepared by dropwise adding triflic anhydride (8.8 ml, 52 mmol) to NaN$_3$ (6.8 g, 104 mmol) in a mixture of H$_2$O (20 mL) and CH$_2$Cl$_2$ (20 mL), pre-cooled at 0 °C. The reaction mixture was stirred at 0 °C for 2-3 hours. Saturated NaHCO$_3$ was added at room temperature until no more CO$_2$ was liberated. The aqueous phase was extracted twice with CH$_2$Cl$_2$ (25 mL). CH$_2$Cl$_2$ fractions were combined and washed with saturated NaHCO$_3$.
*tert*-butyloxycarbonyl (Boc)-protected L-diaminobutyric acid (10 mmol, Bachem) was dissolved in H$_2$O (37.5 mL) followed by addition of MeOH (125 mL), Et$_3$N (4.18 mL) and ZnCl$_2$ (10 mg, 1 mol%). A freshly prepared solution of TfN$_3$ (37.5 mL) was added at once. The reaction mixture was stirred overnight at room temperature. Methanol was evaporated under vacuum and H$_2$O (50 mL) was added. The pH was lowered till 6 by adding HCl (1 M). The aqueous solution was extracted with EtOAc (2 times 50 mL), keeping the pH at 6. Subsequently, pH was adjusted to 2 by adding KHSO$_4$ (1 M) and the product was extracted with EtOAc (3 times 70 mL). The extract was dried by adding MgSO$_4$. EtOAc was evaporated under vacuum giving Boc-protected azidohomoalanine as an oil. HCl (2 M) in EtOAc was added to remove the Boc group. The precipitate was filtered and dried in a desiccator giving a white powder in quantitative yield. $^1$H-NMR (400 MHz, DMSO): $\delta=8.39$ (s, 2H), 3.89 (t, $J=6.4$ Hz, 1H), 3.52 (m, 2H), 1.99 (m, 2H). $^{13}$C-NMR (75 MHz, D$_2$O): $\delta=171.3$, 50.6, 46.6, 28.5. FTIR-ATR: $\nu=2982$, 2088 (N$_3$), 1735, 1449, 1245, 1160 cm$^{-1}$.
**Production of azido-functionalized CalB**
*E. coli* B834(DE3)pLysS cells (Novagen) were transformed with pET22b-calb plasmid. 2x YT medium (25 mL) was inoculated with a single colony and incubated overnight at 37 °C. An
aliquot of the overnight culture, being sufficient to obtain an OD$_{600}$ of 0.1 when diluted in 1 L medium, was centrifuged for 10 minutes (6500 g) at 4 °C. The pellet was resuspended in M9 minimal medium (1 L) supplemented with all 20 natural amino acids (40 mg/L each), glucose (0.4%), MgSO$_4$ (1 mM), thiamine (0.0005%), ampicillin (200 mg/L) and chloramphenicol (50 mg/L). The bacteria culture was incubated at 37 °C. Upon reaching an OD$_{600}$ of 0.7-0.8, isopropyl-β-D-thiogalactopyranoside (IPTG) was added to a final concentration of 1 mM. Protein expression was induced for 15 minutes at 37 °C. The culture was sedimented by centrifugation for 10 minutes (6500 g) at 4 °C and washed twice in cold NaCl (0.9%). Cells were resuspended in M9 minimal medium (900 mL) containing 19 amino acids (40 mg/L, no methionine), glucose, MgSO$_4$, thiamine, ampicillin and chloramphenicol. After incubation for 10 minutes at 37 °C, 100 mL azidohomoalanine (400 mg/L) was added. Then, protein expression was induced by adding IPTG (1 mM) followed by incubation overnight at 25 °C. The overnight culture (with typically an OD$_{600}$ of 1.4-1.8) was centrifuged for 10 minutes (6500 g) at 4 °C. The purification procedure was the same as for MetCalB.
**Mass analysis**
Approximately 15 μg protein in phosphate buffer was desalted by ultrafiltration with MQ (3 times 0.5 mL) using 10 kDa MWCO centrifugal filter units (Millipore) and analysed by electrospray ionization time-of-flight (ESI-TOF) on a JEOL AccuTOF. 5-10 μM protein in formic acid (0.1-1 %) was injected. Deconvoluted spectra were obtained using MagTran 1.03b2. Isotopically averaged molecular weights were calculated using the “Protein Calculator v3.3” at http://www.scripps.edu/~cdputnam/protecalc.html.
**Western blot analysis**
1 mL aliquots from 50 mL cultures were centrifuged for 2 minutes at 13000 g. Pellets were resuspended in SDS-PAGE sample buffer. The volume added was adjusted to the OD$_{600}$ of the culture at the time the 1 mL aliquot was collected. 4 μL of each sample was loaded on a 12% (w/v) polyacrylamide gel. Proteins were separated (100-130 V) and transferred to a nitrocellulose membrane (1 hour at 100 V, room temperature). The membrane was blocked in 5% milk/TBST. The membrane was incubated with anti-CalB antibody (1000x dilution in 0.5% milk/TBST, provided by T. Michon, INRA, Villenave d’Ornon, France) for 1.5 hr at room temperature. Washing (3 times 10 minutes) was followed by incubation with HRP-conjugated rabbit-antimouse antibody (2000x dilution in 0.5% milk/TBST) for 1 hour at room temperature. Finally, the blot was washed (4 times 10 minutes) and incubated with ECL solution (Amersham, GE Healthcare) for 2 minutes. An X-ray film (Kodak, Carestream Health, Inc.) was developed after exposure to the blot for 30 seconds in the dark.
Separation of CalB and YodA
A Ni$^{2+}$ NTA spin column (Qiagen) was equilibrated with lysis buffer (0.6 mL of 50 mM NaH$_2$PO$_4$, 300 mM NaCl, 10 mM imidazole, pH8.0). A protein sample containing approximately 20 µg of both CalB and YodA (20 µL) was mixed with lysis buffer (0.5 mL) and added to the column. Upon binding of the protein by centrifugation at 2000 rpm for 5 min, 0.1 mL buffer was added containing 80 mM imidazole in 50 mM NaH$_2$PO$_4$, 300 mM NaCl, pH 8.0. The eluate was collected by centrifugation at 2900 rpm for 2 min. This step was repeated twice. Subsequently, CalB was eluted by adding two times 0.1 mL buffer containing 250 mM imidazole in 50 mM NaH$_2$PO$_4$, 300 mM NaCl, pH 8.0. 8 µL of each elution fraction was mixed with 5X SDS-PAGE sample buffer and loaded on a 12% SDS-PAGE gel. Eletrophoresis was followed by silver staining for visualization of the proteins.
2.6 – References
1. J. Uppenberg, M. T. Hansen, S. Patkarr and T. A. Jones, *Structure*, 1994, **2**, 453-454.
2. E. M. Anderson, M. Karin and O. Kirk, *Biocatalysis and Biotransformation*, 1998, **16**, 181-204.
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Chapter 2
Site-specific modification of azide-functionalized *Candida antarctica* lipase B
This chapter has been published:
Schoffelen, S.; Lambermon, M. H. L.; van Eldijk, M. B.; van Hest, J. C. M.
*Bioconjugate Chemistry*, **2008**, 19(6), 1127-1131.
3.1 – Introduction
The introduction of novel functionalities into proteins has been extensively studied in recent decades. Chromophores, polymers and polypeptides have been coupled to proteins to study or manipulate their function.\textsuperscript{1, 2} In most of these cases, the side chain functionalities of the amino acids cysteine and lysine were targeted for conjugation reactions, because of the reactivity of the free thiol and amine moieties, respectively.\textsuperscript{3-5} However, cysteines are often involved in disulfide bonds that occur inside proteins. Breakage of these bonds can easily lead to loss of structural integrity and, hence, function. Lysine residues are positively charged, predominantly located at the protein surface and relatively abundant. As a consequence, it is very likely that multiple functional handles are introduced when this residue is targeted for modification.\textsuperscript{6} Since the properties of the bioconjugates thus generated are influenced by the degree and site of modification, it is highly desirable to introduce new functional groups in a more defined manner.\textsuperscript{7, 8}
One approach to achieve this involves the modification of proteinogenic amino acids of which only some residues are exposed to the solvent. As an example, Francis \textit{et al.} have shown that tyrosine can be functionalized using $\pi$-allylpalladium complexes.\textsuperscript{9} Only four tyrosines are present in their model protein chymotrypsinogen (245 amino acids in total). Two residues are surface-accessible and were therefore selectively modified. This strategy is somewhat limited, since most hydrophobic amino acids have no suitable reactivity in the side chain. One way to overcome this limitation, is by replacing natural amino acids by non-canonical analogues with similar structure. This replacement can be performed in a residue-specific manner using auxotrophic bacterial strains. The bacteria, being unable to produce one of the natural amino acids, incorporate the supplied non-canonical analogue at each position in the protein where normally the natural amino acid would be present.\textsuperscript{10} In this way, there are still multiple reactive handles introduced. Non-natural amino acids can also be introduced in a site-directed way via \textit{in vivo} techniques such as the amber suppressor method.\textsuperscript{11-13} One of the drawbacks of the latter method is that it involves complicated and time-consuming molecular biology procedures.
We hypothesized that, as an alternative to tyrosine, methionine would be a good candidate for mono-functionalization of proteins. It is one of the least abundant amino acids in proteins and is among the most hydrophobic residues. Except for the N-terminal residue, it is expected to be predominantly buried inside proteins.\textsuperscript{14, 15} The
methyl thioether is not very reactive under conditions which are commonly used for bioconjugation. However, it has been shown that the non-natural amino acid azidohomoalanine can efficiently replace methionine when a methionine auxotrophic *E. coli* strain is used for protein production.\textsuperscript{16} Upon introduction of the azide moiety, it is possible to apply the bioorthogonal Cu\textsuperscript{I}-catalyzed [3+2] cycloaddition\textsuperscript{17}, which has been shown before to work very well for protein modification\textsuperscript{18-21}.
Although the replacement of methionine by reactive analogues has been well established, it has not been investigated whether the limited availability of this residue can be used to control the number of conjugation sites. Previously, recombinant proteins were chemoselectively modified by replacing methionine with azidohomoalanine, followed by the Staudinger ligation under denaturing conditions.\textsuperscript{22} The presence of eight azides led to the formation of at least five different ligation products in a reduced environment. The use of native conditions during the ligation reaction is expected to limit the labeling to solvent-exposed azide residues only.
In order to study whether this relatively simple method can be used to site-specifically functionalize proteins, we have investigated the model enzyme *Candida antarctica* lipase B (CalB). The protein variant that was used contains five methionine residues, four of which are buried inside the protein. In chapter 2 we showed that all methionines could be replaced via residue-specific incorporation of azidohomoalanine. Here we show that this strategy leads to introduction of only one accessible azide for reaction with alkynes via the Cu\textsuperscript{I}-catalyzed [3+2] cycloaddition, also known as the click reaction. Thus, a residue-specific substitution leads effectively to an enzyme, which can be functionalized at a single defined position. Importantly, we found that the enzyme remains active after non-natural amino acid incorporation and click chemistry. Furthermore, covalent linkage to polymer-like materials was shown to be possible as described by coworkers.
### 3.2 – Results and discussion
#### 3.2.1 Modification of azide-CalB at a single position
To investigate whether the azide moieties in CalB were reactive towards alkynes, AHA-CalB was incubated with alkyne-functionalized dansyl 1 (20 equivalents) in the presence of 1 mM CuSO\textsubscript{4}, sodium ascorbate and bathophenanthroline ligand 2 (all 30 equivalents, fig.1). The reaction was allowed to proceed overnight at room temperature in phosphate buffer (pH 7.0). Met-CalB was used as a negative control. Unreacted
dansyl and click reagents were removed by ultrafiltration. Proteins were separated by electrophoresis and labeling was verified by visualizing the fluorescent bioconjugate by UV (see Figure 1). Only AHA-CalB treated with Cu(I)-catalyst and 1 turned out to be specifically labelled.
**Figure 1.** Labeling of AHA-CalB with alkynyl-dansyl 1 in the presence of CuSO$_4$, ascorbate, and bathophenanthroline ligand 2. Reactions were analyzed by SDS-PAGE, with gel stained with Coomassie after visualization of fluorescence by UV light.
To identify which of the azides were reactive towards the alkyne-functionalized dansyl, reacted and non-reacted AHA-CalB and Met-CalB samples were treated with trypsin, and digests were analysed by MALDI-TOF mass spectrometry. As expected, fragments containing methionine in Met-CalB proved to be five units lower in mass in the corresponding AHA-CalB sample, due to the presence of azidohomoalanine (see Figure 2). For example, the peptide fragment of residues 130-138 containing methionine at residue number 131 (1055 Da) was detected as a fragment of 1050 Da in the tryptic digest of unreacted AHA-CalB.
The same fragment was present in the digest of dansyl-reacted AHA-CalB, indicating that no dansyl had been attached to this azide moiety. By contrast, a mass shift of 288 Da (corresponding to the weight of dansyl) was detected for the peptide fragment of residues 1-15 containing an azide at residue position 1. It was therefore concluded that this azide, being located at the N-terminus of the processed protein, was accessible for ligation reactions. It was observed that the labeling with dansyl was quantitative as no residual signal at 1513 Da was detected. Finally, these data showed that, as expected, there was a small fraction of methionine present in AHA-CalB (see small peaks at 1055 and 1518 Da in figure 2A and 2C). The degree of azidohomoalanine incorporation was shown to be 90%.
Figure 2. MALDI-TOF spectra of two tryptic fragments derived from A) Met-CalB incubated with dansyl, B) AHA-CalB, and C) AHA-CalB reacted with dansyl. The peak at 1055/1050 dalton comes from the peptide fragment with residue numbers 130-138. The peak at 1518/1513 dalton originates from the N-terminal peptide fragment (residue numbers 1-15) to which alkynyl dansyl can be linked. Attachment of dansyl causes a mass shift of 288 dalton, leading to a peak at 1801 dalton.
The addition of dansyl to AHA-CalB was further analysed by ESI-TOF mass spectrometry. Only one dansyl molecule was found to be attached to the protein, giving the expected mass of 34533 Da (Figure 3). The fraction of CalB which contained methionine instead of azidohomoalanine was detected as a residual peak at 34269 Da.
Figure 3. ESI-TOF mass spectrum of AHA-CalB reacted with dansyl. One dansyl was attached to AHA-CalB resulting in addition of 288 Da to the AHA-CalB mass of 34245 Da. As expected, the non-reactive fraction of Met-CalB was detected at 34269 Da.
Subsequently, alkyne-functionalized PEG(5000) was coupled to AHA-CalB. After removal of the excess PEG(5000) by clicking to azide-functionalized resin,\textsuperscript{23} attachment of the polymer to CalB was analysed by gel electrophoresis (see Figure 4A). A single band shift was detected between 37 and 48 kDa. Non-functionalized CalB was separated from the PEGylated fraction by size-exclusion chromatography (see Figure 4B). The chromatogram showed two peaks indicating that only one derivative had been produced.
The N-terminal methionine codon was replaced by glycine, indicated as AHA-CalB(M>G). Upon reaction with alkynyl-PEG(5000), no pegylation was observed by gel electrophoresis. Moreover, labeling of AHA-CalB(M>G) with alkynyl-dansyl did not result in a fluorescent band on SDS-PAGE gel (see Figure 4C). This confirms that of all five azides introduced in non-mutated AHA-CalB, only the N-terminal one was accessible for clicking.
\textbf{Figure 4.} Labeling of AHA-CalB and AHA-CalB(M>G) with PEG5000 and alkynyl dansyl \textbf{1}. A) PEGylation reactions, analysed by SDS-PAGE using Coomassie staining; 1. Met-CalB, 2. AHA-CalB, 3. AHA-CalB(M>G). B) Separation of PEGylated AHA-CalB from non-reacted CalB by size-exclusion chromatography. C) Click reactions with alkynyl dansyl, analysed by SDS-PAGE and visualized by UV prior to Coomassie staining; 1. AHA-CalB, 2. AHA-CalB(M>G).
The enzymatic activity of different CalB variants was analysed by hydrolysis of \textit{para}-nitrophenyl butyrate. Formation of \textit{para}-nitrophenol by Met-CalB and AHA-CalB was monitored by measuring absorbance at 405 nm. Upon introduction of azidohomoalanine, hydrolytic activity was retained for 75% (see Figure 5A).
Additionally, we investigated the effect of the click reaction on enzymatic activity. Met-CalB and AHA-CalB were incubated in the presence of click reagents, with or without alkynyl dansyl. Subsequent measurements showed that the reagents had some negative effect on the activities of both Met-CalB and AHA-CalB. As shown in figure 5A, the activity of Met-CalB was decreased to 70%. The activity of AHA-CalB was reduced to 52% after incubation with dansyl and click reagents, which is 69% of the activity of non-treated AHA-CalB.
Furthermore, the enzymatic activities of both the PEG-CalB conjugate and the non-PEGylated CalB fraction were monitored after size-exclusion chromatography. Comparing the fractions, which were derived from the same click reaction mixture, measurements revealed that there was hardly any loss of activity due to attachment of the polymer itself (Figure 5B).
**Figure 5.** A) Hydrolytic activity of Met-CalB and AHA-CalB, and the influence of click reagents. Formation of *para*-nitrophenol was monitored by detecting absorbance at 405 nm. (-) = after incubation in phosphate buffer, (+) = after incubation with CuSO$_4$, ascorbate and ligand 2, (++) = after incubation with CuSO$_4$, ascorbate, ligand 2 and alkynyl-dansyl 1. B) Comparison of the hydrolytic activity of PEGylated CalB and the non-functionalized fraction. The latter sample consists of a small fraction of Met-CalB together with non-labelled AHA-CalB.
### 3.2.2 Conjugation to polymer-like materials
The properties of lipases depend on their orientation on a surface.$^{24}$ Therefore, it would be preferable to immobilize the enzyme in a site-specific way. For CalB, this has been achieved previously by the introduction of a cysteine at a defined position via genetic engineering. Via this free cysteine the enzyme was attached to a maleimide-activated surface in an oriented way.$^4$ However, the free cysteine reduced the yield of the functionally expressed lipase by a factor of 10.
In Section 3.2.1 we showed that azide-functionalized CalB enabled site-specific linkage to a fluorescent dye and PEG. The same methodology was applied to anchor the biocatalyst in a site-selective manner to a variety of substrates. These studies are described elsewhere (see Table 1).
In summary, azide CalB was tethered to the alkyne-functional surface of PS-PIAT polymersomes, which were used as nanoreactors for multistep synthesis.\textsuperscript{25} Furthermore, the enzyme was attached via click chemistry to the temperature-responsive biopolymer ELP, which enabled enzyme immobilization in a microchannel in a temperature-controlled fashion.\textsuperscript{26} In both cases it was shown that the enzyme remained active while the function of the polymer-like materials was retained as well. Additionally, azide-CalB was linked to a 20 base-pair DNA oligonucleotide.\textsuperscript{27} The DNA-CalB conjugate was immobilized in a DNA patterned microchannel via hybridization to its complementary oligonucleotide. It was shown that the enzyme could easily be removed by dehybridization after which the microchannel could be reloaded with a fresh DNA-enzyme batch. Immobilization of a second enzyme (HRP) and addition of a third enzyme in solution (GOx) allowed for a cascade reaction to take place.
\begin{table}[h]
\centering
\caption{Site-specific linkage of azide-functionalized CalB to polymer-like materials.}
\begin{tabular}{p{1cm} p{4cm} p{4cm} p{1cm}}
\hline
A & \includegraphics[width=1in]{image1.png} & PS-PEG block-co-polymer & Linkage onto the surface of polymersomes used as nanoreactors \\
B & \includegraphics[width=1in]{image2.png} & Elastin-like polypeptide & Temperature-controlled positioning in a microreactor \\
C & \includegraphics[width=1in]{image3.png} & DNA oligonucleotide & Dynamic positional immobilization in a microchannel \\
\end{tabular}
\end{table}
3.3 – Conclusions
To conclude, we have developed a convenient method to modify CalB protein in a site-directed way. An azide-bearing methionine analogue was introduced to act as functional handle. Subsequently, other molecules were covalently linked via the highly selective Cu(I)-catalyzed click reaction. Although multiple azides were introduced, only one moiety appeared to be reactive under native conditions, as the other residues were buried inside the protein. The method seems to be a good substitute for the less straightforward amber suppressor strategy.
Our method can be considered a versatile tool to modify proteins in a site-specific way, as long as one solvent-accessible methionine residue is present. In many cases, it will be the N-terminal methionine that is available. It should be noted, however, that the N-terminal methionine or its analogue can be cleaved off during post-translational processing\textsuperscript{28}. If no other methionine is accessible, a novel residue can be introduced via a single mutagenesis step. Therefore, the method is not restricted to N-terminal labeling. It can also be used to modify other regions of the protein surface with absolute control over the site of modification.
Azide-CalB has been immobilized to (bio)polymers and polymeric architectures in a site-specific way. Upon incorporation of the non-natural amino acid the enzyme could covalently be attached via the Cu(I) catalyzed azide-alkyne cycloaddition. The enzyme was still active while the functionality of the polymer-like materials was retained as well.
A part of the hydrolytic activity was lost due to the incorporation of the non-proteinogenic amino acid and the use of CuSO$_4$, ascorbate and ligand. Application of a copper-free click reaction such as the Staudinger ligation, the strain-promoted [3+2] azide-alkyne cycloaddition, or the reaction between azides and oxanorbormadienes will lead to less loss in activity.\textsuperscript{22, 29, 30} Our group has shown that fast and efficient PEGylation of azide-functionalized CalB is possible using a newly developed azadibenzocyclooctyne.\textsuperscript{31} This moiety will be used for the formation of CalB oligomers, as described in the next chapter.
3.4 – Acknowledgements
We thank A. J. Dirks for preparing the alkyne functionalized PEG5000, and R. P. Brinkhuis and J. A. Opsteen for providing the alkynyl dansyl and azide resin,
respectively. We thank P. M. van Galen and H. J. M. op den Camp for help with mass spectrometry.
3.5 – Experimental section
Materials and general remarks
mPEG was purchased from Sigma Aldrich, while sodium hydride and propargyl bromide were obtained from Acros. CuSO$_4$ was from Merck, sodium ascorbate from Fluka, and bathophenanthroline ligand from GFS Chemicals. Alkynyl dansyl and azide functionalized Merrifield resin were kindly provided by René Brinkhuis and Joost Opsteen respectively. Polymersomes decorated with CalB as well as CalB-ELP and CalB-DNA conjugates were obtained and analysed as described elsewhere.\textsuperscript{25-27}
Synthesis of alkynyl-PEG(5000)
α-methoxy poly(ethylene glycol) (mPEG, $M_n = 5000 \text{ g/mol}$; 2.5 g, 0.50 mmol) was dissolved in toluene (30 mL) and concentrated under reduced pressure for three times, in order to remove possibly present water by means of co-evaporation. mPEG was then dissolved in anhydrous THF (80 mL) under an argon atmosphere and cooled to 0 °C. NaH (60 mg of a 60% dispersion in mineral oil, 1.5 mmol) was added and the mixture was stirred at 0 °C for 15 min. Subsequently, the mixture was warmed to room temperature and propargyl bromide (140 µL of an 80% solution in toluene, 1.26 mmol) was added. The mixture was allowed to stir at room temperature for 18 hours, after which water (10 mL) was added to quench the remaining NaH. Next, the solvent was largely removed by evaporation under reduced pressure and the residue was taken up in CH$_2$Cl$_2$ (100 mL). After washing the mixture with water (100 mL), the organic phase was dried over anhydrous Na$_2$SO$_4$ and concentrated under reduced pressure until approximately 10 mL of liquid remained. Upon precipitation in Et$_2$O (500 mL) the desired product was obtained as a white solid (2.15 g, 85%). $^1$H-NMR (300 MHz, CDCl$_3$): δ=4.21 (d, $J = 2.3$ Hz, 2H), 3.64 (br s, 452H), 3.38 (s, 3H), 2.44 (t, $J = 2.3$ Hz, 1H).
Click reaction between AHA-CalB and alkynyl-dansyl or alkynyl-PEG(5000)
Cu$^{I}$-catalyzed cycloaddition between AHA-CalB and alkynyl-dansyl was performed in 25 or 50 mM phosphate buffer (pH 7-8). A stock solution of CuSO$_4$ and sodium ascorbate in water (10 mM each) was prepared and pre-mixed with bathophenanthroline sulfonated sodium salt (10 mM, GFS Chemicals), which acts as Cu$^{I}$ ligand. Alkyne-functionalized dansyl was dissolved in THF to a final concentration of 9 mM. AHA-CalB (1.875 nmol) was reacted overnight at room temperature in the dark with alkynyl-dansyl (20 equivalents) and CuSO$_4$/ascorbate/ligand (30 equivalents) in 50 µL reaction volume. Next day, reactions were washed with buffer (five times 8
volumes of 50 mM NaH$_2$PO$_4$, 150 mM NaCl, pH 7.0) to remove click reagents and unreacted dansyl using Microcon® Centrifugal Filter Units (10,000 kDa, Millipore). As a negative control Met-CalB was added to the reaction mixture instead of AHA-CalB.
Similar conditions were used for the click reaction between AHA-CalB and alkyne-PEG(5000). PEG(5000) (20 equivalents) was added to AHA-CalB (1.875 nmol) or Met-CalB together with CuSO$_4$, ascorbate and ligand (30 equivalents each). Reaction samples were incubated at room temperature for 1-3 days and analysed by SDS-PAGE. Before measuring enzyme activity of PEGylated CalB, azide-functionalized Merrifield resin (1.5 mg) was added to enable the removal of non-reacted PEG(5000) as much as possible. An additional amount of CuSO$_4$, ascorbate and ligand was added as well. Overnight incubation and ultrafiltration using buffer was followed by size-exclusion chromatography on a Superdex 75 PC 2.3/30 column.
**Enzyme activity assay**
Lipase activity was analysed by the hydrolysis of *para*-nitrophenol butyrate (*p*-NPB, Sigma). The reaction mixture (50 µL, pH 7) was composed of 50 mM NaH$_2$PO$_4$, 150 mM NaCl, enzyme (100 nM), isopropanol (5%), Triton X-100 (0.1%) and *p*-NPB (1 mM). The production of *para*-nitrophenol was monitored for 5-6 minutes at 25 °C by measuring absorbance at 405 nm in a UV-Visible spectrometer (Varian). The slope of the curve was taken as a measure of hydrolytic activity.
**SDS-page analysis**
Protein samples were analysed by electrophoresis on 12 % (w/v) polyacrylamide gels followed by Coomassie staining. To detect coupling of fluorescent alkynyl-dansyl to AHA-CalB, the gel was placed onto a UV light box prior to staining.
**Mass characterization**
Incorporation of azidohomoalanine into CalB and coupling of the alkyne-functionalized dansyl to AHA-CalB was detected by matrix-assisted laser desorption/ionization time-of-flight (MALDI-TOF) mass spectrometry. The protein was treated with trypsin in advance. Sequencing-grade modified trypsin (0.5 µg, Promega) was added to AHA-CalB or Met-CalB (approximately 6 µg) in 50 mM NH$_4$HCO$_3$, pH 8.0. After incubation overnight at 37 °C, the tryptic digest was analysed on a Bruker Biflex III spectrometer with α-cyanohydroxycinnamic acid (Sigma) as matrix.
The whole protein was analysed by electrospray ionization time-of-flight (ESI-TOF) on a JEOL AccuTOF. CalB (~4-10 µM) in formic acid (0.1-1 %) was injected. Deconvoluted spectra could be obtained using Magtran software.
3.6 – References
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11. A. Deiters, T. A. Cropp, D. Summerer, M. Mukherji and P. G. Schultz, *Bioorganic & Medicinal Chemistry Letters*, 2004, **14**, 5743-5745.
12. K. Kodama, S. Fukuzawa, H. Nakayama, T. Kigawa, K. Sakamoto, T. Yabuki, N. Matsuda, M. Shirouzu, K. Takio, K. Tachibana and S. Yokoyama, *Chembiochem*, 2006, **7**, 134-139.
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14. J. L. Cornette, K. B. Cease, H. Margalit, J. L. Spouge, J. A. Berzofsky and C. Delisi, *Journal of Molecular Biology*, 1987, **195**, 659-685.
15. J. Janin, S. Wodak, M. Levitt and B. Maigret, *Journal of Molecular Biology*, 1978, **125**, 357-386.
16. A. J. Link and D. A. Tirrell, *Methods*, 2005, **36**, 291-298.
17. V. V. Rostovtsev, L. G. Green, V. V. Fokin and K. B. Sharpless, *Angewandte Chemie-International Edition*, 2002, **41**, 2596-+.
18. K. E. Beatty, F. Xie, Q. Wang and D. A. Tirrell, *Journal of the American Chemical Society*, 2005, **127**, 14150-14151.
19. S. Iida, N. Asakura, K. Tabata, I. Okura and T. Kamachi, *Chembiochem*, 2006, **7**, 1853-1855.
20. S. Sen Gupta, J. Kuzelka, P. Singh, W. G. Lewis, M. Manchester and M. G. Finn, *Bioconjugate Chemistry*, 2005, **16**, 1572-1579.
21. S. I. van Kasteren, H. B. Kramer, H. H. Jensen, S. J. Campbell, J. Kirkpatrick, N. J. Oldham, D. C. Anthony and B. G. Davis, *Nature*, 2007, **446**, 1105-1109.
22. K. L. Kiick, E. Saxon, D. A. Tirrell and C. R. Bertozzi, *Proceedings of the National Academy of Sciences of the United States of America*, 2002, **99**, 19-24.
23. J. A. Opsteen and J. C. M. van Hest, *Chemical Communications*, 2005, 57-59.
24. B. Chen, N. Pernodet, M. H. Rafailovich, A. Bakhtina and R. A. Gross, *Langmuir*, 2008, **24**, 13457-13464.
25. S. F. M. van Dongen, M. Nallani, S. Schoffelen, J. J. L. M. Cornelissen, R. J. M. Nolte and J. C. M. van Hest, *Macromolecular Rapid Communications*, 2008, **29**, 321-325.
26. R. L. M. Teeuwen, S. S. van Berkel, T. H. H. van Dulmen, S. Schoffelen, S. A. Meeuwissen, H. Zuilhof, F. A. de Wolf and J. C. M. van Hest, *Chemical Communications*, 2009, **27**, 4022-4024.
27. T. H. Vong, S. Schoffelen, S. F. M. van Dongen, T. A. van Beek, H. Zuilhof, J. C. M. van Hest, *Chemical Science*, 2011, **2**, 1278-1285.
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Chapter 3
Synthesis of covalently linked CalB oligomers
Part of this chapter has been published:
Schoffelen, S.; Schobers, L.; Venselaar, H.; Vriend, G.; van Hest, J. C. M. In *Green Polymer Chemistry: Biocatalysis and Biomaterials*; Cheng, H. N., Gross, R. A., Eds.; ACS Symposium Series 1043; American Chemical Society: Washington, DC, **2010**; 125-139.
4.1 – Introduction
The organization of proteins into complexes is of great importance for their function.\textsuperscript{1} Several classes of protein receptors, such as growth factor receptors and ion channels, need to form dimers or even larger oligomeric structures to effectuate transfer of a biochemical signal across the cell membrane. Specific families of eukaryotic transcription factors bind to DNA as dimers through recognition of palindromic DNA sequences.\textsuperscript{2} Additionally, many enzymes are organized into macromolecular complexes. They cooperate in the biosynthesis of a wide range of molecules. Their spatial organization establishes that the (unstable) intermediates are transferred between the catalytic sites without diffusion into the bulk phase of the cellular environment.\textsuperscript{3}
The amount of examples in literature describing well-defined syntheses of artificial protein oligomers is limited. Native chemical ligation (NCL) has been used to form dimers of expressed polypeptides, and to attach multiple fluorescent protein molecules to a dendrimer.\textsuperscript{4, 5} Furthermore, the NCL method has been exploited to introduce an azide or alkyne moiety at the N-terminus of a protein for dimerization via the Cu(I) catalyzed azide-alkyne cycloaddition.\textsuperscript{6}
An alternative approach has been followed for the production of a heterodimer of bovine serum albumin (BSA) and \textit{Thermomyces Lanuginosa} lipase (TLL). The proteins were linked via the free, solvent-accessible cysteine of BSA and the only free lysine of a TLL mutant using 3-azidopropyl-1-maleimide and 4-pentynoic acid as additional reagents. In this case, BSA functioned as an anchor to immobilize the lipase on a surface for single enzyme activity studies.\textsuperscript{7} In a more recent study a heterodimer of BSA and streptavidin was formed using a biotin-maleimide heterotelechelic polymer.\textsuperscript{8}
Only one example has been reported so far which describes the covalent linkage of enzymes that collaborate in a metabolic process.\textsuperscript{9} As stated earlier, the co-localization of multiple enzymes can have a beneficial effect on substrate conversion. In that case it would be desirable to have control over the relative orientation of the active sites. Thus, a site-specific bioconjugation strategy is required that allows variation in the site of conjugation. Here, we describe a method that meets this requirement, resulting in the preparation of well-defined enzyme architectures. Scheme 1 gives an overview of the different kinds of oligomers that were prepared using \textit{Candida antarctica} lipase B (CalB) as model enzyme.
Scheme 1. The different strategies described in this chapter for the preparation of CalB oligomers. A) Direct linkage of azide-functionalized CalB to CalB containing an alkyne moiety by addition of Cu(I). B) Formation of CalB dimers using a short cross-linker and different variants of CalB resulting in dimers that have either their N-termini or their active sites in proximity of each other. C) CalB oligomerization by introduction of an alkyne group in azide-CalB via N-terminal specific labeling followed by incubation with Cu(I). D) Oligomerization of CalB containing two azide moieties by addition of a dibenzoazacyclooctyne cross-linker.
The first strategy relies on the direct linkage of two CalB molecules containing an azide or alkyne moiety, respectively (see Scheme 1A). Both unique functionalities can be site-specifically introduced in proteins via residue-specific replacement of methionine 1 by azidohomoalanine 2 and homopropargylglycine 3 (see Scheme 2). In chapter 3 we have shown that only one out of five methionine residues in CalB is solvent-accessible. It is the N-terminal residue which is available for conjugation via the Cu(I)-catalyzed azide-alkyne cycloaddition.
Scheme 2. Structures of methionine 1 and its analogues azidohomoalanine 2 and homopropargylglycine 3.
Alternatively, short dialkynyl spacers will be used to link two CalB molecules that both contain an azide moiety (see Scheme 1B). Site-directed mutagenesis enables the introduction of a methionine residue at any location of choice provided that the side-chain is solvent-accessible and the amino acid replacement does not lead to structural changes. Thus, by using this method, conjugation is not limited to a specific site in the protein as is for example the case for expressed protein ligation\textsuperscript{13} or the N-terminal labeling approach, which has been developed by Francis \textit{et al}\textsuperscript{14}. Here, it will enable the formation of different kinds of dimers, which have either their N-termini or their active sites in proximity of each other.
An additional bioconjugation technique is required to enable site-specific linkage of three or more biocatalysts. It has been shown before that the N-terminus of a protein can selectively be targeted for modification.\textsuperscript{15} Treatment of the protein with glyoxylic acid in presence of Cu(II) as chelator results in imine formation. Hydrolysis leads to formation of a ketone, which selectively reacts with a hydroxylamine moiety (Scheme 3). We envisioned that this method could be combined with the incorporation of a non-natural amino acid to obtain two functional handles in one protein. An enzyme variant will be produced with an alkyne functionality at the N-terminus and a single accessible azide near the active site of the protein. The addition of Cu(I) will lead to oligomer formation (see Scheme 1C).
As a final strategy, a protein variant will be produced with two accessible azides (see Scheme 1D). A cross-linker containing two moieties of the highly reactive dibenzoazacyclooctyne\textsuperscript{16} will facilitate the formation of enzyme chains. As no copper is needed, reaction conditions are much milder, which makes it applicable for the oligomerization of less stable biocatalysts.
\textbf{Scheme 3.} Specific modification of the N-terminus of a protein using glyoxylic acid, Cu(II) and a substrate containing a hydroxylamine. R is the side-chain of the N-terminal amino acid.
4.2 – Results and discussion
4.2.1 Preparation of CalB dimers linked via the N-termini
The most straightforward approach towards the formation of CalB dimers was to directly link an azide-functionalized enzyme molecule to one with an alkyne moiety. The azide moiety was introduced into CalB using the methionine analogue azidohomoalanine 2 (AHA). According to the same protocol, the alkyne handle was introduced via the incorporation of homopropargylglycine 3 (HPG).
**Scheme 4.** Direct linkage of two CalB molecules with an azide or alkyne moiety.
We tested whether the azide and alkyne variants of the wildtype protein (wt(AHA)CalB and wt(HPG)CalB) could be covalently linked. In a 1:1 ratio wt(AHA)CalB and wt(HPG)CalB were reacted overnight at room temperature in presence of 50 equivalents Cu(I). The reaction product was purified by size-exclusion chromatography (see Figure 1A). The separation of dimer from unreacted CalB was verified by SDS-PAGE (see Figure 1B).
**Figure 1.** Dimerization of wt(AHA)CalB and wt(HPG)CalB. A) Size-exclusion chromatogram of the reaction mixture. The shoulder in the second peak is caused by the presence of a native *E. coli* protein which co-elutes with CalB. B) SDS-PAGE gel on which a fraction of both peak 1 (lane 1) and peak 2 (lane 2) was loaded.
As expected, the first peak showed to be CalB dimer. The second peak contained both unreacted CalB and an impurity in the protein sample, which was known to be YodA, a native protein from *E. coli*. The relative amount of formed dimer compared to unreacted CalB was quantified by measuring the fluorescence of the corresponding protein bands, which were stained by Coomassie Brilliant Blue. 40% of the total amount of CalB had formed dimers.
The activity of the wtCalB dimer was compared to the activity of the unreacted wt(AHA)CalB and wt(HPG)CalB. p-Nitrophenyl butyrate (pNPB) was used as a substrate. Different concentrations of pNPB were added to a dilution of the protein in phosphate buffer containing 0.1% Triton X-100. As shown in Figure 2 the activity of the dimer was not significantly different from the monomer. Apparently, the linkage of the two molecules to each other did not affect their structure and/or activity.
**Figure 2.** Hydrolytic activity of CalB dimer linked via the N-termini. Its activity was compared to the activity of CalB that had remained unreacted. Different concentrations of *p*-nitrophenyl butyrate were used. The slope in the curves obtained by measuring absorbance at 405 nm for 20 minutes were plotted in this chart. The assay was performed in duplo.
### 4.2.2 CalB mutants with a functional handle near the active site
In order to produce a so-called ‘kissing’ dimer, *i.e.* a dimer in which the active sites of the enzyme molecules are facing each other, an additional methionine codon had to be introduced. The 3D structure of the protein was examined *in silico* to select amino acids near the active site that could be replaced by methionine. Four different amino acids were chosen being located in the two loops surrounding the catalytic cleft, which were leucine(147), valine(149), leucine(219) and valine(221) (see Figure 3). Like methionine these residues are hydrophobic. Furthermore they seemed to be accessible to the
solvent. A multiple sequence alignment among the lipase family was performed to check for conservation of these residues. Since they appeared to be hardly conserved, we expected that replacement by methionine or its non-natural analogue would not harm the enzyme’s structure and function.
**Figure 3.** Picture of CalB indicating with dashed circles the amino acids that were changed into methionine. The entrance of the channel leading to the active site is indicated by the arrow and the N-terminus is indicated with a solid-line circle.
To prevent functionalization at two positions, the solvent-accessible methionine codon located near the N-terminus was replaced by glycine. In this way only the newly introduced azide moiety would be available for conjugation. Upon expression and purification the different mutants were analyzed by mass spectrometry. The detected masses corresponded with the calculated ones indicating that the correct mutations had been introduced (see Table 1). In the first column of Table 1, wt stands for wildtype. MG refers to the Met(1)Gly mutation and 147, 149, 219 and 221 refer to the additional sites that were mutated in these protein variants.
**Table 1.** Overview of the different CalB mutants that were produced.
| Name | Mutation | Calculated (Da) | Detected (Da) |
|--------------------|---------------------------|-----------------|---------------|
| wt(AHA)CalB | - | 34244.5 | 34245.3 |
| MG(AHA)CalB | Met(1)Gly | 34175.4 | 34175.5 |
| 147(AHA)CalB | Met(1)Gly + Leu(147)Met | 34188.4 | 34189.9 |
| 149(AHA)CalB | Met(1)Gly + Val(149)Met | 34202.4 | 34203.9 |
| 219(AHA)CalB | Met(1)Gly + Leu(219)Met | 34188.4 | 34191.7 |
| 221(AHA)CalB | Met(1)Gly + Val(221)Met | 34202.4 | 34203.7 |
Conjugation of alkyne-functionalized poly(ethylene glycol) (Mw 5000) or dansyl to the protein mutants proved that the newly introduced azides were indeed solvent-accessible (data not shown). No conjugation product was detected using the variant containing only the Met(1)Gly mutation. This indicated that the four other azide moieties that are buried inside the protein had remained unaccessible, meaning that the overall structure of CalB had not significantly changed.
4.2.3 Preparation of CalB dimers using a dialkynyl linker
Dimers of the CalB mutants were formed in two steps. This appeared to be necessary as no dimer formation was observed when a mutant functionalized with HPG was reacted with a mutant containing AHA. Probably the newly introduced functional handles were less accessible than the ones near the N-terminus. Dialkynyl linkers 4 and 5 were used to circumvent the problem of steric hindrance (see Scheme 5A).
First, azide-functionalized protein was incubated with 50 equivalents of 4 or 5 in presence of Cu(I). After removing the excess of linker, fresh azide-protein was added to allow the reaction with the alkyne-functionalized protein to take place. Using this approach, which is shown in Scheme 5B, 147(AHA)CalB dimers were prepared (147-dimer). As a control, dimers of wt(AHA)CalB were produced in a similar way (wt-dimer).
Scheme 5. Dimer formation using a dialkynyl spacer. A) The structures of ‘clickable’ spacers 4 en 5 which will be used for dimerization of azide-functionalized CalB. B) Schematic representation of the two different kind of dimers that were obtained using one of the CalB mutants or wildtype CalB.
Dimers that were produced using 4 were separated from the unreacted monomer by size-exclusion chromatography (see Figure 4A). The peak areas in the
chromatogram were calculated to determine the relative amount of protein in the different fractions. Using 4, 27% of the total 147(AHA)CalB protein amount had been converted into dimers. In the case of wt(AHA)CalB this was 33%. As shown in Figure 4B, the 147-dimer runs higher on a (denaturing) SDS-PAGE gel than the wt-dimer. This may be explained by taking into account the position at which the two protein chains are coupled. For the wt-dimer, this is at the N-terminus of the chains, which results in a totally linear construct upon unfolding. Unfolding of the 147-dimer results in a branched structure because the two chains are linked in the middle. Apparently, such a branched structure results in a lower electrophoretic mobility.
**Figure 4.** Dimerization of wt(AHA)CalB and 147(AHA)CalB mediated by dialkynyl linker 4. A) Size-exclusion chromatograms obtained upon injection of the reaction products on a column without any pre-purification. The numbers above the peaks correspond to the lanes in figure B. B) SDS-PAGE gel containing aliquots of the crude reaction mix (lane 1) and of the purified fractions (lane 2 and 3). The arrows indicate the dimers.
Dimers were also formed using spacer 5. According to the size-exclusion chromatograms, 34% of the total amount of 147(AHA)CalB and 41% of wt(AHA)CalB had formed dimers (see Figure 5A). The SDS-PAGE gel showed that dimer and monomer were well-separated. Again, the 147-dimer had a lower electrophoretic mobility than the wt-dimer (see arrows in Figure 5B).
Figure 5. Dimerization of wt(AHA)CalB and 147(AHA)CalB mediated by dialkynyl linker 5. A) Size-exclusion chromatograms obtained from both reactions after injection onto a Superdex 75 column. The numbers above the peaks correspond to the lanes in figure B. B) SDS-PAGE gel containing aliquots of the crude reaction mix (lane 1) and of the purified fractions with the dimer in lane 2 and monomer in lane 3.
4.2.4 Effect of dimerization on the activity of the ‘kissing’ dimer
We investigated the effect of dimerization on the activity of the ‘kissing’ 147-dimer. As a model reaction the esterification of 1-octanol using vinyl acetate was studied (see Scheme 6). This reaction, which proceeds in dry organic solvents, has been employed before to study the activity of different CalB formulations.\textsuperscript{18}
Scheme 6. The reaction between 1-octanol and vinyl acetate catalyzed by CalB. Due to rearrangement of vinyl alcohol to acetaldehyde the reaction is irreversible.
We compared the activity of 147-dimers with the activity of their corresponding monomers. These monomers had undergone the same reaction procedures, such as the click reaction with dialkynyl linker 4 or 5 in presence of Cu(I), followed by ultrafiltration to remove the excess of linker, incubation with freshly added Cu(I) and purification via size-exclusion chromatography. As the click reaction during the first step did not result in 100% conjugation, a part of these monomers was functionalized with the linker whereas the remaining portion was not changed.
Based on the absorbance signal in the size-exclusion chromatograms, equal amounts of protein were taken from the first (dimer) and second (monomer) peak
fractions. These aliquots were lyophilized followed by the addition of a mixture of 1-octanol and vinyl acetate in dried THF. Conversion into octyl acetate was followed in time by GC-MS. Both the decrease in the amount of 1-octanol and the increase in the amount of octyl acetate were detected and plotted against time (Figure 6).
**Figure 6.** Esterification of 1-octanol catalyzed by 147-dimer and its unreacted monomers. A) The conversion of 1-octanol into octyl acetate catalyzed by the 147-dimer coupled by **4**. B) The initial reaction rates of the esterification of 1-octanol by (1) 147-dimer linked by **4** and (2) its monomer, and (3) 147-dimer linked by **5** and (4) its monomer.
Figure 6A shows the plot that was obtained from the 147-dimer linked by spacer **4**. The slope of the curves in the first three hours was taken as a measure for the activity. In Figure 6B these initial reaction rates of all four analysed samples are shown. Hardly any difference between dimer and monomer was detected. Bar 1 and 2 represent the activities of the 147-dimer linked by **4** and its unreacted monomer. Bar 3 and 4 correspond to the activities of the 147-dimer linked by **5** and its monomer. The activity of 147(AHA)CalB reacted with **5** is higher. One could postulate that conjugation of linker **4** to the enzyme results in a greater loss of activity. However, even though protein concentrations were determined as accurately as possible, the deviation in activity may be due to differences in the amounts of protein added to the reactions as well.
### 4.2.5 Activity of ‘kissing’ dimers towards alkyl diols
We hypothesized that the activity of the so-called ‘kissing’ dimers towards substrates containing two hydroxyl or carboxyl moieties could be higher than the activity of CalB monomer or N-terminally linked CalB dimers, due to the close proximity and right
orientation of the active sites. In the esterification of alkyl diols with vinyl acetate we therefore expected to see a faster conversion of the monoacetylated intermediate into the diacetylated product.
This hypothesis was tested in an assay using 1,8-octanediol and vinyl acetate. The activity of the 147-dimer was compared with the activity of its corresponding monomer and the activity of the wt-dimer. Both dimers were formed using 4 as linker. Figure 7 shows the plots that were obtained by following the conversion of 1,8-octanediol in time. The starting compound, the monoacetylated intermediate and the diacetylated product were detected by GC-MS. By comparing Figure 7A with Figure 7B it looks like the 147-dimer is more active than the 147-monomer. On the other hand, the wt-monomer seems to be more active than the wt-dimer (Figure 7C, D). Furthermore, the curves of the 147-dimer look quite similar to those of the wt-dimer. Apparently, the formation of diacetylated product (3) does not proceed significantly faster for the 147-dimer compared to the wt-dimer.
**Figure 7.** Esterification of 1,8-octanediol catalyzed by (A) 147-dimer, (B) the respective monomer, (C) wt-dimer and (D) its corresponding monomer. Dimers were prepared with 4 as linker. The relative amounts of (1) 1,8-octanediol, (2) octyl acetate and (3) the diacetylated product as determined by GC-MS are plotted against time.
Since it could be that the effect we expected could not be detected with 1,8-octanediol, because this substrate was relatively short compared to the distance between the two active sites, some test reactions were performed with longer substrates, i.e. 1,10-decanediol and 1,12-dodecanediol. Unfortunately, using the reaction and analysis set-up that was optimized for 1,8-octanediol the results that were obtained with these substrates were not reliable. This was due to solubility problems and the fact that the compounds could not be well-separated on the GC column that was available.
4.2.6 Activity of ‘kissing’ dimers towards poly(ethylene glycol) diols
The distance between the two active sites of a ‘kissing’ dimer was difficult to predict as it not only depends on the depth of the catalytic clefts and the length of the cross-linker, but also on the flexibility of the dimer and the substrates. Therefore, it was hard to estimate the particular length of a difunctional substrate that would fit in between the active sites of the dimer in such a way that conversion would proceed faster.
We therefore decided to investigate the esterification of dihydroxy-poly(ethylene glycol) (HO-PEG-OH). The polydispersity of commercially available PEG would allow us to test multiple lengths at the same time. If one of the lengths would fit better between the active sites of a ‘kissing’ CalB dimer than the other lengths, then esterification of that specific length would proceed faster. We expected that this effect would be visible in mass spectra of the crude reaction mixture.
We performed an assay using HO-PEG300-OH and vinyl 2-chloroacetate. Vinyl 2-chloroacetate was chosen instead of vinyl acetate to simplify the assignment of the different peaks in the mass spectra. The amount of ethylene glycol units in PEG300 varies from approximately 5 to 11 units. The lengths of the molecules will therefore vary between 17.5 and 38.5 Å. The catalytic cleft of CalB is 12 Å. Taking this into account, we hypothesized that PEG300 would be well suited to determine if there was an optimal substrate length with respect to rate of conversion by the ‘kissing’ dimer.
The shortest of the two available spacers (5) was used to prepare the 147-dimer and wt-dimer. Acetylation of PEG by these dimers and their respective monomers was investigated. As in earlier assays, equal amounts of dimer and monomer were taken based on the peak areas in the size-exclusion chromatograms. Lyophilization of these fractions was followed by addition of a mixture containing PEG300 and vinyl 2-
chloroacetate in dry THF. At different time points aliquots of the reaction mixtures were analysed by mass spectrometry.
Figure 8 shows some typical mass spectra that were obtained. The signals could be assigned to the different PEG lengths and their corresponding acetylated products. However, no clear preference for one of the lengths was visible in the reaction performed by the 147-dimer. The fact that both $\text{NH}_4^+$ and $\text{Na}^+$ adducts were present in varying degree resulted in peaks being split up. Furthermore, as mass spectrometry on its own is not quantitative, minor effects could not be detected.
Another analytic technique is required to verify whether the ‘kissing’ dimer exhibits some special activity towards molecules with two substrate moieties. RP-HPLC analysis may enable the separation of the individual PEG oligomers to quantify their relative abundance.\(^{19}\)
**Figure 8.** Esterification of poly(ethylene glycol) diol catalyzed by 147-dimer. The acetylation of HO-PEG300-OH was followed in time. Mass spectra of three different time points (in hours) are shown. The peaks surrounded by the dark grey bars belong to the starting compound, white bars indicate the monoacetylated intermediates and light grey bars correspond to the diacetylated products. The numbers indicate the amount of ethylene glycol units.
Furthermore, it could be that the orientation of the two active sites with respect to each other is not optimal. Even though the enzyme molecules are linked near the catalytic clefts, these domains may point in another direction and not face each other. Therefore, it may be interesting to study the activity of the dimers in aqueous solution instead of organic solvent. It is known that the conformational dynamics of enzymes is higher in an aqueous environment.\textsuperscript{20} It could be that such a higher degree of flexibility is required for the ‘kissing’ dimer to enable the active sites to cooperate.
\subsection*{4.2.7 Oligomerization of CalB containing an azide and alkyne moiety}
The first approach towards the formation of CalB oligomers was the introduction of an alkyne functionality into azide-CalB (see Scheme 7). The N-terminus was selectively targeted for conjugation with cross-linker \textbf{6}, a tetra(ethylene glycol) molecule containing an alkyne moiety at one side and a hydroxylamine at the other side.
\textbf{Scheme 7.} Formation of CalB oligomers by introduction of both an azide and alkyne moiety in one enzyme molecule. A) Compound \textbf{6} will be used to introduce an alkyne moiety at the N-terminus of azide-functionalized CalB. B) Schematic representation of the oligomerization strategy.
N-terminal specific labeling was first tested using poly(ethylene glycol) functionalized with a hydroxylamine (Mw 5000, PEG5000-ONH$_2$) and wildtype CalB (wtCalB) containing methionine instead of azidohomoalanine. The protein was treated with CuSO$_4$ and glyoxylic acid in 2.5 M NaOAc buffer (pH 5.5) followed by ultrafiltration using 0.1 M NaOAc (pH 4.6). Different amounts of PEG5000-ONH$_2$ were added together with 0.1 M NaOAc (pH 3.6). The reaction was allowed to proceed overnight at room temperature and was analysed by SDS-PAGE. Whereas little PEGylation had occurred in presence of 10 or 50 equivalents of PEG5000-ONH$_2$, the addition of 250 equivalents resulted in more than 50% conversion (see Figure 9A).
The influence of the reaction conditions on the activity of CalB was analysed by measuring the hydrolysis of $p$-nitrophenyl butyrate at 405 nm. The activities of CalB being incubated overnight in 0.1 M NaOAc (pH 3.6) only, and CalB being treated with glyoxylic acid and CuSO$_4$ followed by incubation in 0.1 M NaOAc (pH 3.6), were determined. The derived curves are plotted in Figure 9B together with the curve obtained from CalB being treated with those reagents and PEG5000-ONH$_2$. Although the reaction conditions are known to be rather harsh, the enzyme was still active.
**Figure 9.** N-terminal specific labeling of wtMetCalB using PEG5000-ONH$_2$. A) SDS-PAGE gel of wtMetCalB after treatment with CuSO$_4$ and glyoxylic acid for one hour followed by overnight incubation in presence of 0 (lane 1), 10 (lane 2), 50 (lane 3) and 250 (lane 4) equivalents of PEG5000-ONH$_2$. B) Hydrolytic activity of several wtMetCalB samples to study the influence of the conjugation reactions conditions. (b) incubation in 0.1 M NaOAc, pH 3.6, (c) treatment with CuSO$_4$ and glyoxylic acid followed by incubation in 0.1 M NaOAc, pH 3.6, and (d) incubation in presence of these reagents and the addition of PEG5000-ONH$_2$. As a positive control untreated wtMetCalB was used (a).
After establishing the viability of the N-terminal labeling approach, 147(AHA)CalB was labeled with 6. As 6 is too small to lead to a mass shift on a SDS-PAGE gel, the labeling was analysed by mass spectrometry (see Figure 10A). It turned out that N-terminal specific labeling was less efficient for 147(AHA)CalB than for wt(Met)CalB. While more than 50 % of wt(Met)CalB could be labeled with 6, at maximum 25 % of 147(AHA)CalB was conjugated under the same reaction conditions. Peaks with lower mass values correspond to the glyoxylic acid adducts of both protein variants. As for wt(Met)CalB, oxidation had taken place as indicated by a partial +16 kDa mass shift for both peaks.
It is not clear what caused the difference in labeling efficiency. Both the presence of a glycine residue instead of a methionine residue at the N-terminus and the incorporation of azidohomoalanine instead of methionine seemed to have some negative effect. This was deduced from the observed decrease in labeling efficiency of both wildtype and mutant CalB (in this case 149CalB instead of 147CalB) containing either methionine or azidohomoalanine (see Figure 10B). Besides of that it was noted that higher conversions were obtained when a freshly prepared protein batch was used (data not shown).
**Figure 10.** N-terminal specific labeling of wildtype and CalB mutants using **6** or PEG5000-ONH$_2$. A) Mass spectra of wt(Met)CalB (upper graph) and 147(AHA)CalB (lower graph) modified with **6**. Calculated masses of functionalized proteins are 34497 Da and 34417 Da for wt(Met)CalB and 147(AHA)CalB, respectively. B) Labeling of wt(Met)CalB (lane 1), wt(AHA)CalB (lane 2), 149(Met)CalB (lane 3) and 149(AHA)CalB (lane 4) with PEG5000-ONH$_2$, analysed by gel electrophoresis.
Although it was in low yield, CalB was obtained which contained both an azide and alkyne functionality. Cu(I) was added to the crude product obtained from the reaction of 147(AHA)CalB labeled with **6**. Overnight incubation at room temperature or at 40 °C resulted in oligomer formation. The reactions were analysed by SDS-PAGE (see Figure 11A). It was clear that not only dimers but also trimers and probably even some larger oligomers had been formed. The reaction at 40 °C showed a higher amount of these larger aggregates. Injection of the reaction mixtures onto a Superdex 75 column resulted in the chromatograms shown in Figure 11B. It confirmed that
oligomerization had occurred. The different fractions showed to contain hydrolytic activity towards $p$-nitrophenylbutyrate (data not shown).
**Figure 11.** Oligomerization of CalB via N-terminal labeling of 147(AHA)CalB with cross-linker 6. A) SDS-PAGE gel of 147(AHA)CalB labeled with 6 after overnight incubation in presence of Cu(I) at room temperature (lane 1) or 40 °C (lane 2). B) Size-exclusion chromatogram of the crude reaction mixtures showing that oligomers of several sizes were formed.
### 4.2.8 Oligomerization of CalB containing two accessible azides
In order to improve the oligomerization strategy, two changes were made in the synthetic procedure (see Scheme 8). First, the highly reactive dibenzoazacyclooctyne was used\textsuperscript{16}, as it was expected that conjugation would be more efficient using this moiety instead of the alkyne. Second, a protein variant was prepared that was fully functionalized with two handles, in contrast to the small fraction of azide-alkyne CalB that could be obtained via the strategy described above.
**Scheme 8.** Formation of CalB oligomers by introduction of two azides in one enzyme molecule. A) Compound 7 will be used as linker. B) Schematic representation of the oligomerization strategy.
100% di-functionalization was achieved by cloning a CalB variant that contained both a methionine residue at the N-terminus and one near the active site, that is, at position 147. Incorporation of azidohomoalanine resulted in a CalB variant with two accessible azides. As shown in Scheme 8, a cross-linker was added that consisted of two dibenzoazacyclooctyne moieties linked via a linear spacer (7). The reaction was performed overnight at room temperature by mixing the cross-linker and CalB in a 1:1 ratio. The reaction was performed with wt(AHA)CalB as well.
Figure 12 shows the SDS-PAGE analysis of the reaction mixtures. As expected, wt(AHA)CalB (lane 1) formed dimers. Dimerization was not as efficient as before when a two-step approach had been followed using 4 or 5. This may be due to the fact that a large amount of CalB had reacted with the linker while no new protein was added in an additional step. Therefore, the amount of unreacted CalB was relatively low such that dimerization did less easily occur. Addition of extra protein and incubation for multiple days increased the degree of dimerization.
The wt(AHA)CalB appeared to form some trimers as well. This is probably a result of the increased efficiency of the click reaction when the dibenzoazacyclooctyne is used instead of an alkyne together with Cu(I). In this case, one of the other four azides, which are less accessible, reacted to some degree too.
The mutant with two readily accessible azides (Figure 12A, lane 2) formed oligomers of varying size. The bands in the region where CalB oligomers were to be expected were rather broad. This may be explained by the fact the enzymes can be cross-linked at two different positions per protein chain. For example, trimers may be formed in three different ways. This will result in different branched structures upon unfolding of the oligomers and these will have different electrophoretic mobilities. This effect was also observed when dimers were formed using a dialkynyl linker and different mutants of CalB (see Section 4.2.3).
Figure 12B shows the size-exclusion chromatograms that were obtained. Although separation was not optimal, it was clear that oligomerization was more efficient than in the previous approach. The peak of CalB that had not formed oligomers was relatively small compared to the curves shown in Figure 11B.
Figure 12. Oligomerization of wt(AHA)CalB and (AHA)CalB with two readily accessible azides. A) SDS-PAGE gel: (lane 1) wt(AHA)CalB and (lane 2) (AHA)CalB with two accessible azides. As confirmed by adding more equivalents of 7, the band underneath the one corresponding to CalB is the CalB-7 conjugate. B) Size-exclusion chromatograms obtained from the reaction mixtures. The numbers correspond to the lanes in A).
4.3 – Conclusions
A series of CalB dimers have been produced. Via the incorporation of non-natural amino acid analogues of methionine, CalB was produced with either an azide or alkyne at the N-terminus. They were directly linked by the addition of Cu(I). Dimerization did not affect hydrolytic activity.
Mutants of CalB were produced with an accessible azide near the active site. Using a dialkynyl linker, dimers were prepared in which both active sites were brought in proximity of each other. Remarkably, these dimers behaved differently on a SDS-PAGE gel compared to dimers that were linked at their N-termini.
A model substrate with one alcohol moiety was converted as efficiently by the dimers as by the CalB monomers. Also in case of molecules containing two substrate moieties no difference in rate was detected. A more quantitative assay may give more insight in the question whether in particular the ‘kissing’ dimer can convert the latter kind of substrates faster. Testing hydrolytic activity in aqueous environment will be the assay of choice as some degree of flexibility may be necessary for the ‘kissing’ dimer to function in a cooperative way.
Finally, oligomers of CalB have been prepared. An alkyne functionality was introduced at the N-terminus of a CalB variant containing a single accessible azide. Cu(I) was added to induce oligomerization. Alternatively, a dibenzoazacyclooctyne
linker was used in combination with a CalB variant containing two accessible azides. Oligomerization proceeded in a more efficient way without the need of adding Cu(I).
4.4 – Acknowledgements
We thank L. A. Canalle, S. S. van Berkel and M. F. Debets for synthesis of the ‘clickable’ linkers. P. M. van Galen is acknowledged for assistance with mass spectrometric analysis.
4.5 – Experimental section
Materials
Ampicillin and chloramphenicol were purchased from MP Biomedicals. IPTG, 1,8-octanediol, glyoxylic acid and EDTA were obtained from Acros. Primers were ordered at Biolegio (Malden, the Netherlands). para-Nitrophenyl butyrate, vinyl acetate and polyethylene glycol (average $M_n$ 300) were purchased from Sigma Aldrich. CuSO$_4$·5H$_2$O was from Merck, vinyl chloroacetate from ABCR (Karlsruhe, Germany) and 1-octanol from Janssen Chimica. 1-Octanol, 1,8-octanediol, polyethylene glycol and vinylchloroacetate were dried with molecular sieves (0.3 mM) before use.
Dialkynyl linkers 4 and 5 and the dibenzoazacyclooctyne linker 7 were kindly provided by Luiz Canalle and Marjoke Debets, respectively. Hydroxylamine functionalized PEG5000 was synthesized by Sander van Berkel.
Protein production and purification
The methionine auxotrophic strain B834(DE3)pLysS *E. coli* (Novagen) was used for protein production. Competent cells were transformed with pET22 plasmid containing the CalB gene of interest. Protein expression was induced in presence of azidohomoalanine or homopropargyl glycine (Chiralix) followed by purification via affinity and size-exclusion chromatography (as described in chapter 2). The protein concentration of the purified samples was determined by measuring absorbance at 280 nm using a NanoDrop 2000 (Thermo Scientific). The whole protein was analysed by electro-spray ionization time-of-flight (ESI-TOF) on a JEOL AccuTOF. CalB (10 µM) in formic acid (0.1 %) was injected. Deconvoluted spectra were obtained using Magtran software.
Site-directed mutagenesis
The structure of the protein was available from PDB file 1tca.$^{21}$ The Yasara & WHAT IF Twinset was used for visualization and analysis of the protein to select amino acids that could be changed into methionine residues.$^{22}$
The Quikchange® site-directed mutagenesis protocol (Stratagene) was followed to produce the different CalB mutants. The following primers were used: Met(1)Gly forward: G CCG GCG ATG GCC GGG GGA CTA CCT TCC GG. Met(1)Gly reverse: CC GGA AGG TAG TCC CCC GGC CAT CGC CGG C. Leu(147)Met forward: CCT CTC GAT TCA ATG GCG GTT AGT GC. Leu(147)Met reverse: GC ACT AAC CGC CAT TGC ATC GAG AGG. Val(149)Met forward: GAT GCA CTC CGC ATG AGT GCA CCC TCC. Leu(149)Met reverse: GGA GGG TGC ACT CAT CGC GAG TGC. Leu(219)Met forward: GTG TGT GGG CCG ATG TTC GTC ATC GAC. Leu(219)Met reverse: GTC GAT GAC GAA CAT CGG CCC ACA CAC. Val(221)Met forward: GGG CCG CTG TTC ATG ATC GAC CAT GC. Val(221)Met reverse: GC ATG GTC GAT CAT GAA CAG CGG CCC.
**Cu(I)-catalyzed click reactions**
Each time a fresh stock solution of CuSO$_4$ (20 mM) and sodium ascorbate (25 mM) in MQ was prepared and premixed in a 1:1 ratio with a 40 mM stock solution of tristriazole ligand$^{23}$ in MeCN. This mixture will be referred to as ‘click mix’.
For the direct linkage of wt(AHA)CalB and wt(HPGCalB), 44 nmol Cu(I) (4.4 µL click mix) was added to 0.88 nmol of each protein variant in buffer containing 50 mM NaH$_2$PO$_4$, 150 mM NaCl (pH 7.0). The final reaction volume was 45 µL. The reaction was incubated overnight at room temperature while gently shaken.
For the dimerization of (AHA)CalB using a dialkynyl linker, 10 mM stock solutions were prepared of 4 (in MQ) and 5 (in DMSO). 25 nmol of linker 4 or 5 and 25 nmol Cu(I) (2.5 µL click mix) were mixed with 0.44 nmol wt(AHA)CalB or 147(AHA)CalB resulting in a final reaction volume of 12.5-20 µL. After overnight incubation at room temperature click mix and excess of linker were removed by ultrafiltration with 0.5 mL buffer containing 50 mM NaH$_2$PO$_4$, 150 mM NaCl (pH 7.0) using a 10 kDa MWCO centrifugal filter unit (Millipore). Subsequently, 0.44 nmol fresh wt(AHA)CalB or 147(AHA)CalB was added together with 25 nmol Cu(I) resulting in a final volume of 25-33 µL. The reaction was left at room temperature for an additional night.
**Preparation of the hetero telechelic TEG spacer**
Hetero telechelic tetraethylene glycol 6 was synthesized as depicted in Scheme 9 following modified literature procedures.$^{24,25}$
*Scheme 9.* Synthesis of hetero telechelic tetraethylene glycol 6
126.96.36.199-Tetraoxapentadec-14-yn-1-ol 8
To a cooled solution (0 °C) of tetraethylene glycol (1.50 g, 10 mmol) in dry THF (10 mL) was added NaH (260 mg, 6.5 mmol, 60% on mineral oil). The resulting suspension was stirred at 0 °C during 30 min. during which the H₂-gas formation ceased. Next, proparyl bromide (0.54 mL, 5.0 mmol, 80 wt% in toluene) was added drop wise. After full addition the resulting mixture was stirred for 2 hours at 0 °C and a subsequent 20 hours at room temperature. The reaction was quenched with H₂O (50 mL) and extracted with CH₂Cl₂ (3 × 50 mL). The combined organic phases were dried over Na₂SO₄ and purified by column chromatography (100% EtOAc). Two products were obtained being the mono- and di-substituted tetraethylene glycol (\(R_F = 0.7\) (100% EtOAc)). The desired product was obtained as light yellow oil (700 mg, 69%), \(R_F = 0.2\) (100% EtOAc). \(^1\)H-NMR (400 MHz, CDCl₃): δ = 4.20 (d, \(J = 2.4\) Hz, 2H), 3.73-3.64 (m, 14H), 3.62-6.60 (m, 2H), 2.47 (br s, 1H), 2.42 (t, \(J = 2.4\) Hz, 1H) ppm. \(^{13}\)C-NMR (75 MHz, CDCl₃): δ = 79.55, 74.52, 72.52, 70.57, 70.51, 70.49, 70.33, 70.26, 69.05, 61.69, 58.34 ppm. FT-IR: ν = 3237, 2867, 2113, 1350, 1099 cm⁻¹. HRMS: calcd. for C₁₁H₂₀NaO₅ = 255.1208; found: 255.1202.
2-(188.8.131.52-Tetraoxapentadec-14-yn-1-yloxy)isoindoline-1,3-dione 9
A flame-dried, N₂-purged, Schlenk tube was charged with alkyne-TEG 8 (232 mg, 1.0 mmol), hydroxyphthalimide (179 mg, 1.1 mmol, 1.1 eq.) and triphenylphosphine (275 mg, 1.05 mmol, 1.05 eq.). The mixture was three times evacuated and back-filled with N₂-gas before adding dry CH₂Cl₂ (10 mL). After the drop wise addition of diisopropyl azodicarboxylate (214 µL, 1.1 mmol, 1.1 eq.) the reaction mixture was stirred for 20 hours at room temperature. After completion of the reaction, the mixture was acidified with 2M HCl (aq.) to pH = 5 (approx.). Additional H₂O (10 mL) was added and the layers separated. The water phase was extracted with CH₂Cl₂ (3 × 10 mL) after which the combined organic phases were dried over Na₂SO₄ and purified by column chromatography (CH₂Cl₂/MeOH 9:1) to yield compound 9 as milky oil (349 mg, 93%). \(^1\)H-NMR (400 MHz, CDCl₃): δ = 7.85-7.83 (m, 2H), 7.76-7.74 (m, 2H), 4.39-4.37 (m, 2H), 4.20 (d, \(J = 2.4\) Hz, 2H), 3.88-3.86 (m, 2H), 3.71-3.64 (m, 6H), 3.63-3.56 (m, 6H), 2.43 (t, \(J = 2.4\) Hz, 1H) ppm. \(^{13}\)C-NMR (75 MHz, CDCl₃): δ = 163.42 (2C), 134.39 (2C), 128.89 (2C), 123.45 (2C), 74.48, 70.72 (2C), 70.45 (4C), 69.25, 69.03, 58.34 ppm. LRMS: calcd. for C₁₉H₂₃NNaO₇ (MNa⁺) = 400,1372; found: 400.2.
O-(184.108.40.206-tetraoxapentadec-14-yn-1-yl)hydroxylamine 6
ATTENTION: work completely acetone free! Rinse glassware, filters and stirring bar with CH₂Cl₂ prior to use. Alkyne-hydroxyphthalimide TEG 9 was dissolved in dry CH₂CH₂ (10 mL) and N₂H₄·H₂O (2 × 70 µL) was added. The reaction was stirred for 3 hours at room temperature (a white precipitate
is formed). The white solid was filtered-off and rinsed with CH$_2$Cl$_2$ (10 mL). The organic phase was washed with 2M NaHCO$_3$ (15 mL) and subsequently dried over MgSO$_4$. No further purification of the product was required. Hydroxylamine 6 was obtained as colorless oil (120 mg, 92%). $^1$H-NMR (400 MHz, CDCl$_3$): $\delta = 5.45$ (br s, 2H), 4.20 (d, $J = 2.4$ Hz, 2H), 3.84-3.82 (m, 2H), 3.71-3.59 (m, 14H), 2.42 (t, $J = 2.4$ Hz, 1H) ppm. $^{13}$C-NMR (75 MHz, CDCl$_3$): 79.63, 74.75, 74.47, 70.57, 70.53 (2C), 70.48, 70.36, 69.56, 69.07, 58.35 ppm. LRMS: calcd. for C$_{11}$H$_{22}$NO$_5$ (MH$^+$) = 248,1498; found: 248,1502.
**N-terminal specific labeling and Cu(I)-catalyzed oligomerization**
2.9 nmol wt(Met)CalB was mixed with 500 nmol CuSO$_4$ and 25 µmol glyoxylic acid in 1.25 M NaOAc (pH 5.5). Incubation for 60 minutes at room temperature was followed by addition of one volume (250 µL) 0.1 M EDTA. The mixture was concentrated over a centrifugal filter unit (Millipore, 10 kDa MWCO) and washed twice with 0.5 mL 0.1 M NaOAc (pH 4.6). To the residual volume (25 µL) 55 µL 0.1 M NaOAc (pH 3.6) was added. The sample was divided in 4 aliquots of 20 µL followed by addition of 0, 10, 50 or 250 equivalents of PEG5000-ONH$_2$ (10 mM stock solution in MQ). The reaction was shaken overnight at room temperature.
147(AHA)CalB was modified in a similar way using 6 instead of PEG5000-ONH$_2$. The excess of 6 was removed by dialysis over a centrifugal filter unit by adding three times 0.5 mL buffer containing 50 mM NaH$_2$PO$_4$ and 150 mM NaCl (pH 7.0).
To 0.62 nmol of the functionalized 147(AHA)CalB 3.5 µL ‘click mix’ (see above) was added followed by overnight incubation at room temperature or 40 °C. Old ‘click’ mix was removed by ultrafiltration before a fresh aliquot of 0.62 nmol functionalized 147(AHA)CalB and 6 µL freshly prepared click mix were added. The reaction mixtures were shaken overnight at room temperature or 40 °C.
**Copper-free oligomerization**
0.88 nmol (AHA)CalB with two accessible azides or wt(AHA)CalB was mixed with 0.88 nmol of cross-linker 7 (dissolved in DMSO, 0.25 mM) in buffer containing 50 mM NaH$_2$PO$_4$, 150 mM NaCl (pH 7.0). The final reaction volume was 15-20 µL. Reactions were shaken overnight at room temperature.
**Size-exclusion chromatography**
Dimerization and oligomerization reactions were analyzed on a *Pharmacia SMART* fast performance liquid chromatography (FPLC) system equipped with a Superdex 75 PC 3.2/30 column (GE Healthcare Life Sciences) using buffer containing 50 mM NaH$_2$PO$_4$, 150 mM NaCl (pH 7.0) as an eluent. The flow rate was typically 25 µL/min and fractions of 25 µL were collected. Only for the analysis of the directly linked wt(AHA)CalB and wt(HPG)CalB a flow rate of 20 µL/min was used.
SDS-PAGE analysis
Protein samples were analysed by electrophoresis on 12% (w/v) polyacrylamide gels followed by Coomassie Brilliant Blue or silver staining. The Odyssey Infrared Imaging System (LI-COR Biosciences) was used to quantify the intensity of the Coomassie stained protein bands.
Activity assay with p-nitrophenyl butyrate
Hydrolysis of p-nitrophenyl butyrate (pNPB) was detected by monitoring the absorbance at 405 nm using a Multicounter Wallac Victor$^2$ (PerkinElmer Life Sciences). A 96-wells plate well was filled with 45 µL buffer containing 50 mM NaH$_2$PO$_4$, 150 mM NaCl (pH 7.0) containing 0.1% Triton-X100. 2.5 µL of enzyme solution in 50 mM NaH$_2$PO$_4$, 150 mM NaCl (pH 7.0) was added. Directly before the measurement was started 2.5 µL substrate (concentrations varying from 2.5, 5, 10 and 20 mM in isopropanol) was added. Autohydrolysis of the substrate was monitored by adding 2.5 µL 50 mM NaH$_2$PO$_4$, 150 mM NaCl (pH 7.0) without enzyme. Absorbance was measured every two minutes for at least 60 minutes while the temperature was kept at 25 °C. The slope of the curve in the first 20 minutes was taken as a measure of hydrolytic activity.
Esterification assay with vinyl acetate and 1-octanol, 1,8-octanediol and PEG.
Esterification of 1-octanol or 1,8-octanediol using vinyl acetate was performed in dry THF. A 2x stock solution was prepared containing 2.2 M vinyl acetate and 0.38 M 1-octanol or 1,8-octanediol in THF. The compounds were dried in advance using molecular sieves (3 Å). 500 µL stock solution and 500 µL THF were added to an eppendorf tube containing the lyophilized enzyme. Lyophilization was performed using a solution of the enzyme in 50 mM NaH$_2$PO$_4$, 150 mM NaCl (pH 7.0) without addition of any cryoprotectant such as PEG-6000. The reaction mix was incubated at room temperature while gently shaken. 20µL-aliquots were withdrawn from the reaction mixture at specific time points. They were analysed after 10x dilution in acetone by GC-MS on a Thermo Finnigan PolarisQ using a capillary column (Varian FactorFour™, 30m x 0.25 mm i.d.). The temperature of the GC oven was increased by 30 °C min$^{-1}$ from 100 to 190 °C. The retention times for 1-octanol and the corresponding ester were 3.00 and 3.53, respectively. For 1,8-octanediol, a GC-gradient was used in which the oven was heated by 30 °C min$^{-1}$ from 160 to 270 °C. This resulted in retention times of 2.82, 3.22 and 3.60 min, for diol, monoester and diester, respectively.
The acetylation assay of PEG300 was performed in a similar way using a stock solution of 2.2 M vinyl 1-chloroacetate and 0.38 M PEG300. 5-µL aliquots were withdrawn from the reaction mixture and analyzed upon 10,000x dilution in MeOH by ESI-TOF on a Thermo Finnigan LCQ Advantage Max. For PEG-6 the following masses were detected: Before incubation with CalB: MS (ESI+) m/z calced. for C$_{12}$H$_{26}$O$_7$ [M+NH$_4$]$^+$ 300.2, found: 300.1; [M+Na]$^+$ 305.2, found: 305.3. After incubation with CalB: MS (ESI+) m/z calced. for C$_{16}$H$_{28}$Cl$_2$O$_9$ [M+NH$_4$]$^+$ 452.3, found: 452.1; [M+Na]$^+$ 457.3, found: 457.1.
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25. P. G. Holder and M. B. Francis, *Angewandte Chemie-International Edition*, 2007, **46**, 4370-4373.
Metal-free and pH-controlled introduction of azides in proteins
This chapter has been published:
Schoffelen, S.; van Eldijk, M. B.; Rooijakkers, B.; Raijmakers, R.; Heck, A. J. R.; van Hest, J. C. M. *Chemical Science*, **2011**, 2(4), 701-705.
5.1 – Introduction
Proteins are modified to study or manipulate their function, for conjugation to surfaces or other molecules, and to increase their stability or uptake in single cells or organisms. For many applications, a chemoselective ligation strategy is desired to control the degree and site of modification. A well-known reaction that has proven to be highly suitable for these purposes is the Cu(I)-catalyzed cycloaddition between azides and alkynes.\textsuperscript{1, 2} Recently, great interest in the copper-free variant of this click reaction has emerged, as it is known that copper is toxic to cells and difficult to remove from proteins.\textsuperscript{3, 4}
Azide moieties are introduced in enzymes, antibodies or other proteins in various ways. Via genetic engineering non-natural amino acids such as para-azidophenylalanine and azidohomoalanine have successfully been incorporated at a single site or in a residue-specific manner.\textsuperscript{5–7} Alternatively, azides have been installed in glycoproteins via metabolism of a synthetic azidosugar.\textsuperscript{8} Using an engineered lipoic acid ligase, an alkyl azide can specifically be attached to proteins containing a short peptide tag.\textsuperscript{9} Furthermore, native chemical ligation has facilitated functionalization of a protein’s N-terminus with an azide moiety.\textsuperscript{10}
Our group recently reported a more straightforward method that does not require any genetic or metabolic manipulation. Free amines were converted into azides via an aqueous diazotransfer (Scheme 1).\textsuperscript{11} The hydrochloric salt of imidazole-1-sulfonyl azide \textbf{1} is used as a shelf-stable, non-explosive and water-soluble diazotransfer reagent.\textsuperscript{12}
\[\text{H}_2\text{N} \quad \text{NH}_2 \quad + \quad \text{N}_3 \quad \text{S} \quad \text{N} \quad \text{N} \quad \text{N}_3 \quad \text{N}_3 \quad + \quad \text{H}_2\text{N} \quad \text{S} \quad \text{N} \quad \text{N}\]
\textbf{Scheme 1.} Introduction of azides in proteins using \textbf{1} as diazotransfer reagent.
Whereas this approach is much easier to apply, it is less selective. Four and five azides were introduced in the fluorescent protein DsRed and horseradish peroxidase (HRP), respectively. Moreover, a close to equimolar amount of Cu(II) relative to amine was added as a catalyst and by adding potassium carbonate a pH of 11 was created to
ensure that all amines were deprotonated. However, not all proteins are stable at high pH\textsuperscript{13} and Cu(II) may affect the structure or function of the protein or the biological system in which it will subsequently be used\textsuperscript{14}.
Traditionally, amines have been diazotized in solvent mixtures such as water/CH\textsubscript{2}Cl\textsubscript{2} or water/CH\textsubscript{2}Cl\textsubscript{2}/MeOH using triflyl azide as transfer reagent.\textsuperscript{15, 16} The use of Cu(II), Ni(II) or Zn(II) as a catalyst was initially reported by Alper \textit{et al.}\textsuperscript{17} Since then several procedures have been described in which Cu(II) is used as a catalyst in a 1-10 mol% quantity relative to the amine.\textsuperscript{12, 18-20} Nyffeler and coworkers investigated the diazotransfer reaction in more detail.\textsuperscript{21} They showed that both copper sulfate and zinc chloride are effective catalysts, but also when no catalyst was present 80% conversion was detected for some of the aminoglycoside substrates after 18 hours of reaction.
Here, we demonstrate that in a similar way azides can be introduced in proteins without adding Cu(II). Moreover, lowering the pH to 8.5 leads to selective conversion of the amine with the lowest pKa, the $\alpha$-amine at the N-terminus of the model proteins.
### 5.2 – Results and discussion
#### 5.2.1 Diazotransfer at pH 11 in presence and absence of Cu(II)
Hen egg-white lysozyme C and a recombinant variant of \textit{Candida antarctica} lipase B (CalB) were used as model enzymes. These proteins contain six and nine lysines, respectively. They were incubated overnight at room temperature in presence of diazotransfer reagent 1 (1.75 equivalents relative to the amines) and sodium carbonate as a base, leading to a pH of 11 in the reaction medium. The conversion of amines into azides was analyzed by mass spectrometry.
As shown in Figure 1 and Table 1, amines were indeed converted into azides when no Cu(II) was added. As for lysozyme, on average five azides were introduced, whereas CalB contained mainly two to three azides. In comparison, six azides were present in lysozyme when 1 was added together with Cu(II). Under these conditions up to seven azides were introduced in CalB.
Elastin-like polypeptide (ELP), a structural protein that has previously been engineered in our lab\textsuperscript{22}, was used as a third model. Two variants of ELP were investigated with either one (ELP-lys1) or three lysines (ELP-lys3). To these proteins a large excess of 1 (175 equivalents relative to the amines) was added. Using this excess
all amines in both variants were diazotized (see Table 1), whether Cu(II) was added or not.
**Figure 1.** Mass spectra of lysozyme and CalB after diazotransfer at pH 11, which was performed without or in presence of Cu(II). A) Lysozyme without Cu(II), B) CalB without Cu(II), C) lysozyme with Cu(II), and D) CalB with Cu(II). Numbers above the peaks indicate the number of azides that are present in the protein.
**Table 1.** Detected masses after diazotransfer without or in presence of Cu(II) at pH 11.
| Protein | Unmodified (Da)\(^a\) | Cu(II) | Detected (Da)\(^b\) |
|-------------|-----------------------|--------|---------------------|
| Lysozyme | 14305.1 / 14305.2 | - | 14382.4, 14409.3, 14435.2, 14461.1 |
| | | + | 14461.1 |
| CalB | 34269.7 / 34269.0 | - | 34294.9, 34320.9, 34346.2, 34371.9 |
| | | + | 34372.3, 34397.9, 34423.8, 34449.0 |
| ELP-lys1 | 39670.9 / 39671.7 | - | 39723.5 |
| | | + | 39722.8 |
| ELP-lys2 | 39927.2 / 39929.9 | - | 40032.3 |
| | | + | 40031.2 |
\(^a\)Molecular weight of the unmodified protein, calculated / detected. \(^b\)Molecular weight of the protein after diazotransfer using 1.75 equivalents (lysozyme and CalB) or 175 equivalents (ELP-lys1 and ELP-lys3) of diazotransfer reagent.
As stated before, Cu(II), Ni(II) or Zn(II) are known to catalyze the diazotransfer reaction. Even though 1 was synthesized without using any metal salts, the imidazole ring present in this compound might have complexed some of these metal ions. To
verify whether this was the case, 1 was analyzed by inductively coupled plasma mass spectrometry (ICP-MS). The amount of Cu(II) that was detected per μmol diazotransfer reagent varied between 2 and 5 pmol. The Ni(II) and Zn(II) contents were less than 2.5 pmol and 20 pmol per μmol diazotransfer reagent, respectively. These values correspond to trace amounts of 0.0002–0.002 mol% catalyst relative to amines, and indicate that metal ions do not play a significant role in the diazotransfer reaction and are well below values to affect protein activity.
### 5.2.2 Introduction of azides at pH 9.0 and 8.5
In addition to excluding Cu(II) from the reaction, we investigated the effect of lowering the pH. The diazotransfer was performed on lysozyme and CalB in diethanolamine buffered solutions of pH 8.5 and 9.0, using 1.75 equivalents of 1, first still in the presence of Cu(II). Mass analysis on the whole proteins confirmed that also under these conditions azide moieties were introduced. The number of amines that are converted into azides decreases upon lowering the pH to 9.0 and 8.5 (see Figure 2).
**Figure 2.** Mass spectra of lysozyme and CalB after diazotransfer at pH 8.5 and pH 9.0 in presence of Cu(II). A) Lysozyme at pH 8.5, B) CalB at pH 8.5, C) lysozyme at pH 9.0, and D) CalB at pH 9.0. Numbers indicate the amount of azides that are present.
When the diazotransfer was performed both at lower pH and in absence of Cu(II), the conversion efficiency was further reduced. However, increasing the amount of 1 from 1.75 to 17.5 equivalents relative to amines had a positive effect (see Figure 3). It was remarkable to see that in CalB only one azide was introduced at pH 8.5 even when 17.5 equivalents of 1 were added. Using the same conditions also in ELP-lys1 and ELP-lys3 only one azide was introduced, whereas two or four azides were introduced at pH 11 and/or in presence of Cu(II).
**Figure 3.** Mass spectra of CalB after diazotransfer at pH 8.5 in absence of Cu(II) using 1.75 (A) and 17.5 (B) equivalents of diazotransfer reagent.
### 5.2.3 Identification of the single reactive amine
It was speculated that the selectivity was caused by differences in reactivity of the amines. The reactivity will depend on the pKa, which is influenced by the microenvironment of the amine. The pKa values of amines in a protein can vary significantly. For lysozyme for example, the amine with the lowest value is the $\alpha$-amine (pKa is 7.0), while the two most basic amines have a pKa of 11.2.\textsuperscript{23} In general, the $\alpha$-amine at the N-terminus of a protein will often have the lowest pKa. However, it is also the solvent accessibility of the amines that will influence their reactivity.
Mono-functionalized CalB and ELP were treated with trypsin to determine which amine had been converted. The digests were analysed by mass spectrometry. A peak was detected at 1544.8 Da instead of 1518.7 Da (see Figure 4A). So, the N-terminal fragment of CalB (amino acids 1-15) had shifted 26 Da in mass, indicating that the $\alpha$-amine at the N-terminus of CalB had been converted into an azide. Additional LC-MS/MS analysis using trypsin, LysN\textsuperscript{24} and chymotrypsin demonstrated that all other lysines had remained unmodified, with the exception of a very low level of conversion.
of Lys210 (2 spectra corresponding to modified peptides versus 36 spectra matching peptides containing Lys210 without azide group).
In the tryptic digests of ELP-lys1 and ELP-lys3 a peak of the triply charged fragment was detected that corresponded to amino acids 1-16 containing an azide, *i.e.* \([M+3H]^{3+}\) being 598.9 Da instead of 590.3 Da (see Figure 4B). For ELP-lys1 a small fraction of the unreacted fragment was detected as well. The peak corresponding to amino acids 17-24 containing a converted lysine at position 23 was only present when Cu(II), a base and/or 175 equivalents of diazotransfer reagent was added.
As shown in Figure 5, fragment 17-23 of ELP-lys3 (calculated \([M+H]^+\) 801.4 Da) was detected indicating that no azide had been introduced on this lysine. The two additional lysines in ELP-lys3 (residue numbers 29 and 30) were not diazotized either as proven by the detection of tryptic fragment 30-488 (calculated \([M+H]^+\) 36708.8 Da). It was therefore concluded that in both ELP variants it was the N-terminal amine as well that had been converted at pH 8.5 in absence of Cu(II).
**Figure 4.** Mass spectra of the N-terminal fragments of mono-functionalized (A) CalB, (B) ELP-lys1 and ELP-lys3. Calculated masses are those of unmodified peptides.
Figure 5. Mass spectrum of mono-functionalized ELP-lys3 after trypsin digestion. A) Non-deconvoluted spectrum in which the peak at 801.4 Da is visible. B) Spectrum derived from deconvolution on the multiple-charged peaks shown in A).
To confirm that selectivity is correlated to the pKa of an amine, the pH-controlled, copper-free diazotransfer was performed on the tripeptide Lys-Phe-Phe. While the $\alpha$-amine at the N-terminus of the tripeptide is expected to have a pKa value of approximately 8.0, the $\varepsilon$-amine in the lysine side-chain will have a pKa around 9.5.\textsuperscript{25} The diazotransfer was performed both at pH 11 in presence of Cu(II) and at pH 8.5 without adding Cu(II). Whereas the first reaction conditions resulted in a product containing two azides, only one amine was converted at pH 8.5 in absence of Cu(II). $^{13}$C NMR proved that the N-terminal amine had been diazotized.
Lysozyme was subjected to proteolytic digestion and LC- MS/MS analysis as well. Even though the N-terminus has the lowest pKa of all amines present in the protein\textsuperscript{23}, it was not modified after diazotransfer at pH 8.5. This can be explained by the extremely low surface accessibility of the N-terminus, as can be deduced from its crystal structure.\textsuperscript{26} At pH 8.5 in absence of Cu(II), only limited modification of Lys13 and Lys116 was observed. In the presence of Cu(II), there was significant conversion of Lys13, Lys96 and/or Lys97 (indistinguishable by LC-MS/MS), Lys116 as well as of the N-terminus of the protein.
5.2.4 PEGylation and activity of azide-functionalized proteins
It was demonstrated that the azides that were introduced in CalB and lysozyme were available for bioconjugation (see Figure 6). Polyethyleneglycol (PEG) functionalized with an aza-dibenzocyclooctyne\textsuperscript{27} was added to facilitate a copper-free click reaction. This compound was added to the model proteins after ultrafiltration with phosphate
buffer (pH 7) to remove the excess of diazotransfer reagent and, if present, Cu(II). Upon overnight incubation conjugation was visualized by gel electrophoresis. The degree of PEGylation correlated to the number of azides that had been introduced.
**Figure 6.** SDS-PAGE gel after PEGylation of (A) CalB and (B) lysozyme, after diazotransfer using 1.75 eq of 1 in presence of Cu(II) at pH 8.5 (lane 1), pH 9.0 (lane 2) and pH 11 (lane 3), and after diazotransfer without Cu(II) at pH 8.5 using 1.75 eq (lane 4) or 17.5 eq (lane 5) of 1.
The activities of both diazotized CalB and lysozyme were determined. Mono-functionalized CalB was nearly as active as the untreated control. The small decrease in activity that was observed might be caused by the fact that the sample was incubated overnight at room temperature and washed by ultrafiltration, whereas the control was kept at 4 °C all the time (see Figure 7).
**Figure 7.** Activity of untreated CalB (1), and mono-functionalized CalB reacted with 17.5 equivalents of 1 at pH 8.5 without addition of Cu(II) (2). Relative activities towards p-nitrophenyl butyrate are expressed as an average for n=3 with the error bars indicating the standard deviation.
Lysozyme was significantly less active upon incubation at pH 11, especially in presence of Cu(II) (see Figure 8). At pH 8.5 the presence of Cu(II) was less harmful.
but some decrease in activity was still detected due to incubation with the metal catalyst. These findings underline the importance of being able to introduce azide moieties in proteins under milder conditions. An additional reduction of activity was observed upon introduction of multiple azides. This effect was particularly large when an increasing number of azides was introduced, suggesting that under those conditions lysines are converted which are crucial for catalytic activity. This result indicates that selective modification is desired to limit loss in activity.
**Figure 8.** Relative activities of lysozyme after A) incubation at pH 8.5 and 11, with or without Cu(II), and B) in presence of 1 as well. (1) pH 8.5, no Cu(II), (2) pH 8.5, with Cu(II), (3) pH 11, no Cu(II), (4) pH 11, with Cu(II). Relative activities are expressed as an average for n=3 with the error bars indicating the standard deviation.
### 5.3 – Conclusions
We show that azides can be introduced in proteins via an aqueous diazotransfer on amines without adding Cu(II) or any other transition metal salt. Furthermore, it is shown that the reaction proceeds not only at pH 11 but also at pH 8.5. The copper-free reaction at pH 8.5 leads to a selective diazotransfer in which only amines with the lowest pKa, such as the α-amine at the N-terminus, react.
The selectivity at lower pH will especially be useful when site-specific functionalization is desired or when lysines play a role in maintaining structure or activity of the protein. It is expected that for individual proteins, the exact conditions for site-specific modification will depend on the surface accessibility and pKa values of the amines in the protein.
Longer reaction times and, if possible, a slightly increased reaction temperature will enable the efficient introduction of azides at even lower pH. With respect to CalB, for example, a single azide could already be introduced at pH 8 while using 17.5
equivalents of 1 relative to amines. Approximately 60% conversion was obtained under those conditions. As for lysozyme, incubation at 30 °C and 37 °C at pH 8.5 was shown to improve the degree of diazotation. Extension of the reaction time to 60 hours had a beneficial effect on the introduction of azides as well. Furthermore, reaction times of only a few hours instead of overnight incubation may be applied. The most reactive amines will be converted in a few hours, as has been observed in our laboratory for several peptides as well as for ELP.
Using these non-toxic and mild conditions, the diazotransfer reaction will be an excellent candidate for modification of proteins, which are unstable at high pH or inactivated by binding of Cu(II) ions. The strategy will be useful for the site-specific immobilization of enzymes, for example inside microchannels or onto nanostructured materials such as polymeric vesicles and DNA scaffolds. So far, a small number of relatively stable biocatalysts, like lipases and a few oxidoreductases have been used in these applications.\textsuperscript{28-30} For synthetic purposes it will be desirable to expand the set of biocatalysts that can be exploited.
\subsection*{5.4 – Acknowledgements}
We would like to thank J. Eijgenstein for ICP-MS analysis and P. J. H. M. Adams for synthesis of the tripeptide. S. A. Meeuwissen and M. F. Debets are acknowledged for providing the diazotransfer reagent and the dibenzoazacyclooctyne functionalized PEG, respectively.
\subsection*{5.5 – Experimental section}
\textbf{Materials}
Ampicillin and chloramphenicol were purchased from MP Biomedicals. Imidazole (>99%), egg-white lysozyme (>90%), \textit{para}-nitrophenyl butyrate and lyophilized Micrococcus lysodeikticus cells were purchased from Sigma Aldrich. Sulfuryl chloride, sodium azide, IPTG and diethanolamine were obtained from Acros. CuSO$_4$·5H$_2$O and Na$_2$CO$_3$ were purchased from Merck and Baker, respectively. Ultrapure Milli-Q water (MQ) was purified using a WaterPro PS polisher (Labconco, Kansas City, MO) set to 18.2 MΩ/cm.
\textbf{Protein mass spectrometry}
Protein samples were desalted with MQ (3 times 0.5 mL) using 10 kDa MWCO centrifugal filter units (Millipore) and analysed by electrospray ionization time-of-flight (ESI-TOF) on a JEOL
AccuTOF. 5-10 µM protein in formic acid (0.1-1 %) was injected. Deconvoluted spectra were obtained using MagTran 1.03b2. Isotopically averaged molecular weights were calculated using the “Protein Calculator v3.3” at http://www.scripps.edu/~cdputnam/protecalc.html.
**Production of CalB**
The pET22b-calb plasmid has been described previously (see Chapter 2). The recombinant CalB that is produced has the following amino acid sequence:
MGLPSGSDPAFSQPKSVLDAGLTCQGASPSSVSKPILLVPGTGTTGPQSFDNSWIPLSAQLGYTPCWISPPPFMLNDTQVNTEYMVNAITTLYAQSGNNKLPVLTWSQGGIQAQWGLTFFPSIRSKVDRLMAFAPDYKGTVLAGPLDALAVSAPSVWQQTTGSALTTALRNAGGLTQIVPTTNYSADEIVQPQVSNSPLDSSYLFEANGKNVQAQAVCGPLFVIDHAGSLTSQFSYVVGRSALRSTTGQARSADYGHTDCNPLPANDLTPEQKVAAAALLAPAAAAIVAGPKQNCEPDLMPYARPFAVGKRTCSGIVTPLHHHHHH
50 mL 2xYT medium supplemented with ampicillin (100 mg/L) and chloroamphenicol (50 mg/L) was inoculated with a single colony of *E. coli* strain B834(DE3)pLysS (Novagen) containing pET22b-calb, and incubated overnight at 37 °C. The culture was diluted in 1 L 2x YT medium to an OD$_{600}$ of 0.1 and grown at 37 °C. When an OD$_{600}$ of 0.6-0.7 was reached, isopropyl-β-D-thiogalactopyranoside (IPTG) was added to a final concentration of 1 mM. Protein production was allowed to take place for 20 hours at 25 °C. Purification was performed via Ni$^{2+}$ NTA affinity chromatography followed by size-exclusion chromatography as described before (see Chapter 2). Protein concentration was determined by measuring the absorbance at 280 nm on a NanoDrop ND-1000 spectrometer (Thermo Scientific). The yield was 3.5 mg of purified protein from a 1 L bacteria culture. Purity was confirmed by SDS-PAGE. ESI-TOF: CalB calculated 34269.7, found 34269.0.
**Production of ELP**
The construction of plasmids pET15b-ELP-lys1[V$_5$L$_2$G$_3$-90] and pET15b-ELP-lys3[V$_5$L$_2$G$_3$-90] has been described before.$^{22}$ Amino acid sequences of the produced ELPs are as follows:
ELP-lys1: MGSSHIIIIIIHSSGLVPRGSHMLEKREAEAAGP(VPGGGVPGVGVPGVGVPGGGVPGLGVPGVGVPGVGVPGVGVPGGGVPGLG)$_9$VPGGGA
ELP-lys3: MGSSHIIIIIIHSSGLVPRGSHMLEKREAEAKKGP(VPGGGVPGVGVPGVGVPGGGVPGLGVPGVGVPGVGVPGVGVPGGGVPGLG)$_9$VPGGGA
Both ELPs were expressed in the *E. coli* strain BLR(DE3)pLysS (Novagen) and purified via inverse transition cycling\textsuperscript{22}, yielding 5 mg of purified protein per litre culture. Protein concentrations were determined by BCA assay (Pierce). Purity was confirmed by SDS-PAGE. ESI-TOF: ELP-lys1 calculated 39670.9, found 39671.7; ELP-lys3 calculated 39927.2, found 39929.9.
**Synthesis of imidazole-1-sulfonyl azide hydrochloride**
Imidazole-1-sulfonyl azide hydrochloride was synthesized as described by Goddard-Borger \textit{et al.}\textsuperscript{12} Sulfuryl chloride (4.0 mL, 50 mmol) was added dropwise to an ice-cooled suspension of NaN\textsubscript{3} (3.3 g, 50 mmol) in MeCN (50 mL) and the mixture was stirred overnight, allowing it to warm up to room temperature. Then the mixture was recooled on ice and imidazole (6.5 g, 95 mmol) was added portion-wise. After the addition, the reaction mixture was stirred for 3h while the temperature was allowed to warm up to room temperature. Subsequently, the mixture was diluted with EtOAc (100 mL), washed twice with MilliQ water (2x 100 mL) and twice with saturated NaHCO\textsubscript{3} (2x 100 mL) and then dried over MgSO\textsubscript{4}. Then the HCl salt was formed via dropwise addition of 4M HCl in EtOAc (40 mL) to the ice-cooled mixture. The resulting precipitate was filtered and washed with EtOAc (3x50 mL) to obtain imidazole-1-sulfonyl azide hydrochloride in a yield of 59%. LRMS: (\textit{m/z}) [M-Cl]\textsuperscript{+} calculated for C\textsubscript{3}H\textsubscript{3}N\textsubscript{3}O\textsubscript{2}S 174.0, found: 173.9. \textsuperscript{1}H-NMR (400 MHz, D\textsubscript{2}O): δ 7.57 (s, 1H) 87.99 (s, 1H) 89.22 (s, 1H).
It should be noted that diazotransfer reagent 1 is shelf stable, but should not be kept as a concentrated aqueous solution for prolonged time due to risk of decomposition.
**Tryptic digest mass analysis**
1 µg trypsin (Promega, mass spectrometry grade) was added to approximately 40 µg CalB in 30 µL 10 mM NH\textsubscript{4}HCO\textsubscript{3}. Upon incubation overnight at 37 °C, the tryptic digestion was quenched by adding 0.25 % formic acid and the digest was analyzed by ESI-TOF. The sequence of the N-terminal fragment with residue numbers 1-15 is MGLPSGSDPAFSQPK. In control experiments in which multiple azides were introduced, no cleavage was observed at diazotized lysine 15. When tryptic digestion resulted in the formation of the N terminal 15-mer and an azide was introduced in this fragment, the α-amine at the N-terminus of this fragment had to be converted. Tryptic digest analysis of the ELPs, was performed by adding 0.5 µg trypsin to 7 µg ELP in 12 µL 20 mM NH\textsubscript{4}HCO\textsubscript{3}. After 5 hours of incubation at 37 °C the samples were purified using ZipTip-C18 (Millipore) and eluted in 20 µL 75 % acetonitrile in 0.1 % trifluoroacetic acid / MQ. The lysine with residue number 23 is present in both ELP-lys1 and ELP-lys3.
**Protein digestion for LC-MS/MS**
Prior to mass spectrometry analysis, 5 µg of CalB and of Lysozyme was reduced with 1,4-dithiothreitol (6mM), alkylated with iodoacetamide (12mM) and digested at with trypsin,
chymotrypsin or Lys-N\textsuperscript{24} (each 1:50 protein/enzyme ratio) in ammonium bicarbonate 50mM at 37 °C for 16 hours. Samples were acidified to a concentration of 10% formic acid and analyzed by LC-MS/MS.
**Nano LC-MS/MS**
All LC-MS/MS analyses were performed on a nanoLC LTQ-Orbitrap (Thermo, San Jose, CA) mass spectrometer at a resolution of 60,000 at 400 m/z. For nanoLC, an Agilent 1200 series LC system was equipped with a 25 mm Aqua C18 (Phenomenex, Torrance, CA) trapping column (packed in-house, i.d., 100 µm; resin, 5 µm) and 400 mm ReproSil-Pur C18-AQ (Dr. Maisch GmbH, Ammerbuch, Germany) analytical column (packed in-house, i.d., 50 µm; resin, 3 µm). Solvents used were 0.6% HOAc (buffer A) and 0.6% HOAc/80% acetonitrile (ACN) (buffer B). Trapping was performed at 5 µL/min for 10 min, and elution was achieved with a gradient of 13–32% B in 30 minutes, 32-40% B in 5 minutes, 40-100% B in 2 minutes and 100%B for 2 minutes. The flow rate was passively split from 0.6 mL/min to 100 nL/min. Nanospray was achieved using in-house made distally coated fused silica emitters (o.d., 375 µm; i.d., 20 µm) biased to 1.8 kV. The mass spectrometer was operated in the data dependent mode to automatically switch between MS and MS/MS. Survey full scan MS spectra were acquired from m/z 350 to m/z 1500 and the five most intense ions were fragmented in the linear ion trap using collisionally induced dissociation. The target ion setting was 5e5 for the Orbitrap, with a maximum fill time of 250 ms. Fragment ion spectra were acquired in the LTQ with a target ion setting of 1e4 and a maximum fill time of 100 ms. Dynamic exclusion for selected precursor ions was set at 30 seconds.
**LC-MS/MS Data Processing and Analysis**
Raw MS data were converted to peak lists using Proteome Discoverer (v1.2). For protein identification, MS/MS data were searched against a custom database containing the CalB and lysozyme sequences, as well as known contaminant and background proteins, using Mascot v2.2 (Matrix Science) with the appropriate enzyme, allowing up to 2 miss cleavages, a precursor tolerance of 15 ppm, and a product ion tolerance of 0.5 Da. Carbamidomethylation of cysteine was set as a fixed modification and oxidation of methionine, deamidation of asparagines and glutamine as well as azide moieties on lysines and protein n-termini were included as variable modifications. Peptide identifications were accepted with a minimum Mascot score of 25 and an expect value of <0.05, corresponding to an estimated false discovery rate (FDR) of around 1%, as determined by decoy database searching. All identification results are available for download in a Scaffold 3 file that may be downloaded from ProteomeCommons.org Tranche, https://proteomecommons.org/tranche/, using the following hash:
8x0MGHIq9zI0OC3T9PTbkerc227XqNgYYDQFVHkVnaVRA/2+a2rpeHdzPrTC+6vRIqUfEMNRpfeTjehz/8qpTJwdKkAAAAAAAADEA==
The viewer is downloadable from http://www.proteomesoftware.com.
Synthesis of lysyl-phenylalanyl-phenylalanine (KFF)
The tripeptide lysyl-phenylalanyl-phenylalanine (KFF) was synthesized using standard Fmoc solid-phase peptide synthesis. Cleavage from the resin and removal of the protecting group on the lysine side-chain was achieved by incubation in trifluoroacetic acid. A white powder was obtained upon lyophilization. Purity was confirmed by HPLC. LRMS: \((m/z)\) [M+H]\(^+\) calecd for \(C_{24}H_{32}N_4O_4\) 441.2, found: 441.6. \(^{13}\text{C}\) NMR (300 MHz, D\(_2\)O) δ 171.3, 168.5, 136.4, 135.6, 135.7, 128.8, 128.6, 128.3, 128.1, 126.8, 126.5, 54.5, 52.2, 38.5, 36.6, 29.9, 25.8, 20.6.
Diazotransfer to KFF
25 mg of KFF (57 µmol) was dissolved in 5 mL MQ or 30 mM diethanol amine (pH 8.5). 28.5 mg of diazotransfer reagent 1 (136 µmol) was dissolved in 136 µL 1 M NaOH. This solution was then added to the tripeptide. The reaction in MQ was supplemented with 1.6 mg Na\(_2\)CO\(_3\) and 1.25 mg CuSO\(_4\cdot\)5H\(_2\)O. The reactions were stirred overnight at room temperature and lyophilized afterwards. The reactions were purified upon solvation in 2 mL MQ by high-performance liquid chromatography (HPLC) over a C18 column using a linear gradient from 5% acetonitrile in MQ/0.1% trifluoroacetic acid to 0.1% trifluoroacetic acid in acetonitrile. Peak fractions were analyzed by mass spectrometry. LRMS \((m/z)\) [M+H]\(^+\) calecd for \(C_{24}H_{32}N_4O_4\) 441.2, found: 441.5; \((m/z)\) [M+H]\(^+\) calecd for \(C_{24}H_{30}N_6O_4\) 467.2, found: 467.5; \((m/z)\) [M+H]\(^-\) calecd for \(C_{24}H_{28}N_8O_4\) 493.2, found: 493.4. Fractions of interest were pooled. Acetonitrile was evaporated under vacuum and water was removed by lyophilization. \(C_{24}H_{30}N_6O_4\) (product in the reaction performed at pH 8.5): \(^{13}\text{C}\) NMR (300 MHz, D\(_2\)O) δ 173.8, 171.7, 136.0, 135.7, 128.8, 128.7, 128.2, 128.2, 126.6, 126.6, 62.2, 54.0, 53.5, 38.6, 36.5, 36.3, 30.1, 25.8, 20.8; \(C_{24}H_{28}N_8O_4\) (product in the reaction performed at pH 11): \(^{13}\text{C}\) NMR (300 MHz, CD\(_3\)CN/D\(_2\)O 3:1) δ 172.6, 170.8, 169.7, 136.4, 128.9, 128.8, 128.0, 127.9, 126.4, 126.3, 62.2, 53.5, 53.2, 50.3, 36.6, 36.3, 30.3, 27.4, 21.5.
Click reaction and SDS-page analysis
20 equivalents of aza-dibenzocyclooctyne functionalized PEG2000 (1 mM in MQ)\(^{27}\) were added to 6 µg of diazotized protein. Samples were incubated overnight at room temperature while gently shaken. The next day sample buffer was added, samples were incubated at 95 °C for 5 minutes and loaded on a 12% (w/v) polyacrylamide gel followed by Coomassie Brilliant Blue staining. The Precision Plus Dual Color Protein standard (Biorad) was used as marker.
Activity of CalB and lysozyme
The activities of both CalB and lysozyme were determined after treatment with 1. Upon ultrafiltration using MQ, the CalB solution was diluted to 1 µM by adding an aqueous solution containing 50 mM NaH\(_2\)PO\(_4\), 150 mM NaCl (pH 7.0). Hydrolysis of para-nitrophenyl butyrate
was followed by measuring absorbance at 405 nm as reported elsewhere.\textsuperscript{6} The initial slope was taken as a measure for activity.
Lysozyme activity was determined by following lysis of lyophilized Micrococcus lysodeikticus cells. A bacterial suspension was prepared containing 0.074 mg/mL cells in 66 mM phosphate buffer (pH 7.0), resulting in an $A_{405}$ between 0.5-0.75. 5 $\mu$g lysozyme was added to 3 mL bacterial suspension and the decrease in absorption at 450 nm was followed for 3 minutes at 25 °C using a 10 mm cuvette. The slope was taken as a measure of activity.
\section*{5.6 – References}
1. C. W. Tornoe, C. Christensen and M. Meldal, \textit{Journal of Organic Chemistry}, 2002, \textbf{67}, 3057-3064.
2. V. V. Rostovtsev, L. G. Green, V. V. Fokin and K. B. Sharpless, \textit{Angewandte Chemie-International Edition}, 2002, \textbf{41}, 2596-+.
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6. S. Schoffelen, M. H. L. Lambermon, M. B. van Eldijk and J. C. M. van Hest, \textit{Bioconjugate Chemistry}, 2008, \textbf{19}, 1127-1131.
7. K. L. Kiick, E. Saxon, D. A. Tirrell and C. R. Bertozzi, \textit{Proceedings of the National Academy of Sciences of the United States of America}, 2002, \textbf{99}, 19-24.
8. E. Saxon and C. R. Bertozzi, \textit{Science}, 2000, \textbf{287}, 2007-2010.
9. M. Fernandez-Suarez, H. Bartuah, L. Martinez-Hernandez, K. T. Xie, J. M. Baskin, C. R. Bertozzi and A. Y. Ting, \textit{Nature Biotechnology}, 2007, \textbf{25}, 1483-1487.
10. J. P. Xiao and T. J. Tolbert, \textit{Organic Letters}, 2009, \textbf{11}, 4144-4147.
11. S. F. M. van Dongen, R. L. M. Teeuwen, M. Nallani, S. S. van Berkel, J. J. L. M. Cornelissen, R. J. M. Nolte and J. C. M. van Hest, \textit{Bioconjugate Chemistry}, 2009, \textbf{20}, 20-23.
12. E. D. Goddard-Borger and R. V. Stick, \textit{Organic Letters}, 2007, \textbf{9}, 3797-3800.
13. Y. H. Hui, in \textit{Handbook of Food Science, Technology, and Engineering}, CRC Press, 2006, pp. 10-11.
14. R. M. Sterritt and J. N. Lester, \textit{Science of the Total Environment}, 1980, \textbf{14}, 5-17.
15. C. J. Cavender and V. J. Shiner, \textit{Journal of Organic Chemistry}, 1972, \textbf{37}, 3567-&.
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17. P. B. Alper, S. C. Hung and C. H. Wong, \textit{Tetrahedron Letters}, 1996, \textbf{37}, 6029-6032.
18. H. S. G. Beckmann and V. Wittmann, \textit{Organic Letters}, 2007, \textbf{9}, 1-4.
19. S. Maisonneuve and J. Xie, \textit{Synlett}, 2009, 2977-2981.
20. N. M. Smith, M. J. Greaves, R. Jewell, M. W. D. Perry, M. J. Stocks and J. P. Stonehouse, \textit{Synlett}, 2009, 1391-1394.
21. P. T. Nyfeler, C. H. Liang, K. M. Koeller and C. H. Wong, \textit{Journal of the American Chemical Society}, 2002, \textbf{124}, 10773-10778.
22. R. L. M. Teeuwen, F. A. de Wolf, H. Zuilhof and J. C. M. van Hest, \textit{Soft Matter}, 2009, \textbf{5}, 4305-4310.
23. V. Z. Spassov, A. D. Karshikov and B. P. Atanasov, \textit{Biochimica Et Biophysica Acta}, 1989, \textbf{999}, 1-6.
24. N. Taouatas, A. J. R. Heck and S. Mohammed, *Journal of Proteome Research*, 2010, **9**, 4282-4288.
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26. D. J. Vocadlo, G. J. Davies, R. Laine and S. G. Withers, *Nature*, 2001, **412**, 835-838.
27. M. F. Debets, S. S. van Berkel, S. Schoffelen, F. P. J. T. Rutjes, J. C. M. van Hest and F. L. van Delft, *Chemical Communications*, 2010, **46**, 97-99.
28. T. C. Logan, D. S. Clark, T. B. Stachowiak, F. Svec and J. M. J. Frechet, *Analytical Chemistry*, 2007, **79**, 6592-6598.
29. S. F. M. van Dongen, M. Nallani, J. L. L. M. Cornelissen, R. J. M. Nolte and J. C. M. van Hest, *Chemistry-a European Journal*, 2009, **15**, 1107-1114.
30. O. I. Wilner, Y. Weizmann, R. Gill, O. Lioubashevski, R. Freeman and I. Willner, *Nature Nanotechnology*, 2009, **4**, 249-254.
Chapter 5
6.1 – Introduction
Since decades both homogeneous and enzymatic catalysis have been applied for the synthesis of enantiopure compounds. While metal-mediated processes are known for their broad reaction scope, biocatalytic transformations are distinguished for their excellent selectivity and efficiency. These characteristics have inspired researchers to combine the best of both fields.
Homogeneous catalysts and enzymes have been added separately to the same reaction mixture. The major application of these systems is dynamic kinetic resolution (DKR). Traditional kinetic resolution (KR) is the process in which a racemic mixture is separated by selective chemical conversion of one of the two enantiomers. In DKR, *in situ* racemization of the less reactive enantiomer takes place, allowing for a 100% theoretical yield of the desired isomer. Several racemization processes are known, among which are acid/base-catalyzed racemization, Schiff base-mediated racemization, and racemization via sp$^2$ intermediates.\textsuperscript{1} As pointed out by Stürmer, transition metals can be used in DKR as well.\textsuperscript{2} Chemoenzymatic DKR, in which enzymatic KR is combined with an *in situ* metal-based racemization process, has been applied for a variety of compounds among which are allylic acetates, allylic alcohols and secondary alcohols (see Scheme 1).\textsuperscript{3-5} Bäckvall and colleagues have discussed recent advances in several reviews.\textsuperscript{6-8}
Enzymes and metal catalysts have been combined in reactions other than DKR as well. Makkee \textit{et al.} developed a one-pot two-step reaction for the conversion of glucose in mannitol.\textsuperscript{9} An isomerase was used for the conversion of glucose into fructose, while a copper catalyst was applied for hydrogenation of fructose into mannitol (see Scheme 2A). Another example is the combination of a palladium-catalyzed cross-coupling with an asymmetric, enzymatic reduction, as reported by Gröger and colleagues.\textsuperscript{10} Chiral biaryl alcohols were produced in aqueous medium with high conversion and excellent enantioselectivity (see Scheme 2B). Caiazzo and coworkers describe the successful combination of a lipase-catalyzed amidation with a Pd-catalyzed coupling reaction. Surprisingly, the bio- and chemo-catalyzed processes showed synergistic behaviour.\textsuperscript{11}
Besides of (simply) adding both a metal-catalyst and enzyme to the same reaction mixture, researchers have aimed at linking transition-metal complexes to proteins, thus creating ‘artificial metalloenzymes’.\textsuperscript{12,13} The first example of such a hybrid catalyst has been described by Whitesides \textit{et al.}\textsuperscript{14} Biotin was functionalized with a chelating diphosphine and complexed with rhodium(I). The strong interaction of biotin with the
protein avidin enabled the creation of a metalloenzyme capable of performing an asymmetric hydrogenation reaction in aqueous solution. The protein provided a well-defined steric environment around the metal and thus induced selectivity of the reaction.
**Scheme 1.** Chemoenzymatic dynamic kinetic resolution of A) allylic acetates, B) allylic alcohols, and C) secondary alcohols. CalB is used for enantioselective transesterification using different metal catalysts for racemization and varying compounds as acyl acceptor or acyl donor.
**Scheme 2.** The combination of enzymes and metal catalysts in applications other than DKR. A) Synthesis of mannitol by the combined action of isomerase and a copper catalyst. B) Synthesis of chiral biaryl alcohols via a Pd-catalyzed cross-coupling followed by enzymatic reduction using alcohol dehydrogenase (ADH) and nicotinamide adenine dinucleotide (NADH) as cofactor.
Ward and others have optimized this approach of supramolecular anchoring, which is based on the biotin-avidin technology. As for the reduction of
acetamidoacrylic acid, an increase in enantioselectivity was for example established by creating a mutant of streptavidin and adjusting hydrogen pressure.\textsuperscript{15} As an alternative to the biotin-avidin methodology, Harada \textit{et al.} generated monoclonal antibodies against an achiral rhodium complex. Using these complexes, the catalytic hydrogenation of 2-acetoamidoacrylic acid resulted in production of $N$-acetyl-L-alanine in high enantiomeric excess.\textsuperscript{16} An up-to-date overview of these and other artificial metalloenzymes and their catalytic scope is provided by several reviews such as the ones by Ward \textit{et al.}\textsuperscript{13, 17} and Rosati and Roelfse.\textsuperscript{18}
In addition to supramolecular anchoring, artificial metalloenzymes have been produced via covalent interactions. It is mainly the nucleophilic side-chain of cysteine which has been exploited. The protease papain contains a single free cysteine to which for example a Mn-salen complex (see Scheme 3A) or Rh-phosphine complex was coupled. Unfortunately, no high enantioselectivity was achieved with these hybrid catalysts.\textsuperscript{19}
\textbf{Scheme 3.} Covalent anchoring of a transition-metal complex to proteins via a maleimide-cysteine coupling as studied by Reetz \textit{et al.}\textsuperscript{19, 20} A) Mn-salen complex linked to papain was applied in an epoxidation reaction. B) A mutant of imidazole glycerol phosphate synthase tHisF was prepared to enable linkage of a Pd(II) complex.
In addition, Reetz \textit{et al.} developed a platform using the thermostable enzyme tHisF, the synthase subunit of imidazole glycerol phosphate synthase, as protein host. A cysteine was introduced at the “catalytic face” of the enzyme for conjugation of a Pd(II) complex (see Scheme 3B).\textsuperscript{20} Although bioconjugation of several ligands and ligand/metal entities was achieved, no results regarding the activity of the hybrid catalysts were presented. However, the system was considered to be a technological
platform for future directed evolution studies to obtain enantioselective hybrid catalysts.
An alternative strategy has been described by Van Koten *et al.* A phosphonate inhibitor of cutinase is used as anchor to immobilize a metal complex in the enzyme’s active site (see Scheme 4A).\(^{21}\) Metallopinene complexes were used which are known for their exceptionally stable metal-carbon bond. Anchoring of the metal complex could be followed spectrometrically due to release of the *para*-nitrophenolate anion and simultaneously occurring enzyme inactivation. Furthermore, the cutinase hybrids were analysed by mass spectrometry. Activity studies have not been reported so far.
As a last example, Kamer and colleagues recently reported the cysteine-mediated conjugation of a Pd-phosphine complex to photoactive yellow protein (PYP, see Scheme 4B).\(^{22}\) Coupling of the palladium complex was proven by mass spectrometry, while it was confirmed by \(^{31}\text{P}\) NMR that palladium had remained coordinated to the phosphine ligand. No enantioselectivity was observed in an asymmetric allylic amination that was performed using the PYP-based hybrid metalloprotein. However, this may be due to that fact that the reaction was performed in 50% DMF leading to denaturation of the protein.
**Scheme 4.** Additional examples of the production of artificial metalloenzymes by covalent linkage of transition-metal complexes to proteins. A) Immobilization of a metal complex in the active site of cutinase.\(^{21}\) B) Cysteine-mediated conjugation of a Pd-phosphine complex to photoactive yellow protein (PYP).\(^{22}\)
In the abovementioned studies in which an enzyme was used as a chiral carrier, the endogenous biocatalytic activity was either destroyed or not exploited. This limitation inspired us to investigate the linkage of a transition metal ligand to azide-functionalized CalB. Upon complexation of a metal ion, a hybrid system would be created containing two catalytic sites. By using the appropriate CalB mutant, the metalchelating moiety would be introduced in close proximity of the enzyme’s catalytic cleft. Not only would we be able to perform a multi-step reaction in one pot (in analogy to for example Bäckvall’s and Caiazzo’s work), the protein environment might also induce enantioselectivity on the metal catalyst (as achieved by several artificial metalloenzymes). This chapter describes the conjugation of two different transition metal ligands to CalB, being propynyl phosphine 1 and dibenzoazacyclooctyne-functionalized pincer ligand 2 (see Scheme 5).
**Scheme 5.** Covalent linkage of a transition metal ligand near the active site of CalB using the azide moiety as functional handle. Aim is to retain enzyme activity while a novel metal-catalytic activity is introduced as well. A) Cu(I)-catalyzed coupling of a phosphine ligand. B) Coupling of an organometallic pincer ligand via the strain-promoted azide-alkyne cycloaddition.
### 6.2 – Results and discussion
#### 6.2.1 Linkage of propynyl phosphine via the Cu(I)-catalyzed ‘click’ reaction
Detz and coworkers describe the preparation of a series of P,N ligands using click chemistry. They show that the Cu(I)-catalyzed reaction between propynyl phosphine and different azide derivatives resulted in so-called Clickphine ligands that could be applied in various catalytic transformations.\(^{23}\) Supported ligands were prepared by conjugation of propynyl phosphine to azide-functionalized dendrimers or polystyrene
resin. We envisioned that the propynyl phosphine would be a useful candidate for conjugation to azide-functionalized CalB.
As described in Chapter 4, CalB mutants were produced, that contain either an accessible azide in the proximity of the active site or no accessible azide at all. Two of these mutants, 147CalB and MG-CalB, were incubated with 50 eq. propynyl phosphine 1 (10 mM stock in THF, see Figure 1) in presence of CuSO$_4$, sodium ascorbate and a tristriazole ligand. Upon overnight incubation at room temperature the reaction mixtures were desalted by ultrafiltration using MQ (5 times 0.5 mL). The desalted and concentrated samples were diluted in MQ/0.1% formic acid to a final concentration of 10 µM and analysed by ESI-TOF mass spectrometry. As can be seen in Figure 1A, the mass chromatogram of 147CalB showed two peaks with a difference in mass of 238 Da. This corresponds to the mass of boronated propynyl phosphine, indicating that 147CalB had partly reacted with the phosphine ligand. As expected MG-CalB had remained unreacted (see Figure 1B).
**Figure 1.** Linkage of phosphine ligand 1 to CalB analysed by ESI-TOF MS. A) 147CalB, partially reacted; B) MG-CalB, unreacted.
It was tried to improve the conjugation of 1 to 147CalB. A freshly prepared so-called ‘click’ mix, containing Cu$_2$SO$_4$, ascorbate and a Cu(I) ligand, was added after one day allowing the reaction to take place for an additional 16 hrs. Even though the signal-to-noise ratio was rather low, two peaks could be distinguished (see Figure 2A). The mass difference between these peaks was 274.5 Da. As the intensity of the second peak was higher, it seemed that by adding extra ‘click mix’ the amount of conjugated product had increased.
However, longer reaction time had led to truncation of the protein as well. Furthermore, it seemed that in addition to linkage of phosphine 1 some oxidation
and/or other modifications had occurred. Remarkably, the signal for MG-CalB was much better than the signal obtained from 147CalB (see Figure 2B). In addition, MG-CalB protein was not truncated. As both protein variants were treated in the same way, this result suggests that MG-CalB is more stable than 147CalB.
**Figure 2.** Attempts to improve the conjugation efficiency of phosphine ligand **1** to CalB by longer incubation, analysed by ESI-TOF MS. A) 147AHACalB, truncated but probably functionalized; B) MG-CalB, unreacted.
In a single attempt to perform a Pd-catalyzed reaction using Clickphine-CalB as ligand, the conjugation reaction was repeated using wildtype CalB, which contains an accessible azide at the N-terminus (see Chapter 3). After removal of excess of **1** and ‘click mix’ by ultrafiltration the phosphine ligand was deprotected by adding DABCO in degassed MQ. The reaction was kept under Ar as much as possible to prevent oxidation of the phosphine. DABCO was removed by ultrafiltration and the protein was lyophilized. Deprotection was not verified. Instead, the protein-phosphine conjugate was immediately used in a test reaction, *i.e.* the Pd-catalyzed allylic alkylation of biphenyl vinyl acetate (see Scheme 6).
**Scheme 6.** Allylic alkylation of diphenyl vinyl acetate to test activity of the catalyst.
Deprotected CalB-**1** conjugate was mixed with [PdallylCl]$_2$ followed by addition of substrates. The final reaction mix contained 0.1% catalyst relative to diphenyl vinyl
acetate. As a control the reaction was performed using 0.1% Pd-PPh$_3$. Upon incubation at room temperature for 2 days the reaction was analysed by HPLC (Jeroen Wassenaar, Department of Homogeneous Catalysis, University of Amsterdam). No conversion was detected, even not in the control.
The test reaction with Pd-PPh$_3$ was repeated using 1% instead of 0.1% catalyst (see Table 1). Alternatively, the reaction was performed at a 10-fold bigger scale (5 mL THF). Cinnamyl acetate and diethylmethyl malonate were used as substrates. Still no conversion took place according to GC-MS. Using 1% catalyst in 5 mL THF and heating at 40 °C did not help either. As known from literature the reaction should work with 1% of catalyst. Therefore, it would have been worthwhile to study the reaction conditions we had used so far in more detail. However, it was decided to first improve the formation of the hybrid catalyst.
**Table 1.** Reaction conditions tested in the Pd-catalyzed allylic alkylation at small scale.
| Entry | Catalyst (%) | Substrate | V (mL) | T (°C) | Conversion |
|-------|--------------|----------------------------|--------|--------|------------|
| 1 | Pd-1-CalB (<0.1) | diphenyl vinyl acetate | 0.5 | 21 | n.d. |
| 2 | Pd-PPh$_3$ (0.1) | diphenyl vinyl acetate | 0.5 | 21 | n.d. |
| 3 | Pd-PPh$_3$ (1) | cinnamyl acetate | 0.5 | 21 | n.d. |
| 4 | Pd-PPh$_3$ (0.1) | cinnamyl acetate | 5 | 21 | n.d. |
| 5 | Pd-PPh$_3$ (1) | cinnamyl acetate | 5 | 40 | n.d. |
### 6.2.2 Linkage of a pincer ligand via the copper-free ‘click’ reaction
To maximize the degree of conjugation, we decided to use the dibenzo-azacyclooctyne moiety for linkage of the transition metal ligand. It is known that the strain-promoted click reaction requires no Cu(I)-catalyst and proceeds much faster and more efficiently than the Cu(I)-catalyzed reaction using the alkynyl moiety.
The so-called pincer ligand was chosen for this alternative approach. This kind of ligand has been used before in combination with biocatalysts as described by Van Koten *et al.*\(^{21}\) It was decided to exploit an NCN-pincer Pd complex, which is known for its high stability. Synthesis of a *para*-substituted variant of this ligand was performed as depicted in Scheme 7, based on literature procedures.\(^{24}\)
The amine was used to introduce the dibenzoazacyclooctyne moiety. However, direct linkage of the dibenzoazacyclooctyne 10 (see Scheme 8) to the aryl amine was unsuccessful. By coupling a short spacer to the pincer ligand an aliphatic amine was introduced which facilitated the formation of the dibenzoazacyclooctyne-functionalized pincer ligand 2. The compound was obtained not entirely pure, as some DMF and probably also some triethylamine had remained. Nevertheless, it was used for conjugation to azide-functionalized 147CalB.
Approximately 5 equivalents of 2 in DMSO were added to 147CalB in phosphate buffer. The reaction was incubated overnight at room temperature followed by ultrafiltration with MQ. Mass analysis confirmed that the pincer ligand had successfully been linked to the enzyme (Figure 3). A mass shift of 692 Da was observed while ligand 2 has a mass of 657 Da. Probably, a chloride ion was coordinated to the ligand. Not only proceeded the conjugation quantitatively, CalB was also still active as indicated by the formation of $p$-nitrophenol upon addition of $p$-nitrophenyl butyrate to the desalted enzyme fraction (data not shown).
Complexation of Pd to the pincer ligand-CalB conjugate was attempted by overnight incubation in toluene or MQ followed by addition of THF for one hour. Unfortunately, both trials did not result in Pd being coordinated to the ligand as verified by ESI-TOF. Complexation of Pd to the ligand before linkage to CalB turned out to be impossible. As observed by NMR, the metal complex was reactive towards the dibenzoazacyclooctyne (data not shown).
Scheme 8. Functionalization of pincer ligand 6 with dibenzoazacyclooctyne via the introduction of an aliphatic amine followed by an NHS-amine coupling.
Figure 3. Conjugation of pincer-type ligand 2 to azido-functionalized 147CalB analysed by ESI-TOF MS. A) no ligand, B) 5 equivalents ligand.
6.3 – Conclusions
In conclusion, two different transition-metal ligands have successfully been coupled near the active site of CalB. Whereas the Cu(I)-catalyzed conjugation of an alkynyl phosphine ligand only proceeded to moderate extent, linkage via the
dibenzoazacyclooctyne moiety was quantitative. This latter achievement is of great importance in the preparation of a biohybrid metal-enzyme catalyst, as separation of non-functionalized enzyme from the ligand-enzyme conjugate will be very laborious, if not impossible.
Unfortunately, insertion of Pd(II) in the pincer ligand has not been achieved yet. It was shown that the highly-activated triple bond in 2 reacted with the *in situ* formed Pd(II) complex, which made it impossible to introduce the metal species before conjugation to the enzyme. It may be worthwhile, however, to study the complexation of Pd after coupling of the ligand to CalB in more detail. So far, it has only been attempted in two test reactions.
Alternatively, a metal catalyst may be selected which is not reactive towards the alkyne moiety. One could think of a Mn-porphyrin complex which can be used in epoxidation reactions. Changing the metal ligand will be relatively straightforward as the amine reactive DIBAC 10 is available.
### 6.4 – Acknowledgements
R. J. Detz and J. Wassenaar from the Department of Homogeneous Catalysis of the University of Amsterdam are kindly acknowledged for providing the propynyl phosphine and assistance with the Pd-catalyzed allylic substitution reactions, respectively. F. C. M. Smits and M. F. Debets are thanked for their practical contribution concerning synthesis of the dibenzoazacyclooctyne-functionalized pincer ligand.
### 6.5 – Experimental section
#### Materials and general remarks
Unless stated otherwise, all reactions were performed under ambient atmosphere and temperature and with chemicals obtained from commercial source, used without further purification. Purification by column chromatography was carried out using *Silicycle* silica gel (0.040 - 0.063 mm, and ca. 6 nm pore diameter). Propynyl phosphine 1 was synthesized by Remko Detz (Department of Homogeneous Catalysis, University of Amsterdam). The amino acid sequences of 147CalB and MGCalB are described in Chapter 4. These CalB mutants were expressed and purified as described in Chapter 2. Dibenzoazacyclooctyne-functionalized pincer ligand 2 was synthesized by Nanda Smits and Marjoke Debets. NMR spectra were recorded on a Varian Inova 400 (400 MHz for $^1$H) and a Bruker DMX 300 (75 MHz for $^{13}$C). High-resolution mass analyses
were performed using electrospray ionization on a JEOL AccuTOF. GC-MS was conducted on a Thermo Finnigan PolarisQ using a capillary column (Varian FactorFour™, 30m x 0.25 mm i.d.)
**Cu(I)-catalyzed click reaction between CalB and alkyne-functionalized phosphine ligand 1**
A fresh stock solution of CuSO$_4$ (20 mM) and sodium ascorbate (25 mM) in MQ was prepared and premixed in a 1:1 ratio with a 40 mM stock solution of tristriazole ligand in MeCN. This mixture will be referred to as ‘click mix’. A 10 mM solution of **1** in THF was prepared as well. 50 equivalents of Cu(I) and 50 equivalents of **1** were added to 45 µg of 147(AHA)CalB or MG(AHA)CalB in buffer containing 50 mM NaH$_2$PO$_4$, 150 mM NaCl (pH 7.0). The reaction mixture, containing 10% THF, was incubated overnight at room temperature while gently shaken. It should be noted that some white precipitate was formed upon addition of **1** to the protein. A smaller amount of precipitate appeared when **1** was added to a buffered solution without protein, indicating that solubility of the ligand was part of the problem. ‘Click mix’ and **1** were removed by ultrafiltration using a 10 kDa MWCO centrifugal filter unit (Millipore). The product was analyzed by electro-spray ionization time-of-flight (ESI-TOF) on a JEOL AccuTOF. 10 µM of protein in Milli-Q/formic acid (0.1-1 %) was injected. Deconvoluted spectra were obtained using Magtran software. Alternatively, a fresh solution of ‘click mix’ and **1** were added followed by incubation at room temperature for an additional 16 hours. When the CalB-1 conjugate was to be tested for its ability to catalyze an allylic substitution, 340 µg wt(AHA)CalB (10 nmol) was used.
**Deprotection of phosphine ligand 1 conjugated to CalB**
CuSO$_4$, ascorbate, tristriazole ligand and excess of **1** were removed from the CalB-**1** conjugate by ultrafiltration using degassed Milli-Q. While flushing the solution with Ar, 10 µL of a 10 mM stock solution of 1,4-diazabicyclo[2.2.2]octane (DABCO) was added to the conjugate in 200 µL degassed Milli-Q. The solution was shaken overnight at room temperature in a closed vial filled with Ar and lyophilized the next day.
**Pd-catalyzed allylic substitution using CalB-1 or PPh$_3$ as ligand**
Stock solutions in dry THF were prepared of [PdallylCl]$_2$, PPh$_3$ and diphenyl vinyl acetate. To ~10 nmol lyophilized, deprotected CalB-**1** conjugate, 0.5 mL dry THF was added followed by addition of 0.4 equivalents of [PdallylCl]$_2$ under Ar atmosphere. Alternatively, 10 or 100 nmol PPh$_3$ and 4 or 40 nmol [PdallylCl]$_2$ were added to 0.5 mL (or 5 mL) THF. The mixtures were shaken for 30 minutes at room temperature to allow complexation of Pd to take place. Then, 10 µmol diphenyl vinyl acetate (or cinnamyl acetate) was added. The sample was shaken for 5 minutes before 30 µmol dimethyl malonate (or diethylmethyl malonate) and 30 µmol N,O-bis(trimethylsilyl) acetamide were added as well. Reaction mixtures were incubated at room temperature (or 40 °C) for two days and analysed by HPLC or GC-MS.
Synthesis of dibenzoazacyclooctyne-functionalized pincer ligand 10
2-Bromo-1,3-bis(bromomethyl)benzene 3
According to a modified literature procedure\textsuperscript{25}, 2-bromo-1,3-dimethylbenzene (0.56 g, 3 mmol) was dissolved in CCl$_4$ (10 mL) together with azobisisobutyronitrile (25 mg, 0.15 mmol) and N-bromosuccinimide (1.07 g, 6 mmol) and refluxed under argon atmosphere. The conversion was checked with GC and after 1 day the mixture was filtered over Celite with CH$_2$Cl$_2$ and concentrated in vacuo. The crude product was purified using column chromatography ($n$-heptane 100%), to obtain the product as a colorless crystalline material in 39.5% yield. $^1$H -NMR (300 MHz, CDCl$_3$) $\delta$: 7.41 (m, 2H), 7.29 (m, 1H), 4.64 (s, 4H).
1,1’-(2-Bromo-1,3-phenylene)bis(N,N-dimethylmethanamine) 4
Compound 3 (0.34 gram, 1mmol) was dissolved in toluene (20 mL) under nitrogen atmosphere. A solution of dimethylamine (5 mL, 10 mmol) in toluene was then added, following literature procedure\textsuperscript{26}. This mixture was kept at 5°C and after one hour it was stirred for 2 h at the same temperature. The reaction was filtered over Celite and the filtrate was concentrated in vacuo. The crude product was purified using column chromatography (EtOAc/Net$_3$ 200:1), obtaining the product as a yellow oil in 87% yield. $^1$ H-NMR (300 MHz, CDCl$_3$) $\delta$: 7.32 (m, 2H), 7.25 (m, 1H), 3.55 (s, 4H), 2.31 (s, 12H).
1,1’-(2-Bromo-5-nitro-1,3-phenylene)bis(N,N-dimethylmethanamine) 5
Compound 4 (87 mg, 0.3 mmol) was added slowly to sulfuric acid (0.82 g, 8.3 mmol) at 0°C. With a temperature below 10°C, 65% nitric acid (0.12 g, 1.93 mmol) was added as described elsewhere\textsuperscript{24}. This mixture was stirred at 0°C for 3.5h after which it was quenched in demi-water on ice and neutralized using NaOH. The product was extracted using CH$_2$Cl$_2$. The organic layer was washed with Brine and dried over MgSO$_4$ and then concentrated in vacuo. The crude product was purified using gradient column chromatography (n-heptane/EtOAc/NEt$_3$ 199:0:1 to 199:5:1) obtaining the product as a yellow solid in 66.1%. $^1$H -NMR (300 MHz, CDCl$_3$) $\delta$: 8.25 (s, 2H), 3.61 (s, 4H), 2.35 (s, 12H).
1,1’-(5-Amino-2-bromo-1,3-phenylene)bis(N,N-dimethylmethanamine) 6
Following a literature procedure\textsuperscript{27}, compound 5 (50 mg, 0.16 mmol) was dissolved under nitrogen atmosphere in EtOH (1.5mL). 10% Pt/C (3 mg, 1.6 µmol) was added upon which the mixture was heated to 50°C. At this temperature hydrazine monohydrate (100 mg, 3.1 mmol) was added dropwise, after which the reaction was left to reflux for an additional 3 hours. The catalyst was filtered off over Celite and the filtrate was concentrated in vacuo resulting in an oil that was dissolved in CH$_2$Cl$_2$ and washed with H$_2$O (3x) and with Brine. The organic layer was dried over MgSO$_4$ and concentrated in vacuo affording a yellow solid. The product was purified using
gradient column chromatography (n-heptane/EtOAc/NEt₃ 4:199:1 to CH₂Cl₂/MeOH/NEt₃ 199:20:1) to obtain the product as a brown solid in 85% yield. \(^1\)H -NMR (300 MHz, CDCl₃) δ: 6.74 (s, 2H), 3.61 (m, 2H), 3.50 (s, 4H), 2.35 (s, 12H).
**Benzyl 3-chloro-3-oxopropylcarbamate 7**
Under nitrogen atmosphere 3-(benzyloxy carbonyl-amino)propanoic acid (50 mg, 0.22 mmol) was dissolved in CH₂Cl₂ (3 mL) and oxalyl chloride (0.28 g, 2.2 mmol) was added. The reaction mixture was stirred at room temperature for 4h, as described in literature\(^{28}\). Subsequently, all solvents were removed under reduced pressure obtaining the product, which appeared as yellow oil in 89%. The reaction was checked using mass spectrometry, showing the MeOH adduct and hardly any starting material.
**Benzyl 3-(4-bromo-3,5-bis((dimethylamino)methyl)phenylamino)-3-oxopropylcarbamate 8**
Compound 6 (30 mg, 0.11 mmol) was dissolved in dry CH₂Cl₂. Triethylamine (21 mg, 0.21 mmol) was added upon which the reaction mixture was cooled to 0°C before compound 7 (38 mg, 0.16 mmol) was added as well. The reaction was stirred for 3h while slowly warming up to room temperature. The reaction was quenched with H₂O and diluted in CH₂Cl₂ upon which it was washed with 2M NaOH (2x), H₂O (2x) and Brine. The organic layer was dried over MgSO₄ and concentrated in vacuo. The product was purified using gradient column chromatography with 0.5%NEt₃ in the eluent (CH₂Cl₂:MeOH:NEt₃ 199:6.5:1 to 199:20:1), resulting in the product as a yellow solid in 78%. \(^1\)H-NMR showed the product not to be pure. \(^1\)H -NMR (400 MHz, CDCl₃) δ: 7.67 (s, 2H), 7.29-7.34 (m, 5H), 5.09 (s, 2H), 3.62 (s, 4H), 3.55 (q, 2H), 2.64 (m, 2H), 2.36 (s, 12H). Impurity δ: 3.07 (q), 1.39 (t).
**3-Amino-N-(4-bromo-3,5-bis((dimethylamino)methyl)phenyl)propanamide 9**
Compound 8 (5 mg, 10.2 μmol) was dissolved in HBr in AcOH (33wt%, 0.5 mL). This mixture was stirred for 5 minutes whereupon the solvents were removed in vacuo. The crude product appeared as a light brown crystal. \(^1\)H-NMR showed the product not to be pure. \(^1\)H -NMR (400 MHz, D₂O) δ: 7.91 (m, 2H), 4.62 (m, 4H), 3.39 (m, 2H), 2.99 (m, 12H), 2.94 (m, 2H). \(^{13}\)C-NMR (75 MHz, D₂O) δ: 170.5, 137.1, 131.4, 126.4, 122.9, 60.6, 42.4, 34.8, 32.2.
**NHS-containing dibenzoazacyclooctyne 10**
Dibenzoazacyclooctyne functionalized with 5-oxopentanoic acid\(^{29}\) (10 mg, 0.03mmol) was dissolved in dry THF (10 mL) and cooled
to 0°C whereupon N-hydroxysuccinimide (7.2 mg, 0.06 mmol), DMAP (0.38 mg, 0.06 mmol) and EDC (12 mg, 0.12 mmol) were added. The reaction was stirred, while warming up to reach room temperature. The next day the reaction was diluted with CH$_2$Cl$_2$ and washed with 2M HCl (2x), 2M NaOH (2x) and Brine. The organic layer was dried over MgSO$_4$ and concentrated in vacuo. The product was a yellow oil. Mass spectrometry showed the MeOH adduct and no starting material.
**Dibenzoazacyclooctyne-functionalized pincer ligand 2**
Compound 9 (9 mg, 0.025 mmol) was dissolved in dry DMF (0.5 mL) under nitrogen atmosphere. Compound 10 (12.6 mg, 0.03 mmol) was dissolved in dry CH$_2$Cl$_2$ (0.5 mL) and added to the reaction together with NEt$_3$(7 µL, 0.05 mmol). The reaction was stirred for 1h upon which the mixture was diluted in CH$_2$Cl$_2$ and washed with 2M NaOH (2x), H$_2$O and brine after which it was dried over MgSO$_4$ where after all solvents were removed under reduced pressure. The product was checked by mass spectrometry and $^1$H-NMR. $^1$H-NMR showed the product not to be pure.
$^1$H -NMR (400 MHz, D$_2$O) δ: 8.34 (m, 1H), 7.35 (m, 11H*), 7.10 (m, 2H), 5.16 (m, 1H*), 3.65 (m, 2H), 3.53 (m, 4H), 2.30 (m, 12H), 1.97 (m, 6H), 1.71 (m, 3H*). *These integrals should be lower, the fact that these integrals are higher is supposedly due to impurities. $^{13}$C-NMR (75 MHz, D$_2$O) δ: 173.8, 172.2, 170.5, 152.3, 151.6, 138.3, 136.8, 128.1 (2C), 127.0 (2C), 123.5 (2C), 121.7, 121.5, 120.9, 119.6, 115.8, 109.2, 62.4, 48.4, 45.8, 37.0, 36.1, 34.5, 29.7, 21.5. HRMS (ESI+) m/z caled for C$_{35}$H$_{40}$Br$_1$N$_5$Na$_1$O$_3$ [M+Na]$^+$ 680.2205, found 680.2212.
**Coupling of pincer ligand 2 to CalB**
0.73 nmol 147(AHA)CalB (25 µg) was mixed with 5 or 25 equivalents of compound 2 (dissolved in DMSO, 2 or 10 mM) in a buffered solution containing 50 mM NaH$_2$PO$_4$, 150 mM NaCl (pH 7.0). The final reaction volume was 25 µL. As a negative control, 1.8 µL DMSO instead of 2 was added. Reactions were shaken overnight at room temperature and desalted against Milli-Q (five times 0.5 mL) using a 10 kDa MWCO centrifugal filter unit (Millipore). The product was analyzed by electro-spray ionization time-of-flight (ESI-TOF) on a JEOL AccuTOF. 10 µM of protein in formic acid (0.1-1 %) was injected. Deconvoluted spectra were obtained using Magtran software.
**Introduction of Pd in pincer ligand 2**
Tris(benzylideneacetone)dipalladium (Pd$_2$(dba)$_3$) (0.1 mmol) was added to 2 (0.1 mmol) in 1 mL toluene and stirred overnight at room temperature. A few droplets of THF were added and the
reaction was stirred for an additional three hours. All volatiles were evaporated in vacuo and the residue was diluted in CH$_2$Cl$_2$ (10 mL) and filtered over Celite. The product was precipitated using isopropylether.
A stock solution of Pd$_2$(dba)$_3$ was prepared and CalB-2 was incubated with Pd$_2$(dba)$_3$ as well. An excess of Pd$_2$(dba)$_3$ relative to protein was used. Either toluene or Milli-Q were used as solvent. Reagents were removed by ultrafiltration with Milli-Q (five times 0.5 mL) using a 10 kDa MWCO centrifugal filter unit (Millipore). The product was analyzed by electro-spray ionization time-of-flight (ESI-TOF) on a JEOL AccuTOF as described before.
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A synthetic metabolon for piceid production
Part of this chapter will be published:
Schoffelen, S.; Rooijakkers, B.; Debets, M. F.; Trilling, A.; Cordewener, J. H. G.; Beekwilder, J.; Bosch, D.; van Hest, J. C. M., *in preparation*
7.1 – Introduction
Metabolic channeling plays an important role in the biosynthesis of numerous natural products.\textsuperscript{1, 2} Intermediates are transferred from one catalytic site to the other without or with less diffusion into the bulk phase of the cell. It has inspired researchers to mimic this approach by bringing enzymes together in an artificial way.\textsuperscript{3, 4} Several studies involving the \textit{in vitro} co-localization of enzymes have been reported, as summarized in Chapter 1. Different approaches have been employed, such as non-specific co-immobilization, non-covalent encapsulation, scaffold-mediated co-localization and the construction of gene fusions.
Recently, new site-specific strategies have been developed to modify proteins in a controlled manner.\textsuperscript{5} For example, azides can be introduced in proteins in a specific way as shown in Chapters 3 and 5. They can be exploited to produce covalently linked CalB oligomers via selective bioconjugation (see Chapter 4). Surprisingly, this kind of approach has not been used yet for the controlled, direct linkage of different enzymes. We were therefore motivated to make use of site-specific modification strategies for the creation of an artificial metabolon. As a model system, the synthesis and glycosylation of resveratrol was chosen.
Resveratrol (\textit{trans}-3,5,4’-trihydroxystilbene) is a polyphenol produced by specific plants. It is present in food products such as red wine, grapes, peanuts, olive oil and cranberries. Since twenty years, this compound has received a lot of attention for its potential medicinal properties, such as antioxidative and anticarcinogenic activity as well as protection against cardiovascular diseases.\textsuperscript{6, 7} It is derived from $p$-coumaric acid, which is attached to coenzyme A (CoA) by the action of 4-coumarate:coenzyme A ligase (4CL). Subsequently, three acetyl units (derived from malonyl-CoA) are added to coumaroyl-CoA, followed by a cyclization reaction, catalyzed by stilbene synthase (STS) (see Scheme 1).
As an alternative to extraction from plants or chemical synthesis, resveratrol has been produced in microorganisms. By co-expression of 4CL from a hybrid poplar and grapevine STS in \textit{Saccharomyces cerevisiae} microbial resveratrol production was established as reported for the first time by Becker and colleagues.\textsuperscript{8} Beekwilder \textit{et al.} used 4CL from tobacco and STS from grape to produce resveratrol in both \textit{Escherichia coli} and \textit{S. cerevisiae} in a yield of 16 mg/L and 6 mg/L, respectively.\textsuperscript{9} Similarly, Watts and co-workers constructed the stilbene biosynthesis pathway in \textit{E. coli} using 4CL from \textit{Arabidopsis thaliana} and STS from peanut. Recently, additional publications
describing resveratrol production in *S. cerevisiae* have appeared, whereas reviews on resveratrol bioproduction in general have been provided as well.
**Scheme 1.** Biosynthesis of resveratrol. *p*-Coumaric acid is coupled to CoA by 4CL. STS adds three malonyl-CoA units to coumaroyl-CoA. During this chain extension step the substrate is linked to the enzyme’s active site cysteine (Cys). The synthesis is completed by an internal cyclization reaction catalyzed by STS as well.
An appealing study concerning the biosynthesis of resveratrol has been reported by Zhang *et al.* A fusion protein was produced in which STS from *Vitis vinifera* was attached to the C-terminal end of 4CL from *A. thaliana*. This fusion protein was expressed in *S. cerevisiae*. The culture was fed *p*-coumaric acid for 5 to 24 hours and resveratrol was extracted from the culture medium. The *in vivo* production of resveratrol was up to 15-fold higher compared to coexpression of 4CL and STS from two separate expression vectors. The 4CL:STS fusion gene was introduced into human HEK293 kidney cells, together with the *TAL* gene encoding for tyrosine ammonia lyase (TAL). TAL catalyzes the production of *p*-coumaric acid from tyrosine. This enabled *de novo* resveratrol biosynthesis in a mammalian cell line by supplying tyrosine.
Inspired by the research described by Zhang *et al.*, we set out to produce 4CL-STS conjugates *in vitro*. However, as multi-enzyme complexes in nature often consist of more than two different biocatalysts, we aimed at coupling a third enzyme as well, being a glycosyl transferase. One of the most abundant resveratrol derivatives is piceid (*trans*-resveratrol-3-*O*-β-glucoside), which is formed by regioselective glycosylation by a UDP-glucose transferase. It has been suggested that this glycosylated derivative results in better uptake in the human body.
The aim of the research described in this chapter was to create a synthetic metabolon for the production of piceid, as depicted in Scheme 2. 4CL2 from *Nicotiana tabacum* (GenBank accession no. U50846), STS from *Vitis vinifera* (GenBank accession no. EU156062) and Twi, a UDP-glucosyl transferase from *Solanum lycopersicum* (GenBank accession no. CAA59450.1) were selected for this study.
Scheme 2. An artificial metabolon consisting of 4CL, STS and Twi for *in vitro* biosynthesis of piceid.
7.2 – Results and discussion
7.2.1 Production and purification of 4CL2, STS and Twi
4CL2, STS and glucosyl transferases related to Twi have been expressed and purified from *E. coli* before.\textsuperscript{17-26} Here, the enzymes were produced either in MTD[pREP4] *E. coli* cells (as for 4CL2 and STS), or in BLR[DE3] cells (as for Twi). The enzymes, containing an N-terminal histidine tag, were obtained in high purity after Ni\textsuperscript{2+} NTA affinity chromatography as shown in Figure 1.
**Figure 1.** Ni\textsuperscript{2+} NTA-mediated purification of 4CL2 (lane 1), STS (lane 2) and Twi (lane 3) analysed by SDS-PAGE electrophoresis. Of each enzyme an elution fraction was loaded on a 7.5% polyacrylamide gel. The gel was stained by Coomassie Brilliant Blue.
Additional purification over a size-exclusion column allowed for removal of imidazole and exchange of buffer, as well as removal of any final impurities. With respect to STS, 5 mM DTT was added to the eluent as described previously.\textsuperscript{21} No DTT was added to 4CL2 and Twi as the reducing agent would interfere with the different functionalization strategies that were to be tested for these enzymes. Typically, 10-20 mg of protein was obtained per litre bacteria culture.
The enzymes were analysed by mass spectrometry. As shown in Table 1, masses were detected that corresponded to the calculated values indicating that the amino acid sequences of the proteins were as expected and no modifications had occurred, except for cleavage of the N-terminal methionine of Twi.
\textbf{Table 1.} Analysis of 4CL2, STS and Twi by ESI-TOF mass spectrometry.
| Protein | Calculated (Da) | Detected (Da) |
|---------|----------------|---------------|
| 4CL2 | 60838.1 | 60838.0 |
| STS | 44239.8 | 44238.8 |
| Twi | 54440.8* | 54438.5 |
*Calculated mass of Twi upon removal of the N-terminal methionine.
\subsection*{7.2.2 Activity of the purified enzymes}
The activities of the three purified enzymes were studied \textit{in vitro}. First, formation of coumaroyl-CoA by 4CL2 was followed by UV/Vis spectroscopy. Upon addition of the enzyme to a solution containing $p$-coumaric acid and coenzyme A (CoA), an increase in absorbance at 333 nm was detected indicating that 4CL2 was active. In the first 30 seconds 2.75 nmol of product was formed, corresponding to a specific activity of 23 nkat/mg. This means that 23 nmol coumaroyl-CoA was formed in one second by 1 mg of enzyme.
STS activity was followed by HPLC.\textsuperscript{9} 4CL2 was used to produce coumaroyl-CoA \textit{in situ}, whereas malonyl-CoA, the second substrate for STS, was purchased from a commercial supplier. $p$-Coumaric acid and the final product resveratrol were separated and detected at 307 nm at retention times of 14.6 min and 21.7 min, respectively. As shown in Figure 2A, when no enzyme was added to the reaction mixture, only $p$-coumaric acid was detected by HPLC. Upon addition of 4CL2, the peak corresponding to $p$-coumaric acid almost entirely disappeared, indicating that coumaroyl-CoA was formed (see Figure 2B). Because of its hydrophilic nature, coumaroyl-CoA eluted at
low acetonitrile concentration together with other hydrophilic compounds that were added to the reaction mixture (not shown in these graphs).
When STS was added to the reaction mixture as well, a new peak appeared which coincided with a resveratrol standard, indicating that STS was active (see Figure 2C). The small peak at 20.2 min is expected to be chalcone. Chalcone is synthesized by chalcone synthase (CHS), which uses the same substrates as STS. It is known from literature that CHS and STS show cross-reactivity when used *in vitro*, meaning that some chalcone is being formed by STS.\textsuperscript{22} The specific activity of STS was found to be 0.40 nkat/mg.
**Figure 2.** Activity of 4CL2, STS and Twi analysed by HPLC at 307 nm. The reaction mixture of each assay contained *para*-coumaric acid, ATP, CoA, malonyl-CoA and UDP-glucose. A) no enzyme, B) 4CL2 only, C) 4CL2 and STS, D) 4CL2, STS and Twi. Retention times: *para*-coumaric acid at 14.7 min, resveratrol at 21.7 min, monoglucosides at 16.9 and 18.1 min and diglucosides at 14.2 and 14.6 min.
Finally, in order to detect the activity of the glucosyl transferase, the reaction mixture was supplemented with Twi. The chromatogram in Figure 2D shows that in this case hardly any resveratrol was present anymore. Instead, new peaks had appeared,
of which one coincided with a piceid standard (18.1 min). By LC/MS it was shown that the additional peaks corresponded to another monoglucoside (16.9 min) and two diglucosides (14.2 and 14.6 min). The specific activity of Twi was shown to be 1.4 nkat/mg.
7.2.3 Functionalization of STS by azidohomoalanine incorporation
As mentioned above, our aim was to link the three enzymes together. The strain-promoted cycloaddition between azides and alkynes, successfully used in the construction of CalB oligomers (see Chapter 4), was selected as one of the conjugation reactions for the production of these synthetic enzyme oligomers. Therefore, STS was expressed in presence of azidohomoalanine (AHA). The protein yield was lower under these conditions than described in Section 7.2.1, but comparable to the one obtained when azidohomoalanine was introduced in CalB (see Chapter 2). 0.5 to 2 mg protein was purified from one litre bacteria culture. The mass detected for AHA-STS showed that azidohomoalanine incorporation was successful. Compared to STS which contained methionine (Met-STS), a decrease in mass was found that corresponded to 11 methionine-azidohomoalanine replacements (see Figure 3).
Figure 3. Mass spectra of (A) Met-STS and (B) AHA-STS.
The influence of azidohomoalanine incorporation on activity was determined by comparing the initial velocities of AHA-STS and Met-STS. 0.24 nkat/mg was found for AHA-STS, whereas Met-STS displayed a specific activity of 0.40 nkat/mg enzyme. So, replacement of methionine still yielded a functional enzyme, albeit with somewhat lower activity. The activity values observed were comparable to activities found in literature.\(^{23}\)
Next it was investigated whether the azides that were introduced in STS were accessible for conjugation. The protein was incubated with polyethylene glycol (PEG, Mw 2000) functionalized with a dibenzoazacyclooctyne (DIBAC) moiety\textsuperscript{27}. The conjugation reaction was analysed by gel electrophoresis (see Figure 4). Up to four polymer chains were attached to the enzyme, as deduced from the additional bands that were visible on the polyacrylamide gel. While longer incubation times did not improve labeling efficiency (see Figure 4, lanes 1-4), addition of more equivalents of polymer did (Figure 4, lanes 7 and 8). Some STS remained unreacted, even when a large excess of polymer was added (see Figure 4, lane 8). This could be due to the fact that not all protein molecules contained azidohomoalanine. Because of so-called ‘leaky expression’ some STS may have been produced before the medium shift. This proportion of enzyme will contain methionine instead of the non-natural analogue.
**Figure 4.** Labeling of AHA-STS with PEG2000 containing a dibenzoazacyclooctyne moiety. Lanes 1-4: Approximately 5 equivalents of PEG2000 were added relative to protein and reactions were incubated for 2, 4, 8 and 16 hours, respectively. Lane 5 and 6 contain negative controls to which no polymer was added. Lanes 7 and 8: 2 and 20 equivalents of PEG2000 were added relative to protein followed by incubation for 16 hours. Arrows with numbers on both sides of the gels indicate the amount of polymer chains attached to the protein.
### 7.2.4 Production of Twi-STS conjugates
It was decided to first attempt linkage of STS to Twi. In order to selectively couple these enzymes to each other without the chance of forming homo-oligomers, heterotelechelic linker \textbf{1} was designed (see Scheme 3). One of the linker’s ends was functionalized with a dibenzoazacyclooctyne moiety, which would allow for selective conjugation to AHA-STS. An activated ester moiety was introduced at the other end of the linker to target the amines of Twi. Unlike azidohomoalanine, the amine is a naturally occurring functionality, which is also present in STS. To prevent labeling of STS via the activated ester, Twi was first reacted with linker \textbf{1}, while azidefunctionalized STS was only added after removal of unreacted linker. So, the complex formation was conducted in two steps as depicted in Scheme 3. A short spacer was inserted in **1** to allow for some flexibility in the enzyme complexes that would be produced.
**Scheme 3.** Schematic representation of the strategy applied to link Twi to STS. First, the activated ester on heterotelechelic linker **1** was allowed to react with free amines present in Twi. After removal of the excess of linker, AHA-STS was added to let the azides react with Twi decorated with dibenzoazacyclooctyne functionalities.
Labeling of Twi with **1** was studied by adding 5, 10 and 15 equivalents of **1** to the glycosyl transferase followed by incubation at room temperature for two hours. The degree of labeling was determined indirectly by adding azide-functionalized PEG2000 to the Twi-**1** conjugate. Linkage of the polymer, which could only occur if dibenzoazacyclooctyne groups were present on the protein, was visualized by gel electrophoresis. As shown in Figure 5A, a rather large amount of Twi remained unlabeled when only a small excess of linker had been added (see Figure 5A, lane 2). This is explained by the fact that the activated ester readily hydrolyzes in aqueous solution after which it will not react with amines anymore. By using 10-15 equivalents of **1**, multiple polymer chains were attached to Twi indicating that more than one linker molecule had reacted with the enzyme (see Figure 5A, lane 3 and 4). This was as expected, as Twi contains 31 lysine residues.
Lysines play a role in maintaining a protein’s structure and may directly be involved in the catalytic function of an enzyme. Therefore, targeting amines in a conjugation reaction can lead to changes in enzyme activity. The effect of labeling on Twi activity was investigated by comparing the glycosylation velocities of different aliquots of Twi, which were reacted with varying amounts of **1**. Figure 5B shows that increasing the amount of **1** leads to a decrease in Twi activity. However, after treatment with up to 10 equivalents of **1**, approximately 85% of Twi activity was retained. Since it could be deduced from Figure 5A that with 10 equivalents of **1** at least 50% of the enzyme molecules had been labeled (Figure 5A, lane 3), it was clear that the detected activity did not only originate from unreacted enzyme.
Figure 5. Functionalization of Twi with linker 1. A) The enzyme was incubated at room temperature for 2 hours. Increasing amounts of linker were added, being 0 (lane 1), 5 (lane 2), 10 (lane 3), and 15 (lane 4) equivalents relative to protein. Subsequently, PEG2000-N$_3$ (25 eq. relative to Twi) was allowed to react with the Twi-1 conjugate to visualize the degree of functionalization on a 10% polyacrylamide gel. B) Activity of Twi after labeling with varying amounts of linker 1. Glycosylation of resveratrol was followed by HPLC after removal of the excess of linker by ultrafiltration.
Having confirmed that AHA-STS is active and contains azides which are accessible for conjugation (see Section 2.3), and Twi remains active upon targeting its amines, we proceeded with the enzyme oligomerization. Twi-STS conjugate formation was attempted as depicted in Scheme 3. Crude reaction mixtures were analysed by gel electrophoresis on a 10% polyacrylamide gel. Covalently linked complexes of varying molecular weights were formed as shown in Figure 6. As most oligomers had a mass higher than the Twi-STS dimer (~100 kDa), it could be concluded that multiple Twi and STS molecules were coupled to each other.
When Twi was labeled with more equivalents of 1, a larger amount of enzyme molecules was cross-linked. Not only had fewer enzyme monomers remained unreacted, the complexes were larger as well (Figure 6, comparing lane 2 and 3 with lane 4 and 5). Adding only half of the amount of STS relative to Twi had hardly any effect (see Figure 6, comparing lane 2 with 3 and lane 4 with 5). These results suggest that it is the degree of functionalization of Twi that limits the enzyme oligomerization. Every Twi molecule which contains only one reactive group, will terminate the oligomerization reaction. This will be the case when only 5 equivalents of 1 are added to Twi in the first step of the complex formation. The more Twi molecules contain two or more reactive groups, the larger the complexes can grow.
Figure 6. Twi-STS conjugate formation analysed by gel electrophoresis (10% polyacrylamide). Relative to Twi, 0, 5 or 25 equivalents of 1 were added, followed by 1 or 0.5 equivalent of STS (see numbers under gel). As a control, STS without Twi was loaded as well (lane 6).
Twi-STS conjugates were analysed by size-exclusion chromatography using a Superdex200 column (GE Healthcare). This technique allowed for estimation of the size of the complexes by comparing the elution times to those of protein standards. The chromatogram shown in Figure 7A was obtained from a conjugation reaction using 20 equivalents of 1 and one equivalent of STS relative to Twi. Unreacted Twi (54.5 kDa) and STS (44.2 kDa) eluted at the same time after 1.5 mL. The enzyme complexes eluted at volumes corresponding to 200-700 kDa.
The smallest oligomers eluted as a distinct peak corresponding to a mass of ~200 kDa. This observed molecular weight can be explained with the formation of a complex containing four enzyme molecules, as depicted in Figure 7B. SDS-PAGE analysis showed a band close to 100 kDa (see Figure 6), which is indicative of a covalently bound STS-Twi dimer. From literature it is furthermore known that STS forms non-covalently bound dimers under native conditions.\textsuperscript{28} The four-enzyme complex therefore most probably consisted of two STS-Twi dimers.
Figure 7. Twi-STS conjugate formation analysed by size-exclusion chromatography. A) Size-exclusion chromatogram of an oligomerization reaction using 20 equivalents of 1 and one equivalent of STS relative to Twi. Vertical lines indicate elution times of protein standards whose size (in kDa) is indicated by the number above the line. B) Schematic representation of two STS-Twi dimers brought together by the non-covalent interaction of the two STS units.
7.2.5 Analysis of Twi-STS conjugates by mass spectrometry
Oligomers larger than 200 kDa were expected to be less well-defined. When linear chains of Twi-STS would have formed, the averaged Twi:STS ratio would be equal to 1. However, branched structures could have originated as well, in which for example three Twi molecules were linked to one STS molecule. As demonstrated above, STS is known to contain at least four accessible azides (see Section 2.3). So, conjugation of more than two Twi units to one STS would be possible, if not restricted by steric hindrance. It implies that adding more Twi molecules during conjugate formation could result in a larger proportion of Twi in the complexes.
To investigate this possibility, Twi and STS were reacted in different ratios. Upon separation of the complexes by SDS-PAGE analysis, bands of oligomers larger than 200 kDa were excised and treated with trypsin. LC-MS was performed on the tryptic digests. As a reference, unmodified Twi and AHA-STS were isolated from gel as well. Upon trypsinization and extraction, these two digests were mixed in varying ratios and the relative intensities of two peptides, one originating from Twi and the other from STS, were determined. Those peptide pairs, of which the relative intensities in the mass spectra were shown to correlate with the ratio in which they were mixed, were
considered to be appropriate standards for the quantification of the relative amounts of Twi and STS in the complexes. Table 2 shows that a larger proportion was indeed present in the Twi-STS oligomers when more Twi was added during conjugate formation.
**Table 2.** Proportion of Twi and STS in the enzyme oligomers upon increasing the amount of Twi added to the conjugation reaction.
| Twi:STS | (Twi) / (STS)\(^a\) | (Twi) / (STS)\(^b\) |
|---------|---------------------|---------------------|
| 1:1 | 1.000 | 1.000 |
| 2:1 | 1.312 | 1.400 |
| 5:1 | 2.972 | 4.990 |
\(^a\) Relative intensities, as determined by mass spectrometry, of peptide 461-484 from Twi and peptide 294-303 from STS. \(^b\) Idem, of peptide 175-193 from Twi and peptide 294-303 from STS.
### 7.2.6 Activity of Twi-STS conjugates
The Twi-STS conjugates were well separated from monomers as shown by analysis of the elution fractions by native gel electrophoresis (see Figure 8A). This allowed for investigation of the activity of the conjugates by HPLC, similar to the studies performed on the purified, unmodified enzymes (see Section 2.2). The ability of the complexes to synthesize and glycosylate resveratrol was compared to the activity of non-conjugated enzymes.
Fractions derived from size-exclusion chromatography were collected and pooled in three different aliquots as indicated in Figure 8B. The STS and Twi activities contained by these samples were determined independently by either adding 4CL2 together with \(p\)-coumaric acid, CoA and malonyl-CoA, or resveratrol and UDP-glucose (see Figure 8C). The absorbance at 280 nm was used as a measure for the total amount of protein, being the sum of STS and Twi, in each fraction. Equal amounts of protein of fraction I, II and III were mixed with substrates. Production or glycosylation of resveratrol was allowed to take place for 90 minutes and quantified by HPLC.
While present in the oligomeric complexes, both enzymes were still active. Whereas the amount of resveratrol produced by STS in fraction I was equal to the control, 1.7 times more resveratrol was produced by the conjugates in fraction II (see Figure 8D). Twi activity was 0.8 and 0.7 times lower in fraction I and II, respectively. A difference in the ratios of STS : Twi in fraction II and the unreacted fraction III might be an explanation for the fact that more STS activity but less Twi activity was
detected in fraction II. The observation that in fraction I Twi activity was slightly lower than in the control while STS activity was the same, suggested that a small amount of glycosylation activity was lost due to formation of larger conjugates. Furthermore, it indicated that the larger conjugates were formed by addition of Twi molecules to the smaller enzyme complexes in fraction II, because otherwise the STS activity would have further increased.
**Figure 8.** Catalytic activity displayed by Twi-STS conjugates. A) Silver-stained 7.5% native polyacrylamide gel containing elution fractions obtained from size-exclusion chromatography. The fractions in lanes 1-6 were collected between 1 and 1.25 mL, lane 7 is from the distinct peak corresponding to ~200 kDa, lane 8 is from the peak eluting after 1.5 mL. B) Size-exclusion chromatogram indicating in roman numbers which fractions were tested for activity. I and II were collected as two different conjugate fractions, whereas III, containing STS and Twi monomers, was taken as reference. C) Table showing which components were present in the two separate activity assays that were conducted. D) Relative STS and Twi activities of the conjugates I and II compared to the ‘free’ enzymes in sample III. The amount of resveratrol synthesized by STS and the amount of resveratrol glycosylated by Twi were determined by HPLC.
7.2.7 Modification of 4CL2
Aiming at the creation of an enzyme complex containing not only stilbene synthase and glycosylation activity but also the capability of coumaroyl-CoA formation, we explored the options to modify 4CL2. A way to couple 4CL2 to the Twi-STS complexes would be by means of linker 1. This heterofunctional moiety contains an activated ester and a cyclooctyne group separated via a short ethylene glycol spacer. This linker could be employed in two different ways. First the amines present on the STS-Twi conjugates could be targeted with the activated ester unit. Subsequently, azide-functionalized 4CL2 had to be added such that the reaction between the dibenzoazacyclooctyne moiety of 1 and azides in 4CL2 could take place (see Scheme 4A). Alternatively, linker 1 could be coupled to the amine residues of 4CL2. In this case the STS-Twi complexes were to be functionalized with azides, for example via an aqueous diazotransfer reaction (see Scheme 4B).
For the first approach azides were introduced in 4CL2 by using the residue specific replacement strategy, through which the 14 methionine residues present were exchanged with the analogue azidohomoalanine. The same procedure was followed as described for STS (see Section 2.3). However, the detected mass of the protein obtained by Ni$^{2+}$ NTA affinity chromatography and size-exclusion chromatography was lower than expected. It corresponded to the mass of the stress-responsive chaperone protein GroEL/Hsp60, which is known to be co-purified from *E. coli* by Ni$^{2+}$ NTA affinity chromatography.\textsuperscript{29} Although some fractions showed to contain 4CL2 activity, indicating that the enzyme had been expressed, the overall yield was very low.
\[\text{[Twi-STS]} + \text{1} \xrightarrow{\text{2 hrs}} \text{4CL2-N}_3 \xrightarrow{\text{21 °C}} \text{Twi-STS-4CL2}\]
\[\text{4CL2} + \text{1} \xrightarrow{\text{2 hrs}} \text{[Twi-STS]-N}_3 \xrightarrow{\text{14-16 hrs}} \text{Twi-STS-4CL2}\]
**Scheme 4.** Two different ways of coupling 4CL2 to Twi-STS conjugates using 1 as linker.
As an alternative, it was tested whether azides could be introduced via the mild and metal-free, aqueous diazotransfer as described in Chapter 5. It was observed that incubation at elevated pH had a detrimental effect on 4CL2 activity (data not shown). Hence, the diazotransfer reaction was performed at pH 7.5. However, activity was entirely lost upon incubation for two hours in presence of imidazole-sulfonyl azide. It was hypothesized that lysines were modified that were essential for enzyme activity. In an attempt to prohibit conversion of those lysines, the three substrates ATP, CoA and coumaric acid were added during the diazotransfer reaction. Unfortunately, this had no positive effect (data not shown).
Since the first approach was not feasible, the alternate route was explored in which the activated ester of linker 1 was conjugated to the available lysines on 4CL2. This approach was successful, but also in this case the activity of the enzyme was affected. Addition of 25 equivalents of 1 per protein led to a reduction in activity of 85%. A smaller quantity of linker was added to limit its negative effect. To reach the desired degree of functionalization three times 2.5 equivalents of 1 were added. However, even though 67% activity had remained upon addition of the first aliquot of linker, the final activity was only 8% of the control (data not shown).
4-coumarate:CoA ligase 2 from *Arabidopsis thaliana* has been extensively studied by Stuible *et al.*\(^{17}\) With regard to this variant, at least four lysines were shown to be critical for catalytic activity. One lysine residue close to the C-terminus was found to be absolutely conserved. Substitution of three other lysines resulted in great loss of activity. Elucidation of the crystal structure of 4CL1 from *Populus tomentosa* provided additional insight in the ATP binding pocket.\(^{30}\) These findings agree with the results described above, *i.e.* modification of the lysines in 4CL2 from *Nicotiana tabacum* leads to inactivation of the enzyme.
A third strategy was therefore addressed, investigating whether any of the enzyme’s ten cysteines were available for conjugation. For this purpose, maleimide-functionalized linker 2 was synthesized (see Figure 9A). Conjugation of 2 to 4CL2 was studied indirectly by addition of PEG2000-N\(_3\). As shown in Figure 9B, approximately 50% of the enzyme was labeled with one PEG chain, *i.e.* being mono-functionalized. Surprisingly, the activity of 4CL2 incubated with one or two equivalents of 2 was higher compared to 4CL2 to which 2 was not added (see Figure 9C). Addition of 5 or 10 equivalents of 2 relative to protein, however, led to a decrease in activity to 56% and 22%, respectively.
Figure 9. Functionalization of 4CL2 via a cysteine-maleimide coupling. A) Structure of linker 2 containing a maleimide moiety at one end and a dibenzocyclooctyne functionality at the other end. B) Labeling of 4CL2 with 2 followed by incubation with 20 equivalents of PEG2000-N$_3$ analysed by gel electrophoresis (7.5 % polyacrylamide). Linker 2 was dissolved in DMSO. Only DMSO (lane 1) or 1 (lane 2) or 2 (lane 3) equivalents of 2 relative to 4CL2 were added. C) Activity of 4CL2 reacted with 0, 1 or 2 equivalents of 2 after ultrafiltration to remove DMSO and excess of 2.
7.2.8 Formation of 4CL2-STS-Twi complexes
Having found a way to modify 4CL2 without losing its activity, it was tested whether 4CL2 could be coupled to STS. Similar to conjugation of Twi to AHA-STS (see Section 2.4), 1 eq. of the linker-modified enzyme (4CL2-2) was reacted with 1.1 eq. of azide-functionalized stilbene synthase. Covalently linked 4CL2-STS complexes were formed as confirmed by gel electrophoresis (see Figure 10, lane 1). However, a relatively large amount of both STS and 4CL2 was not coupled. Either PEG2000-N$_3$ or PEG2000-DIBAC was added to the unreacted fraction. As shown in lane 4 of Figure 10, the remaining amount of 4CL2 did not react with azide-containing PEG, meaning that it had not been labeled with 2. At the other hand, STS could still be conjugated to PEG2000-DIBAC, which was indicated by the fact that almost all remaining STS disappeared after addition of this reactive polymer (see Figure 10, lane 5). Coupling of PEG2000-DIBAC to the STS-4CL2 conjugates took place as well (see Figure 10, lane 2).
Figure 10. Conjugation of 4CL2 to STS analysed by gel electrophoresis. Lane 1: non-purified reaction product showing covalently linked 4CL2-STS but also a large amount of unreacted 4CL2 and STS. Lane 2: non-purified product to which PEG2000-DIBAC was added. Lane 3: unreacted fraction after purification, lane 4: unreacted fraction after purification incubated with PEG2000-N$_3$, and lane 5: unreacted fraction after purification incubated with PEG2000-DIBAC.
This result indicated that upon conjugation of STS to 4CL2, there were still azides available on the stilbene synthase to which Twi could be coupled. It was decided to couple 4CL2 and Twi simultaneously to AHA-STS. First, 4CL2 was incubated with 2 eq. of 2, whereas 10 eq. of 1 were added to Twi. After removal of unreacted linker molecules, both functionalized enzymes were added to AHA-STS (see Figure 11A). The reaction mix contained 3.6 nmol of AHA-STS, 1.8 nmol of Twi and 3.3 nmol of 4CL2. More 4CL2 than Twi was added, as it was known that the degree of functionalization was lower for 4CL2 than for Twi (50% of mono-functionalized 4CL2 compared to at least 50% of Twi containing one or more DIBAC moieties).
The conjugates were purified by size-exclusion chromatography and analysed by native and denaturing gel electrophoresis (see Figure 11B). Complexes in fraction II, eluting between 1.29 and 1.44 mL, had a mass of approximately 200 kDa as deduced from their elution volume. No overlap was present with the elution volume of unreacted fraction III. This was confirmed by native gel electrophoresis (see Figure 11C). A single band was observed on gel. However, according to denaturing gel electrophoresis, fraction II was a mixture of several products with masses between 100 and 150 kDa as well as non-conjugated STS.
This result is in agreement with previous observations concerning the STS-Twi conjugates (see Section 2.4). Apparently, the complexes of 200 kDa consist of smaller covalently linked conjugates that are brought together by dimerization of STS. In this case it could be two dimers (4CL2-STS and/or Twi-STS) and/or one trimer together with an STS monomer.
Figure 11. Formation of enzyme oligomers consisting of 4CL2, STS and Twi. A) Schematic representation of the conjugate formation. B) Size-exclusion chromatogram indicating in roman numbers which fractions were collected and analysed. Vertical lines indicate elution times of protein standards whose size (in kDa) is indicated by the number above the line. C) Native (left) and denaturing (right) 7.5% polyacrylamide gels of fractions as derived from size-exclusion chromatography. The native gel shows fraction I and II as indicated. The denaturing gel contains fraction I in lane 1, fraction II in lane 2 and fraction III in lane 3.
The masses of complexes in fraction I, collected between 1.13 and 1.29 mL, varied between 230 and 500 kDa. The variation in mass is larger than in fraction II as confirmed by native gel electrophoresis. The denaturing gel shows a broad band of products, which are all larger than 200 kDa. So, these conjugates consist of at least four covalently linked enzyme molecules.
The activity exhibited by the complexes was studied in time and compared to the non-conjugated enzymes. The different fractions did not contain the same amount of 4CL2 activity units as detected by monitoring coumaroyl-CoA formation by UV/Vis spectroscopy. Fraction III was shown to be most active. This is explained by the fact that a significant amount of 4CL2 had remained unreacted (see Figure 11B, lane 3). Nevertheless, in all three cases conversion was complete within 15 minutes.
STS and Twi activity in the conjugate fractions and control sample were determined as well. The individual activities of both STS and Twi were followed for 90
minutes. It appeared that most Twi was incorporated into the complexes, as the unreacted fraction contained less glycosylation activity, when the total amount of enzyme added to the assay mix was the same.
To accomplish that both STS and Twi activities were equal in the control and conjugate enzyme mixtures, extra Twi-1 was added to fraction III. Subsequently, the cascade reaction conducted by the three-enzyme complex was followed in time. Figure 12 shows that by both conjugated fractions resveratrol was synthesized and subsequently glycosylated. The amounts of resveratrol and glucosylated resveratrol were comparable to the quantities produced by the non-conjugated enzymes (see Figure 12A and 12B). In fraction I the proportion of Twi was higher than in fraction II, which led to faster glycosylation. Therefore, the percentage glucosides relative to total product (resveratrol + glucosylated resveratrol) was higher (see Figure 12C and 12D).
**Figure 12.** Activity of heteromeric complexes consisting of 4CL2, STS and Twi. The levels of resveratrol (R) and glucosylated resveratrol (G) formed by fraction I (A) and fraction II (B) were followed in time and compared to the activity of non-conjugated enzymes as present in fraction III. The amount of glucosides relative to total product (resveratrol + glucosylated resveratrol) were plotted as well (C and D).
7.3 – Conclusions
In conclusion, we produced a synthetic metabolon by the controlled linkage of three different enzymes. The application of multiple conjugation reactions and the use of heterotelechelic linkers enabled us to connect the enzymes in a well-defined manner. This strategy guaranteed that heteromeric complexes were formed, in which the enzymes with a sequential role in the metabolic route were coupled to each other.
In contrast to previous examples, the enzymes were brought together without the use of a solid support or protein scaffold. In this way the system is less complex compared to those in which for example enzymes are linked to cellulose via cellulose binding domains. In addition, no affinity tags need to be introduced which could interfere with the catalytic function of the enzyme.
Several studies are known in which enzymes are cross-linked via their lysine residues. However, our model system illustrates that lysines can play an essential role in catalytic activity. It is therefore important to explore other mild and (more) selective conjugation reactions as well, such as the cysteine-mediated linkage and the azide-alkyne cycloaddition. The latter reaction requires introduction of a non-natural functionality in the enzyme, which is accomplished by the introduction of a non-proteinogenic amino acid.
Our approach is an attractive alternative to the production of gene fusions. The enzymes are linked after translation and folding. Consequently, the coupling of more than two biocatalysts is more feasible. In addition, the presented method allows for variation in the multi-enzyme complex composition. For example, a larger amount of one of the enzymes may be incorporated in the complex, if that enzyme is rate-limiting in the cascade reaction. We show that this can be achieved by adding more of one enzyme during the coupling reaction, whereas at the same time the other biocatalyst contains multiple sites for conjugation.
To our knowledge, this is the first example of the creation of a synthetic metabolon consisting of three different enzymes that are directly coupled to each other *in vitro*. In view of the growing interest for biocatalytic synthesis of pharmaceutical and nutritional compounds (as an alternative to chemical synthesis), this method of enzyme co-localization may contribute to more efficient product formation via substrate channeling. We are currently investigating whether this is indeed the case for our model system.
7.4 – Acknowledgements
M. B. Hansen is acknowledged for assistance with HPLC analysis.
7.5 – Experimental section
Materials
Primers were purchased from Biolegio (Malden, the Netherlands) and dNTP mix from Invitrogen. Restriction enzymes were from New England Biolabs and Promega. Natural amino acids, kanamycin, lysozyme, PMSF, imidazole, dithiothreitol, CoA, malonyl-CoA, resveratrol and UDP-glucose were obtained from Sigma Aldrich. Azidohomoalanine was prepared as described before.\textsuperscript{31} Ampicillin and IPTG were purchased from MP Biomedicals, and thiamine and glucose from Merck. $p$-Coumaric acid was from Janssen Pharmaceutica and piceid from Extrasynthese. 2xYT medium was provided by the Nijmegen Centre for Molecular Life Sciences (NCMLS, the Netherlands). Solutions used for protein expression were sterilized by autoclave or by filtration over a 0.2 $\mu$m membrane (Corning Life Sciences, or Whatman GmbH). Phosphate buffer contained 25 mM NaH$_2$PO$_4$ and 100 mM NaCl (pH 7.5)
Centrifugation was performed on a Biofuge Pico microcentrifuge (Heraeus Instruments), a Multifuge 3 S-R (Heraeus Instruments) using a Sorvall Heraeus 75006445 rotor, a RC-5 Superspeed Refrigerated centrifuge (Sorvall, Dupont Instruments) using a GS-3 or SM-24 rotor and a Sepatech Minifuge RF (Heraeus Instruments) with a #3360 rotor. Cell cultures were shaken at 200 rpm in an Infors HT Multitron shaker. Cell densities were measured on an Ultrospec 10 Cell density meter (Amersham Biosciences). Conjugation reactions as well as enzyme activity assays were shaken on an eppendorf\textsuperscript{®} Thermomixer comfort.
Linker synthesis was kindly performed by M. F. Debets. Unless stated otherwise, all reactions were conducted under ambient atmosphere and temperature and with chemicals obtained from commercial source, used without further purification. Purification by column chromatography was carried out using \textit{Silicycle} silica gel (0.040 - 0.063 mm, and ca. 6 nm pore diameter). NMR spectra were recorded on a Varian Inova 400 (400 MHz for $^1$H) and a Bruker DMX 300 (75 MHz for $^{13}$C), while infrared spectroscopy was performed on a Thermo Mattson Nicolet 300 FTIR.
Plasmid construction
The genes encoding for 4CL2 from \textit{Nicotiana tabacum} and STS from \textit{Vitis vinifera} were amplified from pACYCDuet-4CL2/STS\textsuperscript{9} (vector from Novagen, plasmid provided by PRI, Wageningen) using the following primers (restriction sites in italics):
Forward \textit{BamHI}-4CL2: ATAT \textit{GGATCC} ATG GAG AAA GAT ACA AAA CAG G
Reverse \textit{HindIII}-4CL2: ATAT \textit{AAGCTT} TTA ATT TGG AAG CCC AGC AGC
Forward *Bam*HI-STS: ATAT *GGATCC* ATG GCT TCA GTC GAG GAA ATT AG
Reverse *Hind*III-STS: ATAT *AAGCTT* TTA ATT TGT AAC CAT AGG AAT GC
The reaction mixture (50 µl) contained 200 pmol of each primer, Advantage cDNA polymerase mix (1 µl, Clontech), dNTP mix (0.2 mM of each), 5 µL template DNA (100 times diluted), and 10X reaction buffer (5 µl). PCR was conducted on a PE Applied Biosystem 9700 thermal cycler under the following conditions: 95 °C for 2 min followed by 30 cycles of (95 °C for 30 s, 55 °C for 30s, 68 °C for 90s) and finally 4 °C for 5 min.
The PCR amplified fragments were purified from an agarose gel using the Qiagen Gel Extraction kit. DNA fragments were treated with *Bam*HI and *Hind*III and inserted in expression vector pQE30 (Qiagen), which contains an N-terminal histidine tag. It should be noted that the 4CL2 gene contains a *Bam*HI site within its coding sequence, whose presence was overlooked at the moment the cloning strategy was developed. Nevertheless, the cloning procedure was successful as the fragment of interest could selectively be isolated from gel. Following ligation and transformation, plasmids pQE30-4CL2 and pQE30-STS were obtained by isolation from XL-Blue1 *E. coli* cells. They were analysed by sequencing using the primers mentioned above and so-called pQE30 sequencing primers CCCGAAAAGTGCCACCTG and GTTCTGAGGTCATTACTGG (ordered from Biolegio).
**Enzyme production**
Methionine auxotrophic *E. coli* MTD123 cells\textsuperscript{32, 33} were co-transformed with repressor plasmid pREP4 (Qiagen) and pQE30-4CL2 or pQE30-STS. 2x YT medium supplemented with ampicillin (100 mg/L) and kanamycin (35 mg/L) was inoculated with a single colony and incubated overnight at 37 °C.
For production of 4CL2 and STS containing methionine, the culture was diluted in fresh 2x YT medium to an OD\textsubscript{600} of 0.1 and grown at 37 °C. When an OD\textsubscript{600} of 0.8 was reached, isopropyl-\(\beta\)-D-thiogalactopyranoside (IPTG) was added to a final concentration of 1 mM. Protein production was allowed to take place for 20 hours at 18 °C. STS containing azidohomoalanine (AHA-STS) was prepared by dilution of the overnight culture in M9 minimal medium instead of 2x YT medium. The same protocol was followed as described in Chapter 2 for production of azido-functionalized CalB. However, upon reaching an OD\textsubscript{600} of 0.8 a medium shift was performed without initial incubation in presence of IPTG. Upon resuspension in M9 minimal medium containing azidohomoalanine, proteins were expressed by incubation overnight at 18 °C.
*E. coli* BLR(DE3) cells (Novagen) were transformed with pAC-TC32, which contains the gene encoding for glucosyl transferase Twi from *Solanum lycopersicum* downstream of a histidine tag (provided by PRI, Wageningen). 2x YT medium supplemented with chloroamphenicol (50 mg/L) was inoculated with a single colony and incubated overnight at 37 °C. Production of Twi was performed in a similar way as 4CL2 was produced.
Enzyme purification
All three His$_6$-tagged enzymes were purified by Ni$^{2+}$ NTA affinity chromatography under native conditions (Qiagen). The bacteria pellet was lysed by incubation at 4 °C for 30 minutes in lysis buffer (30 mL of 50 mM NaH$_2$PO$_4$, 300 mM NaCl, 10 mM imidazole, pH 8.0) containing PMSF as protease inhibitor (1 mM) and lysozyme (1 mg/mL). After sonication for at maximum 5 minutes (40 % duty cycle, power 6) the lysate was cleared by centrifugation at 4 °C (13000 g, 30 minutes). The proteins were allowed to bind to Ni$^{2+}$ NTA beads (1 mL, Qiagen) for 2 hours at 4 °C. Beads were loaded on a column, which was washed once with lysis buffer and twice with wash buffer (two times 10 volumes of 50 mM NaH$_2$PO$_4$, 300 mM NaCl, 20 mM imidazole, pH 8.0). Enzymes were eluted in elution buffer (10 mL of 50 mM NaH$_2$PO$_4$, 300 mM NaCl, 250 mM imidazole, pH 8.0). As for STS, 20 mM 2-mercaptoethanol was added to lysis buffer, wash buffer and elution buffer.
Elution fractions containing the enzymes were concentrated by centrifugation at 4 °C using an Amicon® Ultra-15 Centrifugal Filter Device (10,000 NMWL). Further purification was performed by size exclusion chromatography using a Superdex 75 PC 10/300 column on an AKTA FPLC™ (GE Healthcare Life Sciences). Both column and fraction collector were kept at 4 °C. Phosphate buffer (25 mM NaH$_2$PO$_4$ and 100 mM NaCl, pH 7.5) was used as eluent while applying a flow rate of 0.5 mL/min and collecting 0.5 mL fractions. Glycerol was added to a final concentration of 10 % and aliquots were snap-frozen and stored at -20 °C until use.
Enzyme concentration determination
Protein concentrations were determined by measuring absorbance at 280 nm on a Nanodrop ND-1000 spectrometer. Extinction coefficients were used as determined by the “Protein Calculator v3.3” at http://www.scripps.edu/~cdputnam/protcalc.html, being 0.45, 0.90 and 1.25 (mg/mL)$^{-1}$cm$^{-1}$ for 4CL2, STS and Twi, respectively.
Amino acid sequences and mass spectrometry
Masses of recombinant 4CL2, STS and Twi were determined by electrospray ionization time-of-flight (ESI-TOF) on a JEOL AccuTOF. Protein samples were desalted with MilliQ (3 times 0.5 mL) using 10 kDa MWCO centrifugal filter units (Millipore). 5-10 µM protein in formic acid (0.1%) or 1 mM NH$_4$HCO$_3$ was injected. As an alternative to ultrafiltration, salts were removed using C4 ZipTip® pipette tips (Millipore). Deconvoluted spectra were obtained using MagTran 1.03b2. Expected molecular weights (isotopically averaged) were calculated using the “Protein Calculator v3.3” at http://www.scripps.edu/~cdputnam/protcalc.html.
Amino acid sequences of the enzymes are given below. The N-terminal methionine of Twi was shown to be cleaved off. No sulfur bridges are present.
4CL2
MRGSHHHHHHGSMEDTKQVDIIFRSKLPLDIYIPNHLPLHSYCFENISEFSSRPCLINGANKQIYTADVELNSRKVAAGLHKQGIQPKDTIMILLPNSPEFVFVAFIGASYLGAISTMANPLFTPAAEVVKQAEASSAKIIVTQACHVNKVKDYAFENDVKUICIDSAPEGCLHFSVLTQANEHDIEPEVEIQPDDVVALPYSSGTTGLPKGVMLTHKGLVTSVAQQVDGENPNLYIHSEDVMLCVLPLFHIIYSLNSVLLCGLRVGAAILIMQKFDIVSFLIEIQSYKVТИGPFVPPIVLVIAKSPMVDDYDLSSVRTVMSGAAPLGKELEDTVRAKFPAKLQGQYGGMTEAGPVIALMCLAFAKEPEFIKSGACGTVVRNAEMKIVDPKTGNSLPRNQSGEICIRGDQIMKGYLNDPEATARTIDKEGWLYTGDIGYIDDDELFIVDRLKELIKYKGFQVAPAELEALLLNHPNISDAAVVPMKDEQAGEVPVAFVVRNSNGSTITEDEVKDFISKQVIFYKRIRVFFVDAIPKSPSPGKILRKDLRAKLAAGLPN
STS
MRGSHHHHHHGSMASVEIRNAQRAKGPATILAIGTATPDHCVYQSDYADEFYFRVTKSEHMOTALKKKFNRICDKSMIKKRYIHLTMELEEHPNIGAYMAPSLNIRQEIIITAEPKLGKEAALKAKEWGWQPKSKITHLFVCTTSGVEMPGADYKLANLLGLEPSVRRVMLYHQGCYAGGTVLRTAKDLAENNAGARVLVVCSEITVTFRGPSEDALDSLVGQUALFGDGSAAVIVGSDPDISIERPLFQLVSAAQTIFIPNSAGAIAGNLREVGLTFHLWPNVPTLISENIEKCLTQAFDPLRISDWNSLFWIAHPGGPAILDAVEAKLNLDKKKLEATHVILSEYGNMSSACVLFILDEMRKKSLSKGERATTGEGLDWGVLFGFGPGLTIETVVLHSIPMVTN
Twi
MGSSHHHHHHHSQDPMGQLHFFFFPMMAOQGHMIPTLDMAKLVACRGVKATIITTPLNESVFSKAIERNKHLGIEIDIRLLKFPAKENLDPEDCERLDLVPSDDKLPNFLKAAAMMKDEFEELIGECRPDCLVSDMFLPWTTDSAAKFSIPRIVFHGTSYFALCVGDSIRRNKPFKNVSSDTETFVVPDLPHEIRLTRTQLSPFEQSDEETGMAPMIKAVRESDAKSYGVIFNSFYELESDYVEHYTKVVGGRKNWAIGPLSLCNRDIEDKAERGRKSSIDEHACLKWLDSKKSSSIVVYCFGSTADFTTAQMELAMGLEASGQDFIWVIRTGNEDWLPEGFEERTKEKGLIIRGWAPQVLILIDHEAIGAFVTHCGWNSTLEGISAGVPMVTWVPVFAEQFFNEKLVTEVMRSGAGVGSKQWKRTASEGVKREAIKAIKRVMASEETEGFRSRAKEYKEMAREAIEEGSSYNGWATLIQDITSYR
Synthesis of heterotelechelic linker 1
(Z)-2,5-dioxopyrrolidin-1-yl-5-(didehydridibenzo[b,f]-azocin-5(6H)-yl)-5-oxopenta-noate (3)
DIBAC (400 mg, 1.25 mmol) was dissolved in dry CH$_2$Cl$_2$(15 mL). Subsequently EDC (776 mg, 5 mmol), DMAP (306 mg, 2.5 mmol) and $N$-hydroxysuccinimide (288 mg, 2.5 mmol) were added. The reaction was stirred overnight and subsequently quenched with H$_2$O (5 mL). The water-layer was extracted with CH$_2$Cl$_2$ ($2 \times 10$ mL). The organic layers were combined and washed with 0.1 M NaOH ($2 \times 15$
mL), 2 M HCl (3 × 20 mL), H₂O (2 × 20 mL) and brine (30 mL)) and subsequently dried over MgSO₄. The solvent was removed under reduced pressure to obtain compound 3 (370 mg, 70%)
¹H-NMR (400 MHz, CDCl₃) δ: 7.69 (d, J = 8.4 Hz, 1H), 7.43-7.26 (m, 7H), 5.16 (d, J = 13.8 Hz, 1H), 3.67 (d, J = 13.8 Hz, 1H), 2.80 (br s, 4H), 2.52 (td, J = 16.5, 7.2 Hz, 1H), 2.46-2.35 (m, 2H), 1.98-1.78 (m, 3H). ¹³C-NMR (75 MHz, CDCl₃) δ(ppm): 171.9, 168.9, 168.2, 151.4, 148.0, 132.2, 129.9, 128.5, 128.3, 128.1, 127.8, 127.1, 125.5, 122.9, 122.6, 115.0, 107.7, 55.4, 33.1, 29.9, 25.5, 20.1. FT-IR νₘₐₓ film: 2915, 2854, 1745, 1523, 1454, 1260, 1204, 1053. HRMS (ESI+) m/z calcd for C₂₄H₂₁N₂O₅ [M+H]⁺ 417.1451, found 417.1442.
3-(2-(2-aminoethoxy)ethoxy)propanoicacid-TFA (4) Tert-butyl 12-amino-4,7,10-trioxadodecanoate (50 mg, 0.18 mmol) was dissolved in TFA (3 mL) and the solution was stirred for 30 minutes. The solvent was evaporated under reduced pressure to obtain 4 as a yellow oil (35 mg, 61%).
¹H-NMR (400 MHz, CDCl₃) δ: 7.57 (br s, 3H), 3.78-3.72 (m, 4H), 3.69-3.67 (m, 2H), 3.63-3.62 (m, 6H), 3.20 (dd, J= 5.4Hz, 9.4 Hz, 2H), 2.59 (t, J = 5.5 Hz, 2H). ¹³C-NMR (75 MHz, CDCl₃) δ: 171.6, 70.1, 69.8 (2C), 69.7, 66.6, 66.5, 39.8, 34.8. FT-IR νₘₐₓ film: 3088, 2907, 1679, 1178, 1122, 840, 793, 716. HRMS (ESI+) m/z calcd for C₉H₂₀NO₅ [M+H]⁺ 222.1342, found 222.1346.
(Z)-18-(didehydribenzo[b,f]azocin-5(6H)-yl)-14,18-dioxo-4,7,10-trioxa-13-azaocta-decan-1-oic acid (5) Compound 3 (DIBAC-NHS) (40 mg, 0.091 mmol) was dissolved in DMF (2 ml) and NEt₃ (0.051 ml, 0.365 mmol) and 4 (33.7 mg, 0.100 mmol) were added. The reaction was stirred for 2 hours and subsequently quenched with H₂O (10 mL). The water-layer was acidified to pH 1 with 2M HCl and the product was extracted with CH₂Cl₂ (2 × 15 mL). The organic layers were combined and washed with respectively 2M HCl (15 mL), H₂O (2 × 15 mL) and brine (20 mL), followed by drying over MgSO₄. The solvents were removed under reduced pressure. The crude product was purified by gradient column chromatography (CH₂Cl₂: MeOH:AcOH, 9:1:0 to 17:2:1) to obtain the product as a colorless oil (55 mg, ~80% pure, 92%). The product still contained one undefined contamination. Purity was based on the integrals of the NMR-signals.
¹H-NMR (CDCl₃, 400 MHz), δ: 7.66 (d, J = 7.8 Hz, 1H), 7.43-7.25 (m, 7H), 6.45 (br s, 1H), 5.15 (d, J = 13.8, 1H), 3.76 (t, J = 5.9 Hz, 2H), 3.67 (d, J = 13.8 Hz, 1H), 3.66-3.57 (m, 8 H), 3.51-3.49 (m, 2H), 3.44-3.25 (m, 2H), 2.58 (t, J = 6.0 Hz, 2H), 2.33-2.22 (m, 1H), 2.02-1.92 (m, 3H), 1.76-1.69 (m, 2H),¹³C-NMR (75 MHz, CDCl₃) δ: 175.8, 173.2, 172.9, 151.5, 147.9, 132.3, 128.9, 128.5, 128.2, 128.1, 127.7, 127.1, 125.4, 123.0, 122.4, 114.8, 107.9, 70.4 (2C), 70.1, 69.8, 67.2, 55.4, 39.1, 35.9, 35.2, 33.7, 21.5. FT-IR νₘₐₓ film: 3425, 2937, 1714, 1640, 1567, 1398, 1251, 1096, 750. HRMS (ESI+) m/z calcd for C₂₉H₃₅N₂O₇ [M+H]⁺ 523.2444, found 523.2447.
(Z)-2,5-dioxopyrrolidin-1-yl 18-(didehydridobenzof[b,f]azocin-5(6H)-yl)-14,18-dioxo-4,7,10-trioxa-13-azaoctadecan-1-oate (1) Compound 5 (DIBAC-OEG-free acid) (50 mg, ~80% pure, 0.076 mmol) was dissolved in dry CH$_2$Cl$_2$ (10 mL). Subsequently EDC (59 mg, 0.38 mmol), DMAP (23 mg, 0.19 mmol) and N-hydroxysuccinimide (22 mg, 0.19 mmol) were added. The mixture was stirred overnight and quenched with H$_2$O (5 mL). The mixture was diluted with CH$_2$Cl$_2$ (10 mL) and the organic layer was washed with 0.2 M NaOH (2 × 10 ml), 2 M HCl (3 × 20 mL), H$_2$O (20 mL) and brine (20 mL) and subsequently dried over MgSO$_4$. The solvents were removed under reduced pressure to obtain compound 1 as a brownish oil (15 mg, 32%).
$^1$H-NMR (CDCl$_3$, 400 MHz), δ: 7.69 (d, $J = 7.9$, 1H), 7.42-7.25 (m, 7H), 6.00 (br s, 1H), 5.15 (d, $J = 13.8$, 1H), 3.84 (t, $J = 6.3$ Hz, 2H), 3.74-3.58 (m, 9H), 3.48 (t, $J = 5.3$ Hz, 2H), 3.40-3.27 (m, 2H), 2.89 (t, $J = 6.3$ Hz, 2H, 2.81 (br s, 4H), 2.30-2.23 (m, 1H), 2.00-1.84 (m, 3H), 1.75-1.68 (m, 2H).
$^{13}$C-NHM (CDCl$_3$, 75MHz), δ: 172.8, 172.4, 169.0 (2C), 166.7, 151.7, 148.1, 132.3, 128.9, 128.5, 128.2, 128.0, 127.7 127.1, 125.4, 123.5, 123.0, 114.9, 108.0, 70.7, 70.5, 70.4, 70.2, 69.8, 65.7, 55.3, 39.2, 35.2, 33.7, 32.1, 25.6 (2C), 21.4.
FT-IR $\nu_{\text{max}}$ film: 3321, 2928, 2881, 1731, 1649, 1195, 1104, 1074. HRMS (ESI+) $m/z$ calef for C$_{33}$H$_{38}$N$_3$O$_9$ [M+H]$^+$ 620.2608, found 620.2620.
Synthesis of heterotelechelic linker 2
(Z)-N-(2-(2-(2-aminoethoxy)ethoxy)ethyl)-5-(didehydridobenzof[b,f]azocin-5(6H)-yl)-5-oxopentanamide (6) Compound 3 (DIBAC-NHS) (300 mg, 0.72 mmol) was dissolved in dry CH$_2$Cl$_2$ (10 mL) and 1,8-diamino-3,6-dioxaoctane (842 µL, 5.77 mmol) was added. The reaction was stirred for 2 hours and the mixture was diluted with CH$_2$Cl$_2$ (20 mL). The organic layer was washed with H$_2$O (3 × 30 mL) and brine (30 mL) and subsequently dried over MgSO$_4$. The solvents were removed under reduced pressure and the thus obtained crude product was purified by column chromatography (CH$_2$Cl$_2$/MeOH/7M NH$_3$ in MeOH, 90:9:1) to obtain the product as a yellow oil (180 mg, 56%). $^1$H-NMR (CDCl$_3$, 400 MHz), δ: 7.70 (d, $J = 7.5$ Hz, 1H), 7.42-7.26 (m, 7H), 6.18 (br s, 1H), 5.15 (d, $J = 13.9$ Hz, 1H), 3.67 (d, $J = 13.8$ Hz, 1H), 3.62-3.58 (m, 4H), 3.53-3.48 (m, 4H), 3.42-3.30 (m, 2H), 2.85 (t, $J = 5.7$ Hz, 2H), 2.28 (td, $J= 13.7$, 6.6 Hz, 1H), 1.99-1.84 (m, 3H), 1.73 (dt, $J = 14.3$, 6.8 Hz, 2H).
$^{13}$C-NMR (CD$_3$OD, 75 MHz), δ: 175.3, 174.8, 152.9, 149.5, 133.5, 130.4, 130.0, 129.7, 129.3, 128.9, 128.1, 126.5, 124.3, 123.7, 115.7, 108.8, 72.8, 71.3 (2C), 70.6, 56.7, 41.9, 40.2, 36.0, 35.0, 22.8. FT-IR $\nu_{\text{max}}$ film: 2967, 2923, 2850, 1658, 1558, 1260, 1113, 1009, 806. HRMS (ESI+) $m/z$ calef for C$_{26}$H$_{32}$N$_3$O$_4$ [M+H]$^+$ 450.2392, found 450.2379.
(Z)-5-(didehydrodibenzob[f]azocin-5(6H)-yl)-N-(2-(2-(2-(3-(2,5-dioxo-2,5-dihydro-1H-pyrrol-1-yl)propanamido)ethoxy)ethoxy)ethyl)-5-oxopentanamide (2)
Compound 6 (DIBAC-OEG-NH$_2$) (28 mg, 0.062 mol) was dissolved in dry DMF (3 mL). Subsequently, 3-maleimido-propionic acid (12.6 mg, 0.075 mmol), HATU (47.4 mg, 0.13 mmol) and $N$-methylmorpholine (14 $\mu$L, 0.13 mmol) were added and the reaction was stirred for 3 days at room temperature. The reaction was quenched with H$_2$O (10 mL) and extracted with CH$_2$Cl$_2$ (2 × 20 mL). The organic layers were combined and subsequently washed with 2M HCl (2 × 30 mL), H$_2$O (2 × 30 mL) and brine (30 mL) and dried over MgSO$_4$. The solvents were removed under reduced pressure and the crude product was purified by column chromatography (EtOAc/n-heptane, 2:1 followed by CH$_2$Cl$_2$/MeOH, 9:1) to obtain the product as a colorless oil. After lyophilization the product was obtained as a white solid.
$^1$H-NMR (CDCl$_3$, 400 MHz), $\delta$: 7.68 (d, $J = 7.4$ Hz, 1H), 7.43-7.26 (m, 7H), 6.69 (s, 2H), 6.33 (br s, 1H), 5.95 (br s, 1H), 5.14 (d, $J = 14.0$, 1H), 3.86-3.81 (m, 3H), 3.69-3.55 (m, 4H), 3.51-3.48 (m, 4H), 3.41-3.36 (m, 2H), 2.50 (t, $J = 7.5$ Hz, 2H), 2.30-2.19 (m, 1H), 2.02-1.87 (m, 3H), 1.75-1.68 (m, 2H).
$^{13}$C-NMR (CDCl$_3$, 75 MHz), $\delta$: 172.9, 172.6, 170.4, 169.9, 151.5, 148.0, 134.1, 132.2, 128.9, 128.5, 128.2, 128.1, 127.9, 127.0, 125.3, 122.9, 122.3, 114.8, 107.9, 70.1, 70.1, 69.7, 69.6, 55.3, 39.1, 39.0, 35.3, 34.5, 34.3, 33.6, 33.5, 21.5.
FT-IR $\nu_{\text{max}}$ film: 3291, 2911, 1701, 1653, 1402, 616.
HRMS (ESI+) $m/z$ caled for C$_{33}$H$_{37}$N$_4$O$_7$ [M+H]$^+$ 601.2662, found 601.2655.
**Conjugation of dibenzoazacyclooctyne-functionalized PEG2000 to STS**
2, 5 or 20 equivalents of PEG2000-DIBAC (1 mM in MQ)$^{27}$ were added to AHA-STS. Samples were incubated for 2, 4, 8 or 16 hours at room temperature while gently shaken.
**Production and purification of Twi-STS conjugates**
Twi was reacted with linker 1 (stock in DMSO) for two hours while shaken at room temperature. The final concentration of DMSO never exceeded 10 %. Excess of linker was removed by ultrafiltration at 4 °C using phosphate buffer (3 times 450 $\mu$L) using 10 kDa MWCO centrifugal filter units (Millipore).
To Twi-2 AHA-STS was added. The total protein concentration in the reaction mixture varied between 1.4 and 2.6 mg/mL. Glycerol was added to a final concentration of 10 % to prevent formation of inactive enzyme aggregates. Twi-STS conjugate formation was allowed to take place for at least 14 hours at room temperature. Subsequently, reaction products were separated over a Superdex200 PC 3.2/30 column (GE Healthcare Life Sciences) on a SMART FPLC (Amersham Pharmacia). Phosphate buffer was used as eluent while applying a flow rate of 25 $\mu$L/min and collecting 25 $\mu$L fractions.
Modification of 4CL2
Azidohomoalanine incorporation in 4CL2 was performed as described in Chapter 2. Introduction of azide groups via the diazotransfer reaction was attempted according to the procedure described in Chapter 5, using phosphate buffer (pH 7.5) instead of a diethanolamine solution and 17.5 equivalents of diazotransfer reagent relative to amines. Alternatively, substrates of 4CL2 were added. In this case the reaction mixture contained 0.41 nmol 4CL2, 62.5 nmol ATP, 25 nmol $p$-coumaric acid, 25 nmol CoA and 157 nmol of diazotransfer reagent (2 equivalents relative to the total amount of amines present in both 4CL2 and ATP) in 37.5 µL. Reactions were incubated for two hours at room temperature and purified by ultrafiltration before residual activity of 4CL2 was determined.
Conjugation of linker 2 was performed by incubation of 4CL2 with 0, 1 or 2 equivalents of 2. A stock solution of 2 in DMSO was prepared. The final concentration of DMSO was 8 %. After shaking for two hours at room temperature, unreacted linker was removed by ultrafiltration at 4 °C with phosphate buffer (3 times 450 µL) using 10 kDa MWCO centrifugal filter units (Millipore). 4CL2 functionalized with the DIBAC moiety was either allowed to react with 20 equivalents of PEG2000-N$_3$ for two hours at room temperature and analysed by gel eletrophoresis, or tested for activity.
Production of 4CL2-STS and 4CL2-STS-Twi conjugates
4CL2 was incubated with 2 equivalents of 2 for two hours at room temperature. Upon removal of the excess of linker by ultrafiltration with phosphate buffer (see above), 4CL2-2 was reacted with 1.1 equivalents of AHA-STS while shaken overnight at room temperature. To an aliquot of the crude reaction mixture (containing 12 µg of total protein) PEG2000-DIBAC was added. The rest of the reaction mixture (~150 µg of protein) was purified by size-exclusion chromatography, applying a flow of 40 µL/min with phosphate buffer as eluent (see production and purification of Twi-STS conjugates). The unreacted enzyme fraction, eluting at 1.52 mL, was concentrated 15 times using 50 kDa MWCO centrifugal filter units (Millipore). PEG2000-DIBAC or PEG2000-N$_3$ was added. Conjugation of the polymer chains was evaluated by gel eletrophoresis after incubation at room temperature for two hours.
Twi-1 and 4CL2-2 were prepared as described above using 10 equivalents of 1 and 2 equivalents of 2 relative to Twi and 4CL2, respectively. Excess of linker was removed by ultrafiltration. Subsequently, 200 µg of Twi-1 and 100 µg of 4CL2-2 were added to 160 µg AHA-STS resulting in a molar ratio of 1:1.8:2 for Twi:4CL2:STS. Glycerol was added to a final concentration of 10%. After incubation at room temperature for 14-16 hours, enzyme conjugates were purified by size-exclusion chromatography (see above for column and eluent). A flow of 40 µL/min was applied. The total reaction mixture was injected in three separate runs to obtain optimal separation. Fractions eluting at the following column volumes were pooled: 1.128-1.288 mL (referred to as fraction I), 1.288-1.435 mL (fraction II) and 1.437-1.664 mL (fraction III). These were analysed by gel electrophoresis and tested for enzymatic activity.
Gel electrophoresis
Purified enzymes and conjugated protein samples were analysed by electrophoresis on 7.5% or 10% (w/v) polyacrylamide gels followed by Coomassie BB R-250 or silver staining. Where indicated, electrophoresis was performed under native conditions by omitting SDS in the gels. In this case, native sample buffer was used which did not contain SDS or β-mercaptoethanol, and samples were not boiled at 95 °C before loading.
Protein digestion and extraction from polyacrylamide gel
Twi-STS conjugates were separated on a 15% (w/v) polyacrylamide SDS-PAGE gel with a 5% (w/v) stacking gel using the Mini-Protean II gel system (Bio-Rad). Broad Range Molecular Mass markers (Bio-Rad) were used to determine relative molecular masses. After staining with Coomassie BB R-250, the protein bands of interest were cut out of the SDS-PAGE gel and sliced into 1 mm³-pieces. Proteins were reduced with DTT and alkylated with iodoacetamide. Gel pieces were dried under vacuum, and swollen in 0.1 M NaHCO₃ containing sequence-grade porcine trypsin (10 ng/μl, Promega). After digestion at 37 °C overnight, peptides were extracted from the gel with 50% (v/v) acetonitrile, 5% (v/v) formic acid and dried under vacuum.
2-D LC-MS configuration
LC-MS experiments were carried out using the 2-D nanoAcquity UPLC system online coupled to a Synapt HDMS Q-TOF MS instrument (Waters, Milford, MA, USA). Reversed phase UPLC (pre)columns, used in this study were obtained from Waters (Milford, MA, USA). In the first dimension a 300 μm x 50 mm X bridge C18 (5 μm) trap column was used and the sample was eluted with a discontinuous step gradient at 2 μl/min, using 13, 45 and 65 % ACN in 20 mM ammonium formate (pH=10). In the 2nd dimension a 180 μm x 20 mm Symmetry C18 (5 μm) trap column was used. To maximize sample recovery on the 2nd dimension trap column, an online dilution of peptides eluting from the first dimension trap with 0.1 % formic acid in water at a flow rate of 20 μl/min was used (10:1). Peptides were separated on a 75 μm x 250 mm BEH 130 C18 (1.7 μm) analytical column at 0.2 μl/min using 0.1 % formic acid in water as eluent A and 0.1 % formic acid in ACN as eluent B. The separation was carried out using 5 % B for 1 min, 10 % B for 2 min, 10-40 % B over 62 min and 40-85 % B over 9 min. After 6 min of rinsing with 85 % B and a linear gradient back to 5% B over 2 min the column was re-equilibrated at initial conditions. The analytical column temperature was maintained at 35° by a built-in column heater.
MS analyses were performed in positive mode using ESI with a NanoLockSpray source. As lock mass, [Glu¹]fibrinopeptide B (1 pmol/μl) (Sigma) was delivered from a syringe pump (Harvard Apparatus, USA) to the reference sprayer of the NanoLockSpray source at a flow rate of 0.2 μl/min. The lock mass channel was sampled every 30 s. Accurate LC-MS data were collected with the Synapt operating in either MS² mode for data-independent acquisition or in MS/MS
mode for data-dependent acquisition (DDA). When operating in the LC-MS$^E$ alternate scanning mode, low and elevated energy spectra were acquired every 0.6 s over the m/z range 140 to 1900. The Synapt was programmed to step between normal (6 eV) and elevated (ramp from 15 to 35 eV) collision energies applied to the gas cell.
DDA was performed in such a way that the three most intensive multiply charged ions eluting from the column were selected for peptide fragmentation. The eluting peptide ions were detected in the MS survey scan (0.6 s) from m/z of 300 to 1400. A dynamic exclusion window was set at 60 s. The collision energy was automatically set based on the observed precursor m/z and charge state.
All data was processed with ProteinLynx Global Server (PLGS 2.4)
**Enzyme activity assays**
All enzyme activity assays were carried out in a buffered solution containing 25 mM NaH$_2$PO$_4$ and 100 mM NaCl (pH 7.5). Stock solutions of Coenzyme A and UDP-glucose (each 10 mM in MQ) were stored in aliquots at -20 °C and thawed upon use. Stock solutions containing 10 mM para-coumaric acid in EtOH, 0.5 or 2.5 mM malonyl-CoA in 50 % DMSO and 4.4 mM resveratrol in DMSO were stored at -20 °C as well. Time samples of STS and Twi activity assays were analysed by high-performance liquid chromatography (HPLC) on a Shimadzu analytical HPLC over a C18 column. 20 µL was injected. A linear gradient was applied from 5 % acetonitrile in MQ/0.1 % trifluoroacetic acid to 50 % acetonitrile in MQ/0.1% trifluoroacetic acid in 30 minutes. Compounds were detected by measuring absorbance at 307 nm.
**4CL2 activity**
4CL2 activity was followed in time at 30 °C by measuring absorbance at 333 nm on a Varian Cary-50 UV/Vis spectrophotometer. The reaction mixture consisted of 0.5 mM CoA, 0.5 mM para-coumaric acid, 3.125 mM ATP, 3.125 mM MgCl$_2$, and 1.25 mM DTT in 200 µL. 10 µg 4CL2 was added to start the reaction. The slope of the curve obtained during the first minute was taken as a measure of activity.
**STS activity**
The specific activity of STS was determined at high substrate concentrations, i.e. 0.5 mM malonyl-CoA and 0.1 mM coumaroyl-CoA. Coumaroyl-CoA was prepared as described above. An aliquot of the 4CL2 assay reaction mixture, which was incubated in presence of 4CL2 at 30 °C for 10 minutes or longer, was mixed with malonyl-CoA. The amount of resveratrol formed at 30 °C by 2 µg Met-STS or AHA-STS in 100 µL was measured. After quenching a 25 µL aliquot with 12.5 µL 50 % HOAc, the product was extracted using 150 µL EtOAc. The organic phase was collected and the solvent was removed by speedvac after which the product was redissolved in 50 µL 50 % MeOH in MQ/5 % formic acid and analysed by HPLC.
STS activity exhibited by the conjugates was determined using an assay mix which contained 25 µM CoA, 25 µM para-coumaric acid, 156.25 µM ATP, 156.25 µM MgCl$_2$, and 62.5 µM DTT.
together with 0.1 mM malonyl-CoA. As for the STS-Twi coupling reactions, 1 µg 4CL2 was added. Reactions were incubated at 30 °C. Samples were quenched by addition of 10 % formic acid in MeOH (25 µL was added to a 25 µL aliquot of the reaction) and analysed by HPLC.
**Twi activity**
The specific activity of Twi was determined in presence of 500 µM resveratrol, 2.5 mM UDP-glucose in a buffered solution containing 2.5 mM MgCl₂. The amount of glycosylated resveratrol formed at 30 °C in 15 minutes by 1 or 2 µg Twi in 100 µL was determined.
Twi activity displayed by the conjugates was measured in a reaction mixture containing 40 µM resveratrol and 0.4 mM UDP-glucose. All time samples were quenched by addition of 10 % formic acid in MeOH (25 µL was added to a 25 µL aliquot of the reaction) and analysed by HPLC.
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Summary
In living cells enzymes catalyze a wide variety of metabolic processes consisting of multiple reaction steps. Efficient transfer of the intermediates from one catalytic site to the other is achieved by the formation of macromolecular enzyme complexes. So-called metabolic channeling takes place, which prevents diffusion of the intermediate into the bulk phase of the cell. Well-known examples of this kind of assemblies are the tryptophane synthase complex and the co-localization of the enzymes of the citric acid cycle. They have inspired researchers to mimic this approach by bringing biocatalysts together in an artificial way. As described in Chapter 1, various strategies have been exploited, which differ in their degree of control over the assembly process. Surprisingly, so far, site-specific modification methods have hardly been applied. It encouraged us to explore this approach in more detail, that is, to construct well-defined enzyme architectures via selective bioconjugation methods without the use of a solid support or protein scaffold.
Chapter 2 describes the incorporation of the non-natural amino acid azidohomoalanine in the model enzyme *Candida antarctica* lipase B (CalB). Expression of CalB in *Escherichia coli* is reported as well as its purification. Methionine was efficiently replaced by the non-proteinogenic azide analogue as proven by mass spectrometry. Adaptations in the protein expression protocol did not result in higher protein yields. However, purity of the final product was improved by preventing the production of a native *E. coli* stress protein.
Use of the introduced azide moiety as a functional handle for bioconjugation is presented in Chapter 3. It was demonstrated that residue-specific incorporation of azidohomoalanine enabled modification of CalB at a single position via the Cu(I) catalyzed azide-alkyne cycloaddition. Out of the five introduced azide groups, only one moiety appeared to be reactive under native conditions. The other residues were buried inside the protein. As reported elsewhere, the strategy was successfully applied in the site-specific immobilization of CalB to different polymer-like materials, being polymersomes, elastin-like polypeptide and DNA oligonucleotides. In all cases it was shown that the enzyme remained active while the function of the polymer-like materials was retained as well.
As a next step, we investigated whether the introduced azide moiety could be used for the controlled and direct linkage of multiple CalB molecules to each other. In Chapter 4, four different strategies are highlighted. The oligomers that were prepared
were separated from unreacted monomers by size-exclusion chromatography. The activity of CalB dimers was studied in more detail, showing that they were as active as the monomers.
In order to be able to introduce azide moieties in enzymes without the use of molecular biology techniques, an alternative strategy was explored, which is described in Chapter 5. A mild, metal-free and pH-controlled diazotransfer reaction was developed, which allowed for selective conversion of amines into azides in a post-translational manner. This straightforward modification method was tested on CalB, lysozyme and two elastin-like polypeptides (ELPs). By mass spectrometry it was shown that the diazotransfer was selective towards the most reactive amines, being the $\alpha$-amine at the N-terminus of both CalB and ELPs. Activity studies on lysozyme showed the beneficial effect of using non-toxic and mild conditions in order to retain enzyme activity.
In addition to linking multiple enzymatic functionalities, we set out to produce a biohybrid system, in which an enzyme and metal catalyst were covalently bound. As described in Chapter 6, two different transition-metal ligands were coupled near CalB’s active site. The strain-promoted cycloaddition between a dibenzoazacyclooctyne functionalized pincer ligand and CalB containing azidohomoalanine proceeded quantitatively, as verified by mass spectrometry. Insertion of a metal ion to obtain the active enzyme – metal biohybrid catalyst remains to be achieved.
Our final goal of creating a multi-enzymatic complex through direct linkage of a number of different enzymes was reached as presented in Chapter 7. A synthetic metabolon was produced containing three enzymes involved in the biosynthesis of piceid. Heterotelechelic linkers were used to control complex formation. It was demonstrated that the enzyme conjugates successfully catalyzed the production of the metabolite of interest.
Samenvatting
Enzymen versnellen in de natuur een groot aantal stofwisselingsprocessen die uit meerdere reactiestappen bestaan. De efficiënte overdracht van tussenproducten van het ene naar het andere katalytische centrum wordt mogelijk gemaakt door de vorming van macromoleculaire enzymcomplexen. In deze complexen vindt een proces plaats dat ‘metabolic channeling’ genoemd wordt. Het zorgt ervoor dat de tussenproducten niet verloren raken door diffusie naar andere delen van de cel. Bekende voorbeelden van dit soort assemblages zijn het tryptofaansynthasecomplex en de clustering van de enzymen van de citroenzuurcyclus. Deze complexen zijn voor onderzoekers aanleiding geweest om enzymen ook op synthetische wijze bij elkaar te brengen. In hoofdstuk 1 worden verschillende strategieën beschreven. Ze verschillen in de mate waarmee controle kan worden uitgeoefend over de complexvorming. Tot nu toe heeft men nauwelijks gebruik gemaakt van site-specifieke modificatiemethodes. Dit motiveerde ons om deze benadering in meer detail te bestuderen. Het doel van het hier beschreven onderzoek was om op gedefinieerde wijze enzymen te koppelen zonder gebruik te maken van een vaste drager of een eiwitstructuur als basis.
Hoofdstuk 2 beschrijft de introductie van het niet-natuurlijke aminozuur “azidohomoalanine” in ons model-enzym *Candida antarctica* lipase B (CalB). De productie van CalB in de bacterie *Escherichia coli* en de opzuivering worden beschreven. Uit massaspectrometrie-resultaten bleek dat het aminozuur methionine efficient was vervangen door de niet-natuurlijke azide analoog. Aanpassingen in het protocol van eiwitproductie resulteerden niet in een grotere opbrengst. Echter, de zuiverheid van het gemodificeerde CalB kon wel verbeterd worden door te voorkomen dat *E. coli* een stress-eiwit produceerde.
Het gebruik van de geïntroduceerde azide-groep als een aangrijpingspunt voor bioconjugatie wordt beschreven in hoofdstuk 3. Als bioconjugatie-reactie werd gebruik gemaakt van de Cu(I)-gekatalyseerde cycloadditie tussen een azide en een alkyn. Er wordt aangetoond, dat het mogelijk is om CalB op één enkele positie te modifieren door op residue-specifieke wijze azidohomoalanine te introduceren. Van de vijf azide-groepen die in CalB geïntroduceerd werden, was er maar één toegankelijk. De andere residuen zaten verborgen in het eiwit. Collega’s hebben beschreven hoe deze strategie op succesvolle wijze gebruikt kon worden om CalB te immobilizeren op drie verschillende polymeren: polymersomen, eiwitmoleculen lijkend op elastine en DNA.
oligonucleotides. In alledrie de gevallen werd aangetoond dat zowel het enzym als de polymeer hun functie behielden.
Vervolgens hebben we onderzocht of de azide-groep ook gebruikt kon worden om op gecontroleerde manier meerdere CalB-moleculen aan elkaar te koppelen. In hoofdstuk 4 worden vier verschillende methodes gepresenteerd. De gemaakte oligomeren konden door middel van size-exclusion chromatografie worden gescheiden van monomeren die niet gereageerd hadden. De activiteit van de CalB-dimeren werd in meer detail bestudeerd. Deze studie toonde aan dat ze even actief waren als de monomeren.
In hoofdstuk 5 staat beschreven hoe azides in enzymen kunnen worden geïntroduceerd zonder gebruik te maken van moleculaire biologietechnieken. Een milde, metaal-vrije en pH-gecontroleerde ‘diazotransfer’ reactie werd ontwikkeld, waarbij selectief amines in azides werden omgezet. De reactie vond post-translationeel plaats, dat wil zeggen nadat het enzym geproduceerd was. Deze eenvoudige modificatiemethode werd getest op zowel CalB, als lysozym en twee polypeptides die op elastine lijken (ELP’s genoemd). Door middel van massaspectrometrie werd bevestigd dat de ‘diazotransfer’ reactie selectief was voor de meest reactieve amines. Voor zowel CalB als de ELP’s was dit enkel de $\alpha$-amine aan de N-terminus. Eveneens toonden we aan dat het gebruik van deze niet-toxische en milde reactiecondities essentieel was om de activiteit van lysozym te behouden.
Naast de aaneenkoppeling van meerdere enzymen, hebben we geprobeerd om een biohybride systeem te produceren door een enzym en metaalkatalysator met elkaar te verbinden. In hoofdstuk 6 staat beschreven hoe twee verschillende liganden voor overgangsmetalen vlakbij het actieve centrum van CalB werden gekoppeld. De ‘strain-promoted’ cycloadditie vond plaats tussen een dibenzocyclooctyn, gekoppeld aan een ‘pincer’ ligand, en het azidohomoalanine bevattend CalB. Door middel van massaspectrometrie werd aangetoond dat deze reactie quantitatief verliep. Een volgende stap zal zijn om een metaalion te introduceren zodat een actief enzym-metaal biohybride katalysator zal worden verkregen.
In hoofdstuk 7 beschrijven we hoe ons uiteindelijk doel werd bereikt. Een synthetisch metabolon werd geproduceerd door het koppelen van drie enzymen, die betrokken zijn bij de biosynthese van piceid. Verbindingsmoleculen met twee verschillende functionele uiteinden werden gebruikt om de complexvorming gecontroleerd te laten verlopen. Er werd aangetoond dat de enzymconjugaten op een efficiënte manier de productie van piceid katalyseerden.
Dankwoord
Het is zover.... Ik ben blij dat ik eindelijk dank je wel kan gaan zeggen tegen iedereen die mij tijdens mijn promotie geholpen en gesteund heeft, en zo dus ook een bijdrage heeft geleverd aan dit boekje.
Ten eerste wil ik mijn promotor bedanken. Jan, ik heb het altijd erg op prijs gesteld dat je me zoveel vrijheid gaf in het uitvoeren van mijn onderzoek. Ik kon altijd bij je terecht voor advies of om goede resultaten te delen. Je positieve instelling werkte erg motiverend!
Mijn dank gaat daarnaast uit naar prof. Ger Pruijn, prof. Luc Brunsveld en dr. Kerstin Blank, die als manuscriptcommissie mijn proefschrift kritisch hebben doorgelezen en van commentaar hebben voorzien.
Een belangrijk deel van mijn werk heb ik uitgevoerd op de afdeling Moleculaire Biologie en Biomoleculaire Chemie van het Nijmegen Centre for Molecular Life Sciences. Prof. Henk Stunnenberg en prof. Ger Pruijn wil ik dan ook bedanken voor het mogelijk maken hiervan. Siebe, Carla, Remon, Anita, Josephine, Maria en Els, dank jullie wel voor hulp en advies met betrekking tot het bestellen van benodigdheden en het gebruik van de beschikbare apparatuur op jullie afdeling.
Vanuit de Organische Chemie afdeling ben ik wat betreft bestellingen en administratieve ondersteuning veel dank verschuldigd aan Jacky, Desiree, Yvonne, Marieke en Peter van Dijk. Dank jullie wel dat jullie altijd zo snel van alles voor mij konden regelen. Peter van Galen, bedankt voor alle hulp bij de GC-metingen en de massa-analyses van mijn eiwitten. Het was elke keer weer leuk als er een strak spectrum van CalB op het scherm verscheen! Rien en Jelle, jullie wil ik bedanken voor de hulp bij het gebruik van de apparatuur in het Gemeenschappelijk Instrumentarium.
Mijn werk aan CalB begon met een masterstage bij Mark Lambermon. Mark, jouw aanpak en manier van onderzoek doen heb ik als erg leerzaam ervaren. Dat we aan het begin van mijn promotie-onderzoek nog een tijd hebben kunnen samenwerken, vond ik dan ook erg prettig. De uitdrukking ‘een goed begin is het halve werk’ is mede dankzij jou op mijn promotie-onderzoek zeker van toepassing!
Vlak nadat Mark vertrok, kreeg ik een bachelorstudent genaamd... Mark. Mark, ik ben blij dat je besloot om te blijven voor je masterstage en dat we daarna ook nog als collega’s hebben kunnen samenwerken. Ondanks het feit dat we het doel van je stage-onderzoek nooit hebben bereikt, hebben we samen twee mooie artikelen kunnen
publiceren. Nanda, Loes en Bart, ook jullie hebben tijdens jullie stages heel wat van het werk verricht dat in dit proefschrift beschreven staat. Heel erg bedankt voor jullie inzet!
Naast het begeleiden van studenten, heb ik het altijd erg motiverend gevonden om met postdoc’s en andere promovendi samen te werken en kennis en expertise te delen. Christine, Hanka, Luiz, Marjoke, Matthieu, Rosalie, Sander, Stijn, Ton en TuHa: ik ben blij dat jullie daar ook voor open stonden. Uiteraard mogen op deze plaats ook mijn overige collega’s van de Van Hest-groep en de rest van de Organische Chemie afdeling niet ontbreken. Jullie hebben bijgedragen aan de fijne werkomgeving waarin ik ruim 4 jaar heb kunnen werken.
Jules, Dirk, Anke en Jan, dank jullie wel voor de samenwerking die ik buiten Nijmegen kon opzetten. Met hulp van jullie heb ik mijn onderzoek kunnen uitbreiden naar een interessante combinatie van enzymen, die hopelijk in de toekomst nog in meer detail bestudeerd zal kunnen worden.
En dan was er natuurlijk nog de vrije tijd naast het onderzoek. Esther, Kristel, Stefanie, Gerbe, Mirjam, Marlinda, Michiel, Tom, Dick, Rik, Rosalie, Dennis, Judith, Roy, Luiz, Haili, Stijn, Saskia, TuHa, Victor, Karin, Eveline, Mark D. en Maaike: ik heb met heel veel plezier samen ‘gebomd’, gezellige avonden, weekenden en vakanties doorgebracht, voor de Vierdaagse getraind, en muziek gemaakt en beluisterd. Vincent, Christine, Michal, Johny, Dáša, Candice, Mauri, Elina, Iria, Guillaume, Lisa, Niels, Zaskia, Marco, Dora and Sue: I hope we will stay in touch wherever all of us may end up. Thanks for the good times we spent together!
Tenslotte, lieve mam en pap, Mayk, Thijs, Lot, Raf en Tes, dank jullie wel dat jullie er altijd voor mij zijn! Mayk, Henry, Marnix en Paul, jullie horen hier natuurlijk ook bij. En mijn lieve Morten, ik ben zo blij dat jij besloot om helemaal naar Nijmegen te komen voor je promotie-onderzoek. Ik kijk uit naar de fijne tijd die wij samen nog gaan doorbrengen.
List of publications
A synthetic metabolon for picoid production
Schoffelen, S.; Rooijakkers, B.; Debets, M. F.; Trilling, A.; Cordewener, J. H. G.;
Beekwilder, J.; Bosch, D.; van Hest, J. C. M., in preparation.
In vitro preparation of multi-enzyme systems
Schoffelen, S.; van Hest, J. C. M. 2011, submitted.
Protein enrichment by capture-release based on strain-promoted cycloaddition of azide
with bicyclononyne (BCN)
Temming, R. P.; van Scherpenzeel, M.; te Brinke, E.; Schoffelen, S.; Lefeber, D. J.;
van Delft, F. L. 2011, submitted.
A DNA-based strategy for dynamic positional enzyme immobilization inside fused
silica microchannels
Vong, T. H.; Schoffelen, S.; van Dongen, S. F. M.; van Beek, T. A.; Zuilhof, H.; van
Hest, J. C. M. Chemical Science, 2011, 2(7), p 1278-1285.
Metal-free and pH-controlled introduction of azides in proteins
Schoffelen, S.; van Eldijk, M. B.; Rooijakkers, B.; Raijmakers, R.; Heck, A. J. R.; van
Hest, J. C. M. Chemical Science, 2011, 2(4), p 701-705.
Synthesis of covalently linked enzyme dimers
Schoffelen, S.; Schobers, L.; Venselaar, H.; Vriend, G.; van Hest, J. C. M. In Green
Polymer Chemistry: Biocatalysis and Biomaterials; Cheng, H. N., Gross, R. A., Eds.;
ACS Symposium Series 1043; American Chemical Society: Washington, DC, 2010; p
125-139.
Aza-dibenzocyclooctynes for fast and efficient enzyme PEGylation via copper-free
(3+2) cycloaddition
Debets, M. F.; van Berkel, S. S.; Schoffelen, S.; Rutjes, F. P. J. T.; van Hest, J. C. M.;
van Delft, F. L. Chemical Communications, 2010, 46(1), p 97-99.
"Clickable" elastins: elastin-like polypeptides functionalized with azide or alkyne groups
Teeuwen, R. L. M.; van Berkel, S. S.; van Dulmen, T. H. H.; Schoffelen, S.; Meeuwissen, S. A.; Zuilhof, H.; de Wolf, F. A.; van Hest, J. C. M. *Chemical Communications*, **2009**, 27, p 4022-4024.
Site-specific modification of *Candida antarctica* lipase B via residue-specific incorporation of a non-canonical amino acid
Schoffelen, S.; Lambermon, M. H. L.; van Eldijk, M. B.; van Hest, J. C. M. *Bioconjugate Chemistry*, **2008**, 19(6), p 1127-1131.
A block copolymer for functionalisation of polymersome surfaces
van Dongen, S. F. M.; Nallani, M.; Schoffelen, S.; Cornelissen, J. J. L. M.; Nolte, R. J. M.; van Hest, J. C. M. *Macromolecular Rapid Communications*, **2008**, 29(4), p 321-325.
Curriculum vitae
Sanne Schoffelen was born on May 30th 1983 in Tilburg. She attended high school at the Theresialyceum in Tilburg and received her diploma in 2001. She continued her studies at Radboud University Nijmegen where she obtained her Master’s degree in Molecular Life Sciences in 2006 (cum laude). She performed her first internship at the Department of Bioorganic Chemistry under supervision of Prof. J. C. M. van Hest. In that period, the research involving the incorporation of a non-natural amino acid in the model enzyme *Candida antarctica* lipase B was initiated. Part of this research was conducted in the group of prof. D. A. Tirrell at the Department of Chemistry and Chemical Engineering at California Institute of Technology (Pasadena CA, USA). For her second internship she went to the Hubrecht Institute in Utrecht, where she joined the “Wnt signaling and cancer” research group of prof. H. Clevers. In November 2006 she started her PhD research at the Department of Bioorganic Chemistry at Radboud University Nijmegen. The subject of this research was the use of site-specific modification strategies for conjugation of enzymes to polymer-like materials and to other (bio)catalysts. The results are described in this thesis. In February 2011 she started as an assistant scientist at the DSM Biotechnology Center in Delft. |
THE NEW TRADITIONALISTS
James Steele examines the work and ideas of three architects who are emerging as standard-bearers of the Hassan Fathy tradition.
Since the death of Hassan Fathy in November, 1989, the future of traditional architecture has been a subject for concern in the Middle Eastern media and particularly in Egypt. A recent issue of *Alam Al Bena*, for example, focused exclusively on this question, and offered various suggestions as to how his philosophy might be perpetuated.\(^1\) In the course of his long career, Hassan Fathy had many apprentices in his studio, some staying with him longer than others. This has resulted in several generations of followers, including architects who never worked with him directly, and are now struggling to establish an identity, if not ascendency, in this specialized area. Ironically, the style that Fathy painstakingly evolved and which drew ridicule during his lifetime, is now fashionable among the rich in his homeland, and many are trying to capitalize on his posthumous popularity. While his architectural language was constructed from indigenous sources, it was still a highly selective and individual vocabulary that depended a great deal on his own sense of proportion, harmony and balance. The evolution of that language was not without moments of hesitation: Fathy himself expressed doubts about the use of the dome in a residential context, or the adaptation of the medieval Cairene *qa'a* to a contemporary lifestyle. However, such concerns tend to be overlooked by many who are interested in this spatial and structural system today, as are the less subjective principles related to the environmental effects of materials, natural ventilation and orientation. For example, methods of filtration such as damp muslin have now been improved through research to include cellulose panels misted with a fine water spray; vaults originally intended to let in fresh air are now glazed, eliminating one of the basic reasons behind the selection of this form. Concrete, which was an anathema to Fathy for telluric as well as thermal reasons, is now also used by clients and designers for reasons of fashion.
While such enterprise will no doubt continue, there have been many sensitive interpretations of Fathy's spatial and structural system, that have looked beyond form to intention. Three architects in particular have begun to emerge as genuine standard-bearers of his philosophy, each focusing on a different aspect of it. If tradition really is "the social analogy of personal habit", as Fathy defined it, then the objective and accurate translation of those habits becomes the most important aspect in an architecture that seeks to express them.\(^2\)
This analogy has been particularly evident in the work of Abdul Wahed El-Wakil. He has also been most active in carrying the defence of traditionalism to an international audience. A graduate of Ain Shams University, El-Wakil met Hassan Fathy in 1967, and left the University to work with him, staying in the atelier until 1973. He has been in private practice since then, first gaining international recognition with Halawa House in Agamy, Egypt, which won an Aga Khan Award for Architecture in 1980. Since then, he has been chiefly involved with the design and project supervision of mosques, completing 13 during the last decade in Saudi Arabia alone. Several others, such as the Yateem mosque in Bahrain, are now under construction. He is currently working on the Sawda and Dalgan mosques, which will be in the Asir region of Saudi Arabia.
El-Wakil's interests, and the ideas that give his work such power, are related to the symbolic and geometric aspects of traditional architecture. This has led him to study the work of scholars such as Seyyed Hussein Nasr, René Guénon, Frithjof Schuon, Titus Burckhardt, and R. A. Schwaller de Lubicz.\(^3\) Such research has enabled him to reproduce very complicated forms from the past, such as *muqarnas*, to a degree of accuracy that has not been achieved elsewhere today (Fig. 1). His recent interest in computers has allowed him to construct such elaborate geometries with even more precision; as was the case with the *muqarnas* used over the main doorway of the King Saud Mosque in Jedda, Saudi Arabia. Photogrammetric reproduction of the portal of the Sultan Hassan Mosque in Cairo, was regenerated by CAD into a highly intricate, but buildable set of working drawings for the new doorway. This represents perhaps the most elaborate example of the marriage of old and new technologies that characterizes this architect's work (Fig. 2). While criticized in some quarters for such recycling, El-Wakil has noted that reinterpretation of archetypes has always been a central part of traditional architecture: there is always a socially important element of
recognition and continuity in the regeneration of something familiar into something new. For El-Wakil, the significance of reforging the link between the past and the present, destroyed by the Industrial Revolution, lies in this rediscovery. According to El-Wakil, before any progress can be made in the renewal of architectural craftsmanship, the intellectual, as well as the physical techniques that were integral to it must be reestablished through the replication of prototypes. In the words of El-Wakil's friend Leon Krier: "Beyond the discipline of Islamic building and construction types, his formal repertoire is equally informed by the study of classical orders and mouldings and by the geometric science of Western and Eastern cultures. His buildings, however, are not merely a collage of clever quotations, but organic, spatial and volumetric compositions which, while being definitely Islamic in character, reflect the universal nature of that culture."
In stressing this process of assimilation, Krier strikes at one of the key sources of conflict between 'traditionalists' and 'modernists' today, which revolves around the question of imitation. Stemming from the Greek concept of 'mimesis', which implied an image of reality rather than a perfect replica of it, imitation in the classical sense referred to the interpretation of nature as the artist felt it could be (oiaeinai thei), not a literal representation of what it was. Following the misrepresentation of works such as Aristotle's Poetics, during the Middle Ages and Renaissance, his dictum "art imitates nature," (e techne mimeitai) began to gain negative connotations. For the classical architect, in the expression of what has perhaps been the most durable of all tectonic traditions, imitation was not reprehensible, but a reaffirmation of a social consensus. El-Wakil himself believes that it is the pursuit of novelty and individuality, rather than the repetition of established principles that brings a loss of identity; "the tradition is always greater than the individual architect; his true identity lies not in his alienation from but in his alliance with tradition. On the other hand, designing within a tradition is not a pretence for repeating the old. It is not a mere act of imitation; for mimicry destroys the whole significance and meaning of the repetition of archetypes. Authentic traditional design is a complex process of careful adaptation and assimilation in an act of gestation. This ritual revitalizes the spiritual identity of the community through the proper act of building, and the masterpiece is created by the faith of the artist in his tradition more so than in the arrogance of his revolt."
El-Wakil's most recent project, the Miqat mosque, demonstrates such inventiveness within culturally prescribed guidelines in a design that is based on the concept of the creation of a serene, cool micro-climate with a series of courtyards. Located within an outer garden, the mosque itself has a green, inner zone with fountains, grass and trees offering a dramatic contrast to the harsh, mountainous landscape around it. (Fig. 3.) The minaret of the mosque, which was
built after other parts of the complex had been completed, begins as a triangle, and transforms into a cylinder as it spirals upwards. This geometric tour-de-force, which evokes many precedents and yet replicates none of them, is a strong argument for this architect’s belief that creativity is inherent in traditional forms. (Figs. 4, 5, 6.)
Rasem Badran, who was born in Jerusalem in 1945, is of the same generation as El-Wakil, but he did not work in the Fathy atelier. Rather than looking at history as a pool of physical forms to be adapted, Badran looks at the process behind these forms and studies the social forces behind typologies. In this way, his view of typology is similar to that of Italian architect Aldo Rossi. In *Architecture of the City*, Rossi states that typology must be determined by principles and should not be followed.
literally. Badran’s extraordinary artistic ability allows him to study these principles graphically, and to assimilate them in a kind of visual and tactile osmosis that transmutes a particular historical context into a living part of his architecture. In his Al Bayt Foundation Headquarters, intended for a hilly site overlooking Amman, Badran broke down the scale of a potentially monumental building by dividing it into a series of internal courtyards. These, in turn, were based on a cross-section of examples of structures such as the Sultan Hassan Mosque and Citadel in Cairo, as well as many other regional paradigms that were related to the building type and its parts. The result appeals to cultural sensibilities, and yet is very contemporary. This technique of using place-related precedents to establish basic principles as well as symbolic forms through analogy is not totally rationalistic, relying as it does upon personal interpretation and selection, and has been identified as being “heuristic.”
A recent proposal for housing in the middle of Sana’a, Yemen, shows this kind of synthesis in operation within a fragile and highly distinctive urban environment that has remained virtually unchanged in the face of increasing pressure. With characteristic thoroughness, Badran began by looking at general, national architectural characteristics related to geography and environment before even considering a design solution for the area. Through this general study, he found that the basic historical characteristics of Yemeni cities are a logical extension of the rural environment, as well as tribal groups. Rural towns were established according to these groups, and were being related to the fertility of the land, in which each plays a major role in defining the compositional principles of the town and its dwellings. The vertical form of each residential unit was found to have developed from defensive considerations, as well as social requirements of privacy. Spaces were layered from bottom to top in each according to the need, and importance of each room. Badran found that in these rural areas, the ground floor of tower houses was usually reserved for livestock and storage, while floors above were kept for guests, and the topmost private areas were used only by the family. From this he derived five principles with which to begin his design: 1. residential units would be vertical and stratified for privacy, grouped around gardens; 2. the mosque would be prominent due to its important role in the urban area; 3. a samsara, the local equivalent to a khan and wekala, would be recreated; 4. public baths and wells, which are very different from similar building types in other Islamic cities, would be an essential part of this new community; 5. moderate climatic conditions in Sana’a have allowed open markets in contrast to the shaded souks of hotter areas, and these would be incorporated in the design (Fig. 7, 8). In its final form, the housing that results is obviously in the same family as that of the past, while still conforming to all contemporary needs.
Omar El-Farouk another member of this generation, has now begun to have
a wider influence. While less well-known than El-Wakil or Badran, he has continued to develop his own architectural language since studying with Hassan Fathy in the 1950s. He now practices in Maadi, outside Cairo, dealing mostly with commercial and residential projects.
The most recent of these, designed for the rapidly growing tourist resort of Hurghada on the Red Sea coast of Egypt, has been commissioned by the owner of a group of restaurants in Cairo, who wishes to expand into this area. The Felféla complex is really two large projects in one: with a tourist village component and a smaller residential component placed on a high plateau overlooking the sea. The tourist village, which varies from 35 to 35 metres in width, runs along the Corniche leading to the Hurghada Sheraton Hotel, in a 550 metre-long group of buildings all facing the water (Fig. 8). Each unit is staggered in height, maximising the view from the Corniche, as well as from each part of the complex itself. In this organisation, the internal corridors were designed to be an extension of the guest rooms, rather than a means of access, rather than corridors leading to them, forming open, courtyard-like spaces. These spaces are intentionally oriented to take advantage of the constant sea breezes, as well as having vegetation to provide shade. The pavilions which they open are all named to give the complex the identity of a small village. The guest room terraces have sitting areas facing these small gardens, which are planted with fruit trees.
9. Isometric Section of Felféla Tourist Complex. (Omar El-Fawuk.)
10. Section through main reception area.
Felfela Village. (Omar El-Farouk.)
11. Villas of Felfela Complex. (Omar El-Farouk.)
12. Pedestrian streets, guest rooms and courtyards, Felfela Tourist Village Complex. (Omar El-Farouk.)
The work of each of these architects, which seems to have expanded on several different but equally important themes stressed by Fathy, is indicative of the level of dedication and talent that is now concentrated on the reconciliation of the past with the present. Their efforts, and those of others who continue to search for a meaningful expression of the continuity between contemporaneity and tradition, seems to assure that such a link will finally be established.
Notes
1. Alam Al Bena (Cairo), No. 110, 1990. Devoted entirely to Fathy's methods, their future, and his followers.
2. Fathy, Hassan, Architecture for the Poor, University of Chicago Press, 1977, p. 36.
3. See, for example, Guénon, René, Symboles de la Science Sacré, N. R. T. Gallimand, Paris, 1962 and De Lubicz, R. A. Schwaller, Le Temple de l'Homme Apet du Sud A Louqor, Vols I and II, Dervy-Livres, Paris, 1985.
4. Krier, Leon, 'Houses, Palaces, Mosques.' Albenaa, Riyadh, No. 34, Vol. 6, April/May 1987, p. 14. Special issue on the work of Abdul Wahed El-Wakil.
5. Porphyrios, Demetri, Classical Architecture, Academy Editions, London. (In preparation.)
6. Steele, James, Hassan Fathy, Architectural Monograph, Academy Editions, London, 1988, p. 8.
7. See MIMAR, Architecture in Development, No. 25, September 1987, p. 50-70 for this architect's earlier work. See p. 65 for the Al-Bayt Foundation.
8. Rowe, Peter, Design Thinking, M.I.T. Press, Cambridge, Mass, 1987 p. 75.
JAMES STEELE, ARCHITECT, HAS PRACTISED IN PHILADELPHIA AND TAUGHT ARCHITECTURE IN THE USA AND AT KING FAISAL UNIVERSITY IN SAUDI ARABIA. HE IS CURRENTLY A SENIOR EDITOR AT ARCHITECTURAL DESIGN MAGAZINE IN LONDON. |
A Cascade Tunnel for Investigation of Rotating Stall
A. R. KRIEBEL
A. H. STENNING
REPORT NO. 26
GAS TURBINE LABORATORY
MASSACHUSETTS INSTITUTE OF TECHNOLOGY
CAMBRIDGE · MASSACHUSETTS
A CASCADE TUNNEL
FOR INVESTIGATION OF
ROTATING STALL
A. R. KRIEBEL
A. H. STENNING
NATIONAL ADVISORY COMMITTEE FOR AERONAUTICS
CONTRACT NAW-6303
DIC 7119
"STALL FLUTTER PHENOMENA IN AXIAL FLOW MACHINES"
TERMINAL REPORT
JUN 1954
GAS TURBINE LABORATORY REPORT NO. 26
MASSACHUSETTS INSTITUTE OF TECHNOLOGY
CAMBRIDGE, MASS.
ABSTRACT
A test apparatus which will reproduce the rotating stall phenomenon found in axial compressors has been constructed and installed in the main wind tunnel circuit of the Gas Turbine Laboratory.
The test section consists of a two dimensional, circular, radial outflow cascade between two flat plates. The cascade was designed to reproduce the pressure distribution, and hence the stall characteristics, of a typical rectilinear cascade.
The air entry angle to the cascade is controlled by a variable angle nozzle ring so that the cascade may be stalled and unstalled in operation. Provision has been made for removal of wall boundary layers by suction, and for changing the setting of the cascade stagger angle. By a simple modification, the blades may be supported elastically to permit torsional vibrations. Independent variation of the Reynolds number and Mach number of the air stream is possible.
Visual observations of the flow using Schlieren and Interferometer equipment can be made through windows in the walls of the test section.
In preliminary tests, rotating stall has been observed and the research program will commence in August of 1954.
INTRODUCTION
The problem of compressor blade vibration has received a great deal of study in recent years, with attention focussed on the possible sources of excitation. Stall flutter was for some time considered to be the prime cause of blade failures, but with the discovery of the phenomenon of rotating stall the emphasis has shifted away from flutter, although the possibility of vibrations excited by rotating stall and amplified by flutter cannot be neglected.
The existing theories of rotating stall (ref. 1, 2, 3, 4) rely on assumptions regarding the nature of the process of boundary-layer separation and reattachment which are frequently conflicting and are as yet unsubstantiated. In consequence, it is highly desirable to be able to study closely the changes in the flow about individual airfoils, under conditions similar to those in turbo-machines.
Most investigations of rotating stall have been carried out with rotating machinery (ref. 1, 5, 6) and this method of attack suffers from the disadvantage that the mechanism of the stalling process cannot be examined. Professor H. W. Emmon's group at Harvard have studied stall propagation in a rectilinear cascade (ref 1), using Schlieren apparatus; but, due to the finite length of the cascade, stalled regions appeared at random intervals rather than periodically and end effects may have had an influence on the velocity of propagation of the stall cells.
It appears, therefore, that to examine the details of stall propagation under conditions resembling those found in axial compressors, some form of circular cascade is required. To avoid the spanwise variations in geometry found in an annular cascade and to facilitate optical observation, a plane, two dimensional flow is desirable so that the cascade should be of either
the radial outflow, or radial inflow configuration.
In this report a test apparatus of this type is described and the main results of the calculations used in the design are summarised.
THE TEST APPARATUS
I Preliminary Design Considerations
The main requirements of the apparatus were, that it should consist of a circular cascade of airfoils with provisions for varying the air entry angle continuously while operating, and that observation by means of the Gas Turbine Laboratory portable Schlieren or Interferometer equipment (shown in Figures 7 and 8) should be possible.
The configuration adopted was a double-entry, radial outflow type, with the air inlet angle to the cascade controlled by means of a stationary, variable-angle nozzle ring. A schematic diagram is given in Figure 1 and photographs of the apparatus and of the test section are shown in Figures 2, 3 and 4. Figures 5 and 6 show assembly drawings of the test section and the complete rig. The airstream is collected in a scroll for return to the wind tunnel circuit after passing through the nozzle ring, the test cascade, and a short vaneless diffuser.
This configuration permits an unobstructed airstream ahead of the nozzle ring. A source-type of radial outflow is easily attained by means of impingement of two airstreams. It is important to have the inlet pipes as small as possible to facilitate mounting the interferometer around the cascade, but the inlet pipe cross sectional area must be equal to or greater than the annulus area of the cascade, otherwise adverse pressure gradients and the likelihood of flow separation from the walls of the divergent portion of the inlet section results.
The following methods for supplying the airstream were considered and discarded for the reasons indicated.
1.) Radial inflow - Compared to outward flow it is difficult to obtain a uniform radial velocity around the circumference of the cascade entry. A more elaborate and expensive scroll would undoubtedly
be necessary.
2.) Radial outflow with one inlet pipe - The inlet pipe diameter in this case would be so large in comparison to the cascade diameter for reasonable blade lengths that the interferometer could not be fitted around the apparatus.
The following methods for varying the air inlet angle to the test cascade were considered and discarded for the reasons indicated.
1.) Radial inflow to test cascade with variable angle compressor blades - Difficulty would be encountered in turning blades mounted in the test windows without obscuring them from view. It would also be more difficult to maintain a close tolerance on blade setting if the blades could be rotated than if they were rigidly mounted.
2.) Variable speed rotor before test cascade - The bearings of the rotor would interfere with the entering airstream. To provide or dissipate approximately 100 HP which would be required to turn the airstream through the required range of angles would present a serious problem. Furthermore, unsteady flow effects due to passing rotor blades would complicate the interpretation of the test data.
II Size Considerations
For the largest number of constant density interference bands to appear in the interferogram, maximum values of the following quantities are desirable.
1.) Mach number through the cascade
2.) Blade length
3.) Density level
Maximum blade length is also desirable to minimize the ratio of wall boundary layer thickness to blade length. Maximum cascade radius is desirable for fitting the interferometer around the apparatus.
The upper limit of each of these quantities is set by the characteristics of the compressor-motor combination of the air supply. Mach number and flow area are limited by the volume flow available; the density level is limited by the power available.
It was found that, with inlet stagnation temperature to the compressor held constant, with power maintained at 90 percent of maximum available, with Mach number constant at the entry to the cascade, and with similarly shaped test sections, a decrease in the corrected mass flow through the compressor caused an increase in the number of band shifts available in the interferogram. The lower limit of mass-flow is set by either the point at which the physical dimensions of the test section become so small that the interferometer could not be fitted to it or when the blades become so small and thin that they would be difficult to machine and mount.
The design offers a compromise between these considerations. A summary of the design operating characteristics is as follows:
1.) Mass flow 16.3 lb./sec.
2.) Stagnation pressure before the compressor, 14.5 psia
Stagnation pressure after the compressor, 18.1 psia
3.) Stagnation temperature, 90 F°
4.) Mach number leaving turbine blades, .71
5.) Mach number entering compressor cascade, .59
6.) Properties of linear cascade simulated
a) solidity, chord/pitch, 1.0
b) pressure coefficient at design point
\( C_p = 0.46 \)
c) cascade inlet air angle at design point from radial direction, 48.5°
d) cascade blades with NACA (a = 1.0) mean line cambered
design lift coefficient, $C_{l_0} = 1.5$
e) blade dimensions
chord = 1.47 inches = c
length = 1.70 inches = L
aspect ratio = 1.15 = $\frac{L}{c}$
7.) Properties of circular cascade.
a) Limits of the air entry angle are from $30^\circ$ to $70^\circ$ from radial
b) At the design point the entry angle is $48.5^\circ$ and pressure coefficient is 0.46
c) Cascade radius to leading edge = 7.91 inches
d) Three blades are visible in the test window.
III Summary of Calculations
Stagnation pressure losses through the circuit were estimated in order to construct an approximate operating line for the air supply and to find the state of the airstream entering the test cascade. The results of these calculations are indicated in the schematic diagram and table of Figure (9) and the compressor operating map comprising Figure (10).
The number of interferogram band shifts caused by density variation around the blade profile for a magnesium arc light source, inlet Mach number = .6, and the blade in a stalled condition, is estimated at 4.3 bandshifts from the free stream to the stagnation point and approximately 13 total band shifts around the profile. This number of band shifts, although less than optimum for precise interferometric measurement, should clearly indicate the nature of the density field around the blade.
In order to approximate the amount of suction required for removing the boundary layer from the walls of the cascade, an estimation of the boundary layer growth from the inlet screens to the cascade was made. The location of the screens is indicated in Figure 6.
The position of the boundary layer suction slots is shown in Figure 1; an estimated $0.24 \text{ lbs sec}$ suction flow is required to remove the boundary layer fluid. This mass flow is well within the capacity of the steam ejector system installed in the Laboratory.
The estimated variation of the normal component of air velocity into the suction slot caused by the spacing of the holes, amounts to less than ten percent of the average normal velocity into the slot. This estimate is conservative since it was assumed that the holes act as point sinks.
Other steps taken in the design to reduce velocity variations, in addition to boundary layer suction, are the use of turning vanes in the bends, straightening tubes, and two screens before each entrance section as indicated in Figure 6. The screens theoretically should reduce the turbulence level of the airstream by a factor of 70 percent and produce flat velocity profiles across the ducts.
The internal shape of the section leading into the cascade of nozzle blades was obtained from a thesis investigation performed at the University of Iowa (ref. 7) which determined the surface generated by the free streamlines of a circular jet of incompressible fluid impinging normally upon a plane. Although the design Mach number of the jet is 0.44 the internal shape based upon an incompressible solution should prove satisfactory in providing approximately uniform pressure on the walls of the entrance section.
The method employed in designing the circular cascade was to transform
by means of mapping function, the straight parallel streamlines of a uniform flow in rectangular coordinates to logarithmic spiral streamlines in a circular plane. In order that the circular cascade might have similar stall characteristics to a linear cascade of compressor blades the reduced adverse pressure gradient $\frac{dp}{d\left(\frac{X}{C}\right)}$ on the suction side of the blades at the design point was set equal for both cascades: This condition is illustrated in Figure (11) which is a plot of pressure distribution around the blades in the respective cascades.
The system used for setting the pressure gradients equal was as follows:
1) The effect of the transformation upon the pressure gradient was determined.
2) An intermediate linear cascade was determined which would transform to a circular cascade with a pressure gradient equal to that for the original linear cascade.
Equations for the conformal transformation of the uniform flow in rectangular coordinates to a combination source-vortex flow in polar coordinates were obtained from a Gas Turbine Laboratory report by Dr. Charles R. Faulders (ref. 8).
A summary of the results of the calculations follows:
1) Assumed typical linear cascade
Mean line, NACA ($a = 1.0$)
Camber $C_{l_0} = 1.5$
Solidity, $\sigma = 1.00$
Characteristics of design point
Angle between inlet flow and cascade axis
$\alpha_i = 48.5^\circ$
Angle between inlet flow and cascade
chordline = $i = 15^\circ$
Cascade flow turning angle = $\theta = 23.5^\circ$
Cascade pressure coefficient = $C_p = 0.46$
as design condition.
2) Properties of intermediate linear cascade.
For an assumed circular cascade radius ratio $R = r_2/r_1 = 1.095$ and an assumed $r_1$ of 7.91 inches, where $r_1$ is the leading edge radius and $r_2$ the trailing edge radius of the cascade, it was found that the circular cascade with $C_p = 0.46$ is transformed from a linear cascade with $C_p = 0.35$.
chord = $c = 1.47$ inches
$C_p = 0.35$
$\sigma = 1.00$
$\alpha_1 = 48.5^\circ$
it was found that
$C_{l_o} = .82$
$\Theta_1 = 13.5^\circ$
$i = 9.5^\circ$
3) Properties of the final circular cascade employed in the test section
$r_1 = 7.91$
$R = 1.095$
$C_p = 0.46$
number of blades = 54
Figure (2) is a plot of $\theta$ versus $\alpha_1$ for the original and intermediate cascades. The $\theta$ versus $\alpha_1$ curve for the circular cascade should fall
somewhere between the two linear cascade curves since it was transformed from one and has the same pressure coefficient as the other. Figure (2) indicates that the stalled region of the circular cascade should occur at an angle, $\alpha_1$, between $45^\circ$ and $60^\circ$.
A cross plot of cascade data from "Fluid Dynamics of Axial Compressors" by A. R. Howell - Proc. of Inst. of Mechanical Engineers, London, Vol. 153, 1945 was found to fall within one degree of the data plotted in Figure (2).
The Reynolds number for the circular cascade based on chord length was found to be approximately 287,000 which is above the lower limit of the data utilized in the design.
From the pressure distribution plot of the blade in the circular cascade, the lift force for one blade was found to be approximately 4.2 lb.
Since the blades in the test cascade are supported by trunnions attached as shown in Figure 5 they may be supported elastically to permit torsional vibrations by a simple modification of the clamping device utilized in the present design.
The blades of the variable angle nozzle ring were designed to provide a continuously accelerating passage for an air exit angle of $50^\circ$ from radial. This exit angle corresponds to an air entry angle for the test cascade which is $1 \frac{1}{2}^\circ$ greater than the design air entry angle. The nozzle blades may be turned $20^\circ$ in either direction from their neutral position by means of a mechanical linkage.
The nozzle and compressor blades are illustrated in Figures 13 and 14.
IV **Instrumentation**
The quantities to be measured may be divided into two classes:
mean values of pressure, velocity, and flow direction; and instantaneous values of these quantities. The steady state and mean values of static pressure are obtained from static pressure taps placed immediately before and after the nozzles, and before and after the cascade of compressor blades. The windows may be replaced by a traversing gear which permits a total pressure traverse to be made at the entry to the cascade across one passage, and total pressure probes are situated in the pipe just before the nozzle ring. Direction measurements will be made with tufts of thread observed through the windows, although a yawmeter can be fitted if this is found to be desirable. The flow rate in the main circuit and through the suction line may be measured with orifice flow meters.
For the dynamic measurements, several techniques are available. The rotating stall regions can be observed using barium titanate crystals (which detect pressure changes) or with hot-wire instruments, which register velocity fluctuations. The schlieren apparatus is useful for showing qualitatively the changes in the flow pattern, and the density field around the airfoil may be measured with the interferometer. A high speed motion picture camera and a high-speed flash unit with a maximum flash rate of 10,000 per second is available for use with the schlieren and interferometer.
EXPERIMENTAL PROGRAM
In early tests made with the cascade tunnel, rotating stall has been identified using hot wire equipment. The unsteady flow commences at an air inlet angle of approximately $63^\circ$, with a frequency which increases with the air inlet velocity from approximately 50 cps at low speed to 100 cps at design speed. A typical oscilloscope trace is reproduced in figure 15.
Spark photographs taken with the schlieren apparatus are shown in figures 16 and 17. In Figure 16, all the airfoils are stalled while in Figure 17, an unstalled region is passing and the center airfoil is unstalled. The oscilloscope trace indicates that the airfoil was stalled for at least 80% of the time period of the oscillation, and the fact that the schlieren photograph shows only one unstalled airfoil suggests that the wave length of the disturbances was approximately 5 blade spacings.
A hot wire probe was installed in the tapered tube upstream of the nozzle ring to detect any velocity fluctuation which might be caused by unsymmetrical flow in the two inlets. While there was rotating stall in the test cascade fluctuations were observed in the tube which were of much smaller amplitude but with the same frequency as those occurring in the cascade. At the design point condition, however, the flow upstream of the nozzles was smooth and no fluctuations in velocity could be detected with the hot wire.
An immediate start is planned on the test program outlined below.
1.) Determination of the performance of the test cascade by measurements of pressure rise and turning angle as a function of angle of attack.
2.) Investigation of the size and velocity of propagation of the
rotating stall regions using hot wire equipment.
3.) Examination of mechanism of the stall process with optical apparatus.
The effect of cascade solidity and stagger on stall characteristics will also be studied.
List of Figures
1. Schematic Diagram of test section configuration.
2. Photograph of apparatus.
3. Photograph of test section.
4. Photograph of test section blading.
5. Assembly drawing of test section.
6. Assembly drawing of apparatus.
7. Gas Turbine Laboratory portable Schlieren - photograph.
8. Gas Turbine Laboratory portable Interferometer - photograph.
9. Air circuit - schematic diagram and tabulated properties.
10. Performance map of wind tunnel compressor.
11. Pressure distribution for cascade at design point.
12. Predicted cascade performance.
13. Compressor blade.
14. Nozzle blade.
15. Oscillogram of hot-wire signal.
16. Schlieren photograph.
17. Schlieren photograph.
REFERENCES
1. H. W. Emmons, C. E. Pearson, and H. P. Grant, "Compressor Surge and Stall Propagation". Paper No. 53-A-65. A.S.M.E. December 1953.
2. W. R. Sears, "A Theory of Rotating Stall in Axial-Flow Compressors". Cornell University, January 1953.
3. F. E. Marble, "Propagation of Stall in a Compressor Blade Row". California Inst. of Technology, January 1954.
4. A. H. Stenning, "Stall Propagation in a Cascade of Airfoils". Gas Turbine Laboratory Report No. 25, M.I.T. May 1954.
5. T. Iura and W. D. Rannie, "Experimental Investigation of Rotating Stall in Axial Compressors". Trans. A.S.M.E. April 1954.
6. M. C. Huppert and W. A. Benser, "Some Stall and Surge Phenomena in Axial-Flow Compressors". Journal of the Aeronautical Sciences December 1953.
7. A. Leclere, "Deflection of a Liquid Jet by a Perpendicular Boundary". S.M. Thesis, Graduate College of the State of Iowa. August 1948.
8. C. R. Faulders, "Two Dimensional Incompressible Flow Study of Vaned Diffuser for Centrifugal Compressors". Gas Turbine Laboratory, M.I.T. June 1953.
GLOSSARY
$C_p$ - Cascade pressure coefficient.
$C_{l_0}$ - NACA design lift coefficient.
$c$ - Blade chord.
$L$ - Blade length.
$i$ - Angle between inlet flow and cascade chordline.
$r_1$ - Radius to leading edge of blade.
$r_2$ - Radius to trailing edge of blade.
$R$ - Radius ratio $\frac{r_2}{r_1}$.
$\alpha_1$ - Angle between inlet flow and cascade axis.
$\sigma$ - Cascade solidity - blade chord/blade spacing.
$\theta$ - Cascade flow turning angle.
Figure 1. Schematic Diagram of Test Section Configuration
Figure 2. Photograph of Apparatus
Figure 3. Photograph of Test Section
Figure 4. Photograph of Test Section Blading
Figure 5. Assembly Drawing of Test Section
Figure 6. Assembly Drawing of Apparatus
Figure 7. Gas Turbine Laboratory Portable Schlieren
Figure 8. Gas Turbine Laboratory Portable Interferometer
| STATION | RADIUS INCH'S | MACH. NO. | VELOCITY F.P.S. | $\rho_0$ LB-M FT$^3$ | $\rho$ | $P_0$ PSIA | P | T °F |
|---------|---------------|-----------|-----------------|----------------------|-------|------------|----|------|
| 1 | | | 78 | .0712 | .0710 | 14.54 | 14.49 | 90 |
| 2 | | | 62 | .0855 | .0854 | 18.09 | 18.06 | 90 |
| 3a | | | 127 | .0814 | .0809 | 16.60 | 16.47 | 89 |
| 3b | | | 133 | .0786 | .0781 | 16.01 | 15.86 | 89 |
| 3c | | | 498 | .0786 | .0715 | 16.01 | 14.02 | 70 |
| 4 | 6.0 | .45 | 509 | .0786 | .0714 | 16.01 | 13.93 | 68 |
| 5 | 7.2 | .71 | 776 | .0771 | .0608 | 15.69 | 11.25 | 45 |
| 6 | 7.9 | .59 | 658 | .0771 | .0652 | 15.69 | 12.40 | 54 |
| 7 | 8.7 | .39 | 443 | .0759 | .0703 | 15.47 | 13.93 | 73 |
| 8 | 12.0 | .28 | 317 | .0759 | .0730 | 15.47 | 14.56 | 82 |
| 9 | 23.0 | .10 | 115 | .0714 | .0711 | 14.56 | 15.86 | 89 |
Figure 9. Air Circuit - Schematic Diagram and Tabulated Properties
Figure 10. Performance Map of Wind Tunnel Compressor
\[ P_r = \frac{P_{O2}}{P_{O1}} \]
\[ MFF = \frac{2.665 \times 10^{-3} W \sqrt{T_{O1}}}{P_{O1}} \]
\[ \pi_{mi} = \frac{V_1}{a_{O1}} = 2.67 \times 10^{-3} (RPM) \sqrt{T_{O1}} \]
where \( W = \text{MASS FLOW lbm sec} \)
\( P_{O1} = \text{INLET STAGNATION TEMP °Fabs} \)
\( P_{O2} = \text{OUTLET STAGNATION PRESSURE psia} \)
\( V_1 = \text{ROTOR TIP SPEED ft/sec} \)
\( a_{O1} = \text{VELOCITY OF SOUND ft/sec AT INLET CONDITIONS.} \)
- DESIGN OPERATING POINT.
- OPERATING LINE.
SURGE LINE
\[ \pi_{ml} = 0.529 \]
\[ \pi_{ml} = 0.564 \]
\[ \pi_{ml} = 0.495 \]
\[ \pi_{ml} = 0.460 \]
\[ \pi_{ml} = 0.463 \]
\[ \pi_{ml} = 0.343 \]
\[ \pi_{ml} = 0.287 \]
\[ \pi_{ml} = 0.173 \]
PRESSURE DISTRIBUTION FOR CASCADE BLADES AT CASCADE DESIGN POINT.
--- SIMULATED CASCADE
----- INTERMEDIATE CASCADE
------ CIRCULAR CASCADE
\[
\left(\frac{V}{V_f}\right)^2 = \left(\frac{\text{LOCAL VELOCITY}}{\text{FREE STREAM VELOCITY}}\right)^2
\]
Figure 11. Pressure Distribution for Cascade at Design Point
AIR TURNING ANGLE VS. INCIDENCE.
X - DESIGN POINTS - NACA.
O - HOWELL'S OPTIMUM NOMINAL POINT.
TURNING ANGLE (DEGREES)
SIMULATED CASCADE
σ = 1.00 CL₀ = 1.5
INTERMEDIATE CASCADE
σ = 1.00 CL₀ = 0.8
β₁ INCIDENCE FROM AXIS (DEGREES)
Figure 12. Predicted Cascade Performance
Figure 13. Compressor Blade
break edge $\frac{1}{32}$
$1\frac{1}{8}$
$17\frac{1}{2}$
$1\frac{1}{4}$
$1\frac{1}{4}$
$0.92$ dia.
$0.91$
$0.58$
$2\frac{3}{8}$
96 approx
actual size blade
Figure 14. Nozzle Blade
Figure 15. Reproduction of Hot-Wire Trace of Velocity Fluctuation Midway Between Trailing Edges of Two Compressor Blades
Figure 16. Spark Schlieren Photograph All Blades Stalled
Figure 17. Spark Schlieren Photograph Center Blade Unstalled |
Finding Solid Footing on Shaky Ground: Using Multidisciplinary Collaboration and Comprehensive Management to Care for Complex Neurological Voice Cases
Maria Russo will no longer be serving as Executive Director of The Voice Foundation. She deserves much credit and gratitude for her work during her twelve years with our organization and community. We wish Maria much success in her future endeavors.
We are pleased to welcome Ian DeNoflo as our new Executive Director. Ian is not a stranger to us. He has been filling the role of Executive Coordinator of TVF and Managing Editor to the Journal of Voice for the past several months and helped run this year’s Symposium in Philadelphia. He holds a Bachelor of Music degree from the Juilliard School and a Master of Music Degree from the Curtis Institute. Ian had a successful career as a leading tenor and is passionate about advancing knowledge surrounding voice health issues, therapy and training.
We are also pleased to welcome Melanie Culhane to The Voice Foundation as our new Executive Coordinator and Managing Editor for Journal of Voice. Melanie is an American lyric soprano who currently resides in Philadelphia, PA where Melanie earned her Master of Music degree in Voice Performance from Temple University. She graduated from the University of Mississippi with her Bachelor of Music degree in Vocal Performance in 2017.
“My fascination with voice started when I was a teenager beginning classical voice training and continued to grow as I completed my clinical training in speech pathology and research training in voice science.”
Introduction
Rosemary A. Lester-Smith, Ph.D., CCC-SLP
Assistant Professor of Speech, Language, and Hearing Sciences at The University of Texas at Austin and the Director of the UT Voice Lab.
Happy fall to the Voice Foundation community! I am excited to be serving as the new co-editor for the newsletter, and I am looking forward to sharing community members’ unique perspectives on voice with you. My fascination with voice started when I was a teenager beginning classical voice training and continued to grow as I completed my clinical training in speech pathology and research training in voice science. My first experience with the Voice Foundation was a memorable and formative one, attending the Annual Symposium 10 years ago as a doctoral student and having the privilege of learning about voice from many different perspectives. Being introduced to the diverse Voice Foundation community by Robert Satloff, M.D., learning about the complex and awe-inspiring neurophysiology of voice from the presentations of Charles Larson, Ph.D., and Christy Ludlow, Ph.D., CCC-SLP, discussing the principles of semi-occluded vocal tract therapy with Ingo Titze, Ph.D., being mesmerized by the blend of art and science used to enhance voice in the Master Class of Frederica von Stade, hearing the multidisciplinary approaches for voice assessment and treatment from Peak Woo, M.D., and Katherine Verdolini Abbott, Ph.D., CCC-SLP – all of these experiences and many others shaped my early perspectives on voice and motivated me to engage in collaborative clinical management of voice disorders and collaborative clinical research on voice. During each collaborative experience I have had with physicians, speech-language pathologists, voice scientists, singing teachers, and other voice enthusiasts, I learn something new that shapes my future clinical interactions and research interests. With each issue of the newsletter, I hope to further promote collaboration within the dynamic Voice Foundation community and share members’ unique perspectives on a range of voice-related topics.
In the current issue, the authors discuss the benefits and challenges of collaborative clinical management of neurological voice disorders. Patients with neurological voice disorders often require the care of a multidisciplinary team, as discussed by David Lott, M.D., a unified medical and behavioral treatment approach, as discussed by Emily Wilson, M.S., CCC-SLP, and therapy that extends beyond the clinical treatment room, as discussed by Amanda Stark, M.S., CCC-SLP, and Julia Ellerston, M.A., CCC-SLP. Although neurological voice disorders are often challenging to assess due to their physiological and functional complexity and challenging to treat due to the limited research on medical and behavioral management for some neurological voice disorders (Khoury & Randall, 2022; Lester-Smith, Miller, & Cherney, 2021), a team approach brings together the unique expertise of each member and may facilitate patient-specific problem solving and optimize treatment outcomes. Furthermore, providing patients with the opportunity to engage with a team of clinicians and interact with other patients who have voice disorders may motivate patients’ participation in their treatment and enhance functional communication gains. We thank the authors for offering their unique perspectives on navigating the challenges of working with patients who have complex neurological voice disorders and the rewards of helping patients improve their voice and quality of life. We hope that these articles enhance collaborative assessment and treatment of neurological voice disorders within and outside the Voice Foundation community and motivate future research on these disorders.
Rosemary A. Lester-Smith, Ph.D., CCC-SLP, is an Assistant Professor of Speech, Language, and Hearing Sciences at The University of Texas at Austin and the Director of the UT Voice Lab. She received a B.A. from the University of New Mexico, M.A. from Indiana University, M.S. from Northwestern University, and Ph.D. from the University of Arizona. She completed postdoctoral training at Mayo Clinic, Boston University, Northwestern University, and Shirley Ryan AbilityLab (formerly Rehabilitation Institute of Chicago). Dr. Lester-Smith is a certified speech-language pathologist and has worked in a variety of clinical settings, primarily evaluating and treating adults with voice and swallowing disorders. Her research aims to improve the diagnosis and treatment of neurogenic voice disorders.
Khoury, S., & Randall, D. R. (2022). Treatment of Essential Vocal Tremor: A Stepping Review of Evidence-Based Therapeutic Modalities. Journal of Voice. doi:https://doi.org/10.1016/j.jvoice.2021.12.009
Lester-Smith, R. A., Miller, C. H., & Cherney, L. R. (2021). Behavioral Therapy for Tremor or Dystonia Affecting Voice in Speakers with Hyperkinetic Dysarthria: A Systematic Review. Journal of Voice. doi:https://doi.org/10.1016/j.jvoice.2021.03.026
Multidisciplinary Team Approach to Neurologic Voice Disorders
David G. Lott, M.D.
Neurologic voice disorders are a complex group of disorders to diagnose and manage. For the purposes of this communication, this article focuses on two neurologic voice disorders: laryngeal dystonias (including spasmodic dysphonia) and vocal tremor. These can be a frustrating group of diseases for both patients and clinicians. However, they don’t have to be. Having a knowledgeable and dedicated team can profoundly improve patient outcomes and satisfaction. Why is a team approach better? What does it take to put a good team together? Well, I’m glad you asked.
Having a knowledgeable and dedicated team can profoundly improve patient outcomes and satisfaction.
There has been quite a bit of good research on neurologic voice disorders recently. Perhaps the most important finding is that clinicians are not very good at diagnosing these disorders. Ludlow et al.\textsuperscript{1} set out to determine clinician diagnostic accuracy. They found that the inter-rater agreement on diagnosis was never any better than 36%! That might be good for baseball, but it is not so good for medicine. Difficulties arriving at the correct diagnosis can arise because there is no widely adopted consensus of attributes to suggest a diagnosis (Ludlow et al. did suggest one), some of the signs and symptoms overlap, some patients have more than one of those disorders concurrently, some patients have other contributing medical factors, and some patients have contributing external life stressors. Since no two individuals have the same factors, it is important to develop an individualized management plan.
Why is that information important to establishing a multidisciplinary team? It fundamentally changes the way we have to diagnose these disorders. Instead of a single clinician giving a diagnosis (with which only 36% of others might agree), it allows us to work toward getting the correct diagnosis as a team. The breadth and variability of contributing factors prevents a single clinician from being able to accurately work toward a diagnosis. When speaking with these patients, I frequently have to put my pride aside and tell them that there’s no way to be certain exactly what the disorder is, but our team will work hard to determine the mechanism. The diagnostic goal of the team is to cast a wide net and start “peeling back the layers of the onion” until we narrow the diagnosis and find the proper individualized management strategy.
The management goal for neurologic voice orders is not necessarily to cure the disease, but to maximize vocal function and quality of life. Our multidisciplinary team includes an ENT (laryngologist), speech-language pathologist (SLP), neurologist, gastroenterologist, psychiatrist, counselor, social worker, and most importantly, the patient. The initial patient visit occurs in our voice clinic where both a laryngologist and SLP see the patient simultaneously. During that visit, a full physical, laryngeal and voice exam are performed to determine areas of involvement as precisely as possible. We identify the pertinent patient factors and stressors. Together, with the patient, we then determine an individualized treatment plan. Not every team member is utilized for every patient. However, it is important for patients to understand the role and potential benefit of visiting with each team member.
The ENT is responsible for helping to lead the team, overseeing the process of patient care management, and providing treatments as needed. SLPs play a central role in the management of these patients. Therapy exercises can improve vocal outcomes whether or not botulinum toxin (Botox) injections are used. SLPs can also discuss strategies to enhance communication with these patients. In addition to the numerous other ways SLPs help these patients, perhaps the most important is establishing a long-term relationship so patients know they don’t have to battle this disorder on their own. Neurology is also an important member of the team. Laryngeal neurologic disorders can frequently present with other types of neurologic disorders that may have not yet been diagnosed. Additionally, the neurologist is part of our Botox team. Gastroenterology is important to help diagnose and manage any concurrent esophageal disorders. Gastroesophageal disorders, such as reflux, can perpetuate laryngeal irritation and further worsen the voice disorder. Mental health providers are also very important members of the team, as underlying psychiatric issues may contribute to the disorder. Additionally, patients and clinicians often underestimate the mental toll voice disorders can have on patients.
(Continued on page 4)
Difficulty communicating can often lead to depression and isolation. It is important for patients to meet with someone to help manage those concerns. Since neurologic voice disorders are not curable at this time, mental health is something patients need to be able to manage their entire lives. Last but not least are the patients themselves. It is important that patients know they are part of the team, understand that this disorder does not define them, and give back to other patients. Many cities have voice disorder support groups led by patients.
In order for your team to function well for patients, it is imperative that all team members agree on a common approach to diagnosis and management. Getting mixed signals from multiple providers can destroy patient confidence in the team. For our team, once life-threatening conditions are ruled out, we agree that the number one goal is to improve patient quality of life though our various means of support. Even if we can’t improve vocal function significantly, we can help improve quality of life. Another important goal is the willingness to take time and “peel back the layers of the onion”. Since we accept the fact that we may not always agree on the specific underlying disorder, it is imperative that we manage as many factors as we can and narrow down management plans as efficiently as we can. We further agree that management plans should be individualized to each patient. We can’t dictate factors that improve quality of life for each patient, therefore the patient must be central to that decision making.
Caring for patients with neurologic voice disorders doesn’t have to be frustrating. To the contrary, with the right team in place, significant improvements in vocal function and quality of life can be achieved.
Reference
Ludlow CL, Domangue R, Sharma D, Jimmah HA, Perlmutter JS, Berke G, Sapienza C, Smith ME, Blumin JH, Kalata CE, Blindauer K, Johns M, Hapner E, Harmon A, Paniello R, Adler CH, Crujido L, Lott DG, Bansberg SF, Barone N, Drula T, Stebbins G. Consensus-Based Attributes for Identifying Patients With Spasmodic Dysphonia and Other Voice Disorders. JAMA Otolaryngol Head Neck Surg. 2018 Aug 1;144(8):657-665. doi: 10.1001/jamaoto.2018.0644. PMID: 29931028; PMCID: PMC6143004.
Unilateral vocal fold paralysis is a diagnosis often seen in laryngology clinics as a result of injury to the recurrent laryngeal nerve\textsuperscript{4}. There are many potential causes for unilateral vocal fold paralysis including surgical injury, traumatic injury, malignancy, viral infection, inflammatory disease, and unidentified processes\textsuperscript{2}. Depending on the position of the impaired vocal fold, unilateral vocal fold paralysis can lead to glottic insufficiency. Subsequently, patients may experience functional limitations related to their voice, breathing, swallowing, or cough. This can be contingent on numerous factors, including the severity of the glottic gap or the presence of maladaptive compensations. As such, recommendations for intervention may not always be straightforward. In my experience, interdisciplinary collaboration between speech-language pathologists and laryngologists is of the upmost importance when caring for these patients. Using a collaborative approach not only allows us to understand the patient from a medical perspective, but also from a functional and physiologic standpoint.
During interdisciplinary assessment, speech-language pathologists and laryngologists often use a variety of tools to best guide clinical decision making. Patient-reported outcome measures, case histories, auditory-perceptual evaluation, acoustic and aerodynamic assessment, laryngeal videostroboscopy, and stimulability testing are integral components of evaluation\textsuperscript{8}. During the assessment, it is essential to identify the patient’s chief complaints and their goals for intervention. We must also recognize factors that can impact the patient’s response to treatment, such as their overall health status, co-existing medical conditions, the cause of their unilateral vocal fold paralysis, and the timing of their injury. Depending on these variables, our recommendations may vastly change.
Additionally, we must interpret assessment findings from our auditory-perceptual evaluation, laryngeal videostroboscopy exam, and stimulability testing collectively. Dysphonia associated with unilateral vocal fold paralysis can present in a myriad of ways. The position of the paralyzed vocal fold (i.e., median, paramedian, lateral), the tone (i.e., supple, bowed, flaccid), glottic closure configuration, and the degree of compensatory laryngeal muscle tension can all impact the patient’s overall presentation\textsuperscript{8}. For example, a patient with a lateral...
vocal fold paralysis may present with a characteristic breathy, asthenic voice quality and potentially a weak cough due to glottic insufficiency. If a patient uses excess laryngeal muscle tension to achieve glottic closure, their voice will likely sound strained or effortful. Other patients may experience diplophonia, lowered pitch, or falsetto depending on their compensatory strategies\textsuperscript{8}.
Auditory-perceptual evaluation can often give important clues regarding a patient’s laryngeal function, but also can help guide therapeutic recommendations. If a patient is stimulable for an improvement in their vocal quality or function with a trial of voice therapy probes, the interdisciplinary team may recommend voice therapy as the preferred treatment modality. Alternatively, if a patient cannot improve their vocal quality or if they are unable to achieve complete glottic closure, the interdisciplinary team may be more likely to consider other treatment options to compliment behavioral intervention such as surgery.
Once a patient has been thoroughly evaluated, the interdisciplinary team will then discuss recommendations for the plan of care. This may include surveillance of the unilateral vocal fold paralysis to assess for spontaneous nerve regeneration within the first year of injury\textsuperscript{1}. Radiographic imaging may also be recommended to rule out tumor or mass effect on the vagus nerve and its branches (i.e. CT scan, chest x-rays)\textsuperscript{2}, especially for patients without an obvious antecedent event for their vocal fold paralysis. Additionally, laryngeal electromyography (LEMG) can sometimes be used as a diagnostic tool to better understand the neuromuscular function of the larynx\textsuperscript{3}. In patients without a clear etiology of their vocal fold paralysis, LEMG may help determine whether the cause is more likely neurologic or structural, such as cricarytenoid joint fixation\textsuperscript{7}. Some studies also support the use of LEMG to predict the prognosis of poor nerve recovery. In these cases, LEMG findings may lead some patients to explore intervention instead of waiting for spontaneous nerve regeneration\textsuperscript{4}. However, LEMG should be used cautiously as a predictor of positive recovery, particularly when completed in the early stages of nerve injury\textsuperscript{5}. Lastly, the timing and benefit of voice therapy and surgical interventions are typically discussed. Depending on the complexity of the patient, a combination of evaluation and intervention approaches may be recommended. It is critical that we determine our plan of care based on each patient’s unique clinical presentation and individual needs.
Voice Therapy
The primary goal of voice therapy with this patient population is to optimize vocal quality and function despite vocal fold motion impairment\(^8\). Additionally, speech-language pathologists often teach strategies to decrease maladaptive compensations that the patient has developed secondary to their underlying vocal fold paralysis. Treatment may utilize breathing exercises to improve coordination of respiration with phonation, circumlaryngeal massage, vocal function exercises, semi-occluded vocal tract exercises, and techniques to balance airflow, maximize resonance, and produce a voice that is perceived as easy and efficient (i.e., resonant voice therapy, flow phonation)\(^8\). Breath phrasing and decreasing the length of utterances can also be helpful\(^8\).
Some patients with unilateral vocal fold paralysis can adequately meet their functional demands with voice therapy alone\(^8\). In my experience, patients with a median or near median position of the paralyzed vocal fold tend to be optimal candidates for behavioral intervention because they can often maintain adequate glottic closure once their compensatory muscle tension has been unloaded. For these individuals, voice therapy can be the primary treatment modality. Alternatively, patients with a lateral position of the paralyzed vocal fold often have a larger glottic gap, and subsequently may find it challenging to meet their needs with voice therapy alone\(^8\). These patients often elect to proceed with surgical intervention but also benefit from voice therapy as part of their pre-operative, intra-operative and
post-operative care. Treatment typically involves patient education, techniques to optimize voice use throughout the peri-operative period, and strategies to reduce maladaptive voice and breathing patterns that may interfere with surgical intervention\textsuperscript{8}. In some cases, the speech-language pathologist will additionally be present during awake procedures (i.e., medialization thyroplasty) to facilitate optimal voice use as the surgeon assesses the correct size and placement of the implant.
\textit{It is critical that we determine our plan of care based on each patient’s unique clinical presentation and individual needs.}
**Surgical Intervention**
Injection laryngoplasty and medialization thyroplasty are surgical procedures used to improve glottic closure in patients with unilateral vocal fold paralysis. Injection laryngoplasty involves injection of material (i.e., hyaluronic acid gels, calcium hydroxyapatite, autologous fascia) into the paralyzed vocal fold to temporarily bring the medial edge closer to midline\textsuperscript{2}. During medialization thyroplasty, an implant (i.e. Silastic, Gore-tex, or Montgomery) is carefully placed through a window cut in the thyroid cartilage to displace the affected vocal fold medially\textsuperscript{2}. This procedure is completed in the operating room and can be performed in conjunction with arytenoid adduction for patients with a posterior glottic gap or arytenoid rotation\textsuperscript{10}.
When deciding surgical recommendations, there are many variables to consider such as the patient’s goals and their recovery timeline. It can be common for patients to begin with injection laryngoplasty, especially if they are waiting for spontaneous nerve regeneration or if they are hesitant to commit to permanent intervention without trialing an injection first. If the patient finds this procedure to be beneficial, they may elect to repeat the injection laryngoplasty or proceed with permanent medialization thyroplasty once the injectable has dissipated. If the patient does not report a significant benefit from their injection, the material is temporary and usually does not result in persistent effects. During these instances, it is important to recognize that some patients may still elect to pursue medialization thyroplasty with hope for an improved outcome because the surgeon can personalize the size and location of the implant during the medialization thyroplasty. Lastly, some patients may choose to forgo injection laryngoplasty altogether and move forward with medialization thyroplasty to achieve long lasting improvement. Patients who are unlikely to experience spontaneous nerve regeneration may particularly be interested in this option.
Although injection laryngoplasty, medialization thyroplasty, and arytenoid adduction can result in significant improvements, some laryngologists may instead recommend laryngeal reinnervation to prevent denervation atrophy of the laryngeal muscles\textsuperscript{6}. This procedure can improve the bulk, tension, and tone of the paralyzed vocal fold to allow for improved glottic closure\textsuperscript{9}. However, it is important to educate patients that laryngeal reinnervation does not restore the functional motion of the paralyzed vocal fold\textsuperscript{9}. Additionally, some patients may also benefit from injection laryngoplasty to address their functional limitations while waiting for the benefit of laryngeal reinnervation to gradually take effect.
Like many voice disorders, unilateral vocal fold paralysis is a complex diagnosis that can present in a variety of ways. When caring for these patients, we must evaluate the patient thoroughly and collaborate across disciplines. The key to successful management of unilateral vocal fold paralysis is to understand each patient’s unique clinical presentation and tailor our recommendations accordingly.
Citations:
1. Lee, D. H., Lee, S. Y., Lee, M., Seok, J., Park, S., Jang, Y. J., Lee, D. Y., & Swon, T. K. (2020). Natural Course of Unilateral Vocal Fold Paralysis and Optimal Timing of Permanent Treatment. *AMA otolaryngology-head & neck surgery*, 146(1), 25-30.
2. Misson, S., & Merati, A. L. (2012). Evidence-based practice: evaluation and management of unilateral vocal fold paralysis. *Otolaryngologic Clinics of North America*, 45(5), 1087-1108.
3. Minneci, P. C., Herman-Ackah, Y. D., Rosen, C. A., Sulica, L., Maronjin, N., Mandel, S., ... & Gronseth, G. (2016). Consensus statement: Using laryngeal electromyography in the diagnosis and treatment of vocal cord paralysis. *Muscle & nerve*, 53(6), 850-855.
4. Nelson, R. C., Bryson, P. C., Reghmunathan, S., & Benninger, M. S. (2019). Medical and surgical advances in the treatment of unilateral vocal fold paralysis. *Perspectives of the ASHA Special Interest Groups*, 4(2), 285-320.
5. Tucker, E. T., Bowers, L. F., Carey, B. T., Murray, T., & Sulica, L. (2012). Laryngeal electromyography for prognosis of vocal fold palsy: a meta-analysis. *The Laryngoscope*, 122(1), 158-161.
6. Rubin, A. D., & Satloff, R. T. (2007). Vocal fold paresis and paralysis. *Otolaryngologic Clinics of North America*, 40(5), 1109-1131.
7. Satloff, R. T., Prokopatschatkul, P., Heuer, R. J., Hawkshaw, M. J., Heman-Ackah, Y. D., Schneider, S. M., & Mandel, S. (2010). Laryngeal electromyography: clinical applications. *Journal of Voice*, 24(2), 228-234.
8. Schneider, S. L. (2012). Behavioral management of unilateral vocal fold paralysis and paresis. *Perspectives on Voice and Voice Disorders*, 22(3), 112-120.
9. Wang, W., Chen, D., Chen, S., Li, D., Li, M., Xia, S., & Zheng, H. (2011). Laryngeal reinnervation using ana cervicals for thyroid surgery-related unilateral vocal fold paralytic: a long-term outcome analysis of 257 cases. *PLoS One*, 6(4), e19128.
10. Woo, P. (2000). Arytenoid adduction and medialization laryngoplasty. *Otolaryngologic Clinics of North America*, 33(4), 817-839.
Comprehensive Treatment of Voice and Speech in Parkinson’s Disease
Amanda C. Stark, M.S., CCC-SLP and Julia Ellerston, M.A., CCC-SLP
Over 200 years ago, James Parkinson first defined the medical phenomenon known as Parkinson’s disease (PD). Originally described as the “shaking palsy,” decades of scientific research have elucidated underlying etiologies, improved our diagnostic precision, and helped us understand a causative model for this life-threatening disease. PD is a progressive neurological disease with a mean onset of symptoms around 55 years old (Asherio and Schwartzschild 2016) and affects 1-2 per 1,000 of the general population (Tysnes and Storstein, 2017). It has been generally accepted that PD affects 1% of the population above the age of 60 (de Lau and Breteler, 2006). PD results from the death of dopaminergic neurons in a region of the basal ganglia called the substantia nigra pars compacta or the presence of proteinaceous aggregates in neurons called Lewy Bodies. Dopaminergic neuron death causes degeneration of dopamine release in the striatum, impacting the circuitry of the basal ganglia and reducing movement control.
Historically, the diagnosis of PD was based largely on the presentation of motor abnormalities. Hallmark motor features, including bradykinesia, resting tremor, and rigidity, are central to the clinical diagnosis (Postuma et al., 2015). In 2015, however, the Movement Disorder Society Clinical Diagnostic Criteria for PD was revised to also recognize several non-motor manifestations. Clinical diagnostic features of non-motor manifestations range from constipation and psychiatric disorders to dementia and sleep disorders (Jankovic, 2008). It is important to note that based on the Neurology literature, there is a general lack of inclusion of voice, speech, and swallowing deficits in the diagnostic process of PD.
The underlying cause of the motor and non-motor impairments PD is still largely unknown. However, due to the known impact of PD on dopaminergic neurons in the basal ganglia, dopamine replacement therapy has been a gold standard treatment to manage PD motor symptoms. More recently, deep brain stimulation of the basal ganglia nuclei has been used to control motor deficits. However, neither dopamine replacement nor deep brain stimulation prevents disease progression.
Current evidence-based individual speech treatment options for voice and speech impairments associated with PD include Lee Silverman Voice Treatment® and Speak OUT!®. Both programs are relatively high intensity and based on motor-learning principles. The approaches are thought to help bypass the extrapyramidal tract in the brain and engage the pyramidal tract to promote improvement in voice and speech. These therapy programs utilize individual therapy followed by a maintenance group therapy (LOUD for Life® and The LOUD Crowd®, respectively) to focus on improved loudness, with additional effects also noted in articulation, intonation, and facial expressions (Levy et al., 2020; Baumann et al., 2018; Behrman et al., 2021; Behrman et al., 2020).
In addition to formal speech treatment, there is a growing body of evidence supporting singing as an adjunct therapeutic modality to address voice and speech deficits. Singing has been demonstrated to promote louder voice production than habitual speech production (Tamplin et al., 2019). Moreover, singing may help patients learn to develop and train their respiratory function, as increases in maximum expiratory pressure and maximum inspiratory pressure have been observed (Di Benedetto et al., 2009; Haneishi, 2001; Ferriero et al., 2013; Stegemöller et al., 2020). Intonation changes, phonation range changes, and improved speech intelligibility have also been demonstrated in the literature (Di Benedetto et al., 2009; Stegemöller et al., 2020). Additional study of larger sample sizes, appropriate dosage, and the use of randomized control trials would strengthen support for singing as a treatment modality.
The University of Utah Voice Disorders Center currently offers Speak OUT!® and The LOUD Crowd®, as well as a weekly half-hour choir online. These programs were initiated...
and are partially supported by grants from Parkinson Voice Project. In addition to providing evidence-based treatment to speakers with PD, the LOUD Crowd® provides a clinical experience to a graduate student in the Communication Sciences and Disorders program at the University of Utah, supervised by clinicians from the Voice Disorders Center. The choir started online and has remained online, despite the challenge that audio signal latency poses to choral timing. Attendance for the choir and The LOUD Crowd® has been excellent due to the comfort of participation from the patient’s own home rather than traveling to our clinic. We find that the combination of programs offered by our clinical site provides a great chance for patients to socialize and practice their therapy skills, and allows clinicians to monitor patients for decline and offer additional treatment in a timely manner.
REFERENCES
1. Ascherio, A., & Scherderiai, M. A. (2016). The epidemiology of Parkinson disease: risk factors and prevention. *The Lancet Neurology*, 15(13), 1257–1272.
2. Baek, N., Kim, J., Cha, S., & Chae, S. (2018). Parkinson’s disease and its environmental triggers in metropolises. *10*, 218.
3. Baumann, A., Nebel, A., Grauer, O., Giehl, K., Wolff, S., Schmidt, W., Baasch, C., Schmidt, G., Witt, K., Dausch, G., Hartmann, G., Zenzlau, K. E., & van Lunsdon, T. (2018). Neural correlates of hypokinetic dysarthria and its treatment in Parkinson’s disease. *Neuroscience letters*, 669, 14–19. https://doi.org/10.1016/j.neulet.2018.05.018
4. Behrman, A., Goody, I., Christo, S., & Elendary, S. (2021). Dysarthria treatment for Parkinson’s disease one-year follow-up of SPEAK OUT with the LOUD Crowd Logopedics Phoniatrics Vocology. https://doi.org/10.1003/14015439.2021.195894
5. Behrman, A., Goody, I., Hladany, S., Horn, P., & Christo, S. (2020). The Effect of SPEAK OUT and The LOUD Crowd on Dysarthria Due to Parkinson’s Disease. *American Journal of Speech-Language Pathology*. https://doi.org/10.1044/2020_AJSLP-19-00024
6. De Lau, L. M., & Breteler, M. M. (2006). Epidemiology of Parkinson’s disease. *The Lancet Neurology*, 5(6), 525–535.
7. Di Renzo, F., Basso, D., Basso, M., Boggio, G., Perazzolo, A., & Bassetti, E. (2009). Voice and choral singing treatment: a new approach for speech and voice disorders in Parkinson’s disease. *European Journal of Physical and Rehabilitation Medicine*, 45(1), 13–19. https://pubmed.ncbi.nlm.nih.gov/1899765/
8. Ferrigno, G., Bettino, E., Picco, D., Massaro, G., & Fracchiogna, F. (2013). Speech disorders from Parkinson’s disease: Try to sing it! A case report. *Movement Disorders*, 28(5), 688–687. https://doi.org/10.1002/mds.23480
9. Hasegawa, H. (2008). Effects of a Music Therapy Voice Protocol on Speech Intelligibility, Vocal Acoustic Measures, and Mood of Individuals with Parkinson’s Disease. *Journal of Music Therapy*, 38(4), 273–290. https://doi.org/10.1080/00228610802234648
10. Irons, J. Y., Hancock, G., Vella-Burrow, T., Han, B.-Y., Cheng, H.-J., Sheffold, D., & Stewart, D. E. (2020). Group singing improves quality of life for people with Parkinson’s: an international study. *Aging & Mental Health*, 24(1), 1–7. https://doi.org/10.1080/13607863.2020.1720199
11. Li, J., Zhang, X., Wang, Y., & Freyssinet, M. (2020). The effects of intensive speech treatment on intelligibility in Parkinson’s disease: A randomised controlled trial. *The Lancet’s Clinical Medicine*, 24, 1–11. https://doi.org/10.1016/S2405-4523(20)30042-3
12. Mancini, M., Berg, D., Ross, M., Pevere, G., Cappellini, M. F., & Ramig, L. O. (2015). MDS-III clinical diagnostic criteria for Parkinson’s disease. *Movement disorders*, 30(12), 1591–1601.
13. Ramig, L. O., Harkema, S., Spina, R., Fox, C., & Freeman, K. (2018). Speech treatment in Parkinson’s Disease: Randomized controlled trial (RCT). *Movement Disorders*, 33(11), 1777–1791. https://doi.org/10.1002/mds.27480
14. Schaefer, C. L., Piel, J., Warren, A., Kraus, K., Silber, A., Vanderbent, V., Simon, D. K., & Tauss, D. (2012). Singing in groups for Parkinson’s disease (SING-PD): A pilot study of group singing therapy for PD-related voice/speech disorders. *Parkinsonism & Related Disorders*, 18(8), 548–552. https://doi.org/10.1016/j.parkreldis.2012.02.009
15. Stegenmüller, E. L., Dua, K., Craig, J., & Brown, D. (2020). The Feasibility of Group Therapeutic Singing Telehealth for Persons with Parkinson’s Disease in Rural Iowa. *Telemedicine and E-Health*, 26(1), 64–68. https://doi.org/10.1089/tmj.2019.0140
16. Tumlin, J., Morris, M. E., Mariagabriela, C., Baker, F. A., & Vogel, A. P. (2019). Parkinson’s: A Controlled Trial of Singing-Based Therapy for Parkinson’s Disease. *Neurorehabilitation and Neural Repair*, 33(6), 453–463. https://doi.org/10.1177/1545968319843707
17. Tuite, P. J., & Quinn, N. P. (2005). Epidemiology of Parkinson’s disease. *Journal of neural transmission*, 124(8), 901–905.
18. Vasquez-Vélez, G. E., & Zaghlul, H. Y. (2021). Parkinson’s disease genetics and pathophysiology. *Annual Review of Neuroscience*, 44, 87-108. |
Gardening in Placer County
A Different Kind of Gold
By Laurie Meyerpeter, UC Master Gardener of Placer County
Gold made Placer County but the long term riches came from the land, not the ore. Placer County is steeped in agricultural gold and that gold enriches us as gardeners today.
Placer County elevation climbs from near sea level to the mountains. West Placer County is a low region, a place teeming with migratory waterfowl in the winter and vernal pools ringed with wildflowers in the spring. The clay soil holds water but modern gardeners in places like west Lincoln and west Roseville struggle with drainage issues, while farmers grow rice in those wet soils, just beyond the city limits.
Oaks grow throughout the foothills of most of western Placer County. Redbud pops magenta-pink in the spring, wildflowers fill grasslands, and toyon sparkles with red berries in the winter. Farmers grow fruit trees and mandarins on the foothill slopes. The American River rushes down the American River Canyon, dividing our county from El Dorado County and the Bear River tumbles through the hills, dividing us from Nevada and Yuba Counties. In times past, salmon migrated up small creeks to spawn. As the elevation increases, oak and pine woodlands transition to mixed conifer forests.
Before gold was discovered, native peoples hunted and gathered food in our rich and abundant landscape, tending oaks to make harvesting the acorns easier and managing native plants to encourage better growth for baskets.
Continued on next page
The first non-native farmers and gardeners in Placer County were Theodore Sicard, a Frenchman who settled along the Bear River near present day Sheridan, and his fellow countryman Claude Chana. They planted the first peach and almond trees and grew wheat. With the discovery of gold, Chana left to search for riches, discovered gold in the Auburn Ravine, enough to purchase Sicard’s ranch.
The population of the region exploded with the discovery of gold and the influx of gold miners from around the world. Auburn was built on gold, and the river banks yielded gold ore but the real gold came from the earth as men turned to farming. Orchards of pears, plums and other fruit were planted in the foothills. Grain was planted in fields in the Lincoln area and livestock was grazed in the rich pastures.
As the first railroads were built in the region, the town of Lincoln was laid out as an early railroad junction. The Transcontinental Railroad was built over the Sierras in the 1860s to transport goods including foothill fruit, and packing sheds were built along the tracks in communities like Newcastle and Loomis to ship the fruit back east. Canneries were built in communities like Lincoln to process local fruit and vegetables from the region. Towns like Colfax and Rocklin became railroad towns. The large railyard was initially in Rocklin but was moved to Roseville in 1908, where foothill fruit was packed in train cars and cooled with ice from the new ice house at the Roseville railyard before being shipped to the East Coast.
Railyard workers, and laborers in other industries in Roseville, Rocklin, Lincoln, and other towns, built small comfortable homes with tidy yards brimming with flowers in the front and a vegetable garden in the back. Gold mining eventually played out, but Penryn and Rocklin continued to mine granite, and fine clay was mined in Lincoln by the Gladding McBean factory, which turned it into terracotta pipes, pottery, and sculpture.
As time passed, pears began to decline from disease and the fruit orchards were replaced with orchards of mandarins, covering our local hills with trees that are laden with golden citrus each fall. Placer County is a unique growing region with winter temperatures cold enough for fruit that needs a winter chill but warm enough for citrus. Sheridan and Western Placer began to grow rice in the clay bottom lands covering areas where vast vernal pools ringed with wildflowers once grew. And housing tracts began to grow in fields where cattle once grazed and where orchards of pears once produced fruit. Nursery products grew as an agricultural product to supply the new rows of homes with plants for their gardens. The smaller homes of railroad workers and laborers began to be replaced with larger homes throughout the region, especially in places like Granite Bay, and vineyards were planted on sunny foothill slopes where native oaks once grew.
Gold and granite and clay. Plums and pears and mandarins. Railroads and fruit packing sheds and ice houses. Housing tracts and nurseries. These are all part of our golden heritage.
Above: Back view of Rocklin’s 2nd Southern Pacific Depot and Orange Grove. Note orange trees on the left and possible young peach tree in the right foreground. Photograph courtesy of Placer County Museums.
References
- Anderson, Kat. *Tending the Wild: Native American Knowledge and the Management of California's Natural Resources*. University of California Press. 2013.
- Anpil, Myron. *History of Placer County*. Thompson and West. 1882.
- Logan, Jerry. *Western Placer County and Lincoln According to History*. Lincoln Arts. 1990.
- Hanes, Richard and Chet Blackburn. *Our Ecology*. Redbud Chapter CNPS. July 4, 2020. https://chapters.cnps.org/redbud/native-plants/ecology/.
- “Railroad.” Roseville Historical Society. https://www.rosevillehistorical.org/railroad.
Invasive pest species threaten California’s natural environment and can have an impact on public health. Learn to recognize these pests, distinguish them from look-alikes, and how to limit their introduction, spread, and harm.
For any of the pests below, please report a finding to your local County Agricultural Commissioner or to the CDFA Report a Pest Hotline.
**Emerald Ash Borer**
The emerald ash borer (or EAB) is an invasive insect that has been found for years in numerous states across the country, but until recently had not been found on the West Coast. In June 2022, EAB was detected in Oregon. This insect feeds on all species of ash trees and has the potential to devastate whole communities of trees. UC IPM is working on a new web page to cover EAB, but for the time being, please see the California Department of Food and Agriculture website for information about its biology and national distribution.
**Spotted Lanternfly**
In California, we’ve been on the lookout for the spotted lanternfly (SLF) for several years. In July 2022, a truck carrying firewood into California from New Jersey (I know, why?) was inspected at a CDFA Border Inspection Station in Truckee and the wood was found to be carrying egg masses of SLF. The wood was destroyed but this is a significant detection.
Be aware of the danger of moving firewood from place to place within the state and especially across state borders. Firewood can harbor many types of invasive pests including SLF but also invasive shothole borers, gold-spotted oak borers, and other very hard to see invasive insects and diseases.
**Jumping worm/crazy worm**
The invasive jumping worm (*Amynthas agrestis*) has many common names: Alabama jumpers, Jersey wrigglers, wood eel, crazy worms, snake worms, Asian jumping worm, and crazy snake worms. The jumping worm has been found in Napa and Sonoma Counties. This invasive worm is similar-looking to the common earthworm but thrashes wildly and is said to jump as much as one foot off the ground.
Like other earthworms, jumping worms eat fallen leaves and other natural material on the ground. However, these worms are voracious eaters and eat so much of the soil “litter” layer, they eat the tiny natural organisms in this layer almost clearing the top soil layer of all life. Many plants can’t grow or spread without the layer of leaf litter plus this disrupts the ecosystem of the leaf litter.
Read more about this worm in this article by Oregon State University. Check out a video of these worms from the Wisconsin Department of Natural Resources.
UC is on the lookout for many other invasive species and are trying to manage the spread around the state. You can subscribe to the UC IPM Home & Garden Pest Newsletter, Pests in the Urban Landscape blog, and social media platforms (@ucipmurban) to ensure you are receiving timely updates and news.
**Other useful resources for these invasive pests and many others:**
- UC IPM Invasive and Exotic Pests web page
- Center for Invasive Species Research at UC Riverside
- Urban & Community IPM webinars
- CDFA Target Pest web page
Nevada County Demonstration Garden News
by Ann Wright, UC Master Gardener of Nevada County
As the leaves begin to turn and the temperature cools, the Demonstration Garden has been a hotspot of activity the past several weeks. Some big news is that we now have electricity available at new key locations in the garden.
We’d like to extend our appreciation and huge thanks to the Nevada Irrigation District for their assistance and crews to trench for the electrical conduit and re-gravel the area. With the help of a local electrician, power is now available in the pavilion (the outside location where we conduct workshops and other events) and the hoop house, which will now enhance our ability to start and grow plants for our plant sales. NID did a wonderful job putting everything in the garden back in place – once they finished, it was hard to tell they were even there!
With the goal of creating a peaceful garden which the public can view from Main Street, work is underway to revamp the pergola area at the lower end of our garden. The old grasses have been removed and, the old oak tree has been trimmed. Plans are to accent the area with a focal tree or shrubs, and vines that have beauty and interest all three seasons.
More excitement has also arrived in the form of new interpretive signs for the garden areas. The signs are beautiful, informative and ready to be installed soon.
Above left: NID Crews trench for electrical conduit to be laid from top to hoop house. Photo by Denise Ronalter.
Above right: After completion of the project it looked like nothing had been disturbed! Photo by Ann Wright.
Right: Chrissy Freeman and Sandy Irber welcome new signs. Photo by Jan Friend.
BotLat Corner
Winter Food
by Peggy Beltramo,
UC Master Gardener of Placer County
For the winter Curious Gardener, let’s talk about two California native plants that are winter food sources.
*Arctostaphylos uva-ursi* is commonly referred to as *manzanita* in California, in reference to its berries—shaped like “little apples.” Bearberry is a common name in other parts of the US. Appropriately, the genus name comes from the Greek words *arctos*, meaning bear, and *staphyle*, denoting a bunch of grapes, referring to the berries which cluster in bunches, and are commonly eaten by bears. The specific epithet uses Latin words —*uva* meaning grape and *ursus* meaning bear; thus “bear’s grape,” also denoting the fruit as bear food. Bearberry, its common name? Yep, it tells the same story. Okay, so you don’t have bears in your yard? It is also a food source for game birds, turkeys, deer, and small mammals. And the flowers are attractive to pollinators when in bloom, from winter into spring.
Another late season plant, *Salvia mellifera*, or *black sage* is a favorite pollinator plant, since it blooms from late winter, through spring and into summer to feed late and early garden visitors. The genus *Salvia* takes its name from the Latin, *salveo*, meaning to save, or heal, while its specific epithet *mellifera* is Latin for honey, referring to its use by bees as a nectar source. It also has historical medicinal uses by Native Americans.
So, there are two more plants to add to your “I Need These” plant list.
Manzanita. Photo by Vernon Smith. Cropped. (CC BY-NC-ND 3.0)
Winter Garden To-dos Include Weeds, Daffodils
by Lexy Martin, UC Master Gardener of Placer County
Originally published in Auburn Journal, Dec. 18, 2021
I admit it. I often write about what I need to be doing in MY garden. What’s on my mind? I’m seeing lots of weeds in my new drought-tolerant landscape. I’m thinking I need to be getting the 200 extra daffodil bulbs I accidentally bought into the ground (ordered twice). I’m thinking my raised garden beds, without winter veggies, need care. I’m even starting to think about preparing for my spring garden.
So, here’s some advice from my research:
**Weeds:** When we extracted our lawn to go “native,” we needed to add soil to bring it back up to the same level. In my fervor to plant native, we planted a few poppies – beautiful but a big mistake for a small front yard. With the recent rain, I now have some raging baby poppies.
It turns out California poppy plants are aggressive re-seeders. While I love the natural look of poppies, I don’t like how they look when they die off, as they look like weeds.
So, I did some research on how to get rid of poppies. (Pulling poppies is not all that easy, as they have a massive tap root.) I learned a lot about getting rid of weeds by looking at the Integrated Pest Management site of UC. Check out the [Weed Gallery](https://ucanr.edu/sites/sacmg/Sacramento_Bulb_Planting_Schedule/) and [Pesticides for Home Users](https://ucanr.edu/sites/sacmg/Sacramento_Bulb_Planting_Schedule/) if you too want to control weeds.
Daffodils: I’m a bit late to plant these. Ideally, these go into the ground by the end of November. I’ve planted as late as January and they come up, just a bit later than others in the neighborhood. This article provides information on when and how to plant many spring bulbs: [https://ucanr.edu/sites/sacmg/Sacramento_Bulb_Planting_Schedule/](https://ucanr.edu/sites/sacmg/Sacramento_Bulb_Planting_Schedule/).
Planting bulbs, for me, is such a hopeful activity in the late fall, as I know I’ll have great spring color in my garden.
For my raised beds, I’m taking out and storing the hoses. I’m amending my soil because what we put in last year is too dense. My beds need organic compost.
I also found an excellent article that put my mind at rest about other things I might do in my yard now. Ideas like, “If it’s brown, cut it down,” and “leaf it be” because leaves make excellent free mulch. Read this article: [https://arboretum.ucdavis.edu/blog/winter-gardening-northern-california](https://arboretum.ucdavis.edu/blog/winter-gardening-northern-california).
When I set about doing research for gardening, my go-to sources include [UC Master Gardeners of Placer County](https://ucanr.edu/sites/sacmg/Sacramento_Bulb_Planting_Schedule/), [UC Integrated Pest Management](https://ucanr.edu/sites/sacmg/Sacramento_Bulb_Planting_Schedule/), and [UC Davis Sustainable Gardening](https://ucanr.edu/sites/sacmg/Sacramento_Bulb_Planting_Schedule/). I also reference my [Placer County 2023 Calendar and Gardening Guide](https://ucanr.edu/sites/sacmg/Sacramento_Bulb_Planting_Schedule/), which you can order [here](https://ucanr.edu/sites/sacmg/Sacramento_Bulb_Planting_Schedule/) or purchase from [local vendors](https://ucanr.edu/sites/sacmg/Sacramento_Bulb_Planting_Schedule/).
As for preparing for my spring garden, I think I’ll take the “leaf it be” advice for now and get back to that in a couple of months.
Happy holidays all!
---
Unusual Edibles:
Aztec Broccoli Anyone?
Article and photo by Julie Lowrie,
UC Master Gardener of Placer County
Aztec broccoli or *huauzontle* (wah-zont-lay) from the Aztec language, Nahuatl, means hairy Amaranth. Huauzontle, *Chenopodium nuttalliae*, a native cultivar in Mexico, has been a highly prized and nutritious food staple for Mexico’s indigenous peoples for centuries, dating back to the pre-Hispanic Aztec empire where it was used in cultural, religious, and culinary practices. According to one study, *Chenopodium nuttalliae* originated from *Chenopodium quinoa*, known as quinoa, as it made its way from South America into Mexico.
While leaves, branches, flowers, and seeds are all edible, huauzontle is primarily cultivated by indigenous gardeners in Placer County for its leaves and sprigs of florets (flowering branches) which resemble broccoli, for use as an herb or a vegetable in traditional Mexican cuisine, such as huauzontle pancakes or relleno.
Huauzontle is a hardy, drought-resistant perennial, requiring minimal care, and thrives well even in poor soil. The plant can grow up to six feet high with a three foot spread producing reddinged green leaves and flowering branches during the spring and summer. Huauzontle continues to produce additional florets after initial harvests.
This study showed boiling the leaves and florets for five minutes or less for food preparation reduces oxalic acid levels while retaining an appreciable content of dietary fiber, ascorbic acid, and good antioxidant capacity.
Which Drought and Heat Tolerant Trees Can I Plant for Shade?
By Laurie McGonagill, UC Master Gardener of Placer County
With the prolonged heat spell in late summer, I’ve decided to plant a shade tree. Which trees are drought and heat tolerant and grow in full sun? Since the weather stayed unseasonably warm through mid-October, is it too late to plant in winter?
A tree is a long-term investment, so you need to consider several factors. Are there overhead lines? Do you have a large space to fill or a small neighborhood property? Do you want to attract birds and insects? Are you interested in bloom, bark, and other esthetics?
Let’s assume you want a deciduous tree. That way you’ll have shade in the spring, summer, and early fall, and sun in winter when you want it. Until the tree is established, you’ll need to provide regular water (and possibly shade in the hot season) for several years.
For medium-sized trees, 20–35 feet, look at Chinese pistache tree (*Pistacia chinensis*), Persian witch hazel (*Parrotia persica*), Chinese fringe tree (*Chionanthus retusus*) or Shantung maple (*Acer truncatum*).
For best root growth, plant in fall to take advantage of rains and still-warm soils. You can plant trees in winter, but it is a bit of a gamble. If the tree is affected by frost, delay planting. Cold ground makes it very hard for a newly planted tree’s roots to get purchase, although mulching with three to four inches of wood chips helps moderate the soil temperature. Planting in early spring is a better bet if you can’t wait for next fall.
For more information on tree selection, refer to this article and for details on planting, click here.
Insect Trivia: The Wonderful World of Cicadas
by Bonnie Bradt, UC Master Gardener of Nevada County
Everyone has heard about cicadas, but there are lots of confusing rumors that as Master Gardeners we’d like to defuse. We are asked about them, as they are found in our area. But just how much damage do they do? Where are they found? How can you tell if you have them? And are they delicious????? Lots of things to learn. So here are some “trivia-” questions for you, on the subject of cicadas.
1) True or False: Cicadas are most closely related to grasshoppers.
2) True or False: Cicadas are only found in North America and Europe.
3) There are _______ types of cicadas, defined by the amount of time that they spend in “dormancy” waiting to emerge and mate.
4) True or false: The cicadas in Nevada County can do major damage to fruit trees.
5) True or false: Male cicadas are the only ones who “sing”.
6) True or False: The cicada song sounds similar to a cricket.
7) Mated female cicadas lay their eggs…
a) in the soil b) in the water c) on leaves d) in tree branches
8) After eggs hatch, where do the larvae spend their dormancy, before emerging to mate?
a) in the soil b) in the water c) on leaves d) in tree branches
9) What is pictured in the photo at right?
10) Can cicadas be eaten by humans?
Answers on next page
Have you ever wished for a drought tolerant plant that blooms nearly all year, attracts beneficial insects, has fragrant leaves, and is generally not eaten by deer? That’s a big wish list, but bush germander (*Teucrium fruticans*), may just be your ‘dream plant’. This evergreen shrub has abundant blue-purple flowers and attracts beneficial insects, like lady beetles and lacewings. Beneficial insects help control unwanted pests like aphids and whiteflies (ick!).
Bush germander, also called tree germander, can grow to four to eight feet tall and wide, making it a good choice for a low, informal hedge. It can get a little ‘leggy’ but is easy to thin and cut back. Like many drought-tolerant plants, bush germander has fragrant, gray-green leaves with a white underside, which gives it a silvery appearance.
Try combining it with other drought tolerant plants like sage (*Salvia* sp.), tickseed (*Coreopsis verticillata* ‘Moonbeam’) or yarrow (*Achillea millefolium* ‘Moonshine’). This shrub prefers full sun for best flowering results. Once established, it needs very little water. It is not prone to disease problems.
Pick up a lovely bush germander at your next outing to the nursery or plant sale. It will enhance any water-wise landscape and is easy to care for.
Read more about this plant [here](#).
**Cicada Trivia Answers**
1) FALSE. Actually, cicadas are most closely related to leafhoppers or froghoppers. They are in a completely different order than grasshoppers and crickets. Cicadas are Order Hemiptera or True Bugs and Grasshoppers, etc. are Order Orthoptera (meaning Straight Wings).
2) FALSE. Cicadas (3,000 species worth) are found on every continent of the globe except Antarctica. Wherever there are trees… mostly deciduous trees.
3) Two. There are two different types of cicadas based on the periods of dormancy they undergo before emergence to mate. The first is called “annual” and on the average, these insects come out yearly, to find a mate. The second type is called “periodic” and those are the cicadas that are so famously reported in histories of the insect world. The periodic cicadas emerge from dormancy once every 13 or 17 years. These broods are carefully studied by entomologists who plot carefully the timing of their emergence and wait for them to come out. They emerge from the ground under trees, by the millions, and crawl up the trees, shed their skins and then mate, lay their eggs and die. To be followed in 13 or 17 years by the emergence of their offspring. Nevada County only has the annual type of cicada. Periodic cicadas in the USA are found back East.
4) FALSE. In general, cicadas do not do major damage to the trees they inhabit, here. Both adults and nymphs have sucking mouthparts and enjoy sucking the sap from tree branches, but while they may creep some people out, cicadas are not dangerous. They don’t chew through crops, they are not poisonous, they don’t sting or bite and they are not known to carry disease. The numbers we have here are not the millions that are present in the emergence broods they have back East.
5) TRUE, mostly. In almost all cicada species, it is the males who sing to attract a mate. But there are a few Asian species where both sexes sing.
6) FALSE. The cicada songs, in general, sound much more like a rattlesnake than the lovely cricket melodies that we are used to hearing. A tiny little tree-dwelling rattlesnake. It’s a dry crackling hissing noise that is often so loud is can be heard a very long way away.
Continued on next page
7) Mated females make slits in tree branches and lay their eggs right under the surface. The eggs incubate in the branch and then emerge as nymphs a month or two later.
8) After the eggs hatch and the nymphs emerge, they drop onto the ground and burrow into the soil, where they incubate through the winter until the next year, when most will come up and shed their skins, become adults and mate.
9) The photo is of a series of cicada emergence holes from the small branch of a plum tree in Nevada County. You can see that mom cicada makes slits and lays her eggs in a fairly regular pattern as she walks down the branch. And they all hatch at the same time, leaving this pattern in their wake.
10) Cicadas were eaten in ancient Greece and modern China. Especially the juicy nymphs. They are also eaten in Malaysia, Burma, North America, and central Africa, as well as the Balochistan region of Pakistan. Females are supposed to be meatier and there are YouTube videos that will teach you how to prepare them. They are considered a novelty food item even here in the USA especially during a 13 or 17 year emergence when millions of them are available. Nope, I’ve never tried them!!!
Gophers: Eating Machines
by Jan Birdsall, UC Master Gardener of Placer County
California has five different species of pocket gophers, the most widespread is *Thomomys bottae*. Its physical description is [here](https://www.nwf.org/Educational-Resources/Wildlife-Guide/Mammals/Pocket-Gophers). Within a short period of time, gophers can ruin a garden without you even realizing it. Not only do they mostly feed below ground both night and day, sometimes pulling down whole plants, they also gnaw on roots, strip bark on trees and damage flexible plastic watering systems.
It is critical to detect a gopher’s presence early in order to minimize damage to your plantings. Their year-round underground burrowing in the pursuit of food leaves unsightly fan shaped mounds of excavated soil in lawns and gardens. In non-irrigated fields gophers can breed once a year but if irrigated they can produce up to three litters per year, each litter with approximately five to six offspring.
A homeowner can consider installing two feet of hardware cloth or ¾” or less poultry wire fencing as a below ground boundary. Detailed information is contained in this [UC IPM article](https://extension.okstate.edu/fact-sheets/controlling-pocket-gophers.html) under Management: Exclusion. When planting individual bushes and trees, gardeners can use a homemade or commercial gopher wire basket. Likewise, when constructing flower or vegetable garden beds use the same cloth/wire to line the bottom and sides. Residential control measures include poison baiting and trapping, or both. Refer to instructions in the same article under Trapping. Application of these measures are applied to their active main tunneling system.
Not to worry, being forewarned and forearmed will win out against the gopher!
References:
- Simon, Chris and John R. Cooley. *Advanced in the Evolution and Ecology of Thirteen- and Seventeen-year periodical cicadas*, Annual Review of Entomology. Vol. 67: pp. 457–482. 2022.
- Milne, Lorus and Margery Milne. *The Audubon Society Field Guide to North American Insects and Spiders*. Alfred A Knopf. 1992.
- Pocket Gophers. The National Wildlife Federation. N.d. [https://www.nwf.org/Educational-Resources/Wildlife-Guide/Mammals/Pocket-Gophers](https://www.nwf.org/Educational-Resources/Wildlife-Guide/Mammals/Pocket-Gophers)
- Bidwell, Terrence. *Controlling Pocket Gophers*. Oklahoma State University Extension, Id.: NREM-9001, February 2017. [https://extension.okstate.edu/fact-sheets/controlling-pocket-gophers.html](https://extension.okstate.edu/fact-sheets/controlling-pocket-gophers.html)
## Workshop and Events Calendar
**Always check our websites for the most up to date event information.**
- **Nevada County:** ncmg.ucanr.org
- **Placer County:** pcmg.ucanr.org
Follow Us on Facebook:
- **Placer County** https://www.facebook.com/PlacerCountyMasterGardeners
- **Nevada County** https://www.facebook.com/UCCEmastergardeners.nevadacounty/
### December
**December 10**
10:30 am to 11:30 am
*Orchid-Mania: How to Buy and Care for Orchids*
Loomis Library, 6050 Library Drive
Or Attend via Zoom, pre-register in advance by clicking [here](#)
### January
**January 14**
10:30 am to 11:30 am
*Top 10 Tips for Backyard Orchards*
Loomis Library, 6050 Library Drive
**January 21**
10:00 am to noon
*Roses for a Changing Climate*
Roseville Utility Exploration Center, 1501 Pleasant Grove Blvd., Roseville
Pre-register [here](#)
### February
**February 11**
10:30 am to 11:30 am
*Improving Water Efficiency in Your Garden*
Loomis Library, 6050 Library Drive
**February 18**
10:00 am to noon
*Tomato Mastery: The Art & Science of Growing Delicious Tomatoes*
Roseville Utility Exploration Center, 1501 Pleasant Grove Blvd., Roseville
Pre-register [here](#)
### March
**March 11**
10:30 am to 11:30 am
*Attracting Pollinators to Your Garden*
Loomis Library, 6050 Library Drive
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**Visit our Nevada County Demonstration Garden**
**Hours:** When NID is open, M-F 8:00 am to 5:00 pm, generally open Saturday mornings, 8:00 am to noon, and when we have events.
The garden features 1.5 acres with several targeted growing areas, including:
- Foothill Mediterranean Garden
- Cottage Garden
- Rock Garden
- Raised Bed Gardens
- Hoop House
- Orchard
- Oak Habitat and Native Plant Meadow
- Evergreen Edge
- Compost area
**Location:** 1036 West Main Street
Grass Valley
Titled *Garden Trends: Tips For Enhancing Your Space*, this year’s guide covers a range of topics including dwarf fruit trees, bird-friendly gardens, social front yards, lawn replacement, hot weather tolerant vegetables and even hugelkultur! This is a great resource for both beginner and seasoned home gardeners.
Check this [website](#) for purchasing information.
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**SAVE THE DATE:**
Saturday March 11, 2023
2:00 to 3:30 pm.
A very special live, in-person program by Jennifer Jewell, Northern California author and podcast host of *Cultivating Place: Conversations on Natural History and the Human Impulse to Garden*. Offered jointly by Master Gardeners of Nevada County and Redbud Chapter of California Native Plant Society.
Peace Lutheran Church, 828 W. Main St., Grass Valley.
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Watch recordings of past workshops
- Master Gardeners of Nevada County [here](#)
- Master Gardeners of Placer County [here](#)
About Master Gardeners
Our mission as University of California Master Gardener volunteers is to extend research-based gardening and composting information to the public through various educational outreach methods. We strive to present accurate, impartial information to local gardeners so they have the knowledge to make informed gardening decisions in regard to plant choices, soil fertility, pest management, irrigation practices, and more.
The Master Gardener volunteer program was started in the early 1970s at the Washington State University. Farm Advisors became overwhelmed by all the incoming calls from home gardeners and homesteaders so they trained volunteers to answer these questions and the “Master Gardener Program” was born. The first University of California Master Gardener programs began in 1980 in Sacramento and Riverside counties. The Nevada County and Placer County Master Gardener Programs began soon thereafter in 1983.
40 Years Growing Strong in Placer and Nevada Counties
Production Information
*The Curious Gardener* is published quarterly by the University of California Cooperative Extension Master Gardeners of Placer and Nevada Counties.
**Kevin Marini, Editor**
Community Education Specialist: Home Horticulture and Composting Education, Master Gardener Coordinator
**Donna Olson, Content Coordination**
**Elaine Kelly Applebaum, Production**
UC Master Gardeners of Placer County
Have a Gardening Question?
Call our Hotline
Nevada County Residents
530.273.0919
Placer County Residents
530.889.7388
Master Composter Rotline
530.889.7399
UC Cooperative Extension
Placer County
11477 E Avenue
Auburn, CA 95603
530.889.7385 office
530.889.7397 fax
email: firstname.lastname@example.org
UC Cooperative Extension
Nevada County
255 So. Auburn Street
Grass Valley, CA 95945
530.273.4563 office
530.273.4769 fax
email: email@example.com
How to Subscribe
Online subscriptions are free. Go to [http://pcmg.ucanr.org/Curious_Gardener_Newsletter/](http://pcmg.ucanr.org/Curious_Gardener_Newsletter/) to sign up for your electronic delivery.
All information presented pertains to the climate and growing conditions of Nevada and Placer Counties in California. |
1. Call to order – The meeting was called to order by Mayor Gardner
2. Prayer – Commissioner Durastanti
Flag Salute
3. Old Business
A. Approval of Minutes
1) Regular Meeting 04/12/2022
Vice-Mayor Fite made a motion to approve with a modification made to Section E- Electronic Meters. Vice-Mayor Fite stated that the money should be placed in a contingency fund for future maintenance of the meters. City Manager Thompson explained that he is going to put it into a capital asset account, being that it is an improvement to the city. With the clarification made, Vice-Mayor Fite continued with his motion and the motion was seconded by Commissioner Durastanti. Roll call vote, all in favor, motion carried.
4. New Business
A. Ordinance NO. 2022-02 – 1st Reading
AN ORDINANCE OF THE CITY OF BOWLING GREEN, FLORIDA AMENDING CITY CODE ARTICLE PROVIDING FOR USE OF CITY-ISSUED WASTE COLLECTION CARTS; PROVIDING FOR REQUIRING THIRD-PARTY CONTRACTOR COLLECTION OF CERTAIN TYPES OF WASTE RATHER THAN CITY COLLECTION; PROVIDING FOR REDUCTION OF COLLECTIONS DAYS; PROVIDING FOR CONFLICTS; PROVIDING FOR SEVERABILITY; PROVIDING FOR LIBERAL CONSTRUCTION; PROVIDING FOR SCRIVERNOR’S ERRORS AND PROVIDING FOR AN EFFECTIVE DATE. Vice-Mayor Fite made the motion to approve. Motion was seconded by Commissioner Jones. Roll call vote, all in favor, motion carried.
B. Resolution NO. 2022-01
A RESOLUTION OF THE CITY COMMISSION FOR THE CITY OF BOWLING GREEN, FLORIDA, PROVIDING FOR ADJUSTMENTS TO SOLID WASTE RATES FOR THE FISCAL YEAR 2021-2022, AS PROVIDED FOR IN ORDINANCE NO. 2009-05, SECTION 1 AND ORDINANCE NO. 2011-03, SECTION 2; AND PROVIDING FOR AN EFFECTIVE DATE. City Manager Thompson stated that with the issues we are currently having with residents putting out a large number of bulk items and not claiming them, the city ends up losing money because we have to pay for the landfill trip. He would like to change the fee to a minimum of $20.00 per item and that it be by appointment only in order to charge the
customer accordingly. Commissioner Jones made the motion to approve. Motion was seconded by Vice-Mayor Fite. Roll call vote, all in favor, motion carried.
C. Community Center – Fees/Rental Application/Etc.
City Manager Thompson gave the commissioners an update on the Community Center. He hopes to have it finished and ready for rental by mid-June if not earlier. City Attorney Buhr advised that he reached out to Zolfo Springs regarding the issues they have run into lately and that that might help with setting the rental fee. City Manager Thompson stated that a big part of renting out the Community Center to the public is going to be the ability to have alcohol on the premises. This would be provided to the attendees as part of their event and not to sale. Commissioner Jones stated that there would need to be an officer if there is alcohol involved. Chief Scheel and City Attorney Buhr advised City Manager Thompson to investigate the Bottle Club Law and to gather more information before it goes forward. City Manager Thompson stated that this is a draft application and the purpose of it was to get the commission’s input on allowing alcohol at an event. Mayor Gardner stated that if alcohol is allowed, the Community Center would be rented out more which would create more revenue for the city, and they need to seriously think about which route they need to go. The commission and City Attorney Buhr agree that it be researched more before they make a final decision. The fees and rental application have been tabled until further information regarding having alcohol on the premises at an event is researched thoroughly.
D. Inframark (Digester)
City Manager Thompson stated that the digester has about 150,000 gallons of water and solids per Inframark and they need to get rid of it. It will cost the city about $30,000 to empty it out. He explained that our contract with Inframark is supposed to have a budget cap of $18,000 for sludge hauling. However, we are now looking at around $100,000 by the end of the year. Once we get the screw press, it will drop to $25,000.00 to get rid of the solid waste. Inframark is looking for approval to spend $30,000.00 to empty out the digester because it was not done prior to them running the plant. Vice-Mayor Fite made the motion to clean out the digester for $30,000.00. Motion was seconded by Commissioner Jones. Roll call vote, all in favor, motion carried.
E. Habitat for Humanity – Chester Ave Property
Leslie Long, resident at 502 E Main Street, Bowling Green, and Executive Director for Habitat for Humanity of Hardee County came before the commission to clarify the said ‘agreement’ between the City of Bowling Green and Habitat for Humanity regarding the Chester Avenue property. She stated that this started back when prior City Manager Conerly was with the city and evidently came to halt because no other city manager stayed long enough to continue working with them nor on the project. Ms. Long gave a brief description of what the project is, what type of homes are to be built and the group of citizens that it would target. Ms. Long explained to those commissioners that are new, that in 2018 she had come before the board regarding this project and those present at the time were on board with the plans, however during that meeting, there wasn’t a motion made in agreement to work with Habitat. The steps that were suggested at such meeting were never taken. She stated that back then the engineering was only going to cost $55,000.00 for the plans and now with everything going up, it will cost $80,000.00 to get it started. Being that the property is in a CRA area, she thought that the engineering costs could come
out of CRA funds. In order for this project to qualify for any grants, the engineering plans must be made. Discussion continued regarding emails she had with Mr. Conerly. Ms. Long explained to the commission that the biggest down fall Habitat for Humanity received was when COVID hit in 2020 and they couldn’t do anything. Commissioner Jones asked Ms. Long when the last time Habitat for Humanity built in Bowling Green, and she stated that it was after Hurricane Charlie in 2004. Commissioner Jones stated that with an 18-year gap of Habitat for Humanity not building in Bowling Green, it was going to be a hard decision. Ms. Long said that Habitat for Humanity is County wide and they have done small projects in Wauchula to get funds saved up, but if the commission decides they want to help with the engineering part of this project, she along with city manager Thompson can go before the EDA board and ask for funds for the infrastructure. According to Ms. Long this project can be something big for the city with the return of at least $40,000.00 in ad valorem taxes a year, affordable housing for citizens, and everything that is returned in revenue will go straight to the CRA fund being that it is a CRA area. City Manager Thompson stated that he doesn’t have the funds in the CRA for the engineering due to the city spending some of those funds towards the parks. He has placed new lighting throughout all three parks and has moved the pavilion to the Centenino Park. Ms. Long asked if she came up with the $80,000 for engineering costs, would the city be willing to work with her on getting funds through the EDA for the infrastructure. City Manager Thompson stated that he will do what the commission agrees on, but he is totally against going forward with this project, putting the city in a financial burden, or having to take money from fixing the parks and from the citizens, and putting it towards a project that will not bring revenue right away. Commissioner Lunn asked Ms. Long for an estimate of how many houses can be built in a year. Ms. Long stated that they can build 3 houses twice a year per the contractor she was dealing with. Discussion continued back and forth with commissioners and Ms. Long regarding the financial responsibilities, the ability to get future grants and the 5-year deadline, which is said to be February 2023. Ms. Long once again stated that the money is off the table, she just wants a vote for support moving forward with the project. Mayor Gardner stated that they really need more time to think about it with information regarding the infrastructure costs, engineering plans before making a final decision. Ms. Long is to come back next month with more information to bring before the board before they make a final decision.
F. W. Main Street Property Purchase Proposal
James & Julie Meyer came before the board with a proposal to purchase around 35 acres of land, west of Avion Palms and develop a 55+ community. Plans are laid out for approximately 208 lots. The back part of the land will need to have a zone change from agricultural to an R3 which will increase the tax revenue for the city. The lots will be twice the size of those in Avion Palms. The cities burn pile would need to be cleared out and he would like for the sewer and water be brought out to the front of the property. Mr. Meyer is proposing $99,000.00 for the 35 acres. Commissioner Durastanti stated that the cost per acre is around 12-15 thousand dollars right now. Vice-Mayor Fite added that after the clearing of the brush that drops the price to $79,000 and the proposal is a no-brainer. Attorney Buhr stated that the city needs to get the property appraised and bid out to the public if the land is for sale. Vice-Mayor Fite made a motion to deny the proposal. Motion was seconded by Commissioner Durastanti. Roll call vote, all in favor, motion carried. City Manager Thompson mentioned that he had another proposal from another gentleman wanting to put spec housing on it. He offered a purchase price of $230,000 for all 3 parcels.
Vice-Mayor stated that that’s a little better, but the land still must go through the bidding process. Vice-Mayor Fite made the motion to reject that as well. Motion was seconded by Commissioner Jones. Roll call vote, all in favor, motion carried.
G. Questions Regarding a zoning change for 4613 Chester Ave
Elizabeth Rivera spoke on behalf of Rene Tamayo. They have land that is zoned R-1 but wanted to change that to an R-2 so that they can build a duplex or a single-family home. Attorney Buhr stated that the process is by an application process through Central Florida Regional Planning Council, and they bring it back to the board for recommendation. Ms. Rivera was guided through the zone change process and she can pick up paperwork to start the process from city hall.
5. Mayor Gardner
Mayor Gardner states that everyone is doing great
6. Recreation Committee
Chair-person Chiquita Robinson stated that the Cinco de Mayo event started off a little rough due to the weather, but overall, it was a good turnout. They will be holding a meeting next Friday for those that want to zoom in. She stated that even though she has a lot going on, personal and with the recreation committee, she feels she has been doing a great job after 10 years of dedication to the committee. Before she became a chairperson, she was a public relations person, going out in the community. Ms. Robinson said that she is aware that a lot of things are now computerized, and she has reached out to the city, and she is willing to learn computer basics. The next recreation event is not until October, so she is excited on getting started. She thanks everyone that came out to the event and was happy to get over $600.00 of donations.
7. Commissioners
Commissioner Jones presented a power point regarding information he gathered from a conference he attended May 18 and 19, 2022. Money regarding the infrastructure law was released November 13, 2021, of which the City of Bowling was not made aware. Vice-Mayor stated that City Manager Thompson was made aware because they met with DEP on the water money and that Pennoni had brought him information regarding money being available for the water lines. City Manager Thompson stated that he never talked about the Build Back Better grant and only talked about ARPA funds. Vice-Mayor Fite responded with a ‘whatever’ remark to City Manager Thompson’s answer. Commissioner Jones continued with the presentation regarding money available for rural communities, expressing the importance of filling out the Census so that the city doesn’t lose out on any available funds. Commissioner Durastanti is happy for the rain we received and is looking forward to the summer. Vice-Mayor Fite thanks Ms. Chiquita Robinson for doing the event, he seen pictures on Facebook, and it seemed people were having a good time after it dried off. He added to Commissioner Jones presentation, stating that there was another webinar on Federal Infrastructure Law funding for Wastewater and Water and the money has been finally released to the SRF office. Per an earlier conversation this year, due to Bowling Greens demographics, financial status, and poverty, should qualify for 100% funding for clean drinking water infrastructure projects. He also stated that the County passed a fire ordinance last week, that is zero burning of any kind within Hardee County. Another big thing coming up is that he has been put forth to run for the second vice president of the Florida League of Cities. Commissioner Lunn has nothing to discuss.
8. City Attorney
Nothing to discuss
9. City Manager
City Manager Thompson gave a brief overview of lost revenue. Since he has started with the city, he has located $10,000 of lost revenue that was not managed correctly, he has found accounts that were mis-managed and residents that were using sewer services but not being charged. This week alone he has brought on 4 new sewer accounts and has at least 2 pages of accounts that weren’t being charged correctly. Within the last 10 years, the city has lost a least $20,000 of revenue. With all this being said, he explained that he took this job over a phone call, didn’t have a chance to ask for anything, he wasn’t given an option to think about it, and he was put on the spot to give an answer right then on whether he was taking the job or not. He stated that he stands before them, to say that he has done nothing but work for the city, he is a 41-year-old man, and he doesn’t like being disregarded like he just was by Vice-Mayor Fite with his ‘whatever’ remark. He doesn’t disrespect Vice-Mayor Fite and he wishes the same in return. He started from scratch because he was unable to meet the prior city manager and had to figure it out on his own. 6 months into his employment with the city and the community center is almost done, which is something that nobody had been able to do. City Manager Thompson wants everyone to know that he gives his heart and sole to the city and won’t ask any employee to do something that he is not willing to do. He will not ask of anything from the commission and when evaluation time comes around, he will take it from there. Until then, he will do what is expected of him, but will not take any disrespect from anyone. He appreciates all the city workers. Mayor Gardner stated that City Manager Thompson is doing a great job.
10. Police Chief
Nothing to discuss.
11. City Clerk
City Clerk Silva wanted to thank City Manager Thompson for everything that he does because he does a lot. She’s worked with the past 4 City Managers and he’s done more than they ever have.
12. Public
Nothing from the public to discuss
Mayor Gardner adjourned the meeting.
_________________________________________ _______________________________________
Duane Gardner, Mayor Maria Carmen Silva, City Clerk
AN ORDINANCE OF THE CITY OF BOWLING GREEN, FLORIDA
AMENDING CITY CODE ARTICLE PROVIDING FOR USE OF CITY-
ISSUED WASTE COLLECTION CARTS; PROVIDING FOR REQUIRING
THIRD-PARTY CONTRACTOR COLLECTION OF CERTAIN TYPES OF
WASTE RATHER THAN CITY COLLECTION; PROVIDING FOR
REDUCTION OF COLLECTIONS DAYS; PROVIDING FOR CONFLICTS;
PROVIDING FOR SEVERABILITY; PROVIDING FOR LIBERAL
CONSTRUCTION; PROVIDING FOR SCRIVERNOR’S ERRORS AND
PROVIDING FOR AN EFFECTIVE DATE.
WHEREAS, THE CITY COMMISSION OF BOWLING GREEN, FLORIDA, in furtherance of its
responsibility to protect the public health, safety, and well-being of its citizens and to protect
and enhance the quality of its environment, and to prevent and abate litter, has reviewed its
collection procedures and policies, and has determined that the city providing a collection
container of fixed size is in the interest of the public safety, health and welfare; and
WHEREAS, with larger container size, the city can reduce the number of collection days; and
WHEREAS, the City Commissioners find that it is in the best interest of the City to adopt the
recommended amendments to the Ordinance.
NOW, THEREFORE, BE IT ENACTED BY THE CITY COMMISSION OF BOWLING GREEN, FLORIDA:
Section 1. AMENDMENT OF CHAPTER 30, ARTICLE II, SECTIONS 30-21, 30-22 AND 30-23.
ARTICLE II. - COLLECTION AND DISPOSAL
Sec. 30-21. - General provisions.
(a) Definitions. The following words, terms and phrases, when used in this article, shall have the
meanings ascribed to them in this subsection, except where the context clearly indicates a different
meaning:
Bags means plastic sacks designed to store garbage with sufficient wall strength to maintain physical
integrity when lifted by the top. The total weight of a bag and its contents shall not exceed 30 pounds.
Bin means a metal receptacle, leased from the City, designed to be lifted and emptied mechanically
for use only at commercial units. Also known as dumpsters.
Bulky waste means stoves, refrigerators, water tanks, washing machines, beds and mattresses,
furniture and other waste materials other than construction debris, dead animals, hazardous waste or
stable matter with weights or volumes greater than those allowed for bins or containerscarts, as the case
may be.
Bundle means tree, shrub and brush trimmings or newspapers and magazines securely tied together
forming an easily handled package not exceeding four feet in length or 30 pounds in weight.
Cart. A city-issued 96-gallon garbage container which shall be the sole container usable for residential garbage collection. No other form of container will be allowed for residential property, and only bins and carts are acceptable for commercial properties. The full, usable volume of the cart shall be to the top of the cart, but with the lid fully closed. Carts are the property of the city, and each cart is assigned to a specific address by a serial number on the cart. Carts shall not be modified with locks, lids, wheels, or by painting without prior approval from the city.
Commercial unit means all premises, locations or entities, public or private, requiring garbage collection within the corporate limits of the city which are not a residential unit.
Construction debris means discarded materials generally considered to be not water-soluble and nonhazardous in nature, including, but not limited to, steel, glass, brick, concrete, asphalt roofing material, pipe, gypsum wallboard, and lumber, from the construction or destruction of a structure as part of a construction or demolition project or from the renovation of a structure, and includes rocks, soils, tree remains, trees, and other vegetative matter that normally results from land clearing or land development operations for a construction project, including such debris from construction of structures at a site remote from the construction or demolition project site. Mixing of construction and demolition debris with other types of solid waste will cause the resulting mixture to be classified as other than construction and demolition debris. The term "construction debris" also includes:
1. Clean cardboard, paper, plastic, wood, and metal scraps from a construction project;
2. Except as provided in F.S. § 403.707(9)(j), yard trash and unpainted, nontreated wood scraps and wood pallets from sources other than construction or demolition projects;
3. Scrap from manufacturing facilities which is the type of material generally used in construction projects and which would meet the definition of construction and demolition debris if it were generated as part of a construction or demolition project. This includes debris from the construction of manufactured homes and scrap shingles, wallboard, siding concrete, and similar materials from industrial or commercial facilities; and
4. De minimis amounts of other nonhazardous wastes that are generated at construction or demolition projects, provided such amounts are consistent with best management practices of the industry.
Container means a receptacle with a capacity not greater than 35 gallons constructed of plastic, metal or fiberglass, having handles of adequate strength for lifting and having a tight-fitting lid capable of preventing entrance into the container by vectors. The mouth of the container shall have a diameter greater than or equal to that of the base. The weight of a container and its contents shall not exceed 50 pounds.
Contractor means the person, corporation or partnership performing garbage collection and disposal under the contract, franchise or authorization with the city.
Dead animal means animals or portions thereof equal to or greater than ten pounds in weight that have expired from any cause, except those slaughtered or killed for human use or consumption.
Garbage means any and all dead animals of less than ten pounds in weight, except those slaughtered for human consumption; every accumulation of household waste and rubbish (animal, vegetable and/or other matter) or waste that results from the preparation, processing consumption, dealing in, handling, packing, canning, storage, transportation, decay or decomposition of meats, fish, fowl, birds, fruits, grains or other animal or vegetable matter (including, but not by way of limitation, used tin cans and other food containers; and all putrescible or easily decomposable animal or vegetable waste matter which is likely to attract flies or rodents); except (in all cases) any matter included in the definition of bulky waste, construction debris, dead animals, hazardous waste, rubbish or stable matter.
Hazardous waste means solid waste, or a combination of solid wastes, which, because of its quantity, concentration, or physical, chemical, or infectious characteristics, may cause, or significantly contribute to, an increase in mortality or an increase in serious irreversible or incapacitating reversible illness or may pose a substantial present or potential hazard to human health or the environment when
improperly transported, disposed of, stored, treated, or otherwise managed. The term "hazardous waste" does not include human remains that are disposed of by persons licensed under F.S. ch. 497.
*Residential unit* means a dwelling within the corporate limits of the city occupied by a person or group of persons comprising not more than four families. A residential unit shall be deemed occupied when either water or domestic light and power services are being supplied thereto. A condominium dwelling, whether of single- or multi-level construction, consisting of four or less contiguous or separate single-family dwelling units, shall be treated as a residential unit, except that each single-family dwelling within any such residential unit shall be billed separately as a residential unit.
*Rubbish* means all waste wood, wood products, tree trimmings, grass cuttings, dead plants, weeds, leaves or branches thereof, chips, shavings, sawdust, printed matter, paper, pasteboard, rags, straw, used and discarded mattresses, used and discarded clothing, used and discarded shoes and boots, combustible waste pulp and other products such as are used for packaging, or wrapping crockery and glass, ashes, cinders, floor sweepings, glass mineral or metallic substances, and any and all other waste materials not included in the definition of bulky waste, construction debris, dead animals, garbage, hazardous waste or stable matter.
*Stable matter* means all manure and other waste matter normally accumulated in or about a stable, or any animal, livestock or poultry enclosure, and resulting from the keeping of animals, poultry or livestock.
*Yard waste* means vegetative matter resulting from landscaping maintenance and land clearing operations.
(b) *Uncovered garbage.* It shall be unlawful to place or permit to remain anywhere in the city any garbage or other material subject to decay other than leaves or grass, except in an approved tightly-covered containercart.
(c) *Windblown refuse.* It shall be unlawful to cause or permit to accumulate any waste of any kind in such a manner that it can be blown away by the wind.
(d) *Deposits on streets.* It shall be unlawful to deposit or permit to fall from any vehicle any waste of any kind on any public street or alley in the city; provided that this subsection shall not be construed to prohibit placing garbage in a containercart complying with the provisions of this article preparatory to having such material collected and disposed of in the manner provided herein.
(e) *Disposal of garbage.*
(1) It shall be unlawful to dispose of any garbage anywhere in the city except in a containercart or locations approved by the city, for the collection by the city or franchised haulers as prescribed by the city.
(2) The use of solid waste collection services, including dumpsters or other garbage and trash collection receptacles, shall be limited to the person paying the monthly fee for the garbage collection service for such dumpster or receptacle. Any person, resident or nonresident, who disposes of solid waste by placing it in a dumpster or other receptacle at a location within the city limits for which that person does not pay the appropriate periodic fee for the garbage collection services shall be guilty of a violation of this article.
(f) *Hazardous waste.* The handling and discharge of all hazardous waste shall follow all applicable standards established by the county health department, the state and the United States government. The city shall be available, upon request, to review procedures involving the handling and discharge of all hazardous waste to ensure that such disposal does not create any safety or health problems. Hazardous waste shall be picked up only by special arrangements.
(g) *Enforcement.* Provisions of this article shall be enforced by the city through the code enforcement process as set forth in city ordinances and state statutes. These shall not be the exclusive remedies, but shall be in addition to any other enforcement procedure permitted by law.
Sec. 30-22. - Collection.
(a) **Residential garbage containers.** Each residential customer shall furnish a properly maintained garbage container in accordance with specifications designated by the city to ensure uniform and efficient collection. The city shall make available approved containers at cost, plus a charge for handling. The city shall have the authority to determine whether or not a garbage container has been properly maintained to ensure uniform and efficient collection, and shall have the authority to require repairs to or replacement of defective garbage containers. The city may also determine whether improper conditions of collection exist, including, but not limited to, excessive containers, excessive weight, and inappropriate wastes. If the owner fails to make the required repairs or replacement after having been given reasonable opportunity to do so, the city may, at its sole option:
(1) Cease residential garbage service until such time as repairs or replacement are completed or conditions are corrected, and impose a fine in accordance with city ordinances and state law; or
(2) Continue to collect residential garbage with defective containers or collection conditions and charge for a special pickup, and the owner shall be billed at a rate specified in the fee schedule which is on file in the city clerk's office, as well as a fine for Code violation.
(b) **Commercial garbage containerscarts and bins.** Each commercial customer shall arrange for placement of an approved container bin or a cart through the public services office to ensure uniform and efficient collection. Large containers commonly referred to as dumpsters shall be leased from the city. The city may authorize small commercial customers to use residential-type containerscarts, but no more than three (3) carts will be allowed for any business. Commercial customers may be authorized, upon request by the customer, to utilize compaction containers of a type and size approved by the city. When approved by the city, the customer shall provide the compaction container and shall provide for maintenance of the container. Other large containers may be provided and serviced by approved commercial haulers only when a temporary commercial collection permit has been obtained pursuant to the provisions of this article. For commercial sites where there are a large number of individual stores bound together by association or lease, such shopping centers or the downtown shopping area may consider the requirements for number and placement of garbage containersbins in total rather than on an individual basis. The city shall have the authority to determine whether or not a garbage containerbin or cart has been properly maintained to ensure uniform and efficient collection, and shall have the authority to require repairs to or replacement of defective garbage containerscarts or bins. The city may also determine whether improper conditions of collection exist, including, but not limited to, excessive containersbins or carts, excessive weight, and inappropriate wastes. If the owner fails to make the required repairs or replacement after having been given reasonable opportunity to do so, the city may, at its sole option:
(1) Cease commercial garbage service until such time as repairs or replacement are completed or conditions are corrected, and impose a fine in accordance with city ordinances and state law; or
(2) Continue to collect commercial garbage with defective containers-bins or collection conditions and charge for a special pickup, and the owner shall be billed at a rate specified in the fee schedule which is on file in the city clerk's office, as well as a fine for Code violation.
(c) **Alternate container collection systems.** The city may authorize and approve alternate container collection systems to ensure practical and efficient collection deemed most appropriate for the specific situation. When allowing alternate container collection systems, pursuant to this subsection, the city may impose special conditions and charges pursuant thereto.
(d) **Collection by city.** All residential and commercial garbage, yard waste and bulky items accumulated in the city shall be collected, conveyed and disposed of by the city government, except as otherwise provided by city franchise agreement. No person shall collect, convey over any of the streets or alleys of the city, or dispose of for a fee any garbage or waste of any kind accumulated in the city without a temporary commercial collection permit or franchise issued by the city. The city manager or other designated officer shall have charge of the collection of garbage in the city. Disposal of dead animals, hazardous waste, construction debris and stable matter must be arranged for by the property owner or its lessee, or the city may issue franchises for such services, or allow removal by approved commercial haulers on a case-by-case basis. The cost will be absorbed by the property owner or its lessee. Disposal of dead animals, hazardous waste, construction debris and stable matter may either
be arranged for through the city as a special service, or the city may issue franchises for such services, or allow removal by approved commercial haulers on a case-by-case basis. It is the responsibility of the customer to ensure that a collection contractor has the proper authorization, and any fines for improper collection shall be the responsibility of the customer or property owner.
(e) Frequency of collection.
(1) Residential garbage. Residential garbage shall be collected two times per week except when a recognized holiday occurs on a scheduled collection day. The frequency of collection may be reduced to one time per week for the holiday week only. No more than three containersOne cart shall be normally collected each collection day at regular residential collection rates. Additional containers-carts may be requested from the city and shall be charged a special service charge, but in no event shall more than three (3) carts be authorized for residential pickup without special written authorization and charges from the City, which authorization shall be for a temporary period of not more than one (1) month.
(2) Yard waste. Yard waste shall be not more than four inches in diameter and cut in lengths not exceeding five feet. This length limitation does not apply to palm fronds. Yard waste must not contain garbage. Up to two cubic yards of yard waste which is not within the usual-collection container-cart with the lid closed will be collected one time per month except when a recognized holiday occurs. To have this pick up, you will need to call city hall and have the yard waste scheduled to be picked up. Going forward yard waste will only be picked up via a scheduled pick up coordinated through city hall. Any scheduled pick up containing more than two cubic yards or containing garbage shall be considered as a special pickup, and the owner shall be billed at a rate specified in the fee schedule which is on file with the city clerk's office. It is the responsibility of the property owner or its lessee to ensure all city codes and ordinances are being adhered to in reference to yard waste on a scheduled collection day, in which case customers will be notified of the alternative date. Any pile containing more than two cubic yards or containing garbage shall be considered as a special pickup, and the owner shall be billed at a rate specified in the fee schedule which is on file in the city clerk's office.
(3) Bulky items. The city will no longer provide pick-up of bulky items such as discarded furniture, appliances, or tires. It will be the responsibility of the property owner or its lessee to discard these items through a city-authorized commercial collection contractor. The name(s) of such company(ies) are available at City Hall. It is also the responsibility of the property owner or its lessee to abide by all city codes and ordinances in relation to bulky items. Bulky item collection shall be limited to a maximum of ten cubic yards per pickup. Discarded furniture, appliances and tires shall be considered as a special pickup, and the owner shall be billed at a rate specified in the fee schedule which is on file in the city clerk's office. Any pile containing more than ten cubic yards or containing garbage shall be considered as a special pickup, and the owner shall be billed at a rate specified in the fee schedule which is on file in the city clerk's office.
(4) Commercial garbage. Commercial garbage collection will be not less than two times per week, except that commercial establishments that provide food service shall be collected no less frequently than required by the county health department. Commercial customers using not more than three-one residential-type container-cart will be considered as residential as to collection and will be collected according to subsection (e)(1) of this section. Commercial customers issued two (2) or three (3) carts will be charged a commercial rate. Commercial customers using bins will be charge the commercial bin rate.
(5) Additional commercial garbage. All commercial refuse, including yard waste which is not within the usual collection container will be collected only as requested. Fees charged shall be according to the rate schedule for special pickup which is on file in the city clerk's office.
(6) Public schools and commercial routes. Public schools and commercial routes shall be collected five times per week.
(f) Points of collection.
(1) **Residential garbage.** Residential garbage containers shall be placed in the city-issued cart, curbside at the edge of the customer's property adjacent to a street and shall be accessible without entering into a building or shelter of any type or by walking under, around or on any obstacles. Cart lids must be fully closed, or they will not be picked up. The city may make exception to the this placement requirement regulation in the case of verified handicapped or infirm persons. Accumulations of yard waste and bulky items shall be stacked in compact piles at curbside separated from garbage and within the confines of residential unit's property lines. Deposits of containers or; yard wastes or bulky items shall not obstruct pedestrian or vehicular traffic. Residential yard waste or bulky items shall be placed on the street's edge, but shall not be placed in the street. All small yard waste or refuse such as grass clippings, short hedge clippings, weeds and fallen leaves shall be bagged. Items placed for collection, which are not within the usual collection container cart, shall not be placed directly under or adjacent to overhead electric or telephone wires, cable television wires, or tree limbs. The city will no longer be picking up bulky items, these are to be disposed of by the property owner or its lessee through a city-approved commercial collection contractor and shall at no time be placed or left in yards.
(2) **No loose garbage.** All residential, household, and commercial garbage must be placed in the designated container cart in sealed bags, or other such holders, to avoid loose litter. No loose household or commercial garbage is permitted in the collection container cart.
(3) **Commercial garbage.** All commercial unit containers must be placed in the city-issued cart, curbside on the customer's property, on a concrete pad as specified by the city, and not within the right-of-way of any area or street except as may be otherwise designated by the city to assure practical and efficient collection. Such containers shall be accessible without entering a building or shelter of any type. Owners or lessees of commercial units shall provide for placement of commercial containers so as to prohibit parking that would prevent pickup of containers. Placement or signing of commercial containers shall be approved by the city. If the container is inaccessible to the collection vehicle, the driver shall tag the container which shall serve as notice to the customer of the inaccessibility. Collection will then be made on the next regularly scheduled collection day for that customer unless the customer requests a special pickup. An additional charge, as specified by the rate schedule which is on file in the city clerk's office, shall be levied against the customer for a special pickup. The customer shall be notified of the additional charge at the time of request for the special pickup. Accumulations of commercial unit bulky items, which is not within the usual collection container, shall be stacked in compact piles within the confines of the commercial unit's property lines at a location accessible to the collection vehicle. Deposits of bulky items shall not obstruct pedestrian or vehicular traffic.
(g) **Time of placement of containers for collection and placement of containers when not for collection.**
(1) All residential-type containers, whether designated residential or commercial, shall be placed for collection in accordance with this article no earlier than 5:00 p.m. before the day designated for collection nor later than 7:00 a.m. the day designated for collection, and should be removed immediately following such collection, but in any event no later than 10:00 a.m. following such designated days.
(2) When not properly placed for collection in accordance with this article, all residential-type containers, whether designated residential or commercial, shall be tagged by the city and/or door hangers placed on the door of the customer to advise the customer that the container must be placed on private property behind the front structure line or hidden from public view, and notice of the action taken by the city will be recorded on the customer's account. Customers will not be assessed an additional charge for this action; however, when containers are not subsequently placed in accordance with this article after one warning, an additional charge, as specified by the rate schedule which is on file in the city clerk's office, will be levied against the customer.
(3) Prior to depositing for collection in containers, the customer shall collapse all cardboard boxes and crates and shall ensure that the cover to the garbage container is tightly closed. If garbage has been placed in or around a container in such a way as to prevent it being emptied in the usual and routine manner, the container shall be considered inaccessible and the provisions of this article regarding inaccessibility shall apply.
(h) **Tires.** Tires shall not be placed in garbage containers. Any container found containing tires shall be considered inaccessible and the provisions of this article regarding inaccessibility shall apply.
(i) **Temporary commercial collection permit.**
(1) Where unusual circumstances exist in which the city is unable to provide efficient and practical commercial collection, the city, upon application by a commercial hauler, may grant a temporary commercial collection permit. The term of the permit shall not exceed one year from the date of issue. The temporary character of the permit does not prohibit renewal of the permit upon reapplication by the commercial hauler. Commercial haulers operating under a temporary collection permit shall comply with all conditions of the permit as established by the city commission. Where a violation of the conditions or requirements of the permit occurs, the city may immediately revoke the permit.
(2) The temporary collection permit application and the requirements for obtaining the permit may be obtained from the public services office.
(j) **Special services.**
(1) **Contagious disease refuse.** The removal of wearing apparel, bedding, or other refuse from homes or places where highly infectious or contagious diseases have prevailed shall be performed under the supervision and direction of consultants retained by the city or state health officials. The refuse shall not be placed in containers for regular collection.
(2) **Inflammable or explosive refuse.** Highly inflammable or explosive materials shall not be placed in containers for regular collection but shall be disposed of as directed by the city manager, in a manner prescribed by the fire chief.
(3) **Dead animals.** The bodies or carcasses of any dead animals shall not be placed in containers for regular collection but shall be disposed of as prescribed by the city manager.
(k) **Separation of yard waste from other garbage, and bulky items required.** Customer shall separate yard waste from all other wastes, for collection. If special municipal services are required to separate or sort such materials, customer shall be charged a special service charge (in accordance with the established fee schedule) to defray such expense to the city.
Sec. 30-23. - Fees, charges, billing procedure.
(a) **Fees.** A fee schedule establishing some of the fees and charges relating to the services adopted as a part of the ordinance from which this article is derived is shown on exhibit "A" to the ordinance from which this article is derived and may be modified or added to at any time by resolution of the commission, and kept on file in the clerk's office. Other fees not listed in exhibit "A" but already in effect shall continue in effect until modified by resolution. Commencing on October 1, 2008, and continuing the October 1 of each year thereafter, all fees and charges relating to the services contemplated in this article shall be automatically increased $2\frac{1}{2}$ percent.
(b) **Billing for garbage only; delinquency.** Bills for the services contemplated in this article shall be considered delinquent if not paid by the 15th of the month following the month for which service is rendered. All delinquent accounts are subject to stoppage of service without notice. Service shall be resumed only upon payment of all accumulated fees and charges.
(c) **Repair or replacement of carts.** Damage to carts resulting from loss, abuse, or negligence shall be the responsibility of the customer to whom the cart was supplied. The city shall determine the cost for repair or replacement.
**Section 2. Conflicts.** All ordinances or parts of ordinances in express conflict with any of the provisions of this Ordinance, which cannot be harmonized by interpretation considering the intent of this Ordinance are hereby repealed.
Section 3. **Severability.** Should any section or provision of this Ordinance or any portion thereof, the deletion of which would not adversely affect (in the general sense) the remainder, be declared by a court of competent jurisdiction to be invalid, such decision shall not affect the validity of the remainder, as a whole or any part thereof, other than the part declared to be invalid.
Section 4. **Liberal Construction.** This Ordinance shall be liberally construed so as to effectively carry out the purposes hereof in the interest of the public health, safety and general welfare. This Ordinance is not intended, nor shall it be construed to supersede or conflict with any statutory provisions, rules or regulations of the state, but shall be construed as implementing and assisting the enforcement thereof.
Section 5. **Scrivener’s Errors**
The correction of typographical errors which do not affect the intent of the ordinance may be authorized by the City Clerk or the Clerk’s designee, without public hearing.
Section 6. **Effective Date.** This Ordinance shall become effective immediately following passage.
This Ordinance was read for the first time at the Regular Meeting of the City Commission held on the ______ day of ____________, 20____. The vote was as follows:
| Commissioner/Mayor Gardner | Yes | No | Abstain | Absent |
|----------------------------|-----|----|---------|--------|
| Commissioner Fite | | | | |
| Commissioner Lunn | | | | |
| Commissioner Jones | | | | |
| Commissioner Durastanti | | | | |
The final reading was held on ______ day of ____________, 20____, at a regular ___ special ___ session of the City Commission, and this Ordinance was adopted ___ rejected ___. The vote was as follows:
| Commissioner/Mayor Gardner | Yes | No | Abstain | Absent |
|----------------------------|-----|----|---------|--------|
| Commissioner Fite | | | | |
| Commissioner Lunn | | | | |
| Commissioner Jones | | | | |
| Commissioner Durastanti | | | | |
ATTEST: ________________________________
CITY OF BOWLING GREEN, FLORIDA
Maria Carmen Silva, City Clerk
Duane Gardner, Mayor
APPROVED AS TO FORM:
Gerald T. Buhr, City Attorney
CITY OF BOWLING GREEN
RENTAL AGREEMENT - COMMUNITY CENTER
Name: _______________________________ Address: _______________________________
City/State/Zip: ______________________ Phone: ________________________________
Email Address: _____________________________________________________________
Requested Rental Date(s): __________________ Number of Guests: __________________
*Start Time: ____________ End Time: ____________ Will Alcohol be Served**: Y / N
As a renter of the facility, I understand that I am responsible to assure that the attached rules and policies are adhered to. I understand that I am also responsible to assure that the facility and fixtures are properly cared for during the rental period and that the facility and grounds are clean and returned to the original condition at the end of the event. My signature indicates that I have received and understand the rules and policies for the rental and that I am in agreement with them.
A security deposit is required to hold the building for the desired date. A check is preferred. The full rental fee is required a minimum of 7 days prior to your event date. The security deposit will be refunded after the building is inspected, an inventory is taken, and the keys are returned.
*Usage timeframes includes set-up and clean-up.
**Proof of Event Insurance will be required three (3) days prior to the event scheduled if alcohol is being served. Failure to provide proof will result in the cancellation of the rental.
DEPOSIT RECEIVED: $___________ Cash / CK (#______) __________________________ Date
RENTAL FEE RECEIVED: $___________ Cash / CK (#______) __________________________ Date
MY SIGNATURE VERIFIES THAT I HAVE FULLY READ THIS RENTAL AGREEMENT AS WELL AS THE CONDITIONS OF RENTAL AGREEMENT, AND I AGREE TO AND DO ACCEPT FULL RESPONSIBILITY TO ABIDE BY THESE CONDITIONS AS WELL AS ALL OTHER APPLICABLE LAWS AND REGULATIONS.
_________________________________________ ___________________________
Renter's Signature Date
_________________________________________ ___________________________
City Representative Signature Date
Return of Deposit
Deposit Refund Amount: $______________ Date: ____________
Employee Signature: ______________________ Customer Signature: ______________________
Conditions of Rental Agreement
a. A walk through with custodial staff is required. A key must be checked out on the day of your event or by 5:00 p.m. the Friday before. You will not receive the key until the walk through is completed. Please contact City Hall at (863) 375-2255 to schedule the walk through, at least 24 hours prior to your event.
b. Permission and scheduling for the use of the Community Center and the use of any City equipment shall be issued through the City Hall.
c. A written agreement for the use of the Community Center shall be granted only upon written request by a duly authorized representative of the organization seeking the use of the facility. The key will be checked out to the Renters representative responsible for the event. Renter accepts responsibility for the actions of its representative(s) related to this rental agreement.
d. Permission for the use of the facilities may be revoked when there has been violation(s) of any of these conditions or any other regulations.
e. All Renters will be billed and/or charged for any additional costs associated with unreasonable wear or breakage to City property, and/or custodial costs required due to leaving the facility in an unclean or damaged condition.
f. Organizations and Renter's using the Community Center must be supervised by an adequate number of adult sponsors to assure proper care and use of City property.
g. Smoking is not allowed in any City-owned building.
h. A cancellation of the event and/or a request for a refund must be submitted in writing to City Hall.
i. If legal action is brought involving this rental agreement, the prevailing party shall be awarded reasonable attorney's fees.
j. For no reason shall any Renter place nails, tacks, holes, duct tape or any other form of attachment to the walls, ceiling, or other surfaces in the building. On floors, no wax, sand or salt on floor for dancing. Blue painters tape made for painted surfaces is allowable. Check with the custodial staff.
k. No glitter or small confetti may be used in decorations or activities at the Community Center. Failure to comply will result in the loss of the deposit and additional charges for damage may apply.
l. The renter only may use the Community Center and may not sublet, assign or cater the use, without permission of the City, and in no event may derive any profit off the subletting, assignment or catering to others.
m. Votive candles in a fireproof container, with the flame no higher than the top of the container, will be allowed so long as the renter assumes all responsibility and liability for damages to the building and contents due to any fire as a result of the candles. I AGREE THAT I, AS THE RENTER, WILL ASSUME ALL LIABILITY FOR DAMAGES AS A RESULT OF THE USE OF VOTIVE CANDLES AND THAT NO OPEN FLAME CANDLES ARE ALLOWED ANYWHERE IN THE BUILDING.
_________________________ (SIGNED).
Failure to comply will result in loss of full deposit and future rental privileges at any City-owned properties will not be accepted.
**CAPACITY OF THE COMMUNITY CENTER, BY STATE LAW, IS 49 PERSONS**
CITY OF BOWLING GREEN
COMMUNITY CENTER RENTAL WALK-THRU LIST
Appointment Date ___________ Time ___________
Event Date ___________ Event Type ________________________________
Name of Responsible Party _______________________________________
Please note the condition of the following:
Chairs ______ Good ______ Fair ______ Okay ______ Poor
Tables ______ Good ______ Fair ______ Okay ______ Poor
Floors ______ Good ______ Fair ______ Okay ______ Poor
Doors ______ Good ______ Fair ______ Okay ______ Poor
Bathrooms ______ Good ______ Fair ______ Okay ______ Poor
Bar Area ______ Good ______ Fair ______ Okay ______ Poor
Windows ______ Good ______ Fair ______ Okay ______ Poor
➢ “Painters Tape” may be used. No other form of attachment may be made to the walls, ceiling, floors or any other surface. This means:
• NO DUCT TAPE
• NO SCOTCH TAPE
• NO NAILS
• NO STAPLES
• NO TACKS
➢ In Addition:
• NO GLITTER
• NO PAINTING
• NO LIQUID WINDOW CHALK
• NO OPEN FLAMES (candles must be in glass or metal containers)
• NO WAX, SAND OR SALT ON FLOOR FOR DANCING
I understand that with my signature, I am responsible for the above items and for completion of all items on the attached check-out list. Failure to comply may result in forfeiture of all or part of my deposit.
Renter’s Signature ____________________________________ Date ___________
Employee’s Signature ____________________________________ Date ___________
CITY OF BOWLING GREEN
COMMUNITY CENTER POST-RENTAL WALK-THRU
Event Date ____________________ Post-Event Inspection Date ________________
Name of Renter/Responsible Party _______________________________________
Condition of:
Chairs _______Good _______Fair _______Okay _______Poor
Tables _______Good _______Fair _______Okay _______Poor
Floors _______Good _______Fair _______Okay _______Poor
Doors _______Good _______Fair _______Okay _______Poor
Bathrooms _______Good _______Fair _______Okay _______Poor
Bar Area _______Good _______Fair _______Okay _______Poor
Windows _______Good _______Fair _______Okay _______Poor
Were all items rented returned to their original areas? Y / N
Are there any rented items that are missing? Y / N
Was there any noticeable damage? Y / N
If yes, please describe: ________________________________________________
___________________________________________________________________
___________________________________________________________________
I certify that I have given the building a thorough inspection and that the above mentioned is true.
Inspected by: __________________________________________ on ________________
Accepted by: __________________________________________ on ________________
Refund Amount Decided: $____________________
AGENDA REQUEST
NAME James & Julie Meyer, and Bryce Lewis
ADDRESS N1985 County Rd G Chelton, WI 53014
PHONE (CONTACT INFORMATION) 920-762-0099
DATE June 7, 2022
PURPOSE OF REQUEST We would like to purchase the property on Main Street on the west side of Bowling Green. 05-33-25-0000-03430-0000 12.55 acres.
We would like a burn permit issued to us, at no cost, for a month of our choosing in order to rid the property of accumulated brush. We would like sewer and water brought to the front of the property.
We are offering $87,000 for this property.
Will put $5,000 down and close after the first of the year.
SIGNATURE James Meyer
RESOLUTION NO. 2022-02
A RESOLUTION OF THE CITY COMMISSION OF BOWLING GREEN, FLORIDA APPROVING REQUEST FOR ADDITIONAL FUNDING FOR FDOT SMALL COUNTY OUTREACH PROGRAM (SCOP) FOR THE RESURFACING OF PORTIONS OF PINEAPPLE STREET, JONES STREET, AND AVON STREET; PROVIDING AN EFFECTIVE DATE.
WHEREAS, the City has previously approved the funding for Florida Department of Transportation (“FDOT”) Small County Outreach Program (SCOP) for the resurfacing of portions of Pineapple Street (FPID No. 444101-1-54-1), Jones Street (FPID No. 444102-1-54-1), and Avon Street (FPID No. 444110-1-54-1) and related engineering and inspection services (“Project”); and
WHEREAS, the bids for the project came in unexpectedly high, jeopardizing the City’s ability to continue with the project; and
WHEREAS, FDOT has recently notified the City that additional funding in the amount of $107,000 has been located by FDOT (“Additional Grant Funds”) and made available this City Project, has submitted a supplemental agreement for such funds, and has required this Resolution for procuring those Additional Grant Funds; and
WHEREAS, the City Commission has considered this funding and wishes to proceed to make these funds available for the Project.
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COMMISSION OF BOWLING GREEN, FLORIDA in a public meeting assembled this 14th day of June, 2022:
1. The City approves procuring the Additional Grant Funds for the Project, approves the Supplemental Agreement; and approves the City Manager to work with the city’s contract engineers to apply the funding to completion of the Project.
2. The Mayor of the City of Bowling Green or designee is hereby authorized to enter into and execute said agreement.
3. The Resolution shall become effective immediately upon passage.
The vote was: ______ Yeas ______ Nays ______ Absent
June 9, 2022
IN WITNESS WHEREOF, the City of Bowling, Florida, has duly adopted this Resolution and caused it to be executed by the officers below on this 14th day of June, 2022.
(Seal)
ATTEST:
CITY OF BOWLING GREEN, FLORIDA
By: ________________________________
Maria Carmen Silva, City Clerk
By: ________________________________
Duane Gardner, Mayor
APPROVED AS TO FORM:
_______________________________
Gerald T. Buhr, City Attorney
PROCLAMATION
BY THE CITY COMMISSIONERS OF
THE CITY OF BOWLING GREEN
WHEREAS; individuals, both career and volunteer, from police, fire, emergency medical services, search and rescue, and other organizations in the public safety sector, come together as First Responders to aid the public in the event of an emergency; and
WHEREAS; First Responders risk their own safety and personal property in the execution of their duties to protect the public every day; and
WHEREAS; First Responders are the line of defense for the public against all threats, both domestic and foreign; and
WHEREAS; First Responders stand ready to come to the aid of the citizens of Wauchula, Zolfo Springs, Bowling Green, and Hardee County 24 hours a day; and
WHEREAS; First Responders are a vital part of our communities, standing ready to deal with emergencies, and volunteering in our schools and community organizations;
NOW, THEREFORE, be it resolved that the City Commissioners of the City of Bowling Green, Hardee County, Florida, do hereby proclaim Friday, August 5, 2022, as
FIRST RESPONDER APPRECIATION DAY
We call upon all citizens to observe this day and to personally thank our First Responders for their service to our communities.
ATTEST:
CITY COMMISSION
BOWLING GREEN, FLORIDA
Maria C. Silva, City Clerk
Duane Gardner, Mayor
2022 ANNUAL CONFERENCE
The Diplomat Beach Resort, Hollywood
August 11-13, 2022
Hotel Registration
Deadline: July 10, 2022
Conference Registration
Deadline: July 29, 2022
Paid registration is required to receive housing information, so sign up early! See page 7 for details.
Chunk Your Junk
Get your junk to the curb and it will disappear compliments of the City of Bowling Green.
Wednesday, July 13, 2022
Residential Only
Up to 6 yards per residence
No paint, chemicals or other hazardous materials
2 tire limit per address |
Fast Incremental Maintenance of Approximate Histograms
Phillip B. Gibbons Yossi Matias Viswanath Poosala
Bell Laboratories, 600 Mountain Avenue, Murray Hill NJ 07974
{gibbons,email@example.com
Abstract
Many commercial database systems maintain histograms to summarize the contents of large relations and permit efficient estimation of query result sizes for use in query optimizers. Delaying the propagation of database updates to the histogram often introduces errors in the estimation. This paper presents new sampling-based approaches for incremental maintenance of approximate histograms. By scheduling updates to the histogram based on the updates to the database, our techniques are the first to maintain histograms effectively up-to-date at all times and avoid computing overheads when unnecessary. Our techniques provide highly-accurate approximate histograms belonging to the equi-depth and Compressed classes. Experimental results show that our new approaches provide orders of magnitude more accurate estimation than previous approaches.
An important aspect employed by these new approaches is a backing sample, an up-to-date random sample of the tuples currently in a relation. We provide efficient solutions for maintaining a uniformly random sample of a relation in the presence of updates to the relation. The backing sample techniques can be used for any other application that relies on random samples of data.
1 Introduction
Most DBMSs maintain a variety of statistics on the contents of the database relations in order to estimate various quantities, such as selectivities within cost-based query optimizers. These statistics are typically used to approximate the distribution of data in the attributes of various database relations. It has been established that the validity of the optimizer’s decisions may be critically affected by the quality of these approximations [1, 4]. This is becoming particularly evident in the context of increasingly complex queries (e.g., data analysis queries).
Probably the most common technique used in practice for selectivity estimation is maintaining histograms on the frequency distribution of an attribute. A histogram groups attribute values into “buckets” (subsets) and approximates true attribute values and their frequencies based on summary statistics maintained in each bucket [5]. For most real-world databases, there exist histograms that produce low-error estimates while occupying reasonably small space (of the order of 1K bytes in a catalog) [6]. Histograms are used in DB2, Informix, Ingres, Oracle, Microsoft SQL Server, Sybase, and Teradata. They are also being used in other areas, e.g., parallel join load balancing [7] to provide various estimates.
Histograms are usually precomputed on the underlying data and used without much additional overheads inside the query optimizer. A drawback of using precomputed histograms is that they may get outdated when the data in the database is modified, and hence introduce significant errors in estimations. On the other hand, it is clearly impractical to compute a new histogram after every update to the database. Fortunately, it is not necessary to keep the histograms perfectly up-to-date at all times, because they are used only to provide reasonably accurate estimates (typically within 1–10%). Instead, one needs appropriate schedules and algorithms for propagating updates to histograms, so that the database performance is not affected.
Despite the popularity of histograms, most issues related to their maintenance have not been studied in the literature. Most of the work so far has focused on proper bucketizations of values in order to enhance the accuracy of histograms, and assumed that the database is not being modified. In our earlier work, we have introduced several classes of histograms that offer high accuracy for various estimation problems [8]. We have also provided efficient sampling-based methods to construct various histograms, but ignored the problem of maintaining histograms. In a more general context, we can view histograms as materialized views, but they are different in two aspects. First, during utilization,
they are typically maintained in main memory, which implies more constraints on space. Second, they need to be maintained only approximately, and can therefore be considered as cached approximate materialized views. We are not aware of any prior work on approximate materialized views.
The only approach used to date for histogram updates, which is followed in nearly all commercial systems, is to recompute histograms periodically (e.g., every night). This approach has two disadvantages. First, any significant updates to the data between two recomputations could cause poor estimations in the optimizer. Second, since the histograms are recomputed from scratch by discarding the old histograms, the recomputation phase for the entire database is computationally very intensive.
In this paper, we present fast and effective procedures for maintaining two histogram classes used extensively in DBMSs: equi-depth histograms (which are used in most DBMSs) and Compressed histograms (used in DB2). As a key component of our approach, we introduce the notion of a “backing sample”, which is a random sample of the tuples in a relation, that is kept up-to-date in the presence of updates. We demonstrate important advantages gained by using a backing sample and present algorithms for its maintenance. We conducted an extensive set of experiments studying these techniques which confirm the theoretical findings and show that with a small amount of additional storage and CPU resources, these techniques maintain histograms nearly up-to-date at all times.
Due to the limited space, the proofs of all theorems in this paper, as well as many technical details, are omitted and can be found in the full version of this paper [3].
2 Histograms and their maintenance
The domain \( D \) of an attribute \( X \) is the set of all possible values of \( X \) and the value set \( V \subseteq D \) for a relation \( R \) is the set of values of \( X \) that are present in \( R \). Let \( V = \{ v_i : 1 \leq i \leq |V| \} \), where \( v_i < v_j \) when \( i < j \). The frequency \( f_i \) of \( v_i \) is the number of tuples \( t \in R \) with \( t.X = v_i \). The data distribution of \( X \) (in \( R \)) is the set of pairs \( T = \{ (v_1, f_1), (v_2, f_2), \ldots, (v_{|V|}, f_{|V|}) \} \).
A histogram on attribute \( X \) is constructed by partitioning the data distribution \( T \) into \( \beta (\geq 1) \) mutually disjoint subsets called buckets and approximating the values and frequencies in each bucket in some common fashion. Typically, a bucket is assumed to contain either all \( m \) values in \( D \) between the smallest and largest values in that bucket (the bucket’s range), or just \( k \leq m \) equi-distant values in the range, where \( k \) is actual number of values in the bucket. The former is known as the continuous value assumption [9], and the latter is known as the uniform spread assumption [8]. Let \( f_B \) be the number of tuples \( t \in R \) with \( t.X = v \) for some value \( v \) in bucket \( B \). The frequencies for values in a bucket \( B \) are approximated by their averages; i.e., by either \( f_B / m \) or \( f_B / k \).
Different classes of histograms can be obtained by using different rules for partitioning values into buckets. In this paper, we focus on two important classes of histograms, namely the equi-depth and Compressed(V,F) (simply called Compressed in this paper) classes. In an equi-depth (or equi-height) histogram, contiguous ranges of attribute values are grouped into buckets such that the number of tuples, \( f_B \), in each bucket \( B \) is the same. In a Compressed(V,F) histogram [8], the \( n \) highest frequencies are stored separately in \( n \) singleton buckets; the rest are partitioned as in an equi-depth histogram. In our target Compressed histogram, the value of \( n \) adapts to the data distribution to ensure that no singleton bucket can fit within an equi-depth bucket and yet no single value spans an equi-depth bucket. We have shown in our earlier work [8] that Compressed histograms are very effective in approximating distributions of low or high skew.
Equi-depth histograms are used in one form or another in nearly all commercial systems, except DB2 which uses the more accurate Compressed histograms.
Histogram storage. For both equi-depth and Compressed histograms, we store for each bucket \( B \) the largest value in the bucket, \( B.\text{maxval} \), and a count, \( B.\text{count} \), that equals or approximates \( f_B \). When using the histograms to estimate range selectivities, we apply the uniform spread assumption for singleton buckets and the continuous value assumption for equi-depth buckets.
2.1 Approximate histograms
Let \( H \) be the class C histogram, or C-histogram, on attribute \( X \) for a relation \( R \). When \( R \) is modified, the accuracy of \( H \) is affected in two ways: \( H \) may no longer be the correct C-histogram on the updated data (Class Error) and \( H \) may contain inaccurate information about \( X \) (Distribution Error).
For a given attribute, an approximate C-histogram provides an approximation to the actual C-histogram for the relation. The quality of the approximation can be evaluated according to various error metrics defined based on the class and distribution errors.
The \( \mu_{\text{count}} \) error metric. An example of a distribution error metric, relevant to many histogram types, reflects the accuracy of the counts associated with each bucket. For example, when \( R \) is modified, but the histogram is not, then there may be buckets \( B \) with \( B.\text{count} \neq f_B \); the difference between \( f_B \) and \( B.\text{count} \) is the approximation error for \( B \). We consider the error metric, \( \mu_{\text{count}} \), defined as follows:
\[
\mu_{\text{count}} = \frac{\beta}{N} \sqrt{\frac{1}{\beta} \sum_{i=1}^{\beta} (f_B - B_i.\text{count})^2},
\]
where \( N \) is the number of tuples in \( R \) and \( \beta \) is the number of buckets. This is the standard deviation of the bucket
counts from the actual number of elements in each bucket, normalized with respect to the mean bucket count \((N/\beta)\).
### 2.2 Incremental histogram maintenance
There are two components to our incremental approach: (i) maintaining a backing sample, and (ii) a framework for maintaining an approximate histogram that performs a few program instructions in response to each update to the database,\(^1\) and detects when the histogram is in need of an adjustment of one or more of its bucket boundaries. Such adjustments make use of the backing sample. There is a fundamental distinction between the backing sample and the histogram it supports: the histogram is accessed far more frequently than the sample and uses less memory, and hence it can be stored in main memory while the sample is likely stored on disk. Figure 1 shows typical sizes of various entities relevant to our discussion.
Incremental histogram maintenance was previously studied in [2], for the important case of a high-biased histogram, which is a Compressed histogram with \(\beta - 1\) buckets devoted to the \(\beta - 1\) most frequent values, and 1 bucket devoted to all the remaining values. This algorithm did not use the approach described above — for example, no backing sample was maintained or used.
### 3 Backing sample
A *backing sample* is a uniform random sample of the tuples in a relation that is kept up-to-date in the presence of updates to the relation.
We argue that maintaining a backing sample is useful for histogram computation, selectivity estimation, etc. In most sampling-based estimation techniques, whenever a sample of size \(n\) is needed, either the entire relation is scanned to extract the sample, or several random disk blocks are read. In the latter case, the tuples in a disk block may be highly correlated, and hence to obtain a truly random sample, \(n\) disk blocks must be read. In contrast, a backing sample can be stored in consecutive disk blocks, and can therefore be scanned by reading sequential disk blocks. Moreover, for each tuple in the sample, only the unique row id and the attribute(s) of interest are retained. Thus the entire sample can be stored in only a few disk blocks, for even faster retrieval. Finally, an indexing structure for the sample can be held, which would enable quick access of the sample values within a certain range.
At any given time, the backing sample for a relation \(R\) needs to be equivalent to a random sample of the same size that would be extracted from \(R\) at that time. In this section, we present techniques for maintaining a provably random backing sample of \(R\) based on the sequence of updates to \(R\), while accessing \(R\) very infrequently (\(R\) is accessed only when an update sequence deletes about half the tuples in \(R\)).
Let \(S\) be a backing sample maintained for a relation \(R\). We first consider insertions to \(R\). Our technique for maintaining \(S\) as a simple random sample in the presence of inserts is based on the *Reservoir Sampling* technique due to Vitter [10]. The algorithm proceeds by inserting the first \(n\) tuples into a “reservoir.” Then a random number of records are skipped, and the next tuple replaces a randomly selected tuple in the reservoir. Another random number of records are then skipped, and so forth, until the last record has been scanned. The distribution function of the length of each random skip depends explicitly on the number of tuples scanned so far, and is chosen such that each tuple in the relation is equally likely to be in the reservoir after the last tuple has been scanned. By treating the tuple being inserted in the relation as the next tuple in the scan of the relation, we essentially obtain a sample of the data in the presence of insertions.
**Extensions to handle modify and delete operations.** We extend Vitter’s algorithm to handle modify and delete operations, as follows. Modify operations are handled by updating the value field, if the element is in the sample. Delete operations are handled by removing the element from the sample, if it is in the sample. However, such deletions decrease the size of the sample from the target size \(n\), and moreover, it is not known how to use subsequent insertions to obtain a provably random sample of size \(n\) once the sample has dropped below \(n\). Instead, we maintain a sample whose size is initially a prespecified upper bound \(U\), and allow for it to decrease as a result of deletions of sample items down to a prespecified lower bound \(L\). If the sample size drops below \(L\), we rescan the relation to re-populate the random sample. In the full paper [3], we show that with high probability, no such rescans will occur in databases with infrequent deletions. Moreover, even in the worst case where deletions are frequent, the cost of any rescans can be amortized against the cost of the large number of deletions that with high probability must occur before a rescan becomes necessary.
**Optimizations.** The overheads of the algorithm can be lowered by using a hash table of the row ids in the sample to test an id’s presence and by batching deletions together.
whenever possible (e.g., data warehouses often batch discard the oldest data prior to loading the newest data). Since the algorithm maintains a random sample independent of the order of the updates to the database, we can “rearrange” the order, until an up-to-date sample is required by the application using the sample. We can use lazy processing of modify and delete operations, whereby such operations are simply placed in a buffer to be processed as a batch whenever the buffer becomes full or an up-to-date sample is needed. Likewise, we can postpone the processing of modify and delete operations until the next insert that is selected for $S$.
We show in [3] that this procedure maintains a random sample for $R$. Based on the overheads, it is clear that the algorithm is best suited for insert-mostly databases or for data warehousing environments.
4 Fast maintenance of approximate equi-depth histograms
The standard algorithm for constructing an (exact) equi-depth histogram first sorts the tuples in the relation by attribute value, and then selects every $\lfloor N/\beta \rfloor$’th tuple. However, for large relations, this algorithm is quite slow because the sorting may involve multiple I/O scans of the relation.
An approximate equi-depth histogram approximates the exact histogram by relaxing the requirement on the number of tuples in a bucket and/or the accuracy of the counts. Such histograms can be evaluated based on how close the buckets are to $N/\beta$ tuples and how close the counts are to the actual number of tuples in their respective buckets.
A class error metric for equi-depth histograms. Consider an approximate equi-depth histogram with $\beta$ buckets for a relation of $N$ tuples. We consider an error metric, $\mu_{\text{ed}}$, that reflects the extent to which the histogram’s bucket boundaries succeed in evenly dividing the tuples in the relation:
$$\mu_{\text{ed}} = \frac{\beta}{N} \sqrt{\frac{1}{\beta} \sum_{i=1}^{\beta} \left( f_{B_i} - \frac{N}{\beta} \right)^2}. \quad (2)$$
This is the standard deviation of the buckets sizes from the mean bucket size, normalized with respect to the mean bucket size.
Computing approximate equi-depth histograms from a random sample. Given a random sample, an approximate equi-depth histogram can be computed by constructing an equi-depth histogram on the sample but setting the bucket counts to be $N/\beta$ ([8]). Denote this the Sample_Compute algorithm.
We will next present an incremental algorithm that occasionally uses Sample_Compute. The accuracy of the approximate histogram maintained by the incremental algorithm depends on the accuracy resulting from this procedure, which is stated in the following theorem\footnote{Even though the computation of approximate histograms from a random sample of a fixed relation $R$ has been considered in the past, we are not aware of a similar analysis.}. The statement of the theorem is in terms of a sample size $m$.
**Theorem 4.1** Let $\beta \geq 3$. Let $m = (c \ln^2 \beta)\beta$, for some $c \geq 4$. Let $S$ be a random sample of size $m$ of values drawn uniformly from a set of size $N \geq m^2$, either with or without replacement. Then Sample_Compute computes an approximate equi-depth histogram such that with probability at least $1 - \beta^{-(\sqrt{c}-1)} - N^{-1/3}$, $\mu_{\text{ed}} = \mu_{\text{count}} \leq \alpha$.
4.1 Maintaining equi-depth histograms using a backing sample
We first devise an algorithm that monitors the accuracy of the histogram, and recomputes the histogram from the backing sample only when the approximation error exceeds a pre-specified tolerance parameter. We denote this algorithm the Equi-depth_Simple algorithm. We assume throughout that a backing sample is being maintained using the algorithm of Section 3 with $L$ set to the sample size $m$ from the theorems.
The algorithm works in phases. At each phase we maintain a threshold $T = (2 + \gamma)N'/\beta$, where $N'$ is the number of tuples in the relation at the beginning of the phase, and $\gamma > -1$ is a tunable performance parameter. The threshold is set at the beginning of each phase. The number of tuples in any given bucket is maintained below the threshold $T$. (Recall that the ideal target number for a bucket size would be $N/\beta$.) As new tuples are added to the relation, we increment the counts of the appropriate buckets. When a count exceeds the threshold $T$, the entire equi-depth histogram is recomputed from the backing sample using Sample_Compute, and a new phase is started.
Performance analysis. We first consider the accuracy of the above algorithm, and show that with very high probability it is guaranteed to be a good approximation for the equi-depth histogram. The following theorem shows that the error parameter $\mu_{\text{count}}$ remains unchanged, whereas the error parameter $\mu_{\text{ed}}$ may grow by an additive factor of at most $(1 + \gamma)$, the tolerance parameter.
**Theorem 4.2** Let $\beta \geq 3$. Let $m = (c \ln^2 \beta)\beta$, for some $c \geq 4$. Let $S$ be a random sample of size $m$ of values drawn uniformly from a set of size $N \geq m^2$, either with or without replacement. Let $\alpha = (c \ln^2 \beta)^{-1/6}$. Then Equi-depth_Simple computes an approximate equi-depth histogram such that with probability at least $1 - \beta^{-(\sqrt{c}-1)} - (N/(2 + \gamma))^{-1/3}$, $\mu_{\text{ed}} \leq \alpha + (1 + \gamma)$ and $\mu_{\text{count}} \leq \alpha$.
The following lemma bounds the total number of calls to Sample_Compute as a function of the final relation size and the tolerance parameter $\gamma$.
Lemma 4.3 Let \( \alpha = 1 + (1 + \gamma)/\beta \). If a total of \( N \) tuples are inserted in all, then the number of calls to Sample.Compute is at most \( \min(\lg_\alpha N, N) \).
### 4.2 The split&merge algorithm
In this section we modify the previous algorithm in order to reduce the number of calls to Sample.Compute by trying to balance the buckets using a local, inexpensive procedure, before resorting to Sample.Compute. When a bucket count reaches the threshold, \( T \), we split the bucket in half instead of recomputing the entire histogram from the backing sample. In order to maintain the number of buckets, \( \beta \), fixed, we merge some two adjacent buckets whose total count does not exceed \( T \), if such a pair of buckets can be found. Only when a merge is not possible do we recompute from the backing sample. We define a phase to be the sequence of operations between consecutive recomputations. Denote this the Equi-depth.SplitMerge algorithm.
The operation of merging two adjacent buckets is quite simple; it merely involves adding the counts of the two buckets and disposing of the boundary (quantile) between them. The splitting of a bucket is less straightforward; an approximate median value in the bucket is selected to serve as the bucket boundary between the two new buckets, using the backing sample. The split and merge operation is illustrated in Figure 2. Note that split and merge can occur only for \( \gamma > 0 \).
The tolerance parameter \( \gamma \) determines how often a recomputation occurs. Consider the extreme case of \( \gamma \approx -1 \). Here Equi-depth.SplitMerge recomputes the histogram with each database update, i.e., there are \( \Theta(|R|) \) phases. Consider the other extreme, of setting \( \gamma > |R| \). Then the algorithm simply sticks to the original buckets, and is therefore equivalent to the trivial algorithm which does not employ any balancing operation. Thus, the setting of the performance parameter \( \gamma \) gives a spectrum of algorithms, from the most efficient one which provides very poor accuracy performance, to the relatively accurate algorithm which has a rather poor efficiency performance. By selecting a suitable, intermediate, value for \( \gamma \), we can get an algorithm with good performance, both in accuracy as well as in efficiency. For instance, setting \( \gamma = 1 \) will result with an algorithm whose imbalance factor is bounded by about 3, and the number of phases is \( O(\lg N) \).
The following lemma establishes a bound on the number of splits in a phase, as a function of \( \gamma \). We prove it for the range \( \gamma \leq 2 \), in which we are particularly interested.
Lemma 4.4 Let \( \gamma \leq 2 \). The number of splits that occur in a phase is at most \( \beta \).
The number of phases is bounded as follows:
Lemma 4.5 Let \( \alpha = 1 + \gamma/2 \) if \( \gamma > 0 \), and otherwise let \( \alpha = (1 + (1 + \gamma)/\beta) \). If a total of \( N \) tuples are inserted in all, then the number of recomputations is at most \( \min(\lg_\alpha N, N) \).
We can now conclude:
Theorem 4.6 Consider Equi-depth.SplitMerge with \( \beta \) buckets and performance parameter \(-1 < \gamma \leq 2\) applied to a sequence of \( N \) inserts. Then the total number of phases is at most \( \lg_\alpha N \), and the total number of splits is at most \( \beta \lg_\alpha N \), where \( \alpha = 1 + \gamma/2 \) if \( \gamma > 0 \), and otherwise \( \alpha = 1 + (1 + \gamma)/\beta \).
### 4.3 Extensions to handle modify and delete operations
Consider first the Equi-depth.Simple algorithm. To handle deletions to the database, we extend it as follows. Deletions can decrease the number of elements in a bucket relative to other buckets, so we use an additional threshold, \( T_d \), that serves as a lower bound on the count in a bucket. After each recomputation, we set \( T_d = |R|/(\beta(2 + \gamma_d)) \), where \( \gamma_d > -1 \) is a tunable parameter. We also set \( T \) as before. Consider a deletion of a tuple \( \tau \) with \( \tau.X = v \) from \( R \). Let \( B \) be the bucket in the histogram \( H \) whose interval contains \( v \). We decrement \( B.count \), and if now \( B.count = T_d \) then we recompute \( H \) from the backing sample, and update both \( T \) and \( T_d \).
For modify operations, we observe that if the modify does not change the value of attribute \( X \), or if it changes the value of \( X \) such that the old value is in the same bucket as the new value, then \( H \) remains unchanged. Else, we update \( H \) by treating the modify as a delete followed by an insert.
Note that the presence of deletions and modifies does not affect the accuracy of the histogram computed from the backing sample. Moreover, the upper and lower thresholds control the imbalance among buckets between recomputations, so the histograms remain quite accurate. On the other hand, the number of recomputations can be quite large in the worst case. By repeatedly inserting items into the same bucket until \( T \) is reached, and then deleting these same items, we can force the algorithm to perform many recomputations. However, if the sequence of updates to a relation \( R \) is such that \( |R| \) increases at a steady rate, then the number
of recomputes can be bounded by a constant factor times the bound given in Lemma 4.3, where the constant depends on the rate of increase.
Now consider the Equi-depth-SplitMerge algorithm. The extensions to handle delete operations are identical to those outlined above, with the following additions to handle the split and merge operations. If $B.\text{count} = T_t$, we merge $B$ with one of its adjacent buckets and then split the bucket $B'$ with the largest count, as long as $B'.\text{count} \geq 2(T_t + 1)$. (Note that $B'$ may, or may not be the newly merged bucket.) If no such $B'$ exists, then we recompute $\mathcal{H}$ from the backing sample. Modify operations are handled as outlined above.
5 Fast maintenance of approximate Compressed histograms
In this section, we consider another important histogram type, the Compressed($V, F$) histogram. We first present a “split&merge” algorithm for maintaining a Compressed histogram in the presence of database insertions, and then show how to extend the algorithm to handle database modifys and deletes. We assume throughout that a backing sample is being maintained.
Definitions. Consider a relation of (a priori unknown) size $N$. In an equi-depth histogram, values with high frequencies can span a number of buckets; this is a waste of buckets since the sequence of spanned buckets for a value can be replaced with a single bucket with a single count. A Compressed histogram has a set of such singleton buckets and an equi-depth histogram over values not in singleton buckets. Our target Compressed histogram with $\beta$ buckets has $\beta'$ equi-depth buckets and $\beta - \beta'$ singleton “high-biased” buckets, where $1 \leq \beta' \leq \beta$, such that the following requirements hold: (R1) each equi-depth bucket has $\lceil N'/\beta' \rceil$ or $\lfloor N'/\beta' \rfloor$ tuples, where $N'$ is the total number of tuples in equi-depth buckets, (R2) no single value “spans” an equi-depth bucket, i.e., the set of bucket boundaries are distinct, and conversely, (R3) the value in each singleton bucket has frequency $\geq N'/\beta'$. Associated with each bucket $B$ is a maximum value $B.\text{maxval}$ (either the singleton value or the bucket boundary) and a count, $B.\text{count}$.
An approximate Compressed histogram approximates the exact histogram by relaxing one or more of the three requirements above and/or the accuracy of the counts.
Class error metrics. Consider an approximate Compressed histogram $\mathcal{H}$ with equi-depth buckets $B_1, \ldots, B_{\beta'}$ and singleton buckets $B_{\beta'+1}, \ldots, B_\beta$. Recall that $f_B$ is defined to be the number of tuples in a bucket $B$. Let $N'$ be the number of tuples in equi-depth buckets, i.e., $N' = \sum_{i=1}^{\beta'} f_{B_i}$. We define two class error metrics, $\mu_{ed}$ and $\mu_{hb}$ ($\mu_{ed}$ as defined in Section 4 but applied only to the equi-depth buckets):
$$\mu_{ed} = \frac{\beta'}{N'} \left[ \frac{1}{\beta'} \sum_{i=1}^{\beta'} \left( f_{B_i} - \frac{N'}{\beta'} \right)^2 \right]$$
$$\mu_{hb} = \frac{\beta'}{N'} \sum_{v \in U} \left| f_v - \frac{N'}{\beta'} \right|$$
where $U$ is the set of values that violate requirement (R2) or (R3). This metric penalizes for mistakes in the choice of high-biased buckets in proportion to how much the true frequencies deviate from the target threshold, $N'/\beta'$, normalized with respect to this threshold.
5.1 A split&merge algorithm for Compressed histograms
We show how Equi-depth-SplitMerge can be extended to handle Compressed histograms. We denote this algorithm the Compressed_SplitMerge algorithm.
On an insert of a tuple with value $v$ into the relation, the (singleton or equi-depth) bucket, $B$, for $v$ is determined, and the count is incremented. If $B$ is an equi-depth bucket, then as in Equi-depth-SplitMerge, we check to see if its count now equals the threshold $T$ for splitting a bucket, and if it does, we update the bucket boundaries. The steps for updating the Compressed histogram are similar to those in Equi-depth-SplitMerge, but must address several additional concerns:
1. New values added to the relation may be skewed, so that values that did not warrant singleton buckets before may now belong in singleton buckets.
2. The threshold for singleton buckets grows with $N'$, the number of tuples in equi-depth buckets. Thus values rightfully in singleton buckets for smaller $N'$ may no longer belong in singleton buckets as $N'$ increases.
3. Because of concerns 1 and 2 above, the number of equi-depth buckets, $\beta'$, grows and shrinks, and hence we must adjust the equi-depth buckets accordingly.
4. Likewise, the number of tuples in equi-depth buckets grows and shrinks dramatically as sets of tuples are removed from and added to singleton buckets. The ideal is to maintain $N'/\beta'$ tuples per equi-depth bucket, but both $N'$ and $\beta'$ are growing and shrinking.
Our algorithm addresses each of these four concerns as follows. To address concern 1, we use the fact that a large number of updates to the same value $v$ will suitably increase the count of the equi-depth bucket containing $v$ so as to cause a bucket split. Whenever a bucket is split, if doing so creates adjacent bucket boundaries with the same value $v$, then we know to create a new singleton bucket for $v$. To address concern 2, we allow singleton buckets with relatively small counts to be merged back into the equi-depth
buckets. As for concerns 3 and 4, we use our procedures for splitting and merging buckets to grow and shrink the number of buckets, while maintaining approximate equi-depth buckets, until we recompute the histogram. The imbalance between the equi-depth buckets is controlled by the thresholds $T$ and $T_\ell$ (which depend on the tunable performance parameters $\gamma$ and $\gamma_\ell$, as in Equi-depth\_SplitMerge). When we convert an equi-depth bucket into a singleton bucket or vice-versa, we ensure that at the time, the bucket is within a constant factor of the average number of tuples in an equi-depth bucket (sometimes additional splits and merges are required). Thus the average is roughly maintained as such equi-depth buckets are added or subtracted.
The requirements for when a bucket can be split or when two buckets can be merged are more involved than in Equi-depth\_SplitMerge: A bucket $B$ is a *candidate split bucket* if it is an equi-depth bucket with $B.\text{count} \geq 2(T_\ell + 1)$ or a singleton bucket such that $T/(2 + \gamma) \geq B.\text{count} \geq 2(T_\ell + 1)$. A pair of buckets, $B_i$ and $B_j$, is a *candidate merge pair* if (1) either they are adjacent equi-depth buckets or they are a singleton bucket and the equi-depth bucket in which its singleton value belongs, and (2) $B_i.\text{count} + B_j.\text{count} < T$. When there are more than one candidate split bucket (candidate merge pair), the algorithm selects the one with the largest (smallest combined, resp.) bucket count.
Due to space limitations, the exact details of this algorithm are presented in [3], including the procedure for computing an approximate Compressed histogram from the backing sample.
**Lemma 5.1** Algorithm Compressed\_SplitMerge maintains the following invariants. (1) For all buckets $B$, $B.\text{count} > T_\ell$. (2) For all equi-depth buckets $B$, $B.\text{count} < T$. (3) All bucket boundaries ($B.\text{maxval}$) are distinct. (4) Any value $v$ belongs to either one singleton bucket, one equi-depth bucket or two adjacent equi-depth buckets (in the latter case, any subsequent inserts or deletes are targeted to the first of the two adjacent buckets).
Thus the set of equi-depth buckets have counts that are within a factor of $T/T_\ell$, which is a small constant independent of $|R|$ (details in the full paper).
### 5.2 Extensions to handle modify and delete operations
We now discuss how to extend Compressed\_SplitMerge to handle deletions to the database. Deletions can decrease the number of tuples in a bucket relative to other buckets, resulting in a singleton bucket that should be converted to an equi-depth bucket or vice-versa. A deletion can also drop a bucket count to the lower threshold $T_\ell$.
Consider a deletion of a tuple $\tau$ with $\tau.X = v$ from $R$. Let $B$ be the bucket in the histogram $\mathcal{H}$ whose interval contains $v$. First, we decrement $B.\text{count}$. If $B.\text{count} = T_\ell$, we do the following. If $B$ is part of some candidate merge pair, we merge the pair with the smallest combined count and then split the candidate split bucket $B'$ with the largest count. (Note that $B'$ may, or may not be the newly merged bucket.) If no such $B'$ exists, then we recompute $\mathcal{H}$ from the backing sample. Likewise, if $B$ is not part of some candidate merge pair, we recompute $\mathcal{H}$ from the backing sample. As in the insertion-only case, the conversion of buckets from singleton to equi-depth and vice-versa is primarily handled by detecting the need for such conversions when splitting or merging buckets.
For modify operations, we observe as before that if the modify does not change the value of attribute $A$, or it changes the value of $A$ such that the old value is in the same bucket as the new value, then $\mathcal{H}$ remains unchanged. Else, we update $\mathcal{H}$ by treating the modify as a delete followed by an insert.
The invariants in Lemma 5.1 hold for the version of the algorithm that incorporates these extensions for modify and delete operations.
### 6 Experimental evaluation
In this section, we experimentally study the effectiveness of our histogram-maintenance techniques and their efficiency. First, we describe the experiment testbed.
**Database.** We model the base data already in the database and the update data independent of each other using an extensive set of Zipf-ian [11] data distributions. The Zipf distribution was chosen because it supposedly models the skew in many real-life data quite closely. The $z$ value was varied from 0 to 4 to vary the skew ($z = 0$ corresponds to the uniform distribution). The number of tuples ($T$) in the relation was $100K$ to start with and the number of distinct values ($D$) was varied from 200 to 1000. Since the exact attribute values do not affect the relative quality of our techniques, we chose the integer value domain. Finally, the frequencies were mapped to the values in different orders – decreasing (decr), increasing (incr), and random (random) – thereby generating a large collection of data distributions. We refer to a Zipf distribution with the parameter $z$ and order $x$ as the $zipf(z, x)$ distribution.
**Histograms.** The equi-depth and Compressed histograms consisted of 20 buckets and were computed from a sample of 2000 tuples, which was also the size of the backing sample.
**Updates.** We used three classes of updates, described below, based on the mix of inserts, deletes, and modifies. In each case, the update data was taken from a Zipf distribution. By varying the $z$ parameter, we can vary the skew in the updates. The number of updates was increased up to $400K$ (four times the relation size).
1. **Insert:** The first class of updates consists of just insert operations. Since our algorithms are most efficient for such an environment, they are studied in most detail.
2. **Warehouse:** This class contains an alternating sequence of a set of inserts followed by a set of deletes. This pattern is common in data warehouses keeping transactional information during sliding time windows (loading fresh data and discarding very old data, when loaded close to capacity).
3. **Mixed:** This class contains a uniform mixture of inserts, deletes, and modifys occurring in random order.
In this paper, we only present the results for the *Insert* class. The results for the remaining classes are given in [3].
**Techniques.** We studied several variants of old and new techniques which are described below in terms of their operations for a single insert (operations for delete are similar in principle).
1. **Fixed-Histogram:** The sum of frequencies in each bucket is incremented by $\frac{1}{B}$ so that the total sum of the frequencies increases by 1. This is essentially the technique currently in use in nearly all systems, which treat insertions of all values the same and simply keep track of the number of tuples.
2. **Periodic-Sample-Compute:** This (expensive) technique requires recomputing the histogram from the backing sample after each insertion into the sample, while the total sum of frequencies is incremented as in the above technique.
3. **SplitMerge:** This is the class of techniques corresponding to the algorithms proposed in this paper.
4. **No-Recompute:** This technique differs from Split-Merge by not performing the recomputations and simply increasing the split threshold when a merge can not be performed.
5. **Fixed-Buckets:** This technique differs from Split-Merge by not attempting to split any bucket. But, unlike the Fixed-Histogram algorithm, the size of the bucket containing the inserted value is correctly incremented.
**Error metrics.** The following error metrics are used: $\mu_{count}$ (Eq. 1), $\mu_{ed}$ (Eq. 2 and 3), and $\mu_{ab}$ (Eq. 4). In addition a new metric $\mu_{range}$ is defined, which captures the accuracy of histograms in estimating the result sizes of range predicates (of the form $X \leq a$). The query-set contains range predicates over all possible values in the joint value domain. For each query, we find the error as a percentage of the result size. $\mu_{range}$ is defined as the average of these errors over the query-set.
### 6.1 Effects of recomputation and $\gamma$
Figure 3 depicts the errors ($\mu_{ed}$) of the equi-depth histogram obtained at the end of $400K$ insertions as a function of $\gamma$, under the SplitMerge and No-Recompute techniques. The base data distribution for this case was *uniform* and the update distribution was *zipf(2, decr)*. It is clear that SplitMerge outperforms the technique without recomputations. Also, the errors due to the techniques are lowest for low values of $\gamma$ and increase rapidly as $\gamma$ increases. This is because, for low values of $\gamma$ the histogram is recomputed more often and the bucket sizes do not exceed a low threshold, thus keeping the $\mu_{ed}$ small.
On the other hand, small values of $\gamma$ result in a larger number of disk accesses (for the backing sample). Figure 4 shows the effect of $\gamma$ on the number of recomputations. It is clear that too small values of $\gamma$ result in a large number of recomputations. Based on similar sets of experiments conducted over the entire set of data distributions, we concluded that $\gamma = 0.5$ is a reasonable value for limiting the number of computations as well as for decreasing errors; we use this setting in all the remaining experiments.
### 6.2 Update sampling
Nearly all the experiments in this paper were conducted by considering every insertion in the database. In some update-intensive databases this could result in intolerable performance degradation. Hence we propose uniformly sampling the updates with a certain probability and modifying the histograms only for the sampled updates. In this experiment, we study the effect of the update sampling probability on histogram performance. The base and update distributions are chosen to be *zipf(1, incr)* and *zipf(0.5, random)* respectively, and the histogram is Compressed. Figure 5 depicts the errors due to the SplitMerge technique for various sampling probabilities. The x-axis represents the average number of updates that are skipped and the y-axis represents the errors incurred by the histogram resulting at the end of $400K$ inputs in estimating the result sizes of range queries ($\mu_{range}$). It is clear from this figure that the accuracy depends on the number of updates sampled; as long as not too many updates are skipped (say, at most 100 in this experiment), the errors are reasonably small.
### 6.3 Approximation of equi-depth histograms
We compare the effectiveness of various techniques in approximating equi-depth histograms under insertions into the database. The results are presented for *uniform* base data and *zipf(2, incr)* update data and are fairly consistent over most other combinations. Figures 6 through 8 contain various error measures on the y-axes, and the number of insertions on the x-axes. For this experiment, the Split-Merge technique performed just 2 recomputations while Periodic-Sample-Compute performed 3276.
It is clear from Figure 6 that the SplitMerge technique is nearly identical to the more expensive Periodic-Sample-Compute technique in maintaining the histogram close to equi-depth. The Periodic-Sample-Compute technique does not maintain a perfectly equi-depth histogram because it is recomputed from the backing sample which may not reflect all the insertions. The other two techniques clearly result in a very poor equi-depth histogram because they do not perform any splits of the over-populated buckets. Figure 7 shows that the SplitMerge and Fixed-Buckets techniques are very accurate in reflecting the accurate counts, because their bucket sizes are correctly updated after every insertion. For the other two techniques, the size of a bucket is always equal to $N/\beta$, hence the $\mu_{count}$ and $\mu_{ed}$ measures are identical. Finally, it is clear from Figure 8 that the SplitMerge technique offers the best performance in estimating range query result sizes as well.
### 6.4 Approximation of Compressed histograms
We compare the effectiveness of various techniques in maintaining approximating Compressed histograms. The base data distribution is `zipf(1,incr)` (a skewed distribution was chosen so that the Compressed histogram will contain a few high-biased buckets) and the update distribution is `zipf(2,random)`, which introduces skew at different points in the relation’s distribution. Figures 9 and 10 depict the $\mu_{hb}$ and $\mu_{range}$ errors on the y-axes respectively and the number of insertions on the x-axes. The results for the other two metrics are similar to the equi depth case and consistently demonstrate the accuracy of the SplitMerge technique, hence are not presented. Once again, the SplitMerge technique performed just 2 recomputations from the sample, while Periodic-Sample-Compute performed 3274 recomputations.
It can be seen from Figure 9 that the Periodic-Sample-Compute and SplitMerge techniques result in almost zero errors in capturing the high frequency values in the updated relation, even when these values were not frequent in the base relation. In the beginning, the updates do not create a new high frequency value and all techniques perform well. But once a new value becomes frequent, it is clear that the other two techniques fail to characterize it as such and hence incur high errors.
Figure 10 shows that the errors in range size estimation follow the similar pattern as the equi-depth case. Also, as expected from our earlier work [8], the Compressed histograms are observed to incur smaller errors than the equi-depth histograms from Figure 8.
### 6.5 Effect of skew in the updates
High skews in the update data can vary the distribution of the base relation data drastically and hence require effective histogram maintenance techniques. In Figure 11 we depict the performance of various Compressed histograms
resulting from the techniques at the end of $400K$ insertions to the database. The x-axis contains the $z$ parameter values and the y-axis contains the errors in estimating range query result sizes ($\mu_{range}$). The Fixed-Histogram technique fails very quickly because it assumes that the updates are uniform and hence does not update the high-biased part correctly. It is clear from this figure that the SplitMerge technique performs consistently well for all levels of skew and is always better than the other techniques, because it approximates the equi-depth part well using splits and recomputations, and approximates the high-biased part well by dynamically detecting high-frequency values.
7 Conclusions
This paper proposed a novel approach for maintaining histograms and samples up-to-date in the presence of updates to the database. Algorithms were proposed for the widely used equi-depth histograms and the highly accurate class of Compressed(V,F) histograms using the novel notions of split and merge techniques and backing samples. The CPU, I/O and storage requirements for these techniques are negligible for insert-mostly databases and for data warehousing environments. Based on our analytical and experimental studies, our conclusions are as follows:
- The new techniques are very effective in approximating equi-depth and Compressed histograms. They are equally effective for relations orders of magnitude larger. In fact, as the relation size grows, the relative overhead of maintaining the backing sample necessary for the same performance, becomes even smaller.
- Very few recomputations from the backing sample are incurred for a large number of updates, proving that our split/merge techniques are quite effective in minimizing the overheads due to recomputation.
- The experiments clearly show that histograms maintained using these techniques remain highly effective in result size estimation, unlike the current approaches.
Based on our results, we recommend that these techniques be used in most DBMSs, for effective incremental maintenance of approximate histograms.
Acknowledgments. We acknowledge the contributions of Andy Witkowski to the algorithm for maintaining approximate equi-depth histograms. We also thank Nabil Kahale and Sridhar Rajagopalan for discussions related to this work.
References
[1] S. Christodoulakis. Implications of certain assumptions in database performance evaluation. *ACM TODS*, 9(2):163–186, June 1984.
[2] P. B. Gibbons and Y. Matias. Space-efficient maintenance of top sellers lists in large databases. Manuscript, July 1996.
[3] P. B. Gibbons, Y. Matias, and V. Poosala. Fast incremental maintenance of approximate histograms. Technical report, Bell Laboratories; Murray Hill, NJ, June 1997.
[4] Y. Ioannidis and S. Christodoulakis. On the propagation of errors in the size of join results. *Proc. of ACM SIGMOD Conf.*, pages 268–277, 1991.
[5] R. P. Kooi. *The optimization of queries in relational databases*. PhD thesis, Case Western Reserver University, Sept. 1980.
[6] V. Poosala. *Histogram-based estimation techniques in database systems*. PhD thesis, Univ. of Wisconsin-Madison, Feb. 1997.
[7] V. Poosala and Y. Ioannidis. Estimation of query-result distribution and its application in parallel-join load balancing. *Proc. of the 22nd Int. Conf. on Very Large Databases*, pages 448–459, Sept. 1996.
[8] V. Poosala, Y. Ioannidis, P. Haas, and E. Shekita. Improved histograms for selectivity estimation of range predicates. *Proc. of ACM SIGMOD Conf.*, pages 294–305, June 1996.
[9] P. Selinger, M. Astrahan, D. Chamberlin, R. Lorie, and T. Price. Access path selection in a relational database management system. *Proc. of ACM SIGMOD Conf.*, pages 23–34, 1979.
[10] J. S. Vitter. Random sampling with a reservoir. *ACM Trans. Math. Software*, 11:37–57, 1985.
[11] G. K. Zipf. *Human behaviour and the principle of least effort*. Addison-Wesley, Reading, MA, 1949. |
MEMORANDUM OF UNDERSTANDING
BETWEEN
THE CONNECTICUT STATE BOARD OF EDUCATION
AND
THE CONNECTICUT OFFICE OF EARLY CHILDHOOD
This Memorandum of Understanding (“MOU” or “Agreement”) is entered into by the Connecticut State Board of Education (“CSBE”) on behalf of the Connecticut State Department of Education (“SDE”) and the Connecticut Office of Early Childhood (“OEC”).
Whereas, The SDE, under Part B of the Individuals with Disabilities Education Act (“IDEA”), is the designated State Education Agency (“SEA”) responsible for ensuring a free and appropriate public education (“FAPE”) to all eligible children with disabilities, ages 3 through 21, who require special education and related services; and
Whereas, The CSBE, under Connecticut General Statutes (“C.G.S.”) § 10-4 is assigned the responsibility for general supervision and control of the educational interests of the State, which interests include preschool, elementary and secondary education, special education; and
Whereas, pursuant to C.G.S. § 10-3a, the SDE serves as the administrative arm of the CSBE; and
Whereas, The OEC is designated by the Connecticut General Assembly (“CGA”) as the lead agency for the Birth to Three System under Part C of the IDEA; and
Whereas, Part C regulations in 34 Code of Federal Regulation (“C.F.R.”) Section 303.209(a)(3)(ii) require an interagency agreement to address how the lead agency and the SEA will meet the IDEA requirements, particularly the Part C early childhood transition requirements; and
Whereas, the purpose of this MOU is to provide coordinated services between Part C and Part B of the IDEA for infants, toddlers and preschoolers with disabilities in the area of transition as well as the related areas of child find, public awareness, professional development (“PD”) and general supervision; and
Now therefore, the CSBE and the OEC (collectively, “the Parties”), through their Commissioners and other authorized individuals, wish to enter into this MOU under the following terms and conditions:
1. **TERM OF AGREEMENT.** This MOU is in effect from July 1, 2021, through June 30, 2024. This MOU shall automatically renew for an additional two (2) years unless either or both Parties cancel the Agreement as provided in Provision 2 of this Agreement.
2. **CANCELLATION.** This Agreement shall remain in full force and effect for the entire term as stated in Provision 1 of this MOU, unless canceled by either the OEC or the CSBE with thirty (30) days written notice to the other Party. The OEC and the CSBE have the right to cancel this Agreement without prior notice when either agency deems the health or welfare of the recipient(s) is endangered.
3. **STATUTORY AUTHORITY.** Statutory authority is as follows:
- **CSBE:** C.G.S. §§ 4-5 and 4-8 and 20 United States Code (“U.S.C.”) § 1400 et seq. (IDEA).
- **OEC:** C.G.S. §§ 4-8, 4-38d, and 10-500.
4. **COMPLIANCE WITH LAWS AND REGULATIONS.** The Parties acknowledge that both OEC and SDE are state government agencies, and as such, are subject to all applicable contractual State and Federal laws and regulations.
5. **RESPONSIBILITIES OF CSBE.** CSBE shall perform the following:
(a) **The State Interagency Coordinating Council (“SICC”):** CSBE shall identify appropriate SDE staff members to serve on the SICC, as provided in the federal regulations, who shall carry the administrative responsibilities for:
1. Preschool services to children with disabilities, and who have sufficient authority to engage in public policy planning and implementation on behalf of the agency; and
2. The education of homeless children and youth pursuant to the McKinney-Vento Homeless Education Act, 42 U.S.C. § 11301 et seq.
(b) **Transition Planning and Transition Conference:** CSBE shall:
1. Ensure that each Local Education Agency (“LEA”) will participate in the transition conference convened by the child’s service coordinator;
2. Provide on-going guidance to ensure each LEA meets its obligation to participate in a transition conference for those children referred to Part B who may be potentially eligible for special education;
3. Embed the obligation to participate in the transition planning conference into the PD and technical assistance provided to LEAs;
4. Provide guidance to ensure that all LEAs assume responsibility to ensure a smooth transition from the Birth to Three System to special education for all children who are potentially eligible for Part B; and
(5) Ensure that the LEA invites the Part C (foster/bio) parent to the Planning and Placement Team ("PPT") for children who are potentially eligible for Early Intervention Service ("EIS") Over age 3.
(c) **Team Meeting:** The CSBE shall require LEAs to comply with the following requirements:
1. At the request of the child’s parent, the child’s service coordinator and/or other OEC representative will be invited to the referral PPT meeting of such child.
2. CSBE policy shall include the IDEA obligation that a child’s Individualized Education Program (“IEP”) team will consider the child’s Individualized Family Service Plan (“IFSP”) when developing an IEP for those children determined eligible for special education.
3. All LEAs will use an IEP and not an IFSP to provide a FAPE to eligible children by their third birthday.
4. Develop and disseminate sample policies for LEAs to adopt, which shall ensure that all IEP team activities occur in a timely manner and that an IEP is developed and implemented for eligible children no later than by their third birthday.
5. Provide guidance to LEAs on transition matters for those children with late spring or summer birthdays, especially as it relates to extended school year ("ESY") services. Such guidance shall direct LEAs to implement the IEP at the start of school for those children not eligible for ESY.
(d) **Transition and General Supervision:** CSBE shall:
1. Implement policies and procedures that ensure a FAPE is provided as required by statute to those toddlers with disabilities determined eligible for special education and that an IEP has been developed and implemented by the child’s third birthday;
2. Through general supervision and monitoring of LEAs, ensure that eligible three-year-old children with disabilities are provided a FAPE no later than by their third birthday when such children have been referred to their LEA no later than 90 calendar days before their third birthday;
3. Issue guidance to encourage LEAs to provide a FAPE to eligible two-year-old children who will turn age three within a school year when the early provision of a FAPE is determined to be in the child’s best interest; and
4. Encourage LEAs to use their school facilities and/or school sites so that children not yet age three can have their IFSP services delivered in partnership with school personnel.
(e) Provide PD and technical assistance to LEAs, in consultation with the OEC concerning:
1. Transition and transition-related activities to ensure a smooth and effective transition for children and their families; and
2. Early intervention under Part C of the IDEA so that LEAs better understand the obligations of service coordinators and EIS providers.
(f) Through general supervision and established state policy, the CSBE shall ensure that LEAs:
(1) Refer to 211 Child Development (“CD”) children who are between the ages of birth to age 34 months who have or who are suspected of having a disability; and
(2) Accept all referrals of children who are within 45 calendar days of their third birthday.
(g) Data. The CSBE shall:
(1) Receive data, as appropriate and necessary, from the OEC and maintain electronic notification files, including records of children receiving Part C services;
(2) Make the data electronically available to each LEA as it relates to children residing in the jurisdiction of that LEA;
(3) Ensure a secure access portal for LEAs to receive electronic information;
(4) Utilize the Birth to Three annual exit data in the analysis of the State Performance Plan (“SPP”) and Annual Performance Report (“APR”); and
(5) Utilize information from Birth to Three through both State Assigned Student Identification (“SASID”) and notification reports to support monitoring of compliance for FAPE at three.
6. RESPONSIBILITIES OF THE OEC. OEC shall perform the following:
(a) Transition, Child Find and Public Awareness. The OEC shall require EIS programs to inform parents of toddlers served under Part C about preschool programs as a part of the transition requirements for children who exit the Part C program. The OEC shall also:
(1) Require every child’s service coordinator to provide parents with information about special education and related services that includes information on the process of referral, evaluation, eligibility determination and the development of an IEP. Such information shall be provided to families of toddlers no later than six months before a child’s third birthday;
(2) For all children nearing the age of three and their families, require EIS programs to provide information on the availability of early childhood community-based programs in order to facilitate access and participation in such programs as children near the age of preschool (e.g. 211 CD);
(3) For children who qualify for Part C services over age three and who are determined to be eligible for Part C between 97 and 46 days before age three, the Part C eligibility determination may be used as an interim Part B eligibility determination until the LEA is able to complete their determination so that the families may receive early intervention services over age 3 until the start of the school year following the child’s third birthday; and
(4) Ensure that materials about the Connecticut Parents Advocacy Center (“CPAC”), including contact information, are made available to all parents of children referred to Part C.
(b) Transition and Notification to the SEA and LEA. OEC shall:
(1) Notify the SEA and LEA electronically of those children potentially eligible for special education under the IDEA Part B no later than 90 calendar days before the child’s third birthday and provide such information in an encrypted password protected file to ensure protection of confidential information;
(2) For children over 30 months old, include in the child-specific notification to the SEA information that contains the child’s name and date of birth; the parent’s
name, address and telephone number; the primary language spoken in the home; and the name and contact information of the child’s Birth to Three service coordinator;
(3) Promptly notify the SEA of children who are evaluated and found eligible for Part C more than 45 and less than 90 calendar days before their third birthday; and
(4) If a toddler is referred to Part C within 45-days of the toddler’s third birthday and the toddler may be eligible for preschool services under Part B of IDEA, the OEC shall direct 211 CD to refer, with parental consent, the family to the LEA of residence.
(c) Transition Plan and Transition Conference. OEC shall:
(1) Establish the transition plan in the IFSP for all eligible infants and toddlers from the time of their initial IFSP and no later than 90 calendar days before the child’s third birthday or, at the discretion of all parties, as early as nine months prior to the toddlers third and ensure that such plan complies with the requirements of the IDEA regulations;
(2) Require that EIS programs, with the approval of the family, include in the transition plan support for the child and family to transition to Part B services as well as other available options and opportunities available for preschool-age children in the family’s community;
(3) Provide documents and procedures for Part C programs to convene a transition conference, with the approval of the family considering the families preference for location, at a time that is mutually agreeable for all parties, no later than 90 calendar days before a child’s third birthday; and at the discretion of all parties, this can occur up to nine months prior to the child’s third birthday for those children who are potentially eligible for Part B services; and
(4) Require that EIS Programs conduct transition conferences to meet the requirements for an IFSP meeting.
(d) Transition Training and Technical Assistance. OEC shall:
(1) Provide for the training of EIS personnel on their obligations related to transition and all transition-related responsibilities under Part C;
(2) Provide for the training of EIS personnel on the obligations of LEAs under Part B of the IDEA;
(3) Provide guidance to EIS programs to foster early collaboration with the LEAs to include the delivery of a child’s IFSP services within an LEA’s facility prior to the child turning age three; and
(4) Provide training and technical assistance to EIS programs and providers, in consultation with the SDE, on transition and transition related activities to ensure a smooth and effective transition for children and their families.
(e) Transition and General Supervision.
(1) The OEC will monitor all of the State’s EIS programs for the following activities:
i. Initiating transition activities for all children receiving early intervention starting with the transition plan in the IFSP;
ii. Including families of such toddlers in the child’s transition plans and in all transition planning meetings and conferences;
iii. Securing parent approval or documenting the lack of approval to include the LEA in transition planning, for each child who is 30 months or older;
iv. For families seeking consideration for eligibility for special education services, sending such documentation to the appropriate LEA in compliance with the relevant federal regulations;
v. For each family seeking consideration for eligibility for special education services, inviting a representative from the LEA to participate in the transition conference with a reasonable amount of notice to allow for their participation within the time frame required; and
vi. Convening a transition conference within the timelines required by IDEA.
(2) The OEC shall register all infants and toddlers with disabilities eligible for early intervention with the SDE in order to obtain a SASID number.
(3) The OEC shall indicate in the data shared with SDE which children received EIS Over age 3.
(4) The SDE shall transmit to the OEC monthly a list of SASIDs for children referred from Part C who were determined to be not eligible in the month for Part B Preschool Special Education beginning August 1, 2022. Prior to August 1, 2022, SDE shall provide annual data for children referred from Part C who were determined to be not eligible in the month for Part B Preschool Special Education. The OEC shall ensure that EIS Programs notify the families about how to register for an online developmental monitoring system like SPARKLER or ASQ/ASQ-SE.
7. **SHARED RESPONSIBILITIES OF THE OEC AND CSBE/SDE.**
(a) The Parties shall develop and disseminate brochures and other information and materials to focus public awareness on the State’s early intervention system and early childhood special education, which may include the following:
(1) General information on the State’s early intervention system, the Birth to Three System;
(2) The eligibility criteria for infants and toddlers with disabilities;
(3) The eligibility criteria for children, ages three through five, with disabilities;
(4) A statewide toll-free number for all referrals of children, ages birth through age five, with suspected or known disabilities or delays;
(5) Information in multiple languages to reach culturally and linguistically diverse families;
(6) Participation in a statewide 211 CD for all children ages birth through five; and
(7) Information on early childhood special education including school district contacts, eligibility and services.
(b) The Parties shall be invited to serve on each other’s respective committees, advisory, stakeholder groups and guideline development groups and participate in other opportunities to ensure that public awareness materials, products and other information represents and includes each agency’s work and that such information will reach all stakeholders, including parents.
(c) Each Party shall have policies, procedures, and a system of general supervision, which addresses the transition process and ensures a smooth and effective transition and a FAPE by age three for children with disabilities determined eligible for special education.
(1) The Parties shall coordinate all Child Find activities with the SICC, 211 CD and the state’s Parent Training and Information Center (“PTI”), as well as other statewide public awareness efforts and other major state activities, to identify and locate children who may require an evaluation to determine their eligibility for either early intervention or special education and related services.
(2) The Parties shall ensure that, with the approval of the parent, there are joint planning, transition and eligibility activities between early intervention and special education for children receiving early intervention who are 27 months and older.
(3) The Parties ensure that the Child Find responsibilities are met when children are referred from early intervention, that no gaps in the provision of special education occur and that such children under Part B, receive a FAPE no later than age three, notwithstanding the summer months, unless such children are eligible for ESY.
(4) The Parties shall develop and disseminate, in collaboration with each respective agency, joint procedures related to transition, as appropriate and necessary.
(5) The Parties shall issue joint guidance, in collaboration and as appropriate, necessary, on transition, and transition-related activities.
(6) As practical, there shall be joint convening’s and technical assistance with Part B and Part C to ensure communication and mutual understanding of practices and policies.
(e) The Parties shall develop and provide PD priorities that address the needs of EIS programs and school districts.
(f) Accountability, Monitoring and Compliance:
(1) Each agency shall assist each other in gathering data for monitoring, as appropriate.
(2) Each agency shall assist each other in the preparation of the SPP/APR, State Systemic Improvement Plan (“SSIP”) and other required accountability reports particularly as it relates to the need for sharing data and information.
(3) Each agency shall assist the other, as necessary, in the investigation of formal written complaints, particularly as they relate to transition, and which may include the actions of either CSDE or its contractors or LEAs and in developing the corrective actions that need to be taken to address such complaints.
(4) Each agency shall serve on each other’s monitoring and general supervision teams, when appropriate and as it applies to each agency’s work across systems of service for infants, toddlers and preschool-age children with disabilities.
8. CONFIDENTIALITY OF INFORMATION
(a) Both Parties agree that they shall ensure the protection of the confidentiality of any personally identifiable data, information and records collected or maintained by the two agencies. Both agencies agree to adhere to all of the confidentiality requirements of the Family Educational Rights and Privacy Act (“FERPA”) in 20 U.S.C. 1232g, 34 C.F.R. Section 99.31 et seq., and 34 CFR Part 303.401 through 303.417, particularly as
these requirements relate to the confidentially and transfer of student data. Both the OEC and the CSDE shall provide guidance to Part C and Part B personnel to ensure adherence to the confidentiality requirements of IDEA and FERPA when making referrals and planning for the transition and eligibility determination of children for the IDEA, Part B program. Both agencies will ensure that these requirements are met through the general supervision and monitoring system of each agency.
(b) The SDE and OEC shall, at their own expense, have a duty to and shall protect from a Confidential Information Breach any and all Confidential Information which they come to possess or control, wherever and however stored or maintained, in a commercially reasonable manner in accordance with current industry standards.
(c) Each Party shall develop, implement and maintain a comprehensive data-security program for the protection of Confidential Information. The safeguards contained in such program shall be consistent with and comply with the safeguards for protection of Confidential Information, and information of a similar character, as set forth in all applicable federal and state law and written policy of the Department or State concerning the confidentiality of Confidential Information. Such data-security program shall include, but not be limited to, the following:
(1) A security policy for employees related to the storage, access and transportation of data containing Confidential Information.
(2) Reasonable restrictions on access to records containing Confidential Information, including access to any locked storage where such records are kept.
(3) A process for reviewing policies and security measures at least annually.
(4) Creating secure access controls to Confidential Information, including but not limited to passwords.
(5) Encrypting of Confidential Information that is stored on laptops, portable devices or being transmitted electronically.
(d) The Parties agree that they shall notify the other Party and the Connecticut Office of the Attorney General as soon as practical, but no later than twenty-four (24) hours, after they become aware of or suspect that any Confidential Information which such Party has come to possess or control has been subject to a Confidential Information Breach. If a Confidential Information Breach has occurred, the breaching Party shall, within three (3) business days after the notification, present a credit monitoring and protection plan to the Commissioner of Administrative Services, the other Party and the Connecticut Office of the Attorney General, for review and approval. Such credit monitoring or protection plan shall be made available by such Party at its own cost and expense to all individuals affected by the Confidential Information Breach. Such credit monitoring or protection plan shall include, but shall not be limited to, the reimbursement for the cost of placing and lifting one (1) security freeze per credit file pursuant to C.G.S. § 36a-701a. Such credit monitoring or protection plans shall be approved by the State in accordance with this Section and shall cover a length of time commensurate with the circumstances of the Confidential Information Breach. The breaching Party’s costs and expenses for the credit monitoring and protection plan shall not be recoverable from the other Party or any affected individuals.
(e) The Parties shall incorporate the requirements of this Section in all subcontracts requiring each subcontractor to safeguard Confidential Information in the same manner as provided for in this Section.
(f) The above section uses the terms “Confidential Information” and “Confidential Information Breach” as defined below.
(1) “Confidential Information” shall mean any name, number or other information that may be used, alone or in conjunction with any other information, to identify a specific individual including, but not limited to, such individual’s name, date of birth, mother’s maiden name, motor vehicle operator’s license number, Social Security number, employee identification number, employer or taxpayer identification number, alien registration number, government passport number, health insurance identification number, demand deposit account number, savings account number, credit card number, debit card number or unique biometric data such as fingerprint, voice print, retina or iris image, or other unique physical representation. Without limiting the foregoing, Confidential Information shall also include any information that the Department classifies as “confidential” or “restricted.” Confidential Information shall not include information that may be lawfully obtained from publicly available sources or from federal, state, or local government records which are lawfully made available to the general public.
(2) “Confidential Information Breach” shall mean, generally, an instance where an unauthorized person or entity accesses Confidential Information in any manner, including but not limited to the following occurrences: (1) any Confidential Information that is not encrypted or protected is misplaced, lost, stolen or in any way compromised; (2) one or more third parties have had access to or taken control or possession of any Confidential Information that is not encrypted or protected without prior written authorization from the State; (3) the unauthorized acquisition of encrypted or protected Confidential Information together with the confidential process or key that is capable of compromising the integrity of the Confidential Information; or (4) if there is a substantial risk of identity theft or fraud to the client, or the State.
(g) Each Party agrees that it shall be responsible for losses arising out of:
(1) Its own acts or omissions that result in a breach of personally identifiable information or failure to comply with applicable law regarding protection of confidential information.
(2) Its own negligence or misconduct, and each Party shall defend itself against any action or claim brought as a result of such acts under the Agreement.
9. DATA AND DATA SHARING
(a) Any data variable that could potentially link a child’s SASID number to any other personally identifiable number will be accessible only to authorized staff members of SDE and OEC.
(b) The OEC and the CSBE shall regularly exchange any aggregate de-identified and disaggregated data or reports including those needed pursuant to the notification requirements under Part C of the IDEA as well as those relating to the analysis and reporting in the SPP, APR or other reports.
(c) For purposes of tracking aggregate, de-identified student progress, the Parties shall strip “research” data exports of all identifying information other than the student’s SASID when data analysis requires the exchange of data between both state agencies.
(d) The OEC and CSBE shall abide by all applicable federal and state laws, regulations, policies pertaining to data sharing including, but not limited to, the Health Insurance Portability and Accountability Act (“HIPAA”), FERPA and the State of Connecticut Privacy Policy.
10. **DISPUTE RESOLUTION.** Any dispute arising under the Agreement, which is not disposed of by agreement, shall be decided by the Commissioner of SDE and the Commissioner of the OEC. Pending final resolution of a dispute, both Parties shall proceed diligently with the performance of the Agreement in accordance with duties outlined herein.
11. **NONDISCRIMINATION.** The provisions of Connecticut General Statutes Section 4a-60 concerning nondiscrimination, as amended by Public Acts 91-58 and 91-407 are incorporated herein by reference.
12. **HEALTH INSURANCE PORTABILITY AND ACCOUNTABILITY ACT.** Should any reports, records and written information fall under the purview of HIPAA, the two agencies shall comply with the provisions of HIPAA. Information obtained pursuant to the provisions of HIPAA shall not be used or disclosed by the Parties for any purpose without written consent.
13. **LIAISONS AND NOTICES.** Both Parties agree to have specifically named liaisons at all times. These representatives of the Parties will be the first contacts regarding any questions and problems that may arise during implementation and operation of the Agreement. Wherever under this Agreement one Party is required to give notice to the other, such notice shall be deemed given upon delivery. Notices shall be addressed as follows via postal mail or email:
(a) To the CSBE:
Andrea Brinnel, Education Consultant
IDEA Part B Program
State Department of Education
Bureau of Special Education
450 Columbus Boulevard
Hartford, CT 06103
Tel. 860-713-6941
Email: firstname.lastname@example.org
(b) To the OEC:
Alice Ridgway, Manager
IDEA Part C Program
Office of Early Childhood
450 Columbus Boulevard
Hartford, CT 06103
14. **AMENDMENTS.** Any changes to this Agreement must be made in writing and must be approved by both Parties in writing.
**APPROVALS AND ACCEPTANCE**
**On behalf of the CSBE:**
Kathy Demsey, Chief Financial Officer
State Department of Education
July 14, 2021
**On behalf of the OEC:**
Beth Bye, Commissioner
Office of Early Childhood
July 22, 2021
Notice to Executive Branch State Contractors and Prospective State Contractors of Campaign Contribution and Solicitation Limitations
This notice is provided under the authority of Connecticut General Statutes §9-612 (f) (2) and is for the purpose of informing state contractors and prospective state contractors of the following law (italicized words are defined on the reverse side of this page).
CAMPAIGN CONTRIBUTION AND SOLICITATION LIMITATIONS
No state contractor, prospective state contractor, principal of a state contractor or principal of a prospective state contractor, with regard to a state contract or state contract solicitation with or from a state agency in the executive branch or a quasi-public agency or a holder, or principal of a holder, of a valid prequalification certificate, shall make a contribution to (i) an exploratory committee or candidate committee established by a candidate for nomination or election to the office of Governor, Lieutenant Governor, Attorney General, State Comptroller, Secretary of the State or State Treasurer, (ii) a political committee authorized to make contributions or expenditures to or for the benefit of such candidates, or (iii) a party committee (which includes town committees).
In addition, no holder or principal of a holder of a valid prequalification certificate, shall make a contribution to (i) an exploratory committee or candidate committee established by a candidate for nomination or election to the office of State senator or State representative, (ii) a political committee authorized to make contributions or expenditures to or for the benefit of such candidates, or (iii) a party committee.
On and after January 1, 2011, no state contractor, prospective state contractor, principal of a state contractor or principal of a prospective state contractor, with regard to a state contract or state contract solicitation with or from a state agency in the executive branch or a quasi-public agency or a holder, or principal of a holder of a valid prequalification certificate, shall knowingly solicit contributions from the state contractor’s or prospective state contractor’s employees or from a subcontractor or principals of the subcontractor on behalf of (i) an exploratory committee or candidate committee established by a candidate for nomination or election to the office of Governor, Lieutenant Governor, Attorney General, State Comptroller, Secretary of the State or State Treasurer, (ii) a political committee authorized to make contributions or expenditures to or for the benefit of such candidates, or (iii) a party committee.
DUTY TO INFORM
State contractors and prospective state contractors are required to inform their principals of the above prohibitions, as applicable, and the possible penalties and other consequences of any violation thereof.
PENALTIES FOR VIOLATIONS
Contributions or solicitations of contributions made in violation of the above prohibitions may result in the following civil and criminal penalties:
Civil penalties—Up to $2,000 or twice the amount of the prohibited contribution, whichever is greater, against a principal or a contractor. Any state contractor or prospective state contractor which fails to make reasonable efforts to comply with the provisions requiring notice to its principals of these prohibitions and the possible consequences of their violations may also be subject to civil penalties of up to $2,000 or twice the amount of the prohibited contributions made by their principals.
Criminal penalties—Any knowing and willful violation of the prohibition is a Class D felony, which may subject the violator to imprisonment of not more than 5 years, or not more than $5,000 in fines, or both.
CONTRACT CONSEQUENCES
In the case of a state contractor, contributions made or solicited in violation of the above prohibitions may result in the contract being voided.
In the case of a prospective state contractor, contributions made or solicited in violation of the above prohibitions shall result in the contract described in the state contract solicitation not being awarded to the prospective state contractor, unless the State Elections Enforcement Commission determines that mitigating circumstances exist concerning such violation.
The State shall not award any other state contract to anyone found in violation of the above prohibitions for a period of one year after the election for which such contribution is made or solicited, unless the State Elections Enforcement Commission determines that mitigating circumstances exist concerning such violation.
Additional information may be found on the website of the State Elections Enforcement Commission, www.ct.gov/seec. Click on the link to “Lobbyist/Contractor Limitations.”
DEFINITIONS
“State contractor” means a person, business entity or nonprofit organization that enters into a state contract. Such person, business entity or nonprofit organization shall be deemed to be a state contractor until December thirty-first of the year in which such contract terminates. “State contractor” does not include a municipality or any other political subdivision of the state, including any entities or associations duly created by the municipality or political subdivision exclusively amongst themselves to further any purpose authorized by statute or charter, or an employee in the executive or legislative branch of state government or a quasi-public agency, whether in the classified or unclassified service and full or part-time, and only in such person’s capacity as a state or quasi-public agency employee.
“Prospective state contractor” means a person, business entity or nonprofit organization that (i) submits a response to a state contract solicitation by the state, a state agency or a quasi-public agency, or a proposal in response to a request for proposals by the state, a state agency or a quasi-public agency, until the contract has been entered into, or (ii) holds a valid prequalification certificate issued by the Commissioner of Administrative Services under section 4a-100. “Prospective state contractor” does not include a municipality or any other political subdivision of the state, including any entities or associations duly created by the municipality or political subdivision exclusively amongst themselves to further any purpose authorized by statute or charter, or an employee in the executive or legislative branch of state government or a quasi-public agency, whether in the classified or unclassified service and full or part-time, and only in such person’s capacity as a state or quasi-public agency employee.
“Principal of a state contractor or prospective state contractor” means (i) any individual who is a member of the board of directors of, or has an ownership interest of five per cent or more in, a state contractor or prospective state contractor, which is a business entity, except for an individual who is a member of the board of directors of a nonprofit organization, (ii) an individual who is employed by a state contractor or prospective state contractor, which is a business entity, as president, treasurer or executive vice president, (iii) an individual who is the chief executive officer of a state contractor or prospective state contractor, which is not a business entity, or if a state contractor or prospective state contractor has no such officer, then the officer who duly possesses comparable powers and duties, (iv) an officer or an employee of any state contractor or prospective state contractor who has managerial or discretionary responsibilities with respect to a state contract, (v) the spouse or a dependent child who is eighteen years of age or older of an individual described in this subparagraph, or (vi) a political committee established or controlled by an individual described in this subparagraph or the business entity or nonprofit organization that is the state contractor or prospective state contractor.
“State contract” means an agreement or contract with the state or any state agency or any quasi-public agency, let through a procurement process or otherwise, having a value of fifty thousand dollars or more, or a combination or series of such agreements or contracts having a value of one hundred thousand dollars or more in a calendar year, for (i) the rendition of services, (ii) the furnishing of any goods, material, supplies, equipment or any items of any kind, (iii) the construction, alteration or repair of any public building or public work, (iv) the acquisition, sale or lease of any land or building, (v) a licensing arrangement, or (vi) a grant, loan or loan guarantee. “State contract” does not include any agreement or contract with the state, any state agency or any quasi-public agency that is exclusively federally funded, an education loan, a loan to an individual for other than commercial purposes or any agreement or contract between the state or any state agency and the United States Department of the Navy or the United States Department of Defense.
“State contract solicitation” means a request by a state agency or quasi-public agency, in whatever form issued, including, but not limited to, an invitation to bid, request for proposals, request for information or request for quotes, inviting bids, quotes or other types of submittals, through a competitive procurement process or another process authorized by law waiving competitive procurement.
“Managerial or discretionary responsibilities with respect to a state contract” means having direct, extensive and substantive responsibilities with respect to the negotiation of the state contract and not peripheral, clerical or ministerial responsibilities.
“Dependent child” means a child residing in an individual’s household who may legally be claimed as a dependent on the federal income tax of such individual.
“Solicit” means (A) requesting that a contribution be made, (B) participating in any fundraising activities for a candidate committee, exploratory committee, political committee or party committee, including, but not limited to, forwarding tickets to potential contributors, receiving contributions for transmission to any such committee, serving on the committee that is hosting a fundraising event, introducing the candidate or making other public remarks at a fundraising event, being honored or otherwise recognized at a fundraising event, or bundling contributions, (C) serving as chairperson, treasurer or deputy treasurer of any such committee, or (D) establishing a political committee for the sole purpose of soliciting or receiving contributions for any committee. Solicit does not include: (i) making a contribution that is otherwise permitted by Chapter 155 of the Connecticut General Statutes; (ii) informing any person of a position taken by a candidate for public office or a public official, (iii) notifying the person of any activities of, or contact information for, any candidate for public office; or (iv) serving as a member in any party committee or as an officer of such committee that is not otherwise prohibited in this section.
“Subcontractor” means any person, business entity or nonprofit organization that contracts to perform part or all of the obligations of a state contractor's state contract. Such person, business entity or nonprofit organization shall be deemed to be a subcontractor until December thirty first of the year in which the subcontract terminates. “Subcontractor” does not include (i) a municipality or any other political subdivision of the state, including any entities or associations duly created by the municipality or political subdivision exclusively amongst themselves to further any purpose authorized by statute or charter, or (ii) an employee in the executive or legislative branch of state government or a quasi-public agency, whether in the classified or unclassified service and full or part-time, and only in such person's capacity as a state or quasi-public agency employee.
“Principal of a subcontractor” means (i) any individual who is a member of the board of directors of, or has an ownership interest of five per cent or more in, a subcontractor, which is a business entity, except for an individual who is a member of the board of directors of a nonprofit organization, (ii) an individual who is employed by a subcontractor, which is a business entity, as president, treasurer or executive vice president, (iii) an individual who is the chief executive officer of a subcontractor, which is not a business entity, or if a subcontractor has no such officer, then the officer who duly possesses comparable powers and duties, (iv) an officer or an employee of any subcontractor who has managerial or discretionary responsibilities with respect to a subcontract with a state contractor, (v) the spouse or a dependent child who is eighteen years of age or older of an individual described in this subparagraph, or (vi) a political committee established or controlled by an individual described in this subparagraph or the business entity or nonprofit organization that is the subcontractor. |
Please note that on September 16, 2021, the Governor signed AB 361, which amended certain provisions of the Ralph M. Brown Act in order to allow for local legislative bodies to conduct their meetings remotely via telephonically or by other electronic means under specified circumstances. Thus, pursuant to Government Code section 54953(e), C/CAG Committee meetings will be conducted via remote conferencing. Members of the public may observe or participate in the meeting remotely via one of the options below:
Join Zoom Meeting
https://us02web.zoom.us/j/83450435273?pwd=L0hYenppbmNYRE1SaDFFeXhSM0E3QT09
Meeting ID: 834 5043 5273
Passcode: 569304
Join by Phone:
(669) 900-6833
Meeting ID: 834 5043 5273
Passcode: 569304
Persons who wish to address the ALUC Committee on an item to be considered at this meeting, or on items not on this agenda, are asked to submit written comments to firstname.lastname@example.org. Oral comments will also be accepted during the meeting through Zoom. Please see instructions for written and oral public comments at the end of this agenda.
1. Call to Order/Roll Call
Action (O’Connell)
2. Brief Overview of Teleconference Meeting Procedures
Information (Kalkin)
3. Public Comment on Items not on the Agenda
Limited to 2 minutes per speaker
4. Approval of Minutes – Aug. 26, 2021
5. San Francisco International Airport Comprehensive Airport Land Use Compatibility Plan Consistency Review – 732-740 El Camino Real, San Bruno, a proposed 6-story, 136-unit multifamily residential project.
6. San Francisco International Airport Comprehensive Airport Land Use Compatibility Plan Consistency Review – 1100 El Camino Real, Millbrae, a proposed 5-story, 384-unit multifamily residential project.
7. San Francisco International Airport Comprehensive Airport Land Use Compatibility Plan Consistency Review – 1301 Broadway, Millbrae, a proposed 6-story, 99-unit multifamily residential project.
8. Public Hearing to review and recommend action on proposed amendments to the Comprehensive Airport Land Use Compatibility Plan for the Environs of San Carlos Airport intended to enhance the clarity and effectiveness of the overflight notification and aviation easement policies.
9. Member Comments/Announcements
10. Items from Staff
11. Adjournment – Next regular meeting – Jan. 27, 2022
NOTE: All items appearing on the agenda are subject to action by the Committee. Actions recommended by staff are subject to change by the Committee.
If you have any questions regarding the C/CAG Airport Land Use Committee Meeting Agenda, please contact Susy Kalkin at email@example.com.
PUBLIC NOTICING: All notices of C/CAG regular Board meetings, standing committee meetings, and special meetings will be posted at the San Mateo County Transit District Office, 1250 San Carlos Ave., San Carlos, CA, and on C/CAG’s website at: http://www.ccag.ca.gov.
PUBLIC RECORDS: Public records that relate to any item on the open session agenda for a regular Board meeting, standing committee meeting, or special meeting are available for public inspection. Those public records that are distributed less than 72 hours prior to a regular Board meeting are available for public inspection at the same time they are distributed to all members, or a majority of the members, of the Board. The Board has designated the City/County Association of Governments of San Mateo County (C/CAG), located at 555 County Center, 5th Floor, Redwood City, CA 94063, for the purpose of making public records available for inspection. Such public records
are also available on C/CAG’s website at: http://www.ccag.ca.gov. Please note that C/CAG’s office is temporarily closed to the public; please contact Mima Guilles at (650) 599-1406 to arrange for inspection of public records.
**PUBLIC PARTICIPATION DURING VIDEOCONFERENCE MEETINGS:** Persons with disabilities who require auxiliary aids or services to participate in this meeting should contact Mima Guilles at (650) 599-1406, five working days prior to the meeting date.
Written comments should be emailed in advance of the meeting. Please read the following instructions carefully:
1. Written comments should be emailed to firstname.lastname@example.org
2. The email should include the specific agenda item on which you are commenting or note that your comment concerns an item that is not on the agenda.
3. If your emailed comments are received at least 2 hours prior to the meeting, they will be provided to the ALUC Committee members, made publicly available on the C/CAG website along with the agenda, but will not be read aloud by during the meeting. We cannot guarantee that comments received less than 2 hours before the meeting will be distributed to the Committee members, but they will be included in the administrative record of the meeting.
Oral comments will be accepted during the meeting through Zoom. Please read the following instructions carefully:
1. The ALUC Committee meeting may be accessed through Zoom at the online location indicated at the top of this agenda.
2. You may download the Zoom client or connect to the meeting using an internet browser. If using your browser, make sure you are using a current, up-to-date browser: Chrome 30+, Firefox 27+, Microsoft Edge 12+, Safari 7+. Certain functionality may be disabled in older browsers including Internet Explorer.
3. You will be asked to enter an email address and name. We request that you identify yourself by your name as this will be visible online and will be used to notify you that it is your turn to speak.
4. When the C/CAG staff member or ALUC Committee Chair call for the item on which you wish to speak, click on “raise hand.” The C/CAG staff member will activate and unmute speakers in turn. Speakers will be notified shortly before they are called on to speak.
5. When called, please limit your remarks to the two-minute time limit.
1. **Call to Order/Roll Call**
Vice Chair Oliva called the meeting to order at 4:30 pm. via the Zoom platform. The attendance sheet is attached.
2. **Brief Overview of Teleconference Meeting Procedures**
C/CAG staff gave an overview of the meeting protocols being implemented due to COVID-19, noting the meeting is being conducted as a Zoom online meeting pursuant to the provisions of the Governor’s Executive Order N-29-20, which suspends certain requirements of the Brown Act.
3. **Public Comment on items not on the Agenda**
None
4. **Minutes of the July 22, 2021 Meeting**
Motion: Committee Member Rak moved, and Member Ortiz seconded, approval of the July 22, 2021 minutes. Motion carried (8-0-0) by the following roll call vote: AYE - Members Ortiz, DiGiovanni, Hamilton, Rak, Nagales, Ford, Williams and Vice Chair Oliva. NO – none. ABSTAIN – none.
5. **San Francisco International Airport Comprehensive Airport Land Use Compatibility Plan Consistency Review – 124 Airport Blvd./100 Produce Ave., South San Francisco, a proposal to construct two (2) 7-story multifamily apartment buildings with a total of 480 units, including associated General Plan, Specific Plan and Zoning Amendments.**
Susy Kalkin, C/CAG staff, presented the staff report.
Member Ford questioned whether an avigation easement would be required and why the project height couldn’t be lowered a few feet in order to avoid the need for referral to the FAA. Staff responded that per the SFO ALUCP an aviation easement would be required only if the project was located within the 65 dB CNEL contour (or higher) and this project is not located within that area. Staff further noted that the requirement to file a Form 7460-1 with the FAA does not necessarily mean the project height is problematic, and the SFO online tool indicated the project height was more than 220’ below critical aeronautical surfaces.
Motion: Committee Member Rak moved, and Member Ortiz seconded, approval of the staff recommendation. Motion carried (9-0-0) by the following roll call vote: Members Ortiz, DiGiovanni, Howard, Hamilton, Rak, Nagales, Ford, Williams and Vice Chair Oliva. NO – none. ABSTAIN – none.
6. Member Comments/Announcements
None
7. Items from Staff
Susy Kalkin, C/CAG staff, noted that correspondence had been received from the City of Millbrae notifying the ALUC of its intent to consider an override of the ALUC’s determination of inconsistency regarding “Biosafety Level 2” uses in a portion of the Employment Center/Light Industrial Zone within the Millbrae Station Area Specific Plan, and that it was provided as information only, with no action required.
Sean Charpentier, C/CAG Executive Director, noted that the C/CAG Board and related Committees would be transitioning to action only minutes. He further noted that the Governor’s Executive Order suspending certain provisions of the Brown Act that have been facilitating remote meetings during the COVID-19 pandemic are due to expire on September 30, 2021, so unless additional action is taken we will be transitioning back to in-person meetings beginning in October.
8. Adjournment
The meeting was adjourned at 4:55 pm.
## 2021 C/CAG Airport Land Use Committee Attendance Report
| Name | Agency | Jan | Feb | Mar | July | Aug |
|-----------------------|---------------------------------------------|-----|-----|-----|------|-----|
| Terry O’Connell | City of Brisbane | X | X | X | | |
| Ricardo Ortiz | City of Burlingame | X | X | X | | |
| Pamela DiGiovanni | City of Daly City | X | X | X | | |
| Patrick Sullivan | City of Foster City | | X | X | X | |
| Joaquin Jimenez | City of Half Moon Bay | | | | | |
| Anne Oliva | City of Millbrae | X | X | X | | X |
| Diane Howard* | City of Redwood City | | | | X | X |
| Tom Hamilton | City of San Bruno | Y | X | X | X | X |
| Adam Rak | City of San Carlos | X | | X | X | X |
| Warren Slocum | County of San Mateo & Aviation Rep. | | | | | |
| Mark Nagales | City of South San Francisco | X | X | X | X | X |
| Carol Ford | Aviation Representative | X | | X | | X |
| Dave Williams | Half Moon Bay Airport Pilots Assn | X | X | X | X | X |
* Redwood City member appointed in April
X – Committee Member Attended
Y – Designated Alternate Attended
**Staff and guests in attendance for the August 26, 2021 meeting:** Susy Kalkin and Sean Charpentier, C/CAG staff; Gretchen Kelly, SMC Airports Manager; Christopher Espiritu, SSF Planning Staff; Zach Anderson, Project App.
RECOMMENDATION
That the C/CAG Airport Land Use Committee (ALUC) recommend to the C/CAG Board of Directors, that the C/CAG Board, acting as the Airport Land Use Commission, determine that the proposed multi-family residential project at 732-740 El Camino Real in San Bruno is consistent with the applicable airport/land use policies and criteria contained in the Comprehensive Airport Land Use Compatibility Plan for the Environs of San Francisco International Airport (SFO ALUCP), subject to the following conditions:
- Prior to issuance of a building permit, the project sponsor shall file Form 7460-1 with the FAA and provide to the City of San Bruno an FAA “Determination of No Hazard”.
- The City of San Bruno shall require that the project sponsor comply with the real estate disclosure requirements outlined in Policy IP-1 of the SFO ALUCP, which apply to sale or lease of property located within the AIA.
BACKGROUND
The proposed 732-740 El Camino Real in San Bruno (“Project”) is located on a 0.612-acre site along El Camino Real (the former Melody Toyota vehicle sales lot) between San Bruno Ave. and Kains Ave., within San Bruno’s Transit Corridors Plan area. The project is comprised of a six-story, 136-unit residential building with five floors of residential above a ground floor parking podium level, and an overall maximum height of 77’9”.
The Project is located within Airport Influence Area B (AIA B), the “Project Referral” area, for San Francisco International Airport. California Government Code Section 65302.3 states that a local agency General Plan, Zoning Ordinance and/or any affected specific plan must be consistent with the applicable airport/land use criteria in the relevant adopted Airport Land Use Compatibility Plan (ALUCP). Additionally, per SFO ALUCP Policy GP-10.1, since the City of San Bruno has not amended its Zoning Ordinance to reflect the policies and requirements of the current SFO ALUCP, all proposed development projects within AIA B are subject to ALUC review. In accordance with these requirements, the City of San Bruno has referred the subject development project to C/CAG,
acting as the San Mateo County Airport Land Use Commission, for a determination of consistency with the SFO ALUCP.
**DISCUSSION**
**ALUCP Consistency Evaluation**
The SFO ALUCP contains policies and criteria to address four issues: (a) aircraft noise impacts; (b) safety compatibility criteria; (c) height of structures/airspace protection; and (d) overflight notification. The following sections describe the degree to which the Project is compatible with each.
*(a) Aircraft Noise Impacts*
The 65 dB CNEL (Community Noise Equivalent Level) aircraft noise contour defines the threshold for airport noise impacts established in the SFO ALUCP. All land uses located outside this contour are deemed consistent with the noise policies of the SFO ALUCP.
As shown on Attachment 2, the subject property lies outside the bounds of the 65dB CNEL contour, and therefore the Project is consistent with the SFO ALUCP noise policies and criteria.
*(b) Safety Compatibility*
The SFO ALUCP includes five safety zones and related land use compatibility policies and criteria. As shown on Attachment 3, the Project site is located outside of the safety zones established in the SFO ALUCP, and therefore the safety policies and criteria do not apply to the Project.
*(c) Height of Structures/Airspace Protection*
Pursuant to the SFO ALUCP, airspace protection compatibility of proposed land uses within its AIA is evaluated in accordance with the following criteria: (1) 14 Code of Federal Regulations Part 77 (FAR Part 77), “Safe, Efficient Use and Preservation of the Navigable Airspace”, which establishes the standards for determining obstructions to air navigation; and (2) FAA notification surfaces.
In order to be deemed consistent with the ALUCP, the maximum height of a new building must be the lower of (1) the height shown on the critical aeronautical surfaces map; or (2) the maximum height determined not to be a “hazard to air navigation” by the FAA in an aeronautical study prepared pursuant to the filing of Form 7460-1.
As proposed, the 6-story structure would be 77’9” feet tall to the top of the rooftop stairwells. With a ground elevation of approximately 34 feet above mean sea level (MSL), the height of the project would therefore be about 112’ above MSL. As shown on Attachment 4, utilizing the ‘SFO Online Airspace Tool’, the building would be more than 50 feet below critical airspace. However, as shown on Attachment 5, the Project is located in an area that requires FAA notification for projects greater than 30-65 feet tall. Therefore, the following condition is recommended:
Prior to issuance of a building permit, the project sponsor shall file Form 7460-1 with the FAA and provide to the City of San Bruno an FAA “Determination of No Hazard”.
(d) Overflight Notification
The Project site is located within the Airport Influence Area (AIA) of SFO, the real estate disclosure area. Pursuant to Policy IP-1, notification is required, prior to sale or lease of property located within the AIA, of the proximity of the airport and that therefore the property may be subject to some of the annoyances or inconveniences associated with proximity to airport operations.
As this disclosure requirement is not currently included in San Bruno’s Municipal Code, the following condition is proposed:
The City of San Bruno shall require that the project sponsor comply with the real estate disclosure requirements outlined in Policy IP-1 of the SFO ALUCP, which apply to sale or lease of property located within the AIA.
ATTACHMENTS
1. ALUCP application, together with related project description and plan set excerpts
2. SFO ALUCP Exh. IV-6 – Noise Compatibility Zones
3. SFO ALUCP Exh. IV-8 – Safety Compatibility Zones in SSF and San Bruno
4. SFO Airspace Tool Readout
5. SFO ALUCP Exh. IV-11 – FAA Notification Filing Reqs.- North Side
APPLICATION FOR LAND USE CONSISTENCY DETERMINATION
San Mateo County Airport Land Use Commission
C/CAG ALUC
APPLICANT INFORMATION
Agency: City of San Bruno
Project Name: 732 - 740 El Camino Real
Address: 732 - 740 El Camino Real
APN: 020-126-160, 020-126-080
City: San Bruno
State: CA
ZIP Code: 94066
Staff Contact: Michael Smith
Phone: 650-616-7062
Email: email@example.com
PROJECT DESCRIPTION
New construction of a 6-story, residential, multi-family building with 136 dwelling units.
Building Area: 96,272 s.f.
Site Area: 26,644 s.f.
REQUIRED PROJECT INFORMATION
For General Plan, Specific Plan or Zoning Amendments and Development Projects:
A copy of the relevant amended sections, maps, etc., together with a detailed description of the proposed changes, sufficient to provide the following:
1. Adequate information to establish the relationship of the project to the three areas of Airport Land Use compatibility concern (ex. a summary of the planning documents and/or project development materials describing how ALUCP compatibility issues are addressed):
a) Noise: Location of project/plan area in relation to the noise contours identified in the applicable ALUCP.
- Identify any relevant citations/discussion included in the project/plan addressing compliance with ALUCP noise policies.
*The project site is located outside of the CNEL noise contours for SFO Airport based on the Noise Compatibility Zones plan provided in the ALUCP for the Environs of San Francisco International Airport November 2012. Per Exhibit IV-6, Noise Compatibility Zones, the project site location is compatible with the CNEL level as indicated in Table IV-I and may be permitted without any special requirements.*
b) Safety: Location of project/plan area in relation to the safety zones identified in the applicable ALUCP.
- Include any relevant citations/discussion included in the project/plan addressing compliance with ALUCP safety policies.
The project site is compatible with Safety Compatibility Policies as it is not located within any of the Safety Compatibility Zones per Exhibit IV-7, Safety Compatibility Zones. As the project site does not fall within any of the Safety Compatibility Zones, it does not require any safety compatibility land use criteria.
c) Airspace Protection:
- Include relevant citations/discussion of allowable heights in relation to the protected airspace/proximity to airport, as well as addressment of any land uses or design features that may cause visual, electronic, navigational, or wildlife hazards, particularly bird strike hazards.
- If applicable, identify how property owners are advised of the need to submit Form 7460-1, Notice of Proposed /Construction or Alteration with the FAA.
Per Exhibit IV-11, FAA Notification Form 7460-1, the project site is at 70' MSL with heights of 100:1 Surface Above Ground (AGL) color distinguished for Less than 30; however, the site is zoned for mixed-use with a maximum allowable height of 70' and 5-stories. In addition, the terrain adjacent to the site, as indicated on Exhibit IV-11, already penetrates the Airspace Surface.
Per Exhibit IV-15, 14 CFR Part 77 Airport Imaginary Surfaces, and Exhibit IV-17, Critical Aeronautical Surfaces, the project site is located within the 163.2' mean sea level (MSL) Horizontal Surface with Critical Aeronautical Surfaces at a height of 100-150 above ground level (AGL). At the project site, the proposed building height is 77'-9" (at its tallest point) AGL and 147'-9" above MSL indicating that the building height is lower than the height of SFO critical aeronautical surfaces and is in compliance with the maximum compatible building height for the project site.
The project is located within Area B per Exhibit IV-2, Airport Influence Area B; however, the project does not propose any other flight hazards as it does not have any characteristics that may cause visual, electronic or wildlife hazards. The project does not have any sources of glare, electrical interference or distracting lights and does not produce any dust, smoke, water vapor or other operational byproduct that could interfere with the vision of the pilots making approaches to the Airport and the project will not create an increased attraction for wildlife.
2. Real Estate Disclosure requirements related to airport proximity: None.
3. Any related environmental documentation (electronic copy preferred): None.
4. Other documentation as may be required (ex. related staff reports, etc.) None.
Additional information For Development Projects:
1. 25 sets of scaled plans, no larger than 11” x 17”
2. Latitude and longitude of development site:
a. Latitude: 37.627570
b. Longitude: -122.415410
3. Building heights relative to mean sea level (MSL): 147.75
## EL CAMINO REAL
### SAN BRUNO, CA
#### AMG & ASSOCIATES
#### AO ARCHITECTS
144 NORTH ORANGE ST., ORANGE, CA 92866
(714) 639-9860
### CONCEPTUAL SITE PLAN
**A1.0**
**DATE:** 09-06-21
**JOB NO.:** 2020-416
---
**CURRENT ZONING:**
C (COMMERCIAL)
SURFACE PARKING
SAN BRUNO TRANSIT CORRIDORS
SAN BRUNO TRANSIT REAL
730 TAES, CAMINO REAL
SAN BRUNO TRANSIT CORRIDORS
SAN BRUNO TRANSIT REAL
PLAN B: CAMINO REAL
TREE COVER TREE | 1 LEV. OF PODIUM
YES
**PROPOSED USE:**
SAN BRUNO TRANSIT CORRIDORS
SAN BRUNO TRANSIT REAL
PLAN B: CAMINO REAL
TREE COVER TREE | 1 LEV. OF PODIUM
YES
**PROJECT ADDRESS:**
730 TAES, CAMINO REAL
SAN BRUNO, CA 94066
**SPECIFIC PLAN:**
PLAN B: CAMINO REAL
**PROPOSED TYPE OF CONSTRUCTION:**
CONCRETE FRAME
**AUTOMATIC SPRINKLER:**
NO
**ALLOWABLE FAR:**
NO MAX. FAR FOR PARCELS OVER 20,000 SF AND LARGER
**PROPOSED FAR:**
2.3
**LOT SUBJECT PROPERTY:**
0.4 ACRES (24,136 SF)
**SUBJECT PARCEL:**
136 UNITS / 0.4 ACRES = 2.97 DU/AC
**ZONING:**
136 UNITS (R4.25E)
10 UNITS (F.4E)
**SIZE MIX:**
126 UNITS
10 UNITS
**STUDIOS:**
1 BEDROOM
**TOTAL:**
136 UNITS
**GROSS FLOOR AREA:**
1ST FLOOR + PODIUM LEVEL
17,887 SF
2ND FLOOR
15,837 SF
3RD FLOOR
15,837 SF
4TH FLOOR
15,837 SF
5TH FLOOR
15,837 SF
6TH FLOOR
15,837 SF
**GRAND TOTAL:**
96,372 SF
**OPERATIONAL FACILITIES:**
COMMON OPEN SPACE
0
ENCLOSED COMMON SPACE (AMENITIES):
1,800 SF
NUMBER OF UNITS WITH BALCONY:
45 UNITS
**VEHICLE PARKING:**
PROVIDED
28 STALLS
**BICYCLE PARKING:**
REQUIRED
14
RESIDENTIAL SHORT TERM: 1.0 PER 10 UNITS
14
RESIDENTIAL LONG TERM: 1.2 PER 2 UNITS
48
140
**MOTORCYCLE PARKING:**
REQUIRED
0
RESIDENTIAL: 0.2 AUTO SPACES + 0 STALLS
0
**SERVICE:**
REQUIRED
10'-0" AVERAGE
FRONT:
10'-0"
SIDE:
12'-0"
REAR:
ABOVE 8TH FLOOR: 18'-0"
BEHIND BACK: 15'-0"
**MAXIMUM BUILDING HEIGHT:**
REQUIRED
70'-0" (5-STORIES)
77'-0" TOP OF STACK
---
**TYPICAL PARKING GARAGE STALL**
**NORTH**
---
**CONCEPTUAL SITE PLAN**
**A1.0**
**DATE:** 09-06-21
**JOB NO.:** 2020-416
---
**AO ARCHITECTS**
144 NORTH ORANGE ST., ORANGE, CA 92866
(714) 639-9860
---
**Architecture. Design. Relationships.**
EL CAMINO REAL
SAN BRUNO, CA
CONCEPTUAL BUILDING ELEVATIONS
DATE: 08-06-21
JOB NO.: 2020-416
AO ARCHITECTS
144 NORTH ORANGE ST., ORANGE, CA 92866
(714) 639-9860
AMG & ASSOCIATES
11
EL CAMINO REAL
SAN BRUNO, CA
CONCEPTUAL BUILDING ELEVATIONS
DATE: 09-06-21
JOB NO.: 2020-416
AMG & ASSOCIATES
AO ARCHITECTS
144 NORTH ORANGE ST., ORANGE, CA 92866
(714) 639-9860
Architecture. Design. Relationships.
Attachment 2
LEGEND
- CNEL Contour, 2020 Forecast
- Airport Property
- BART Station
- CALTRAIN Station
- School
- Place of Worship
- Hospital
- Municipal Boundary
- Park/Trail
- Freeway
- Road
- Planned Land Use Per General Plans:
- Public
- Multi-Family Residential
- Single Family Residential
- Mixed Use
- Transit Oriented Development
- Commercial
- Industrial, Transportation, and Utilities
- Local Park, Golf Course, Cemetery
- Regional Park or Recreation Area
- Open Space
- Planned use not measured
Sources:
- Noise Contour Data:
- Draft Environmental Assessment, Proposed Runway Safety Area Program, San Francisco International Airport, URS Corporation and Bridgeland International, June 2011
County Base Maps:
- San Mateo County Planning & Building Department, 2007
Local Plans:
- Burlingame Bayfront Specific Area Plan, August 2006
- Burlingame Downtown Specific Plan, January 2009
- North Burlingame Business District Master Plan, February 2007
- Colma Municipal Code Zoning Maps, December 2003
- Daly City General Plan, Land Use Map, 1987
- Hillsborough General Plan, March 2005
- Millbrae Land Use Plan, November 1998
- Pacifica General Plan, August 1996
- San Bruno General Plan, December 2008
- San Mateo City Land Use Plan, March 2007
- San Mateo County Zoning Map, 1992
- South San Francisco General Plan, 1998
Exhibit IV-8
NOISE COMPATIBILITY ZONES – DETAIL
Comprehensive Airport Land Use Plan for the Environs of San Francisco International Airport
C/CAG
City/County Association of Governments of San Mateo County, California
Exhibit IV-8
SAFETY COMPATIBILITY ZONES IN THE CITIES OF SOUTH SAN FRANCISCO AND SAN BRUNO
Comprehensive Airport Land Use Plan for the Environs of San Francisco International Airport
C/CAG
City/County Association of Governments of San Mateo County, California
| Latitude | Longitude | Site El.(AMSL) | Ht.(AGL) | Overall Ht.(AMSL) | Max Ht. (AMSL) | Exceeds By | Under By | Surface |
|-----------|-----------|----------------|----------|-------------------|----------------|------------|----------|-----------------------------------------------|
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 163.2 | 51.39 | 110.9 | SFO_P77_19_Horizontal_Plane |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 222.71 | 115.76 | 129.04 | SFO_RW10R_RNP_2Y_Final_Approach_O |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 227.57 | 115.76 | 129.04 | SFO_VFR77_Exist_Conical |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 240.85 | 129.04 | 308.71 | SFO_RW28L_IFR_NonSTND_Departure |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 420.52 | 308.71 | 548.19 | SFO_CIRCLING_CAT_A |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 640 | 528.19 | 537.09 | SFO_CIRCLING_CAT_B |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 648.9 | 537.09 | 537.14 | SFO_RW28R_LOC_Missed_Approach_11 |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 648.95 | 537.14 | 541.37 | SFO_RW28L_LOC_Missed_Approach_22A |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 653.18 | 541.37 | 541.97 | SFO_RW28R_LPV_Missed_Approach_2B |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 730 | 618.19 | 628.19 | SFO_RW10R_LNAVx_Final_Approach_OB |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 740 | 628.19 | 700.91 | SFO_CIRCLING_CAT_C |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 812.72 | 700.91 | 748.19 | SFO_RW28R_RNP_Y_Missed_OB |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 860 | 748.19 | 1045.61 | SFO_CIRCLING_CAT_D |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 1157.42 | 1167.24 | 1674.72 | SFO_RW28L_VNAV_Missed_Approach_OB |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 1279.05 | 1167.24 | 1888.19 | SFO_RW28R_VNAV_Missed_Approach_2B |
| 37° 37' 42.8219" | 122° 24' 56.5300" | 34.06 | 77.75 | 111.81 | 1786.53 | 1674.72 | 1888.19 | SFO_RW28R_IFR_NonSTND_Departure_2000 |
Total penetrations above surfaces: 0
Total penetrations below surfaces: 19
| Zone Analysis | X | Y | Range | Safety Zones |
|---------------|---------|---------|-------|--------------|
| 60000354.788 | 2057014.18 | Under 65 db | None | |
Attachment 5
FAA NOTIFICATION REQUIREMENTS
A structure proponent must file FAA Form 7460-1, Notice of proposed Construction or Alteration, for any proposed construction or alteration that meets one of the following Notification Criteria described in 14 CFR part 77.9:
§77.9(a) - A height more than 200 feet above ground level (AGL) at its site;
§77.9(b) - Within 20,000 feet of a runway more than 3,200 feet in length, and exceeding a 100:1 slope impervious surface (i.e., a surface with a 1:100 slope within 100 feet horizontally from the nearest point of the nearest runway. The 100:1 surface is known as the 100:1 surface);
§77.9(c) - Roadways, railroads, and waterways are evaluated based on heights above surface providing for vehicles; by specified amounts or by the height of the highest mobile object normally found on such roadway, railroad, or waterway.
§77.9(d) – Any construction or alteration on any public-use or military airport (or heliport).
Structure proponents or their representatives may file via traditional paper forms, via U.S mail, or online at the FAA’s eIAAA website, http://eiaaa.faa.gov
LEGEND
- BART Station
- CALTRAIN Station
- Municipal Boundary
- Railroad
- Freeway
- Road
Note:
per 14 CFR part 77, developers proposing structures taller than the indicated elevation must file Form 7460-1 with the FAA at least 30 days before the proposed construction. However, due to local requirements for a favorable FAA determination, it is advisable to file the Form 7460-1 as soon as possible because the FAA can take several months to undertake aeronautical reviews.
Source:
Ricciolo & Associates, Inc. and Jacobs Consultancy, based on 14 CFR part 77, Subpart B, Section 77.9.
Exhibit IV-11
FAA NOTIFICATION FORM 7460-1
FILING REQUIREMENTS – NOTICE
Comprehensive Airport Land Use plans for the Environs of San Francisco International Airport
C/CAG
City/County Association of Governments
of San Mateo County, California
RECOMMENDATION
That the C/CAG Airport Land Use Committee (ALUC) recommend to the C/CAG Board of Directors, that the C/CAG Board, acting as the Airport Land Use Commission, determine that the proposed multi-family residential project at 1100 El Camino Real in Millbrae is consistent with the applicable airport/land use policies and criteria contained in the Comprehensive Airport Land Use Compatibility Plan for the Environs of San Francisco International Airport (SFO ALUCP), subject to the following conditions:
- Prior to issuance of a building permit, the project sponsor shall file Form 7460-1 with the FAA and provide to the City of Millbrae an FAA “Determination of No Hazard”.
- The City of Millbrae shall require that the project sponsor comply with the real estate disclosure requirements outlined in Policy IP-I of the SFO ALUCP, which apply to sale or lease of property located within the AIA.
BACKGROUND
The proposed project at 1100 El Camino Real, Millbrae (“Project”) is located on 5.55-acre site currently occupied by the El Rancho Inn. The Project includes demolition of all existing structures and construction of a five-story, 384-unit multi-family apartment complex.
The Project is located within Airport Influence Area B (AIA B), the “Project Referral” area, for San Francisco International Airport. California Government Code Section 65302.3 states that a local agency General Plan, Zoning Ordinance and/or any affected specific plan must be consistent with the applicable airport/land use criteria in the relevant adopted Airport Land Use Compatibility Plan (ALUCP). Additionally, per SFO ALUCP Policy GP-10.1, since the City of Millbrae has not amended its Zoning Ordinance to reflect the policies and requirements of the current SFO ALUCP, all proposed development projects within AIA B are subject to ALUC review. In accordance with these requirements, the City of Millbrae has referred the subject development project to C/CAG, acting as the San Mateo County Airport Land Use Commission, for a determination of consistency with the SFO ALUCP.
DISCUSSION
ALUCP Consistency Evaluation
The SFO ALUCP contains policies and criteria to address four issues: (a) aircraft noise impacts; (b) safety compatibility criteria; (c) height of structures/airspace protection; and (d) overflight notification. The following sections describe the degree to which the Project is compatible with each.
(a) Aircraft Noise Impacts
The 65 dB CNEL (Community Noise Equivalent Level) aircraft noise contour defines the threshold for airport noise impacts established in the SFO ALUCP. All land uses located outside this contour are deemed consistent with the noise policies of the SFO ALUCP.
As shown on Attachment 2, the subject property lies outside the bounds of the 65dB CNEL contour, and therefore the Project is consistent with the SFO ALUCP noise policies and criteria.
(b) Safety Compatibility
The SFO ALUCP includes five safety zones and related land use compatibility policies and criteria. As shown on Attachment 3, the Project site is located outside of the safety zones established in the SFO ALUCP, and therefore the safety policies and criteria do not apply to the Project.
(c) Height of Structures/Airspace Protection
Pursuant to the SFO ALUCP, airspace protection compatibility of proposed land uses within its AIA is evaluated in accordance with the following criteria: (1) 14 Code of Federal Regulations Part 77 (FAR Part 77), “Safe, Efficient Use and Preservation of the Navigable Airspace”, which establishes the standards for determining obstructions to air navigation; and (2) FAA notification surfaces.
In order to be deemed consistent with the ALUCP, the maximum height of a new building must be the lower of (1) the height shown on the critical aeronautical surfaces map; or (2) the maximum height determined not to be a “hazard to air navigation” by the FAA in an aeronautical study prepared pursuant to the filing of Form 7460-1.
As proposed, the 5-story structure would be 63’5” feet tall to the top of the rooftop stairwells. With a ground elevation of approximately 16.4 feet above mean sea level (MSL), the height of the project would therefore be about 80’ above MSL. As shown on Attachment 4, utilizing the ‘SFO Online Airspace Tool”, the building would be more than 82 feet below critical airspace. However, as shown on Attachment 5, the Project is located in an area that requires FAA notification for projects of any height. Therefore, the following condition is recommended:
- Prior to issuance of a building permit, the project sponsor shall file Form 7460-1 with the FAA and provide to the City of Millbrae an FAA “Determination of No Hazard”.
(d) Overflight Notification
The Project site is located within the Airport Influence Area (AIA) of SFO, the real estate disclosure area. Pursuant to Policy IP-1, notification is required, prior to sale or lease of property located within the AIA, of the proximity of the airport and that therefore the property may be subject to some of the annoyances or inconveniences associated with proximity to airport operations.
As this disclosure requirement is not currently included in Millbrae’s Municipal Code, the following condition is proposed:
- The City of Millbrae shall require that the project sponsor comply with the real estate disclosure requirements outlined in Policy IP-1 of the SFO ALUCP, which apply to sale or lease of property located within the AIA.
ATTACHMENTS
1. ALUCP application, together with related project description and plan set excerpts
2. SFO ALUCP Exh. IV-5 – Noise Compatibility Zones
3. SFO ALUCP Exh. IV-7 – Safety Compatibility Zones
4. SFO Airspace Tool Readout
5. SFO ALUCP Exh. IV-12 – FAA Notification Filing Reqs.- South Side
APPLICATION FOR LAND USE CONSISTENCY DETERMINATION
San Mateo County Airport Land Use Commission
C/CAG ALUC
APPLICANT INFORMATION
Agency: City of Millbrae, Community Development Department, Planning Division
Project Name: 1100 El Camino Real (El Rancho Inn redevelopment)
Address: 1100 and 1150 El Camino Real, 33 and 35 Center Street | APN: 021324320, 021324310 and 021324190
City: Millbrae | State: California | ZIP Code: 94030
Staff Contact: Sam Fielding | Phone: 650-259-2336 | Email: firstname.lastname@example.org
PROJECT DESCRIPTION
The Developer proposes to demolish the eight existing occupied residential units and the Best Western El Rancho Inn, which are currently located on three separate lots and would construct a new, 63' - 5" max. building height, five-story, 384 unit, multi-family apartment building on approximately 5.55 acres. The project includes 560 vehicle parking spaces and 72 bicycle parking spaces.
REQUIRED PROJECT INFORMATION
For General Plan, Specific Plan or Zoning Amendments and Development Projects:
A copy of the relevant amended sections, maps, etc., together with a detailed description of the proposed changes, sufficient to provide the following:
1. Adequate information to establish the relationship of the project to the three areas of Airport Land Use compatibility concern (ex. a summary of the planning documents and/or project development materials describing how ALUCP compatibility issues are addressed):
a) Noise: Location of project/plan area in relation to the noise contours identified in the applicable ALUCP.
- Identify any relevant citations/discussion included in the project/plan addressing compliance with ALUCP noise policies.
b) Safety: Location of project/plan area in relation to the safety zones identified in the applicable ALUCP.
- Include any relevant citations/discussion included in the project/plan addressing compliance with ALUCP safety policies.
c) Airspace Protection:
- Include relevant citations/discussion of allowable heights in relation to the protected airspace/proximity to airport, as well as addressment of any land uses or design features that may cause visual, electronic, navigational, or wildlife hazards, particularly bird strike hazards.
- If applicable, identify how property owners are advised of the need to submit Form 7460-1, *Notice of Proposed / Construction or Alteration* with the FAA.
2. Real Estate Disclosure requirements related to airport proximity
3. Any related environmental documentation (electronic copy preferred)
4. Other documentation as may be required (ex. related staff reports, etc.)
**Additional information For Development Projects:**
1. 25 sets of scaled plans, no larger than 11” x 17”
2. Latitude and longitude of development site
3. Building heights relative to mean sea level (MSL)
*ALUCP Plans can be accessed at [http://ccag.ca.gov/plansreportslibrary/airport-land-use/](http://ccag.ca.gov/plansreportslibrary/airport-land-use/)*
*Please contact C/CAG staff at 650 599-1467 with any questions.*
| For C/CAG Staff Use Only |
|--------------------------|
| **Date Application Received** |
| **Date Application Deemed Complete** |
| **Tentative Hearing Dates:** |
| - Airport Land Use Committee |
| - C/CAG ALUC |
1. Information on relationship of the project to the three areas of Airport Land Use compatibility concern.
a. **Noise:** Location of project/plan are in relation to the noise contours identified in the applicable ALUCP.
The project is located north west of the nearest noise contour CNEL 65 dB. The project site is not located within the noise contours of the applicable ALUCP.
b. **Safety:** Location of project/plan area in relation to the safety zoned identified in the applicable ALUCP.
The project located at 1100 El Camino Real is not located with a safety zone identified in the applicable ALUCP. The nearest Zone is Zone 3, the boundary of which is located 4 blocks south of the project site.
c. **Airspace Protection.**
The applicants were notified by email of the need to submit Form 7460-1, Notice of Proposed/Construction or Alteration with the FAA.
2. **Real Estate Disclosure requirements related to airport proximity:** Not applicable.
3. **Any related environmental documentation (electronic copy preferred)**
4. **Other documents**
1. Aerial Perspective of Leasing Lobby Entry
EVA LANE
- painted games
- drivable turf per fire department requirement
- artificial turf
- walking path
COURTYARD C
- firepit
- outdoor kitchen
- outdoor dining
- bocce ball
COURTYARD B
- fitness lawn
- water feature
- festival lighting
- olive trees
- moveable furniture
COURTYARD A
- heated pool and spa
- outdoor kitchen
- outdoor dining
- fire pit
- festival lighting
- cabanas
ENTRY DRIVE
- water feature
- decorative pavers
- olive grove in D.G.
- rain garden
- dropoff/pickup
- seating
- (3) bike racks
FITNESS
LOUNGE
LOBBY
MAIL
BIKE
LOBBY
RESTAURANT
HOTEL
PARKING STRUCTURE
1100 EL CAMINO REAL
RESIDENTIAL DESIGN REVIEW
April 6, 2020
COMPREHENSIVE SITE PLAN
L0.0
Key Map n.t.s.
Material Legend:
1. Stucco
2. Cementitious Trim Board
3. Horizontal Profile Siding
4. Accent Tile
5. Metal Awning
6. Composite Panel Railing
7. Metal Railing
8. Stucco
9. Vinyl Window
10. Composite Slat Screen
11. Metal Screen
1. Front Elevation
2. Rear Elevation
Key Map n.t.s.
Material Legend:
1. Stucco
2. Cementitious Trim Board
3. Horizontal Profile Siding
4. Accent Tile
5. Metal Awning
6. Composite Panel Railing
7. Metal Railing
8. Stucco
9. Vinyl Window
10. Composite Slat Screen
11. Metal Screen
Attachment 2
LEGEND
- CNEL Contour: 2020 Forecast
- Airport Property
- BART Station
- CALTRAIN Station
- School
- Place of Worship
- Hospital
- Municipal Boundary
- Railways
- Freeway
- Road
- Planned Land Use Per General Plans:
- Public
- Multi-Family/Residential
- Single Family Residential
- Mixed Use
- Transit-Oriented Development
- Commercial
- Industrial, Transportation, and Utilities
- Local Park, Golf Course, Cemetery
- Regional Park or Recreation Area
- Open Space
- Planned use not mapped
Sources:
- Noise Contour Data
- Draft Environmental Assessment, Proposed Runway Safety Area Program, San Francisco International Airport, URS Corporation and BridgeNet International, June 2011
- County Base Maps:
- San Mateo County Planning & Building Department, 2007
- Local Plans:
- Burlingame Bayfront Specific Area Plan, August 2006
- Burlingame Downtown Specifics Plan, January 2009
- Burlingame General Map, September 1984
- Burlingame General Plan, December 2005
- Colma Municipal Code Zoning Maps, December 2003
- Daly City General Plan and Use Map, 1987
- Hillsborough General Plan, 1993
- Millbrae Land Use Plan, November 1998
- Pacifica General Plan, August 1996
- San Bruno General Plan, December 2008
- San Mateo City Land Use Plan, March 2007
- San Mateo County Zoning Map, 1992
- South San Francisco General Plan, 1986
Exhibit W-2
NOISE COMPATIBILITY ZONES
Comprehensive Airport Land Use Plan for the Environs of San Francisco International Airport
C/CAG
City/County Association of Governments of San Mateo County, California
LEGEND
Safety Compatibility Zones
- 1 - Runway Protection Zone-Object Free Area
- 2 - Inner Approach/Departure Zone
- 3 - Inner Turning Zone
- 4 - Outer Approach/Departure Zone
- 5 - Sideline Zones
- Dotted lines - Internal boundaries of ALP-defined areas
- Solid orange line - Specific Plan Area
- Gray line - Airport Property
Planned Land Use Per General Plans
- Blue - Public
- Yellow - Multi-Family Residential
- Light yellow - Single Family Residential
- Dark purple - Mixed Use
- Purple - Transit Oriented Development
- Pink - Commercial
- Light pink - Industrial, Transportation, and Utilities
- Light blue - Local Park, Golf Course, Cemetery
- Green - Regional Park or Recreation Area
- Teal - Open Space
Sources:
- Local Plans: San Bruno General Plan, December 2008
- South San Francisco General Plan, 1998
Exhibit IV-9
SAFETY COMPATIBILITY ZONES IN THE CITIES OF BURLINGAME AND MILLBRAE
Comprehensive Airport Land Use Plan for the Environs of San Francisco International Airport
C/CAG
City/County Association of Governments of San Mateo County, California
| Latitude | Longitude | Site El.(AMSL) | Max Ht.(AGL) | Overall Ht.(AMSL) | Max Ht. (AMSL) | Exceeds By | Under By | Surface |
|---------------|---------------|----------------|--------------|-------------------|----------------|------------|----------|----------------------------------------------|
| 37° 36' 30.5467" | 122° 23' 49.9221" | 16.36 | 64 | 80.36 | 163.2 | | 82.84 | SFO_VFR77_Exist_Horizontal_Plane |
Total penetrations above surfaces: 0
Total penetrations below surfaces: 1
| Zone Analysis |
|---------------|
| X | Y | Range | Safety Zones |
|---------------|---------------|---------------|---------------|
| 6012143.57 | 2049596.461 | Under 65 db | None |
FAA NOTIFICATION REQUIREMENTS
A structure proponent must file FAA Form 7460-1, Notice of proposed construction or alteration, for any proposed construction or alteration that meets one of the following Notification criteria described in 14 CFR part 77.9:
§77.9(a) - A height more than 200 feet above ground level (AGL) at its site;
§77.9(b) - Within 20,000 feet of a runway more than 3,200 feet in length, and exceeding a 100:1 slope impervious surface (i.e., a surface with a slope steeper than 100 feet horizontally from the nearest point of the nearest runway. The 100:1 surface is known as the 100-foot slope);
§77.9(c) - 20,000 Feet Limit From Nearest Runway
§77.9(d) - Elevation Above Mean Sea Level
§77.9(e) - Within 20,000 feet of a runway more than 3,200 feet in length, and exceeding a 100:1 slope impervious surface (i.e., a surface with a slope steeper than 100 feet horizontally from the nearest point of the nearest runway. The 100:1 surface is known as the 100-foot slope);
§77.9(f) - Any construction or alteration on any public-use or military airport (or heliport).
Structure proponents or their representatives may file via traditional paper forms via U.S mail, or online at the FAA’s OEA/AA website, http://oeeaa.faa.gov.
LEGEND
- BART Station
- cALTRAIN Station
- Municipal Boundary
- Railroad
- Freeway
- Road
Note:
per 14 CFR part 77, developers proposing structures taller than the indicated elevations must file Form 7460-1 with the FAA at least 30 days before the proposed construction. However, due to the time required by the FAA to complete an FAA determination as a contingency for project approval, it is advisable to file the Form 7460-1 as soon as possible because the FAA can take several months to undertake aeronautical reviews.
Source:
Ricciardo & Associates, Inc. and Jacobs consultancy, based on 14 CFR part 77, Subpart B, Section 77.9.
Exhibit IV-12
FAA NOTIFICATION FORM 7460-1
FILING REQUIREMENTS – SOUTH SIDE
comprehensive Airport Land Use Plan
for the Environs of San Francisco International Airport
C/CAG
city/county Association of Governments
of San Mateo county, california
RECOMMENDATION
That the C/CAG Airport Land Use Committee (ALUC) recommend to the C/CAG Board of Directors, that the C/CAG Board, acting as the Airport Land Use Commission, determine that the proposed multi-family residential project at 1301 Broadway, Millbrae, is consistent with the applicable airport/land use policies and criteria contained in the Comprehensive Airport Land Use Compatibility Plan for the Environs of San Francisco International Airport (SFO ALUCP), subject to the following conditions:
- Prior to issuance of a building permit, the project sponsor shall file Form 7460-1 with the FAA and provide to the City of Millbrae an FAA “Determination of No Hazard”.
- The City of Millbrae shall require that the project sponsor comply with the real estate disclosure requirements outlined in Policy IP-1 of the SFO ALUCP, which apply to sale or lease of property located within the AIA.
BACKGROUND
The proposed development at 1301 Broadway, Millbrae (“Project”) consists of demolition of existing improvements and construction of a six-story, primarily multi-family residential building at the corner of Broadway and Ludeman Lane. The Project includes two commercial spaces (approx. 3,800 sf total), common area and parking on the ground floor and 99 residential units on the upper five floors.
The Project is located within Airport Influence Area B (AIA B), the “Project Referral” area, for San Francisco International Airport. California Government Code Section 65302.3 states that a local agency General Plan, Zoning Ordinance and/or any affected specific plan must be consistent with the applicable airport/land use criteria in the relevant adopted Airport Land Use Compatibility Plan (ALUCP). Additionally, per SFO ALUCP Policy GP-10.1, since the City of Millbrae has not amended its Zoning Ordinance to reflect the policies and requirements of the current SFO ALUCP, all proposed development projects within AIA B are subject to ALUC review. In accordance with these requirements, the City of Millbrae has referred the subject development project to C/CAG,
acting as the San Mateo County Airport Land Use Commission, for a determination of consistency with the SFO ALUCP.
**DISCUSSION**
**ALUCP Consistency Evaluation**
The SFO ALUCP contains policies and criteria to address four issues: (a) aircraft noise impacts; (b) safety compatibility criteria; (c) height of structures/airspace protection; and (d) overflight notification. The following sections describe the degree to which the Project is compatible with each.
*(a) Aircraft Noise Impacts*
The 65 dB CNEL (Community Noise Equivalent Level) aircraft noise contour defines the threshold for airport noise impacts established in the SFO ALUCP. All land uses located outside this contour are deemed consistent with the noise policies of the SFO ALUCP.
As shown on Attachment 2, the subject property lies outside the bounds of the 65dB CNEL contour, and therefore the Project is consistent with the SFO ALUCP noise policies and criteria.
*(b) Safety Compatibility*
The SFO ALUCP includes five safety zones and related land use compatibility policies and criteria. As shown on Attachment 3, the Project site is located outside of the safety zones established in the SFO ALUCP, and therefore the safety policies and criteria do not apply to the Project.
*(c) Height of Structures/Airspace Protection*
Pursuant to the SFO ALUCP, airspace protection compatibility of proposed land uses within its AIA is evaluated in accordance with the following criteria: (1) 14 Code of Federal Regulations Part 77 (FAR Part 77), “Safe, Efficient Use and Preservation of the Navigable Airspace”, which establishes the standards for determining obstructions to air navigation; and (2) FAA notification surfaces.
In order to be deemed consistent with the ALUCP, the maximum height of a new building must be the lower of (1) the height shown on the critical aeronautical surfaces map; or (2) the maximum height determined not to be a “hazard to air navigation” by the FAA in an aeronautical study prepared pursuant to the filing of Form 7460-1.
As proposed, the 6-story structure would be 77’6” feet tall to the top of the rooftop stairwells. With a ground elevation of approximately 39 feet above mean sea level (MSL), the height of the project would therefore be about 117’ above MSL. As shown on Attachment 4, utilizing the ‘SFO Online Airspace Tool’, the building would be about 47 feet below critical airspace. However, as shown on Attachment 5, the Project is located in an area that requires FAA notification for projects greater than 30-65 feet tall. Therefore, the following condition is recommended:
Prior to issuance of a building permit, the project sponsor shall file Form 7460-1 with the FAA and provide to the City of Millbrae an FAA “Determination of No Hazard”.
(d) Overflight Notification
The Project site is located within the Airport Influence Area (AIA) of SFO, the real estate disclosure area. Pursuant to Policy IP-1, notification is required, prior to sale or lease of property located within the AIA, of the proximity of the airport and that therefore the property may be subject to some of the annoyances or inconveniences associated with proximity to airport operations.
As this disclosure requirement is not currently included in Millbrae’s Municipal Code, the following condition is proposed:
The City of Millbrae shall require that the project sponsor comply with the real estate disclosure requirements outlined in Policy IP-1 of the SFO ALUCP, which apply to sale or lease of property located within the AIA.
ATTACHMENTS
1. ALUCP application, together with related project description and plan set excerpts
2. SFO ALUCP Exh. IV-5 – Noise Compatibility Zones
3. SFO ALUCP Exh. IV-7 – Safety Compatibility Zones
4. SFO Airspace Tool Readout
5. SFO ALUCP Exh. IV-12 – FAA Notification Filing Reqs.- South Side
APPLICATION FOR LAND USE CONSISTENCY DETERMINATION
San Mateo County Airport Land Use Commission
C/CAG ALUC
APPLICANT INFORMATION
Agency: City of Millbrae, Community Development Department, Planning Division
Project Name: 1301 Broadway SB 35 Project
Address: 1301 Broadway | APN: 021276330
City: Millbrae | State: California | ZIP Code: 94030
Staff Contact: Sam Fielding | Phone: 650-259-2336 | Email: email@example.com
PROJECT DESCRIPTION
The proposed project is a six-story, 77'-6" height, residential development project at the corner of Broadway and Ludeman Lane that would provide 99 residential units in a 114,010 square foot residential building including two commercial spaces, a common area and podium with 24 parking spaces. The project will provide 50% units for households making at or below 80% area income (low income affordability level). Applicant seeks the concession for height limit and setbacks.
REQUIRED PROJECT INFORMATION
For General Plan, Specific Plan or Zoning Amendments and Development Projects:
A copy of the relevant amended sections, maps, etc., together with a detailed description of the proposed changes, sufficient to provide the following:
1. Adequate information to establish the relationship of the project to the three areas of Airport Land Use compatibility concern (ex. a summary of the planning documents and/or project development materials describing how ALUCP compatibility issues are addressed):
a) Noise: Location of project/plan area in relation to the noise contours identified in the applicable ALUCP.
- Identify any relevant citations/discussion included in the project/plan addressing compliance with ALUCP noise policies.
b) Safety: Location of project/plan area in relation to the safety zones identified in the applicable ALUCP.
- Include any relevant citations/discussion included in the project/plan addressing compliance with ALUCP safety policies.
c) Airspace Protection:
- Include relevant citations/discussion of allowable heights in relation to the protected airspace/proximity to airport, as well as addressment of any land uses or design features that may cause visual, electronic, navigational, or wildlife hazards, particularly bird strike hazards.
- If applicable, identify how property owners are advised of the need to submit Form 7460-1, *Notice of Proposed / Construction or Alteration* with the FAA.
2. Real Estate Disclosure requirements related to airport proximity
3. Any related environmental documentation (electronic copy preferred)
4. Other documentation as may be required (ex. related staff reports, etc.)
**Additional information For Development Projects:**
1. 25 sets of scaled plans, no larger than 11” x 17”
2. Latitude and longitude of development site
3. Building heights relative to mean sea level (MSL)
*ALUCP Plans can be accessed at [http://ccag.ca.gov/plansreportslibrary/airport-land-use/](http://ccag.ca.gov/plansreportslibrary/airport-land-use/)*
*Please contact C/CAG staff at 650 599-1467 with any questions.*
| For C/CAG Staff Use Only |
|--------------------------|
| **Date Application Received** |
| **Date Application Deemed Complete** |
| **Tentative Hearing Dates:** |
| - Airport Land Use Committee |
| - C/CAG ALUC |
1. Information on relationship of the project to the three areas of Airport Land Use compatibility concern.
a. **Noise:** Location of project/plan are in relation to the noise contours identified in the applicable ALUCP.
The project is located north west of the nearest noise contour CNEL 65 dB. The project site is not located within the noise contours of the applicable ALUCP.
b. **Safety:** Location of project/plan area in relation to the safety zoned identified in the applicable ALUCP.
The project located at 1301 Broadway is not located with a safety zone identified in the applicable ALUCP. The nearest Zone is Zone 3, the boundary of which is located 6 blocks south of the project site.
c. **Airspace Protection.**
The applicants were notified by email and by incomplete letter of the need to submit Form 7460-1, Notice of Proposed/Construction or Alteration with the FAA.
2. **Real Estate Disclosure requirements related to airport proximity:** Not applicable.
3. **Any related environmental documentation (electronic copy preferred)**
4. **Other documents**
BROADWAY APARTMENTS
1301 BROADWAY
MILLBRAE, CALIFORNIA 94030
LANDSCAPE MASTER PLAN
STREET LEVEL PLAN
PODIUM LEVEL PLAN
THOMAS MELLS
LANDSCAPE ARCHITECTURE
ELA INC.
California Landscape Architect #4572
C.P.A. #16800
F.O.BX 15120
Box 5517
Millbrae, CA
(510) 986-1300
Sheet No.: L2
Title: LANDSCAPE PLAN
Drawn By: DHP
Date: 1/20/07
Scale: 1" = 20'
File Name: L2
Project No.: THP-1
Site No.: 1301 BROADWAY
Area: 17,000 SF
Date: 1/20/07
No. of Sheets: 1 of 1
Attachment 2
LEGEND
- CNEL Contour: 2020 Forecast
- Airport Property
- BART Station
- CALTRAIN Station
- School
- Place of Worship
- Hospital
- Municipal Boundary
- Rail
- Freeway
- Road
- Planned Land Use Per General Plans:
- Public
- Multi-Family/Residential
- Single Family Residential
- Mixed Use
- Transit-Oriented Development
- Commercial
- Industrial, Transportation, and Utilities
- Local Park, Golf Course, Cemetery
- Regional Park or Recreation Area
- Open Space
- Planned use not mapped
Sources:
- Noise Contour Data
- Draft Environmental Assessment, Proposed Runway Safety Area Program, San Francisco International Airport, URS Corporation and BridgeNet International, June 2011
- County Base Maps:
- San Mateo County Planning & Building Department, 2007
- Local Plans:
- Burlingame Bayfront Specific Area Plan, August 2006
- Burlingame Downtown Specifics Plan, January 2009
- Burlingame General Map, September 1984
- Burlingame General Plan, December 2005
- Colma Municipal Code Zoning Maps, December 2003
- Daly City General Plan and Use Map, 1987
- Hillsborough General Plan, 1993
- Millbrae Land Use Plan, November 1998
- Pacifica General Plan, August 1996
- San Bruno General Plan, December 2008
- San Mateo City Land Use Plan, March 2007
- San Mateo County Zoning Map, 1992
- South San Francisco General Plan, 1986
Exhibit W-2
NOISE COMPATIBILITY ZONES
Comprehensive Airport Land Use Plan for the Environs of San Francisco International Airport
C/CAG
City/County Association of Governments of San Mateo County, California
LEGEND
Safety Compatibility Zones
- 1 - Runway Protection Zone-Object Free Area
- 2 - Inner Approach/Departure Zone
- 3 - Inner Turning Zone
- 4 - Outer Approach/Departure Zone
- 5 - Sideline Zones
- Dotted lines: Internal boundaries of ALP-defined areas
- Solid orange line: Specific Plan Area
- Gray line: Airport Property
Planned Land Use Per General Plans
- Blue: Public
- Yellow: Multi-Family Residential
- Light yellow: Single Family Residential
- Dark purple: Mixed Use
- Purple: Transit Oriented Development
- Pink: Commercial
- Light pink: Industrial, Transportation, and Utilities
- Light blue: Local Park, Golf Course, Cemetery
- Green: Regional Park or Recreation Area
- Teal: Open Space
Sources:
- Local Plans:
- San Bruno General Plan, December 2008
- South San Francisco General Plan, 1998
Exhibit IV-9
SAFETY COMPATIBILITY ZONES IN THE CITIES OF BURLINGAME AND MILLBRAE
Comprehensive Airport Land Use Plan for the Environs of San Francisco International Airport
C/CAG
City/County Association of Governments of San Mateo County, California
## 1301 Broadway, Millbrae
### SURFACE INTERSECTION ANALYSIS INFORMATION - AIRPORT CODE "SFOP"
| Coordinate System: | WGS84 |
|-------------------|-------|
| Date: | 10/12/21 |
| Model: | SFO_Composite_2012_11DEC12 |
| Latitude | Longitude | Site El.(AMSL) | Max Ht.(AGL) | Overall Ht.(AMSL) | Max Ht. (AMSL) | Exceeds By | Under By | Surface |
|-------------------|-----------------|----------------|--------------|-------------------|----------------|------------|----------|--------------------------|
| 37° 36' 29.2116" | 122° 24' 2.9488" | 38.71 | 77.5 | 116.21 | 163.2 | | 46.99 | SFO_VFR77_Exist_Horizontal_Plane |
Total penetrations above surfaces: **0**
Total penetrations below surfaces: **1**
| Zone Analysis |
|---------------|
| X | Y | Range | Safety Zones |
|---------------|----------------|-----------|--------------|
| 6011092.863 | 2049482.714 | Under 65 db | None |
Attachment 5
FAA NOTIFICATION REQUIREMENTS
A structure proponent must file FAA Form 7460-1, Notice of proposed construction or alteration, for any proposed construction or alteration that meets one of the following Notification criteria described in 14 CFR part 77.9:
§77.9(a) - A height more than 200 feet above ground level (AGL) at its site;
§77.9(b) - Within 20,000 feet of a runway more than 3,200 feet in length, and exceeding a 100:1 slope impervious surface (i.e., a surface that is not permeable to water) within 1,000 feet horizontally from the nearest point of the nearest runway. The 100:1 surface is known as the 100-foot limit.
§77.9(c) - 20,000 Feet Limit From Nearest Runway
§77.9(d) - Elevation Above Mean Sea Level
Heights of 100:1 Surface Above Ground (AGL)
- Terrain penetrations of Airspace Surface
- Less than 30
- 30-65
- 65-100
- 100-150
- 150-200
- 200 and more
§77.9(e) - Roadways, railroads, and waterways are evaluated based on heights above surface providing for vehicles; by specified amounts or by the height of the highest mobile object normally traversing the roadway.
§77.9(f) - Any construction or alteration on any public-use or military airport (or heliport).
Structure proponents or their representatives may file via traditional paper forms via U.S. mail, or online at the FAA’s OEA/AA website, http://oeara.faa.gov.
LEGEND
- BART Station
- cALTRAIN Station
- Municipal Boundary
- Railroad
- Freeway
- Road
Note:
per 14 CFR part 77, developers proposing structures taller than the indicated elevations must file Form 7460-1 with the FAA at least 30 days before the proposed construction. However, due to the time required for a full FAA determination as a contingency for project approval, it is advisable to file the Form 7460-1 as soon as possible because the FAA can take several months to undertake aeronautical reviews.
Source:
Ricciardo & Associates, Inc. and Jacobs consultancy, based on 14 CFR part 77, Subpart B, Section 77.9.
Exhibit IV-12
FAA NOTIFICATION FORM 7460-1
FILING REQUIREMENTS – SOUTH SIDE
comprehensive Airport Land Use Plan
for the Environs of San Francisco International Airport
C/CAG
city/county Association of Governments
of San Mateo county, california
C/CAG AGENDA REPORT
Date: October 28, 2021
To: Airport Land Use Committee
From: Susy Kalkin
Subject: Public Hearing to review and recommend action on proposed amendments to the Comprehensive Airport Land Use Compatibility Plan for the Environs of San Carlos Airport intended to enhance the clarity and effectiveness of the overflight notification and aviation easement policies.
(For further information or response to questions, contact Susy Kalkin at firstname.lastname@example.org)
RECOMMENDATION
That the C/CAG Airport Land Use Committee (ALUC) conduct a Public Hearing and recommend to the C/CAG Board of Directors, that the C/CAG Board, acting as the Airport Land Use Commission, approve the proposed amendments to the Comprehensive Airport Land Use Compatibility Plan for the Environs of San Carlos Airport intended to enhance the clarity and effectiveness of the overflight notification and aviation easement policies.
BACKGROUND
C/CAG, as the Airport Land Use Commission, is seeking to address stakeholder concerns regarding the application of overflight notification policies in the San Carlos Airport ALUCP. Overflight notification is currently addressed by two policies:
- Overflight Policy 1 – *Real Estate Transfer Disclosure*, requires that a notice of potential for overflights be included among the disclosures made during real estate transactions. (This is a standard policy based on State law – no changes are proposed to this policy.)
- Overflight Policy 2 – *Overflight Easement Review Area*, establishes an Overflight Easement Review Area (OERA) where an easement or easements would be required. (This is a policy unique to San Carlos Airport, and is the subject of the proposed amendments)
In the Spring of 2019, the qualifying criteria in Overflight Policy 2 – Overflight Easement Review Area became points of competing interpretations. This policy is reflected below:
“…The request for the grant of an avigation easement will be made to the local agency that is proposing the land use policy action and will be based on the following criteria:
a. The proposed land use policy action involves real property located within the OERA and includes adoption of one or more of the following:
1. General Plan
2. General Plan Amendment
3. Zoning Ordinance
4. Zoning Ordinance Amendment
5. Specific Plan
6. Specific Plan Amendment
b. The proposed land use policy action would either permit or result in the development or construction of noise-sensitive land uses that are considered to be conditionally compatible with aircraft noise of CNEL 60 dB or greater;
c. The proposed land use policy action would allow the construction of structures or other objects in the vicinity of San Carlos Airport that could exceed the height standards defined in FAR Part 77, Subpart C;
d. The proposed land use policy action would allow land uses that may cause visual, electronic, navigational, or wildlife hazards to aircraft in flight or taking off or landing at San Carlos Airport.”
One interpretation would essentially apply Overflight Policy 2 to all new development resulting from land use policy actions requiring adoption or amendment of local land use plans within the OERA. Another interpretation maintained that adoption or amendment of local land use plans as part of a local land use policy action was only one requisite criterion, and one or more additional criteria addressing development of noise sensitive land uses in the CNEL 60 dB or higher contours, structures or other objects that would penetrate some of the 14 CFR Part 77 airspace surfaces, and/or creation of potential hazards to aircraft, would need to be triggered to necessitate the requirement for an easement. To address this difference in interpretation, C/CAG staff began considering options to clarify the policy text and better define how easements are applied within the OERA.
After discussing approaches with the Overflight Policy Working Group, consisting of ALUC members Rak, Oliva and Ford; planning staff members from Redwood City and San Carlos; and Gretchen Kelly, San Carlos Airport Manager; general concurrence was reached on support for relocating the noise and airspace protection easement policies and criteria to the Noise and Airspace Protection policy sections of the ALUCP, as appropriate, and otherwise eliminating Overflight Policy 2, since State law currently requires the same real estate disclosure.
On October 22, 2020, the proposed options for updating Overflight Policy 2 were presented to the ALUC. Following the presentation, some stakeholders argued the proposed easement criteria were too limited and did not ensure adequate overflight notification throughout the OERA, while others had concerns with potentially overbroad application of easements, noting they could be perceived to grant a variety of rights to the airport in perpetuity. The Airport Land Use Committee subsequently tabled the matter and directed additional study with the Overflight Policy Working Group before further consideration.
**DISCUSSION**
Over the past months, staff and the consultant team have worked to better understand the concerns of the various stakeholders and to develop a further set of options to discuss with the Overflight Policy Working Group. The main concerns we heard were:
The public needs better notification about the potential impacts that they may experience when choosing to buy or rent residential property in close proximity to San Carlos Airport.
The existing real estate disclosure notification required by State law may be overlooked during purchases given the large amount of paperwork involved in sales transactions. A more permanent form of disclosure, such as an easement or deed notice, would stand out more and have the benefit of running with the land.
The current OERA does not encompass all the geography where many noise complaints are emanating from. San Carlos Airport staff presently receives approximately 100-120 noise complaints per day, most notably from Bair Island, E. San Carlos and Redwood Shores.
Three options were developed, as follows:
- **Option 1** – Eliminate Overflight Policy 2 and relocate the noise and airspace protection easements and criteria to a new Noise Policy 7 and Airspace Protection Policy 7.
This policy option was retained from the original recommendations presented to the Airport Land Use Committee and proposes extracting easement criteria addressing noise and airspace protection from the overflight notification section of the ALUCP and moving them to the noise and airspace protection policies.
- **Option 2** - Update Overflight Policy 2 as follows:
- Relocate the noise and airspace protection easements and criteria to a new Noise Policy 7 and Airspace Protection Policy 7.
- Remove references to easements as a form of disclosure notification and incorporate a recorded deed notice requirement for all new residential development projects subject to discretionary review within the current OERA.
- Rename the OERA as Overflight Notification Zone 2, (and rename the existing Overflight Notification Zone depicted on Figure 4-6 as Overflight Notification Zone 1).
- Amend Exhibit 4-6 to clearly define the Overflight Notification Zone 1 and 2 boundaries.
This policy option would reorder the noise and airspace protection easement criteria for improved document coherence, as addressed in Option 1, while introducing a recorded deed notice providing overflight notification to address concerns that current State required real estate disclosure notification provisions may not adequately provide buyer awareness. The revised overflight policy would establish a recorded deed notice requirement for approval of new residential development projects in Overflight Notification Zone 2.
- **Option 3** – The same changes would be made to Overflight Policy 2 as described under Option 2; however, the Overflight Notification Zone 2 would be expanded from the current OERA to cover all areas within AIA Area B.
Overflight Policy Working Group Discussion – October 14, 2021
The Overflight Policy Working Group met on October 14, 2021 with staff, the consultant team and interested parties to discuss the options. (A summary of the Q & A from this meeting is included as Attachment 2.)
While generally everyone favored relocating the easement criteria addressing noise and airspace protection from the overflight notification section of the San Carlos ALUCP and moving them to the noise and airspace protection policies, as is typical in other ALUCPs, most of the discussion was focused on enhanced buyer awareness measures – including what form they should take and what geography should be included.
Although the consultant’s research found that the legally required real estate disclosure language is routinely provided during sales transactions, there was concern that it may be overlooked amid the vast amount of closing paperwork involved. Some stakeholders felt strongly that a deed notice would stand out more prominently and provide an additional layer of buyer awareness which they thought was important for areas closer to the Airport. Additionally, there was discussion about the need to expand the area geographically from the existing OERA to the larger AIA B area.
A recorded deed notice, rather than an avigation easement, was recommended by staff to achieve this added overflight notification. Unlike an easement, a deed notice would not carry an implication of conveyance of property rights. The notification would be less cumbersome to define and establish than avigation easements and would simply be included with the deed adding another layer of buyer awareness to the existing residential disclosure requirements required by state law. There had been previous concern about potential issues with recording such a document, but discussions between C/CAG’s attorney and the County Recorder’s office indicate that such a document should be recordable so long as it is signed and acknowledged by a notary.
After due consideration, consensus was reached to recommend Option 3 as the preferred alternative. Accordingly, amendments have been drafted, as shown on Attachment 1, and are summarized below:
- Relocate the noise and airspace protection easements and criteria currently provided under Overflight Policy 2 to a newly created Noise Policy 7 and Airspace Protection Policy 7.
- Update Overflight Policy 2 to remove references to easements as a form of real estate disclosure notification and incorporate instead a recorded deed notice requirement for new residential development projects subject to discretionary review and approval within a newly established Overflight Notification Zone 2 (contiguous with the current Airport Influence Area B).
- Amend Exhibit 4-6 to rename the existing Overflight Notification Zone as Overflight Notification Zone 1 and incorporate Overflight Notification Zone 2, as described above.
• Replace Appendix E, Exhibit E-1 – Sample Standard Avigation Easement, with Appendix E, Exhibit E-1A: Grant of Airspace Protection Avigation Easement and Exhibit E-1B: Grant of Noise Avigation Easement to address noise and airspace protection as potentially separate issues.
• Add Exhibit E-4 – Sample Recorded Deed Notice, to Appendix E
On making the recommendation, the Working Group recognized that this additional overflight notification would be targeted only to buyers and felt that additional outreach and educational work should be undertaken to remind the local real estate community of the need to include this disclosure in rental agreements as well as sales agreements. Accordingly, staff will reach out to SAMCAR and the California Apartment Association to discuss ways to improve this communication.
(Note: A legal notice was placed in the San Mateo Daily Journal on October 19, 2021 advertising this public hearing and the availability of the Proposed Amendments for public review and comment.)
ATTACHMENTS
1. Proposed Amendments
2. Overflight Policy Working Group Discussion Q &A – Oct 14, 2021
The following sections present draft policies for the Noise (4.2.1), Airspace Protection (4.2.3), and Overflight (4.2.4) sections of the SQL ALUCP. Sample easement language is also included in revised Exhibit E.1 and Sample Deed Notice language is included in new Exhibit E-4, Appendix E. Changes are shown in double underline (additions) and strikeout (deletions).
**Noise Policy Update**
There are currently six policies addressing noise compatibility in the SQL ALUCP:
- Noise Policy 1 – Noise Impact Area
- Noise Policy 2 – Airport Noise/Land Use Compatibility Criteria
- Noise Policy 3 – Residential Land Uses
- Noise Policy 4 – Interior Noise Levels
- Noise Policy 5 – Application of Noise Contours to Individual Project Sites to Determine Compatibility
- Noise Policy 6 - Engine Run-Up and Testing Noise
Add a seventh noise compatibility policy to Section 4.2.1, as follows:
**Noise Policy 7 – Noise Easement Review Area**
The C/CAG Board deems it necessary to ensure that new noise-sensitive land uses within the CNEL 60 dB and higher contours (please see Exhibit 4-2) are made compatible with aircraft noise in accordance with 21 California Code of Regulations (CCR) Section 5014. Both the C/CAG ALUC and the C/CAG Board, acting as the Airport Land Use Commission, will consider the need for the granting of an avigation easement to the County of San Mateo as part of their reviews of proposed local agency land use policy actions that affect property within the defined CNEL 60 dB and higher contours for San Carlos Airport. Applicable land use policy actions are defined in Section 3.1 of the ALUCP.
The request for the grant of an avigation easement will be made to the local agency that is proposing the land use policy action and will be based on meeting both the following criteria:
a) The proposed land use policy action involves real property located within the CNEL 60 dB and higher contours;
b) The proposed land use policy action would either permit or result in the development or construction of noise-sensitive land uses as identified in Table 4-3 as conditionally compatible in areas within the CNEL 60 dB or greater contours (see Exhibit 4-3).
The process for requesting the grant of an avigation easement to the County of San Mateo will include the following steps:
1) The C/CAG ALUC reviews a proposed local agency land use policy action and submits a recommendation to the Airport Land Use Commission (C/CAG Board) regarding a request for a grant of an avigation easement to the County of San Mateo.
2) The Airport Land Use Commission (C/CAG Board) reviews the proposed local agency land use policy action and considers the ALUC recommendation.
3) If the Airport Land Use Commission (C/CAG Board) concurs with the ALUC recommendation, it shall notify the affected local agency of its action and shall formally request the agency to require the grant of an avigation easement to the County of San Mateo as part of the agency’s final approval of the proposed action.
When deemed necessary, the C/CAG Board shall condition its approval of the proposed development upon the owner of the subject property granting an avigation easement to San Mateo County, as the proprietor of San Carlos Airport. The local governmental agency with the ultimate permitting and approval authority over the proposed development shall ensure that this condition is implemented prior to final approval of the proposed development. If the approval action for the proposed development includes construction of a building(s) and/or other structures, the local permitting authority shall require the grant of an avigation easement to San Mateo County prior to issuance of a building permit(s) for the proposed building or structure. If the proposed development is not built, then, upon notice by the local permitting authority, San Mateo County shall record a notice of termination of the avigation easement. The avigation easement to be used in fulfilling this condition is presented in Exhibit E-1B.
Airspace Protection Policy Update
There are currently six airspace protection policies in the SQL ALUCP:
- Airspace Protection Policy 1 – Airspace Protection Compatibility for New Development
- Airspace Protection Policy 2 – Requirements for FAA Notification of Proposed Construction
- Airspace Protection Policy 3 – Compliance with Findings of FAA Aeronautical Studies
- Airspace Protection Policy 4 – Airspace Obstruction Criteria
- Airspace Protection Policy 5 – Maximum Compatible Building Height
- Airspace Protection Policy 6 – Other Flight Hazards are Incompatible
Add a seventh airspace protection compatibility policy to Section 4.2.3 as follows:
**Airspace Protection Policy 7 – Airspace Protection Avigation Easement**
Areas beneath the following imaginary airspace surfaces (as defined under 14 CFR Part 77) are subject to this policy.
1. Horizontal surface as depicted on Exhibit 4-4
2. Approach surfaces depicted on Exhibit 4-4
3. Transitional surfaces depicted on Exhibit 4-4
The C/CAG Board deems it necessary to: (1) ensure the unimpeded use of airspace in the vicinity of San Carlos Airport; and (2) to provide notice to owners of real property near San Carlos Airport of the proximity to the airport and of the potential impacts that could occur on the property from airport/aircraft operations. Both the C/CAG ALUC and the C/CAG Board, acting as the Airport Land Use Commission will consider the need for the granting of an avigation easement to the County of San Mateo, as part of their review of proposed local agency land use policy actions that affect property within the airspace surfaces for San Carlos Airport identified above. Applicable land use policy actions are defined in Section 3.1 of the ALUCP.
The request for the grant of an avigation easement will be made to the local agency that is proposing the land use policy action and will be based on the following criteria:
a) The proposed land use policy action involves real property located beneath the airspace protection surfaces;
and
b) The proposed land use policy action would allow the construction of structures or other objects in the vicinity of San Carlos Airport that could exceed the height standards as
defined in 14 CFR Part 77, Subpart C, and based on the elevation above mean sea level (AMSL) of the applicable runway end; or
c) The proposed land use policy action would allow land uses that may cause visual, electronic, navigational, or wildlife hazards to aircraft in flight or taking off or landing at San Carlos Airport.
The process for requesting the grant of an avigation easement to the County of San Mateo will include the following steps:
1. The C/CAG ALUC reviews a proposed local agency land use policy action and submits a recommendation to the Airport Land Use Commission (C/CAG Board), regarding a request for a grant of an avigation easement to the County of San Mateo.
2. The Airport Land Use Commission (C/CAG Board) reviews the proposed local agency land use policy action and considers the ALUC recommendation.
3. If the Airport Land Use Commission (C/CAG Board) concurs with the ALUC recommendation it shall notify the affected local agency of its action and shall formally request the agency to require the grant of an avigation easement to the County of San Mateo as part of the agency’s final approval of the proposed action.
When deemed necessary, the C/CAG Board shall condition its approval of the proposed development upon the owner of the subject property granting an avigation easement to San Mateo County, as the proprietor of San Carlos Airport. The local governmental agency with the ultimate permitting and approval authority over the proposed development shall ensure that this condition is implemented prior to final approval of the proposed development. If the approval action for the proposed development includes construction of a building(s) and/or other structures, the local permitting authority shall require the grant of an avigation easement to San Mateo County prior to issuance of a building permit(s) for the proposed building or structure. If the proposed development is not built, then, upon notice by the local permitting authority, San Mateo County shall record a notice of termination of the avigation easement. The avigation easement to be used in fulfilling this condition is presented in Appendix E-1A.
Overflight Policy Update
There are currently two overflight policies in the SQL ALUCP:
- Overflight Policy 1 – Real Estate Transfer Disclosure
- Overflight Policy 2 – Overflight Easement Review Area
Update Section 4.2.4 Overflight Policy 2 to remove references to easements as a form of disclosure and incorporate a recorded deed notice requirement within a new Overflight Notification Zone 2 (contiguous with the current Airport Influence Area B), as follows:
Overflight Policy 2 – Overflight Easement Review Area/Overflight Notification Zone 2
The Overflight Notification Zone 2 is depicted on Exhibit 4-6. All new residential development projects within Overflight Notification Zone 2 subject to discretionary review by the relevant jurisdiction shall incorporate a recorded deed notice requirement as a condition of approval in order to provide a permanent form of overflight notification to all future property owners. An example of the Deed Notice to be used to fulfill this condition is included in Appendix E, Exhibit E-4.
The 1996 CLUP established an Avigation Easement Review Area (AERA) that is based on the CNEL 55 dB contour, the FAR Part 77 horizontal surface, the FAR Part 77 approach surface, and the FAR Part 77 transitional surface. The AERA is hereby modified as follows:
a. The AERA is renamed the Overflight Easement Review Area (OERA)
b. The OERA boundary for San Carlos Airport is based on the combination of the:
1. 60 dB CNEL noise contour as depicted on Exhibit 4-2
2. The FAR Part 77 horizontal surface as depicted on Exhibit 4-4
3. The FAR Part 77 approach surface depicted on Exhibit 4-4
4. The FAR Part 77 transitional surface depicted on Exhibit 4-4
The C/CAG Board deems it necessary to: (1) ensure the unimpeded use of airspace in the vicinity of San Carlos Airport; (2) to ensure that new noise-sensitive land uses within the CNEL 60 dB contour are made compatible with aircraft noise in accordance with California Code of Regulations, Title 21, Section 5014; and (3) to provide notice to owners of real property near San Carlos Airport of the proximity to the airport and of the potential impacts that could occur on the property from airport/aircraft operations. Both the C/CAG ALUC and the C/CAG Board, acting as the Airport Land Use Commission, will consider the need for the granting of an avigation easement to the County of San Mateo, as part of their reviews of proposed local agency land use policy actions that affect property within the defined OERA for San Carlos Airport. The request for the grant of an avigation easement will be made to the local agency that is proposing the land use policy action and will be based on the following criteria:
a. The proposed land use policy action involves real property located within the OERA and includes adoption of one or more of the following:
1. General Plan
2. General Plan Amendment
3. Zoning Ordinance
4. Zoning Ordinance Amendment
5. Specific Plan
6. Specific Plan Amendment
b. The proposed land use policy action would either permit or result in the development or construction of noise-sensitive land uses that are considered to be conditionally compatible with aircraft noise of CNEL 60 dB or greater;
c. The proposed land use policy action would allow the construction of structures or other objects in the vicinity of San Carlos Airport that could exceed the height standards defined in FAR Part 77, Subpart C;
d. The proposed land use policy action would allow land uses that may cause visual, electronic, navigational, or wildlife hazards to aircraft in flight or taking off or landing at San Carlos Airport.
The process for requesting the grant of an aviation easement to the County of San Mateo will include the following steps:
1. The C/CAG ALUC reviews a proposed local agency land use policy action and submits a recommendation to the Airport Land Use Commission (C/CAG Board), regarding a request for a grant of an aviation easement to the County of San Mateo.
2. The Airport Land Use Commission (C/CAG Board) reviews the proposed local agency land use policy action and considers the ALUC recommendation.
3. If the Airport Land Use Commission (C/CAG Board) concurs with the ALUC recommendation it shall notify the affected local agency of its action and shall formally request the agency to require the grant of an aviation easement to the County of San Mateo as part of the agency’s final approval of the proposed action.
When deemed necessary, the C/CAG Board shall condition its approval of the proposed development upon the owner of the subject property granting an aviation easement to San Mateo County, as the proprietor of San Carlos Airport. The local governmental agency with the ultimate permitting and approval authority over the proposed development shall ensure that this condition is implemented prior to final approval of the proposed development. If the approval action for the proposed development includes construction of a building(s) and/or other structures, the local permitting authority shall require the grant of an aviation easement to San Mateo County prior to issuance of a building permit(s) for the proposed building or structure. If the proposed development is not built, then, upon notice by the local permitting authority, San Mateo County shall record a notice of termination of the aviation easement. The aviation easement to be used in fulfilling this condition is presented in Appendix E.
Amend Exhibit 4-6 to rename the existing Overflight Notification Zone as Overflight Notification Zone 1 and incorporate Overflight Notification Zone 2 (contiguous with the current Airport Influence Area B), as shown:
Exhibit 4-6
Overflight Notification Zone – San Carlos Airport
SOURCE: Aerial - Maxar, 2019; CCAG; ESA Airports, 2021
Replace Existing Appendix E.1, Avigation Easement, with the following:
Appendix E
Implementation Materials
E.1 Avigation Easements
Avigation easements transfer certain property rights from the owner of a property to the owner of the airport (i.e., the County of San Mateo). ALUCs may recommend the dedication of an avigation easement as a condition for approval of development on property subject to high noise levels. Avigation easements can also be used to restrict heights of structures and trees to less than might ordinarily occur on a property. Samples of standard avigation easements for San Carlos Airport are presented in Exhibit E-1A Grant of Airspace Protection Avigation Easement and E-1B Grant of Noise Avigation Easement.
Exhibit E-1A: Grant of Airspace Protection Avigation Easement
When recorded return to:
County of San Mateo
County Manager’s Office
Real Property Division
455 County Center, 5th Floor
Redwood City, CA 94063
COUNTY OF SAN MATEO
AVIGATION EASEMENT
This easement is made this __________ day of __________________ by and between ________________________________________________________, hereinafter referred to as "GRANTOR" and the County of San Mateo, a political subdivision of the State of California, hereinafter referred to as "COUNTY" or "GRANTEE."
Recitals
A. COUNTY is the owner of certain real property, commonly known as the San Carlos Airport, situated in the County of San Mateo, State of California and generally described as Assessor Parcel Numbers 046-081-730; 600; 680 and 700; 046-082-010; 095-030-210 and 230; 095-222-070; 130 and 140. The County of San Mateo operates the San Carlos Airport as a Category B-II, General Aviation Airport, as defined in Federal Aviation Administration Advisory Circular 150/5300-13 “Airport Design” and Federal Aviation Regulations, Part 77. For purposes of this easement, the San Carlos Airport property is the dominant tenement.
B. GRANTOR is the owner in fee of certain real property situated in the County of San Mateo, State of California, as more particularly described in Exhibit A attached hereto, and incorporated herein by reference (the "Grantor Property"). For purposes of this easement, the Grantor Property is the servient tenement.
C. GRANTOR has proposed a _____________________________________________________________, near San Carlos Airport.
D. GRANTOR and GRANTEE wish to establish the terms and conditions of an aviation easement so that the aircraft that use San Carlos Airport will have the right to use the airspace over and above GRANTOR'S property.
NOW, THEREFORE, the parties hereto agree as follows:
1. GRANT OF EASEMENT
Grantor GRANTS to COUNTY, its successors and assigns a perpetual easement over the Grantor Property, as described in Exhibit A hereto, on the terms and conditions stated herein. The easement is an easement appurtenant to the San Carlos Airport, and an easement in gross as to the general flying public using San Carlos Airport.
2. PURPOSE OF EASEMENT
The purposes of this easement are (1) to allow for the free and unobstructed passage and flight of operationally compatible aircraft using San Carlos Airport, in through, over and across the airspace of the Grantor Property and (2) to provide notice to GRANTOR and any future owners of the GRANTOR property that the PROPERTY is located in the vicinity of San Carlos Airport and may be subject to impacts of aircraft operations at such airport.
3. RIGHTS GRANTED BY EASEMENT
Subject to limitations in Paragraph 5, below, this easement grants to the COUNTY and members of the public who use San Carlos Airport, the right to fly aircraft in the airspace above the Grantor Property, together with the following rights:
a) For the use and benefit of the public, the easement and continuing right to fly, or cause or permit the flight by any and all persons, or any aircraft, of any and all kinds now or hereafter known, in, through, across, or about any portion of the Airspace hereinabove described; and
b) A continuing right to clear and keep clear from the Airspace any portions of buildings, structures, or improvements of any kinds, and of trees or other objects, including the right to remove or demolish those portions of such buildings, structures, improvements, trees, or other things which extend into or above said Airspace, and the right to cut to the ground level and remove, any trees which extend into or above the Airspace; and
c) The right to mark and light, or cause or require to be marked or lighted, as obstructions to air navigation, any and all buildings, structures, or other improvements, and trees or other objects, which extend into or above the Airspace; and
d) The right of ingress to, passage within, and egress from the hereinabove described real property, for the purposes described in subparagraphs (3) and (4) above at reasonable times and after reasonable notice.
e) The prohibition against creating on the real property electrical and electronic interference, glint, glare, and other conditions that would impair the vision of pilots, high-velocity exhaust
plumes, and other interference with radio, radar, microwave, or means of aircraft communication, and uses or features that make it difficult for pilots to distinguish between airfield navigation lights and visual aids and other lights, hazardous wildlife attractants, and other potential hazards to flight.
4. GRANTOR'S OBLIGATIONS
GRANTOR shall not construct, nor permit the construction of, nor permit the growth of, any structure, tree or other natural or man-made object that a) penetrates the designated transitional, horizontal or approach surface, as shown in Exhibit B, attached hereto and incorporated herein by this reference (hereafter "Prohibited Zone") such as to constitute an obstruction or hazard to air navigation as defined in 14 CFR Part 77, "Objects Affecting Navigable Airspace", or b) obstructs or interferes with the use of the flight easement and right of way granted herein, or c) creates electrical interference with radio communication between any installation located at San Carlos Airport and any aircraft, or d) impairs visibility to an extent that it interferes with the safe operation of aircraft at San Carlos Airport, or e) attracts wildlife which could be hazardous to aircraft in flight as determined by the FAA.
5. WAIVER AND RELEASE OF CLAIMS
GRANTOR hereby waives, releases, and discharges, for itself and on behalf of GRANTOR'S heirs, assigns and successors in interest to all or any part of the Grantor Property, any and all claims or causes of action it may have now or in the future against COUNTY arising out of any of the activities authorized under this easement to include, but not limited to, activities which cause noise, vibrations, fumes, exhaust, dust, fuel particles, radio and television interference, and other effects which may be caused by the legal and proper operation of aircraft landing at or taking off from, or operating at San Carlos Airport.
6. ACKNOWLEDGEMENT OF EFFECTS OF AIRCRAFT OPERATION.
The Grantor Property is located within the boundary of the adopted Airport Influence Area (AIA) and the airspace protection surfaces defined under 14 CFR Part 77 for the San Carlos Airport. GRANTOR acknowledges and understands that, because the GRANTOR'S private property is in close proximity to San Carlos Airport, operation of the airport and aircraft utilizing the airport may affect such property.
7. RESERVATION OF RIGHTS AGAINST UNLAWFUL OPERATION.
a) This grant of easement shall not operate to deprive the GRANTOR, and GRANTOR'S successors or assigns, of any rights that it may have against any individual or private operator of aircraft for negligent or unlawful operation of aircraft as such operation may affect the Grantor Property.
b) This grant of easement does not waive any claim GRANTOR or GRANTOR'S successors or assigns, or by any person lawfully on the Grantor Property, for damages for personal injury or damage to personal or real property sustained as a result of an aircraft crash or from objects falling from aircraft flying over the Grantor Property.
8. INTERPRETATION AND ENFORCEMENT.
a) COUNTY shall have the sole right and authority to enforce this easement on behalf of itself and members of the public using San Carlos Airport.
b) COUNTY may bring any action in court necessary to enforce the terms of this easement including, but not limited to, injunction to terminate a breaching activity, or an action to enforce the terms and provisions hereof by specific performance. The enforcement proceedings specified in this paragraph are not exclusive. Any forbearance on the part of the COUNTY to enforce the terms and conditions hereof shall not be deemed a waiver of COUNTY'S right regarding any subsequent breach.
9. COVENANT RUNS WITH THE LAND.
The covenants and agreements described herein shall run with the land and are binding upon the heirs, administrators, executors, successors and assigns of the GRANTOR and GRANTEE. This easement benefits and burdens the Grantor Property and the San Carlos Airport property.
10. APPLICABLE LAW.
Provisions of this easement shall be interpreted, applied and enforced in accordance with the provisions of State and Federal Laws recited herein as they exist as of the effective date of this easement, except to the extent such provisions are preempted by any future amendment or amendments to such State or Federal laws, in which case the amended provisions of State and Federal law shall apply.
11. TERMINATION.
This grant of easement, and the covenants and agreements contained therein, shall continue in effect until San Carlos Airport shall be permanently abandoned and shall cease to be used for public airport purposes.
______________________________
(NAME OF GRANTOR)
Dated: ___________________________ by: ______________________________________
APPROVED AS TO FORM
Dated: ___________________________ by: ______________________________________
City Attorney
COUNTY OF SAN MATEO
Dated: ___________________________ by: ______________________________________
County Manager
Exhibit E-1B: Grant of Noise Avigation Easement
When recorded return to:
County of San Mateo
County Manager's Office
Real Property Division
455 County Center, 5th Floor
Redwood City, CA 94063
COUNTY OF SAN MATEO
AVIGATION EASEMENT
This easement is made this __________ day of __________________ by and between
______________________________________________________, hereinafter referred to as "GRANTOR" and
the County of San Mateo, a political subdivision of the State of California, hereinafter referred to as
"COUNTY" or "GRANTEE."
Recitals
A. COUNTY is the owner of certain real property, commonly known as the San Carlos Airport, situated in
the County of San Mateo, State of California and generally described as Assessor Parcel Numbers 046-
081-730; 600; 680 and 700; 046-082-010; 095-030-210 and 230; 095-222-070; 130 and 140. The County
of San Mateo operates the San Carlos Airport as a Category B-II, General Aviation Airport, as defined in
Federal Aviation Administration Advisory Circular 150/5300-13 “Airport Design” and Federal Aviation
Regulations, Part 77. For purposes of this easement, the San Carlos Airport property is the dominant
tenement.
B. GRANTOR is the owner in fee of certain real property situated in the County of San Mateo, State of
California, as more particularly described in Exhibit A attached hereto, and incorporated herein by
reference (the "Grantor Property"). For purposes of this easement, the Grantor Property is the servient
tenement.
C. GRANTOR has proposed a _________________________________________________________________,
near San Carlos Airport.
D. GRANTOR and GRANTEE wish to establish the terms and conditions of an avigation easement so that
the aircraft that use San Carlos Airport will have the right to use the airspace over and above
GRANTOR'S property.
NOW, THEREFORE, the parties hereto agree as follows:
1. GRANT OF EASEMENT
Grantor GRANTS to COUNTY, its successors and assigns a perpetual easement over the Grantor
Property, as described in Exhibit A hereto, on the terms and conditions stated herein. The easement is
an easement appurtenant to the San Carlos Airport, and an easement in gross as to the general flying public using San Carlos Airport.
2. PURPOSE OF EASEMENT
The purposes of this easement are (1) to allow for the free and unobstructed passage and flight of operationally compatible aircraft using San Carlos Airport, in through, over and across the airspace of the Grantor Property and (2) to provide notice to GRANTOR and any future owners of the GRANTOR property that the PROPERTY is located in the vicinity of San Carlos Airport and may be subject to impacts of aircraft operations at such airport.
3. RIGHTS GRANTED BY EASEMENT
Subject to limitations in Paragraph 5, below, this easement grants to the COUNTY and members of the public who use San Carlos Airport, the right to fly aircraft in the airspace above the Grantor Property, together with the following rights:
a) The right to cause such noise, vibration, fumes, exhaust, dust and fuel particles that result from the legal and proper operation of such aircraft.
b) The right to cause radio, television, and other electromagnetic interference associated with the legal and proper operation of such aircraft.
c) The right to cause such other effects that are inherent in the legal and proper operation of such aircraft.
5. COUNTY'S OBLIGATION UNDER GRANT OF EASEMENT
COUNTY shall exercise efforts to control and prohibit such aircraft operations at San Carlos Airport which:
a) are in violation of Federal noise abatement regulations and operational and noise abatement flight procedures set forth in Volume 14 of the Code of Federal Regulations and Federal Aviation Administration (FAA) orders applicable to aircraft operations at San Carlos Airport; or
b) cause noise impacts in violation of Title 21, Subchapter 6 of the California Code of Regulations.
A violation or violations of the noise criteria set forth in this paragraph shall not operate to invalidate this easement or any provision of this easement or relieve GRANTOR from complying with the provisions of this easement.
6. WAIVER AND RELEASE OF CLAIMS
GRANTOR hereby waives, releases, and discharges, for itself and on behalf of GRANTOR'S heirs, assigns and successors in interest to all or any part of the Grantor Property, any and all claims or causes of action it may have now or in the future against COUNTY arising out of any of the activities authorized under this easement to include, but not limited to, activities which cause noise, vibrations, fumes, exhaust, dust, fuel particles, radio and television interference, and other effects which may be caused by the legal and proper operation of aircraft landing at or taking off from, or operating at San Carlo s Airport.
7. ACKNOWLEDGEMENT OF EFFECTS OF AIRCRAFT OPERATION.
The Grantor Property is located within the boundary of the adopted Airport Influence Area (AIA) and the CNEL 60 dB and higher contours for the San Carlos Airport. GRANTOR acknowledges and understands that, because the GRANTOR’S private property is in close proximity to San Carlos Airport, operation of the airport and aircraft utilizing the airport may affect such property.
8. LIMITATIONS ON NOISE.
This grant of easement shall not: extend to permit an aircraft noise level over the Grantor Property that exceeds 65dB CNEL.
9. RESERVATION OF RIGHTS AGAINST UNLAWFUL OPERATION.
a) This grant of easement shall not operate to deprive the GRANTOR, and GRANTOR’S successors or assigns, of any rights that it may have against any individual or private operator of aircraft for negligent or unlawful operation of aircraft as such operation may affect the Grantor Property.
b) This grant of easement does not waive any claim GRANTOR or GRANTOR’S successors or assigns, or by any person lawfully on the Grantor Property, for damages for personal injury or damage to personal or real property sustained as a result of an aircraft crash or from objects falling from aircraft flying over the Grantor Property.
10. INTERPRETATION AND ENFORCEMENT.
a) COUNTY shall have the sole right and authority to enforce this easement on behalf of itself and members of the public using San Carlos Airport.
b) COUNTY may bring any action in court necessary to enforce the terms of this easement including, but not limited to, injunction to terminate a breaching activity, or an action to enforce the terms and provisions hereof by specific performance. The enforcement proceedings specified in this paragraph are not exclusive. Any forbearance on the part of the COUNTY to enforce the terms and conditions hereof shall not be deemed a waiver of COUNTY’S right regarding any subsequent breach.
11. COVENANT RUNS WITH THE LAND.
The covenants and agreements described herein shall run with the land and are binding upon the heirs, administrators, executors, successors and assigns of the GRANTOR and GRANTEE. This easement benefits and burdens the Grantor Property and the San Carlos Airport property.
12. APPLICABLE LAW.
Provisions of this easement shall be interpreted, applied and enforced in accordance with the provisions of State and Federal Laws recited herein as they exist as of the effective date of this easement, except to the extent such provisions are preempted by any future amendment or amendments to such State or Federal laws, in which case the amended provisions of State and Federal law shall apply.
13. TERMINATION.
This grant of easement, and the covenants and agreements contained therein, shall continue in effect until San Carlos Airport shall be permanently abandoned and shall cease to be used for public airport purposes.
______________________________
(NAME OF GRANTOR)
Dated: __________________________ by: ______________________________________
APPROVED AS TO FORM
Dated: __________________________ _______________________________________
City Attorney
COUNTY OF SAN MATEO
Dated: __________________________ by: ______________________________________
County Manager
Add Exhibit E-4 – Sample Deed Notice, to Appendix E, as follows:
E-4 Sample Deed Notice
A statement similar to the following should be included on the deed for any real property subject to the deed notice requirements set forth in the Comprehensive Airport Land Use Compatibility Plan for the Environs of San Carlos Airport. Such notice should be notarized and recorded by the county of San Mateo. Also, this deed notice should be included on any parcel map, tentative map, or final map for subdivision approval.
DEED NOTICE
This Deed Notice concerns the real property situated in the County of San Mateo and the City of ____________________________, State of California, described as ____________________________ [APN No.: _______].
This Deed Notice provides notification of the condition of the above described property in recognition of, and in compliance with, CALIFORNIA BUSINESS & PROFESSIONS CODE Section 11010 and CALIFORNIA CIVIL CODE Sections 1102.6, 1103.4 and 1353, effective January 1, 2004, and related state and local regulations.
and consistent with policies of the Airport Land Use Commission for the overflight notification provided in the Comprehensive Airport Land Use Compatibility Plan for the Environs of San Carlos Airport.
The Comprehensive Airport Land Use Compatibility Plan for the Environs of San Carlos Airport and [Insert County/City name] Ordinance (Ordinance No. ____________) identify this property as being located within Overflight Notification Zone 2. Properties within this area are routinely subject to overflights by aircraft using this public-use airport and, as a result, residents may experience inconvenience, annoyance, or discomfort arising from the noise of such operations. State law (Public Utilities Code Section 21670 et seq.) establishes that it is in the public interest of the people of the state of California to protect public health, safety, and welfare by ensuring the orderly expansion of airports and the adoption of land use measures that minimize the public’s exposure to excessive noise and safety hazards within areas around public airports to the extent that these areas are not already devoted to incompatible uses. Residents of property near such airports should therefore be prepared to accept the inconvenience, annoyance, or discomfort from normal aircraft operations. Residents also should be aware that the current volume of aircraft activity may increase in the future in response to San Mateo County population and economic growth. Any subsequent deed conveying this parcel or subdivisions thereof shall contain a statement in substantially this form.
This Deed Notice shall be duly recorded with the San Mateo County Assessor’s Office, shall run with the Property, and shall be binding upon all parties having or acquiring any right, title or interest in the Property.
Effective Date: ________, 20____
Source: Modified from California Airport Land Use Planning Handbook (October 2011)
The following questions were offered at the Working Group meeting, with responses subsequently provided by the consultant team:
Q. The third option would eliminate the OERA in favor of AIA Area B? What would the impacts of expanding be?
A. The requirement for a recorded deed notice would be applicable in a larger area than the current policy requiring avigation easements. This would provide for enhanced overflight notification for new residential uses subject to discretionary approval by local jurisdictions.
Q. What would the recorded deed notice affect? What’s the liability for the owner?
A. The recorded deed notice would simply provide disclosure of aircraft overflight, and other impacts associated with aircraft operating at a nearby airport, and that the property is located within an Airport Influence Area (AIA). The deed notice would be required as a condition of approval of development of residential land uses in AIA-B. Unlike an easement, a deed notice would not carry an implication of conveyance of property rights. The notification would be less cumbersome to define and establish than avigation easements and would simply be included with the deed adding another layer of buyer awareness to the existing residential disclosure requirements required by state law (see e.g., Business and Professions Code, Sections 11010(a) and (b).)
Q. How would this be lifted from a title if conditions at the Airport change?
A. In the event that the conditions at the Airport change and the overflight policy is no longer applicable to the property in question, the property owner may present evidence of this to the County Clerk and request that the deed notice be revoked.
Q. Why do we need this deed notice if we are already getting real estate disclosure?
A. The real estate disclosure notice may be overlooked amid the closing paperwork completed at the time of purchase or lease of residential property. The deed notice would simply provide an additional layer of buyer awareness in areas closer in to the Airport.
Q. There are going to be fewer discretionary residential projects in the future. Whose responsibility is it to make sure this gets recorded? Do you need the property owner’s consent to do so?
A. The jurisdictions responsible for discretionary review of proposed residential development would impose the deed notice requirement as a condition of approval.
Q. Any area within AIA Area B from the surface up would be included?
A. Yes. The requirement applies to all areas within AIA-B from the surface up. All new residential development subject to discretionary review within AIA-B would be subject to this policy.
Q. Could a recorded deed notice affect the property value in a positive way since it states a material fact?
A. It would be speculative to say; however, per Caltrans guidance recorded deed notices give less of an appearance of having a negative effect on property value than aviation easements.
Q. If a deed is recorded on a residential property, and it is a rental, how would this policy help tenants?
A. This policy would not directly apply to tenants of residential developments. The recorded deed notice would serve as additional notification to buyers of real property that the proposed development is located in areas with aircraft overflight. Currently, Overflight Policy 1 recommends that notice of an airport in the vicinity should be provided as part of all real estate transaction, including leases, within the AIA for San Carlos Airport.
Q. What is the period of time for which the flight tracks (depicted in the shared figure) are associated?
A. The flight tracks depicted in Exhibit 4-5 of the ALUCP represent operations for the month of July 2013.
Q. What are the costs in terms of staff time?
A. Implementation of this policy is unlikely to result in anything more than a negligible increase in the costs currently associated with development approvals.
Q. What happens if the recorder rejects the deed language?
A. Discussions with the County Recorder’s Office indicate that they would record the deed notice. Further coordination with the County Recorder and County Attorney will be undertaken to ensure there are no issues with implementation of this policy.
Q. Can this revert to an avigation easement if the recorded deed notice is rejected by the recorder?
A. No. There is no provision for reversion to avigation easements included in this policy recommendation. Please note that avigation easements are still required for noise sensitive development located within the CNEL 60 dB contour and for development that penetrates the 14 CFR Part 77 horizontal, transitional, and approach surfaces or includes features that could interfere with aircraft in flight (e.g., electrical interference or wildlife hazard attractants). However, the principal purpose of these easements would no longer be overflight notification. The use of easements solely for overflight notification is not encouraged by Caltrans. Rather, an ideal application of deed notices is as a condition of approval for development of residential land uses in proximity to an airport where neither noise nor safety are major concerns, but frequent aircraft overflights might be annoying to some people.
Q. Are there other alternatives to an avigation easement, such as an overflight notification easement (that would only provide the notification without giving up any property rights) as a backup? Are there other alternatives to guarantee this disclosure if the recorder won’t record the deed notice, such as a “restrictive covenant”?
A. The overflight notification easement and recorded deed notice are very similar in nature and achieve the same thing – notification of aircraft overflight to buyers of residential real property. However, easements carry the implication of transfer of some property rights from the property owner to the easement holder. Since the purpose of the ALUCP Overflight Notification policies is to simply ensure that property owners and lessors are aware that aircraft are operating in the vicinity, a transfer of property rights, implied or otherwise, is unnecessary. Notification can be provided by means of a deed notice without this burden. A restrictive covenant is a vehicle used to limit a grantee’s use of a property. Again, as the purpose of the policy is to simply inform property owners and lessors that aircraft are operating in the vicinity, a restrictive covenant would be unnecessary and inadvisable for this purpose.
Q. In a project where there is no property transaction (simply a redevelopment by the existing owner), how do you impose this notice?
A. The policy would only apply to residential projects subject to discretionary review, where a recorded deed notice would be required as a condition of approval. The notice would then attach to the deed and pass from owner to owner in perpetuity.
Q. What happens for property in Overflight Notification Zone 2 which are not going to have a change of ownership? For example, a land owner builds an apartment complex and retains ownership of the building and land.
A. If the proposed land use requires discretionary approval, the deed notice would be a condition of approval. This would occur irrespective of any change in ownership. It is
important to note that the purpose of an ALUCP is to help ensure that *future* land uses in areas around airports are compatible with airport operations. State law limits the Airport Land Use Commission’s authority over existing land uses. If the property is redeveloped in the future with a land use requiring discretionary approval by the local jurisdiction, the policy would then become applicable. |
Selection of Sensors for Efficient Transmitter Localization
Arani Bhattacharya*, Caitao Zhan†, Himanshu Gupta†, Samir R. Das†, Petar M. Djuric†
*KTH Royal Institute of Technology, †Stony Brook University
email@example.com, {cbzhan, hgupta, firstname.lastname@example.org, email@example.com
Abstract—We address the problem of localizing an (illegal) transmitter using a distributed set of sensors. Our focus is on developing techniques that perform the transmitter localization in an efficient manner, wherein the efficiency is defined in terms of the number of sensors used to localize. Localization of illegal transmitters is an important problem which arises in many important applications, e.g., in patrolling of shared spectrum systems for any unauthorized users. Localization of transmitters is generally done based on observations from a deployed set of sensors with limited resources, thus it is imperative to design techniques that minimize the sensors’ energy resources.
In this paper, we design greedy approximation algorithms for the optimization problem of selecting a given number of sensors in order to maximize an appropriately defined objective function of localization accuracy. The obvious greedy algorithm delivers a constant-factor approximation only for the special case of two hypotheses (potential locations). For the general case of multiple hypotheses, we design a greedy algorithm based on an appropriate auxiliary objective function—and show that it delivers a provably approximate solution for the general case. We develop techniques to significantly reduce the time complexity of the designed algorithms by incorporating certain observations and reasonable assumptions. We evaluate our techniques over multiple simulation platforms, including an indoor as well as an outdoor testbed, and demonstrate the effectiveness of our designed techniques—our techniques easily outperform prior and other approaches by up to 50-60% in large-scale simulations.
I. INTRODUCTION
Wireless transmitter localization via analysis of the received signal from multiple receivers or sensors is an important problem. While the problem has been widely explored, the problem exposes new challenges in many emerging applications due to the constraints of the application. In this work, we are specifically interested in a distributed monitoring system where a set of distributed RF sensors are tasked to detect and localize transmitters. These transmitters could be of various type. For example, in certain spectrum allocation scenarios, unknown primary transmitters need to be detected/localized. Or, in spectrum patrolling scenarios, unauthorized transmitters need to be detected/localized [1]. Recent work has explored new approaches for such monitoring where the RF sensors are crowdsourced, perhaps using various low-cost spectrum sensing platforms [2], [3]. The crowdsourcing makes densely deployed, fine grain spectrum sensing practical by creating suitable incentive mechanisms [4], [2].
Crowdsourcing makes the sensing cost-conscious. The cost here could be incentivization cost, cost of power, backhaul bandwidth on the part of the spectrum owner or the opportunity cost – being low-cost platform, the sensors may be able to only sense smaller spectrum bands at a time. Thus, involving only a small number of sensors or sensors with low overall cost budget (for a suitable cost model) for sufficiently accurate localization performance is critical. Prior work [2] that discuss sensor selection in this context only presents heuristics without any performance guarantees.
We do not use geometric approaches which rely on hard-to-model mapping of received power to distance. Instead, we use a hypothesis-driven, Bayesian approach for localization [5]. We focus on the optimization problem of selecting a certain number of sensors from among the deployed sensors such that an appropriately defined objective of localization accuracy is maximized. This optimization problem can also be used to solve the dual problem of selecting a minimum number of sensors (or sensors with the minimum total cost budget) to ensure at least a given localization accuracy. We adopt the framework of a hypothesis-driven localization approach wherein each hypothesis represents a configuration (location, power, etc.) of the potential transmitters and then the localization is equivalent to determining the most-likely prevailing hypothesis. See Figure 1. The hypothesis-driven framework does not require an assumption of a propagation model, and works for arbitrary signal propagation characteristics. The framework does, however, require prior training to build joint probability distributions of observation vectors for each hypothesis.
Our Contributions. In the above hypothesis-based framework, we develop an overall approach that enables selection of sensors that are most relevant to localize transmitters. In particular, we develop algorithms that aim to maximize localization accuracy for a given budget of number of sensors to be used for localization. More specifically, we make the following contributions in the paper.
1) We design a greedy algorithm (GA) that selects sensors iteratively to maximize the objective function of localization accuracy, under the constraint of number of sensors selected. We prove that GA yields a constant-factor approximate solution for the special case of the problem wherein there are only two hypotheses.
2) For the general case of more than two hypotheses, we design an alternate greedy scheme (called AGA) based on maximizing an auxiliary objective function. We prove that
AGA delivers a solution that has (i) an auxiliary objective value within a constant factor of the optimal auxiliary objective value, as well as (ii) a localization error within a certain factor of the optimal localization error.
3) We optimize the time complexity of our developed algorithms by a substantial factor, based on certain observations and reasonable assumptions. In addition, we generalize our techniques to more practical and useful settings.
4) We evaluate the performance of the developed algorithms over multiple evaluation platforms: (1) large-scale simulation using synthetically generated data using established signal propagation models, and (2) publicly available experimental data trace collected over an indoor WiFi network with 44 sensors, and (3) our own data collection using 18 outdoor software radio sensors in the 915 MHz band with a custom transmitter. Results show that our techniques outperform other state-of-the-art algorithm [2] substantially (up to a factor of 50-60%).
II. BACKGROUND AND MOTIVATION
Problem Setting. The overall setting of the transmitter localization problem is as follows. Consider a geographic area, with a number of spectrum sensors deployed or available (if attached to mobile devices) at known locations. At any instant, one or more transmitters are allowed to transmit signals (on a common frequency). Each deployed/available spectrum sensor senses and processes the aggregate received signal, and reports appropriate metric (i.e., total received power or signal strength) to a central server which estimates the location of the transmitter(s) using the maximum-likelihood hypothesis algorithm as described below. The overall objective of our paper is to develop techniques to select an optimal subset of sensors in order to accurately localize any present transmitters. Though our developed techniques naturally extend to the case of multiple transmitters, for simplicity, we implicitly assume at most a single transmitter present at any instant. We consider the extension to multiple transmitters in §III-E. We start with defining basic notations used throughout the paper.
Hypotheses, Observations, and Inputs. We discretize the given space into locations $l_1, l_2, \ldots$, and transmit power of a potential transmitter is similarly discretized into levels $p_1, p_2, \ldots$. We represent potential “configurations” of the possible transmitter by hypotheses $H_0, H_1, \ldots, H_m$, where each hypothesis $H_i$ represents a configuration $(l_i, p_i)$ of location $l_i$ and transmit power $p_i$ of a potential transmitter (see Figure 1). We use the convention that hypothesis $H_0$ corresponds to no transmitter being present. Localizing any potential transmitter is thus equivalent to determining the prevailing hypothesis. To do this, we use observations from a set of deployed sensors. We denote the observation vector of a subset of sensors $T$ by $x_T$ (we usually drop the subscript $T$, as it is clear from the context).
Inputs. For a given set of sensors deployed over an area, we assume the following available inputs, obtained via a priori training, data gathering and/or analysis\footnote{In our concurrent work [6], we discuss novel interpolation techniques to minimize such training cost.}:
- Prior probabilities of the hypotheses, i.e. $P(H_i)$, for each hypothesis $H_i$,
- Joint probability distribution (JPD) of sensors’ observations for each hypothesis. More formally, for each hypothesis $H_j$, we assume $P(x_S | H_j)$ to be known for each observation $x_S$ for the entire set $S$ of deployed sensor. Note that this also gives us the JPD’s of each subset $T \subseteq S$.
Maximum a Posteriori Localization (MAP) Algorithm. We use Bayes rule to compute the likelihood probability of each hypothesis, from a given observation vector $x_T$ for a subset of sensors $T$:
$$P(H_i | x_T) = \frac{P(x_T | H_i) P(H_i)}{\sum_{j=0}^{m} P(x_T | H_j) P(H_j)}$$ \hspace{1cm} (1)
We select the hypothesis that has the highest probability, for given observations of a set of sensors. Formally, the MAP algorithm returns the hypotheses based on the following equation:
$$\arg \max_{i=0}^{m} P(H_i | x_T)$$ \hspace{1cm} (2)
The above MAP algorithm to determine the prevailing hypothesis is known to be optimal [7], i.e., it yields minimum probability of (misclassification) error. The above hypothesis-based approach to localization works for arbitrary signal propagation characteristics, and in particular, obviates the need to assume a propagation model. However, it does incur a one-time training cost to obtain the JPDs, which can be optimized via independent techniques [8].
Selection of Sensors for Localization. As mentioned above, in a typical setting, spectrum sensors may be deployed at predetermined locations or available at certain locations (if part of mobile devices) to sense unauthorized signals and thus localize any unauthorized transmitters. Two immediate problems of interest in this context are: where to deploy given a number of sensors, and once deployed/available, which subset of sensors
to select for localization. The latter problem of selection of sensors is motivated by the fact that, in most realistic settings, the sensors (or their mobile devices) are not tethered to AC power outlets and hence have limited energy resources. Moreover, spectrum sensors also incur cost in transmitting sensing data to the fusion/cloud center [9]. Thus, it is critical to optimize resources and costs incurred in localization of unauthorized transmitters, e.g., via the selection of an optimal set of sensors. Note that the sensor-selection problem can also be used to effectively deploy a given number of sensors, by assuming sensors available at all potential locations.
III. OPTIMAL SENSOR SELECTION FOR INTRUDER LOCALIZATION
In this section, we address the problem of sensor selection for transmitter localization; informally, the problem is to select an optimal set of $B$ sensors such that the overall probability of error of localizing a transmitter is minimized, given appropriate JPDs as discussed in the previous section. We start with formulating the problem in the following subsection. In following subsection, we present a greedy algorithm for it and prove that it is guaranteed to deliver an approximation solution for the special case of two hypotheses. However, as shown, the greedy algorithm can perform arbitrarily bad for the general case of multiple hypotheses. Thus, we then modify our algorithm to use an “auxiliary” objective function and show that the modified algorithm delivers an approximation solution for the general case of multiple hypotheses albeit with a slightly worse approximation ratio. Finally, we discuss optimizing the computation complexity of the designed algorithms, certain extensions and other issues.
A. LSS Problem Formulation
We start with formally defining the optimization objective (probability of error or misclassification) for a given subset of sensors. Then, we formally define the sensor selection problem, hereto referred to as Localization Sensor Selection (LSS) problem. Throughout this section, we use hypotheses $H_0$ to represent the hypotheses with no transmitters present, and $H_i$ to represent the hypotheses wherein a transmitter is present in $i^{th}$ configuration.
**Probability of Error ($P_{err}(T)$).** Recall that, for a given observation vector, the MAP localization algorithm outputs the hypothesis that has the most likelihood among the given hypotheses. Thus, MAP can also be looked upon as a classification technique. Given a subset of sensors $T$, we define the **probability of error** or misclassification as the probability of the MAP algorithm outputting a hypothesis different from the actual ground truth (i.e., prevailing hypothesis). The expected or overall probability of error is an expectation of the probability of error over all possible prevailing hypotheses and/or observation vectors $x_T$ from $T$. Our techniques generalize to the notion of distance-based localization error, as discussed in §III-E.
Formally, let $\hat{M}_{MAP}(x)$ be the output of the MAP algorithm on observation vector $x$ from a given subset of sensors $T$. Let $\delta_{\hat{M}_{MAP}(x)\neq H_i}$ be the binary predicate that denotes whether MAP algorithm outputs the hypothesis $H_i$ or not; here, $\delta_p$ is the indicator function which is 1 if the predicate $p$ is true and 0 otherwise. Given $H_i$ as the ground truth and $x$ as the observation vector, the probability of error $P_{err}(T|H_i,x)$ can be written as:
$$P_{err}(T|H_i,x) = \delta_{\hat{M}_{MAP}(x)\neq H_i}.$$
(3)
If the observation vector $x$ is not given, then the expected (or marginal) probability of error for a given ground truth $H_i$ is just an expectation over the random variable $x$. That is, $P_{err}(T|H_i)$ can be written as:
$$P_{err}(T|H_i) = \sum_x \delta_{\hat{M}_{MAP}(x)\neq H_i} P(x|H_i) = E_{x|H_i}[\delta_{\hat{M}_{MAP}(x)\neq H_i}]$$
Since expectation of an indicator random variable is its probability, we can simplify the above equation as:
$$P_{err}(T|H_i) = P(\hat{M}_{MAP}(x) \neq i|H_i)$$
(4)
Above, the probability is over the random variable $x$. Now, if the ground truth hypothesis is also not given, we can compute an expectation over all possible hypotheses. Thus, the (overall) **probability of error** for a given set of sensors $T$ is given by:
$$P_{err}(T) = \sum_i P(\hat{M}_{MAP}(x) \neq i|H_i) P(H_i)$$
(5)
**Localization Accuracy Function, $O_{acc}(T)$.** To facilitate a greedy approximation solution, we formulate our sensor selection as a maximization problem—and thus, define a corresponding maximization objective. In particular, we define the **localization accuracy** $O_{acc}(T)$ as $1 - P_{err}(T)$. Based on the above equation Eqn. 5, we get the expression for $O_{acc}(T)$ as:
$$O_{acc}(T) = 1 - P_{err}(T) = \sum_i P(\hat{M}_{MAP}(x) = i|H_i) P(H_i)$$
(6)
**Localization Sensor Selection (LSS) Problem.** Consider a geographic area with a set of sensors $S$ deployed. Given a set of hypotheses and JPD’s, as defined in previous section, the LSS problem is to select a subset $T \subseteq S$ of sensors with minimum probability of error $P_{err}(T)$ (or maximum localization accuracy $O_{acc}(T)$), under the constraint that $|T|$ is at most a given budget $B$. The above formulation implicitly assumes a uniform cost for each sensor; we generalize our techniques to handle non-uniform sensor costs (see §III-E).
It can be shown (proof omitted here) that the above LSS problem is NP-hard, via reduction from the well-known maximum-coverage problem. Thus, we develop approximation algorithms below; in particular, our focus is on developing greedy approximation algorithms. The key challenge lies in showing that the objective function satisfies certain desired properties that ensure the approximability of the algorithm.
B. Greedy Algorithm (GA)
In this subsection, we analyze a simple greedy approach and show that it delivers a constant-factor approximate solution for the special case of two hypotheses and Gaussian JPD’s. In the next subsection, we present a modified greedy algorithm for the general case of more than two hypotheses.
**Greedy Algorithm (GA):** A straightforward algorithm for the LSS problem is a greedy approach wherein we iteratively select a single sensor at each stage. At each stage, we select the sensor that improves the localization accuracy $O_{\text{acc}}(T)$ the most. The algorithm iterates until the given budget $B$ is reached. We call this algorithm Greedy Algorithm (GA); see Algorithm 1 for the pseudo-code.
**Constant-Factor Approximation for 2 Hypotheses.** We observe that when the spectrum sensors are deployed outdoors, the joint probability distribution (JPD) of the observation vectors is approximately Gaussian. See Figure 2, which shows the distribution obtained by a single RTL-SDR [10] based spectrum sensor and a USRP-based transmitter. This assumption of Gaussian JPDs allows us to derive closed-form expressions for the objective functions, at least for the case of 2 hypotheses, and thus prove a performance guarantee of 63%. The result is stated in Theorem 1 below.
**Theorem 1.** For the special case of two hypotheses and Gaussian JPDs, GA gives a subset $T$ of sensors whose localization accuracy is at least 63% of the optimal. $\square$
We defer the proof of the above theorem to Appendix A, but the performance guarantee of the greedy approach holds because the localization accuracy function $O_{\text{acc}}()$ can be shown to be “monotone” and “submodular” for the above special case. The function $O_{\text{acc}}()$ being monotone signifies that for a given $T$ and a sensor $s \notin T$, $O_{\text{acc}}(T \cup \{s\}) \geq O_{\text{acc}}(T)$. Intuitively, the monotone property means that adding a sensor to a set of already selected sensors can never decrease the localization accuracy. Also, $O_{\text{acc}}()$ being submodular signifies that for any subsets $T_1$ and $T_2$ such that $T_1 \subseteq T_2$, we can show that for any sensor $s \notin T_1$, $O_{\text{acc}}(T_1 \cup \{s\}) - O_{\text{acc}}(T_1) \geq O_{\text{acc}}(T_2 \cup \{s\}) - O_{\text{acc}}(T_2)$. Intuitively, the submodular property means that the “benefit” of adding a sensor $s$ decreases over GA’s iterations, i.e., as the selected set of sensor grows (from $T_1$ to $T_2$, here). It is well known that if an objective function is both monotone and submodular, then a greedy approach that iteratively maximizes the objective function will return a constant-factor approximate solution [11].
**Algorithm 1** Greedy Algorithm (GA).
**INPUT:** Set of available sensors $S$, budget $B$, objective $O_{\text{acc}}$
**OUTPUT:** Subset of sensors $T$
1: $T \leftarrow \phi$
2: **while** $|T| \leq B$ **do**
3: \hspace{1em} $L \leftarrow O_{\text{acc}}(T)$
4: \hspace{1em} max $\leftarrow 0$
5: \hspace{1em} **for all** $s \in S \setminus T$ **do**
6: \hspace{2em} $M = O_{\text{acc}}(T \cup \{s\}) - L$
7: \hspace{2em} **if** $M > \text{max}$ **then**
8: \hspace{3em} max $\leftarrow M$
9: \hspace{3em} $r \leftarrow s$
10: \hspace{2em} **end if**
11: \hspace{1em} **end for**
12: \hspace{1em} $T \leftarrow T \cup \{r\}$
13: **end while**
14: **return** $T$
**Performance of GA for more than two Hypotheses.** For the case of more than two hypotheses, GA no longer provides a constant-factor approximation. In fact, we can show via a counter-example that the $O_{\text{acc}}()$ is not submodular for more than 2 hypotheses, even if the given JPDs are Gaussian; we omit the details for space constraints.
C. Auxiliary Greedy Algorithm (AGA)
In the section, we design an approximation algorithm for the general case of multiple hypotheses based on an auxiliary objective function. To do so, we first analyze the proof of Theorem 1 and see why it doesn’t generalize if the number of hypotheses is greater than 2. This insight helps in defining an “auxiliary” objective function that is the key to designing the approximation algorithm for the general case.
**Auxiliary Function.** Let us consider a special case of MAP algorithm, viz., $\text{MAP}_{ij}$ which compares the likelihood of only two hypothesis $H_i$ and $H_j$ and returns the one with a higher likelihood. It is easy to formulate the objective function $O_{\text{acc}}$ in terms of $\text{MAP}_{ij}$ too. From Equation 6, we easily get:
$$O_{\text{acc}}(T) = \sum_{i=0}^{m} P(\bigcap_{j \neq i} \text{MAP}_{ij}(x) = i | H_i)P(H_i) \quad (7)$$
$$O_{\text{acc}}(T) = \sum_{i=0}^{m} [1 - P(\bigcup_{j \neq i} \text{MAP}_{ij}(x) = j | H_i)]P(H_i) \quad (8)$$
Above, $x$ represents the observation vector for the set of sensors $T$. For the case of two hypothesis, the above expression is just $\sum_{i=0}^{1} [1 - P(\text{MAP}_{ij}(x) = j | H_i)]P(H_i)$ where $j$ is 1 if $i$ is 0 and vice-versa. Theorem 1 essential shows that the term $P(\text{MAP}_{ij}(x) = i | H_i)$ is submodular. However, for the case of multiple hypothesis, computing the probability for a union of events involves product (and sum) of appropriate probability terms. Note that product of submodular functions need not be submodular, while sum of submodular functions is
submodular. Thus, we approximate the above $O_{\text{acc}}()$ expression as follows, so that it is a sum of submodular terms. In effect, in defining the auxiliary objective $O_{\text{aux}}()$, we estimate the probability of union of events in the above equation by just taking a summation of the probability of events, i.e., we ignore the other terms involving subsets of events. Formally, we define the auxiliary objective $O_{\text{aux}}()$ for a set of sensors $T$ as:
$$O_{\text{aux}}(T) = 1 - \sum_{i=0}^{m} \sum_{j \neq i} P(\text{MAP}_{ij}(x) = j|H_i)P(H_i)$$
The above auxiliary objection function is submodular if the JPDs are Gaussian, as it is a sum of submodular functions $P(\text{MAP}_{ij}(x) = i|H_j)$ is submodular, as per Theorem 1’s proof). Note that, for a competitive algorithm for the original LSS problem, we also need to show that maximizing $O_{\text{aux}}()$ also maximizes the original objective function $O_{\text{acc}}()$.
**Auxiliary Greedy Algorithm (AGA).** We now modify our Greedy Algorithm (Algorithm 1) to iteratively maximize the auxiliary objective $O_{\text{aux}}()$ instead of the original objective $O_{\text{acc}}()$. We call this algorithm as Auxiliary Greedy Algorithm (AGA). From the submodularity of the $O_{\text{aux}}()$ for Gaussian JPDs, it is easy to see that AGA delivers a solution $T$ s.t. $O_{\text{aux}}(T)$ is within 63% of the optimal $O_{\text{aux}}()$ possible. The following lemma states that maximizing $O_{\text{aux}}$ also maximizes $O_{\text{acc}}$. See Appendix B for a proof.
**Lemma 1.** Let $T$ be a subset of sensors already selected by AGA at some iteration. We claim that $O_{\text{aux}}(T) \leq O_{\text{acc}}(T) \leq 1 - \frac{1}{k}(1 - O_{\text{aux}}(T))$, where $k$ is a value less than $m$ that decreases as $T$ grows (i.e., over AGA’s iterations).
We empirically evaluate the value of $k$ defined above in §IV. The above lemma easily yields the below result.
**Theorem 2.** For Gaussian JPDs, AGA delivers a subset $T$ of sensors such that
$$P_{\text{err}}(T) \leq 0.37 + 0.63kP_{\text{err}}(\text{OPT}),$$
where $k$ is as defined in the above Lemma and $\text{OPT}$ is the optimal solution.
**D. Optimizing AGA’s Computation Cost**
In a straightforward implementation of AGA (akin to Algorithm 1 for GA), $O_{\text{aux}}$ function is computed (using Eqn. (9)) $Bn$ number of times where $n$ is the total number of sensors. Eqn. (9) requires $m^2$ computations of the expectation $P(\text{MAP}_{ij}(x) = j|H_i)$, which, for Gaussian distributions, effectively requires computing the Eqn. 10 and thus takes $O(B^2)$ time as it involves matrix multiplication of the observation vector of dimension $B$ with the covariance matrix of dimension $B \times B$. Thus, the overall time complexity of a straightforward implementation of AGA is $O(m^2nB^2)$. As mentioned before (and in §II), the number of hypotheses $m$ can be large due to the large number of potential transmitter locations and power values; however, we can reduce the time complexity to $O(Bn)$ as discussed below, based on some observations and optimizations.
**Reducing Number of Comparisons.** Consider a sensor $s$ whose benefit is to be computed in the for loop of Algorithm 1. Below, we show that effectively we only need to consider a constant number of $(H_1, H_2)$ pairs in Eqn. (9) when computing $s$’s benefit, and thus removing the $m^2$ factor from the time complexity. We implicitly assume a single transmitter in the below discussion, and later extend our argument to multiple transmitters. Let us use $R$ to denote the maximum transmission “range” of the transmitter; formally, $R$ is such that, beyond $R$, the probability distribution of the signal received from the transmitter is similar to the signal received when there is no transmitter present. We stipulate that any observation $x_s$ at $s$, $P(x_s|H_{l1}) = P(x_s|H_{l2})$ for any two hypotheses $H_{l1}$ and $H_{l2}$ whose corresponding locations $l_{i1}$ and $l_{i2}$ are more than $R$ distance away from $s$. The implication of the above observation is that, for a given sensor $s$, we can group all the hypotheses $H_i$ with corresponding location $l_i$ more than $R$ distance away from $s$ into one single “super” hypothesis $H_s$. Then, if the total number of hypotheses with corresponding locations within a distance of $R$ from $s$ is say $G_R$, then the total number of comparisons between pairs of hypotheses in Eqn. (9) is effectively only $(G_R + 2)^2$, involving $G_R$ hypotheses, $H_0$, and $H_s$. The above brings down the overall time complexity of AGA to $O(G_R^2nB^2)$. Note that $G_R$ is essentially equal to the number of grid locations within a circle of radius $R$ times the total number of power levels, and thus, can be considered as constant (does not vary across problem instances)—which reduces AGA’s time complexity to $O(nB^3)$.
**Independent Sensor Observations.** If we assume that the observations across sensors are conditionally independent, then the JPDs can be instead represented by independent probability distributions at each sensor location. In this case, the covariance matrix is purely diagonal, which allows us to “incrementally” compute the benefit of a sensor from one AGA iteration to another and thus reduce AGA’s time complexity by an additional factor of $B^2$—and thus to $O(nB)$. See Appendix C for details.
**E. Generalizations**
**Weighted (Distance-Based) Objective Function.** The probability of error $P_{\text{err}}$ function penalizes uniformly for each misclassification. However, in general, it would be useful to assign different penalties or weights for different misclassifications. E.g., Eqn (9) should be generalized to:
$$O'_{\text{aux}}(T) = 1 - \sum_{i=0}^{m} \sum_{j \neq i} w_{ij} P(\text{MAP}_{ij}(x) = j|H_i)P(H_i)$$
Above, $w_{ij}$ is the weight function. We note that our techniques and proofs of performance guarantees generalize easily to the above generalized formulation, irrespective of the weight function. In particular, weight $w_{ij}$ can be the Euclidean distance between the locations $l_i$ and $l_j$ corresponding to the hypotheses.
For the general case of multiple transmitters, where \( H_i \) and \( H_j \) may represent configuration of multiple transmitters, a minimum-cost matching based objective can be used to define the weight \( w_{ij} \); if the number of transmitters in \( H_i \) and \( H_j \) are different, then an appropriately penalty for misses or false-alarms can be added to the weight.
**Non-Uniform Sensor Cost.** Another generalization of interest is to allow non-uniform cost for sensors, e.g., to prefer sensors with more (remaining) battery resources. Here, each sensor \( s \) may have a different cost \( c(s) \), and the LSS problem constraint becomes: total cost of the selected set of sensors must be less than a given cost budget. For this version of the LSS problem, our algorithms need to be slightly modified in that we should pick the sensor that offers the highest improvement in the objective function per unit cost. To ensure a theoretical performance guarantee, we also need to use the “knapsack trick,” i.e., to pick better of the two solutions: one returned by the modified algorithm, and the other the best one-sensor solution [12]. It can be shown that the overall algorithm still offers a theoretical performance guarantee for submodular functions, but the performance ratio is reduced by a multiplicative factor of 2. The above model is useful when designing a “load-balanced” strategy to maximize network lifetime of a system—therein, the sensor-selection algorithm must be run periodically based on the remaining battery resources.
**Multiple Transmitters.** Till now, we have implicitly assumed that a single transmitter was present. Our selection\(^3\) techniques naturally generalize to the case of multiple transmitters, if we represent each combination of configurations of present transmitters by a separate hypothesis. Since the GA and AGA algorithms are formulated in terms of hypotheses, they generalize naturally to localization of multiple transmitters. However, the key challenge arises due to the large number of hypotheses—exponential in the number of potential transmitters—and thus, the high time complexity of AGA. Fortunately, the techniques discussed in previous subsection can be extended for the case of multiple transmitters as follows.
The key observation is that, for a given hypothesis \( H_s \), the probability distribution of observations at a sensor \( s \) depends only on the configuration of transmitters in \( H_s \) that within a distance of \( R \) of \( s \). I.e., for any observation \( x_s \) at a sensor \( s \), \( P(x_s | H_{i1}) = P(x_s | H_{i2}) \) for any two hypotheses \( H_{i1} \) and \( H_{i2} \) that have the same configuration (locations and powers) for transmitters that are within a distance of \( R \) of \( s \). The implication of the above observation(s) is that, for a given \( s \), we can group the given hypotheses into equivalence classes based on the configuration of transmitters close of \( s \), and to compute the benefit of a sensor \( s \) with AGA’s iteration, we only need to compare pairs of equivalence classes (rather than the original hypotheses). The number of such equivalence classes is easily seen to be equal to \( G_R^T \) where \( G_R \) is the number of locations (grid cells) within \( R \) times the number of power levels, and \( T \) is the maximum number of transmitters possible/allowed within a range \( R \) of \( s \) (or any location). Thus, computation of benefit of \( s \) requires consideration of \( G_R^{2T} \) pairs of equivalence classes. If we assume \( T \) to be a small constant, then the overall time complexity of AGA reduces to \( O(nB^3) \) as before, and to \( O(nB) \) if we assume conditional independence of sensor observations.
### IV. Evaluation
In this section, we evaluate the performance of our algorithms developed in the previous sections. We first describe the evaluation platforms used in our experiments.
#### A. Evaluation Platforms
We use the following three evaluation platforms with varying fidelity of signal propagation characteristics, to demonstrate the performance of our techniques.
- **Simulation based on synthetic data.** To demonstrate the scalability of our techniques and the sensitivity of our algorithms to changes in settings, we consider a large geographic area of 4km by 4km, with signal path-loss values generated using the SPLAT! [13] application for the Longley-Rice [14] model. We use the noise in the sensor measurements (measured independently) to generate the required JPDs. We assume observations to be conditionally independent, thus representing the JPDs as set of probability distributions, one for each sensor and intruder configuration pair. Unless otherwise stated, for this large-scale platform, we use 100m x 100m grid cells giving 1600 potential locations, randomly deploy a transmitter at the height of 30m at a random power between 27-33 dBm which corresponds to roughly 250-750m of transmission range. We randomly deploy 100 spectrum sensors in the area.
- **Indoor Data.** We use publicly available data [15], which deploys transmitters and receivers at 44 locations in an indoor building of an area of \( 14m \times 14m \), with the transmitters sending signals at 2.443 GHz. Here, we use 1m x 1m grid cells, thus giving us a total of 196 potential locations and hypotheses.
- **Outdoor Testbed.** Finally, to evaluate our techniques in a more practical outdoor setting, we deploy our own testbed in a parking area of dimension \( 10m \times 10m \). Each grid cell has size of 1m x 1m. We place a total of 18 sensors on the ground. The sensors consist of single-board computers such as Raspberry Pi’s and Odroid-C2’s connected to an RTL-SDR dongle. The RTL-SDRs use dipole antennas. We collect raw Inphase-Quadrature (I/Q) samples from the RTL-SDRs [10], while transmitting data using a USRP-based transmitter from each grid cell at a height of 1.5m. We perform FFT on the I/Q and update the evaluation dataset description samples with a bin size of 256 samples to get the signal power values, and then utilize the mean and standard deviation of the power reported for each of the sensors.
**Metrics** We evaluate the performance of a localization strategy in terms of two key metrics; (i) Localization accuracy, i.e., \( O_{act}(T) \), and (ii) Weighted localization error, which weights
the misclassification error by the Euclidean distance between the actual and the predicted location (§III-E).
**Compared Algorithms.** We implement both of our designed algorithms, AGA and GA. We also implement two other techniques for comparison purposes. The first technique, called **Coverage**, is the selection heuristic from the recent work [2], which essentially tries to maximize the “coverage” of the sensors in a greedy manner.\(^3\) We also implement a **Random** algorithm which selects the required sensors randomly. We implement these algorithms in python, with extensive use of `numpy` library for vectorized operations. For our algorithms, we also leverage the data-level parallelism inherently present in computation of $O_{\text{acc}}$ and $O_{\text{aux}}$ by utilizing a GPU using numba library [16]. With the above, GA and AGA run in less than a minute, over a 3.3GHz i9-7900X CPU with 20 cores. To ensure that our results are statistically significant, we run each of the algorithms 100 times; the range of values is plotted in each of the figures.
**B. Simulation Based on Synthetic Data**
**Varying Budget.** Figure 3 shows the performance of our techniques for budgets varying from 1 to 20 sensors. We observe that AGA and GA easily outperform other two algorithms in terms of both metrics, with AGA outperforming even GA quite significantly. For example, AGA outperform **Coverage** by up to 39% and 56% for localization accuracy and error respectively, while outperforming GA by 15% and 50% for the two metrics respectively.
**Varying Number of Hypotheses.** We now show the performance of our algorithms in terms of localization accuracy, for varying number of hypotheses. In Figure 4, we plot three different cases: (i) the default configuration of 100m by 100m grid cells, (ii) a larger area of 6km by 6km with 100m by 100m grid cells giving 3600 potential locations, and finally (iii) a configuration with default 4km by 4km area, but smaller 62.5m by 62.5m grid cells. First, we observe that AGA continues to outperform other techniques significantly across different cases, with the performance gap between AGA and others increasing with increase in number of hypotheses. Also, as expected, with increase in area and thus number of hypotheses, the accuracy of each of the algorithms falls, but deterioration in AGA’s accuracy is much less compared to other techniques.
\(^3\)Their approach *Metropolis* performs worse than their greedy approach in open areas [2], and hence, not compared.
**Varying Sensor Density, and Non-Uniform Sensor Costs.** Figure 5 shows the accuracy of localization for varying sensor density (i.e., number of available sensors) with a fixed budget of 10 sensors. We observe that AGA continues to outperform other techniques, with localization accuracy of AGA significantly improving with increase in number of sensors. Surprisingly, however, the performance of other techniques reduces slightly with increase in number of sensors, across these specific set of experiments. We also evaluate performance of techniques under the setting of sensors with non-uniform cost. See Figure 6. We observe that AGA continues to outperform the other techniques in both metrics.
**Empirical Evaluation of $k$ Value.** We now evaluate the $k$ value as defined in Lemma 1. In particular, the performance guarantee of AGA depends on the value of $k$, with better performance guarantee for lower $k$ (ideally, $k$ should be equal to 1). Figure 7 shows the value of $k$ for varying budget. We observe that at low budgets, the value of $k$ is large, but it reduces with increases in budget. In particular, for budgets of 10 and 15 sensors, $k$ equals 1.78 and 1.19 respectively. This shows that AGA’s performance guarantee as per Theorem 2 reaches its near-best for a moderately small budget.
**Comparison with Optimal in Small Instances.** To confirm AGA’s performance with respect to optimal, we consider small instances of the problem and compare AGA with an optimal algorithm (exhaustive search). See Figure 8. We observe that AGA and optimal perform near-identically, with the optimal algorithm yielding at most 0.7% higher localization accuracy than AGA.
**C. Evaluation in Indoor and Outdoor Testbeds**
**Indoor Data.** We now evaluate our techniques over a publicly available data-trace taken in an indoor environment, as
described in the previous subsection. See Figure 9. We again observe similar performance trends as in previous experiments, for both the performance metrics. The relatively smaller performance gap between AGA and GA is likely due to smaller a number of hypotheses.
**Outdoor Testbed** Figure 10 shows the performance of various algorithms over our outdoor testbed described in the previous subsection. Observe that AGA again performs the best among all techniques in both the metrics. As in the indoor testbed, the performance gap between the AGA and GA is less compared to the large-scale simulations due to a small number of hypotheses. Note that because of the noise in the dataset, the localization accuracy reaches a maximum of only 75% even with all the 18 sensors.
## V. RELATED WORK
**Sensor Selection for Transmitter Localization.** A large number of works have developed techniques for detecting and localizing transmitters or intruders that emit radio signals [17], [18]. Note that the transmitter localization problem is slightly different from another well-studied problem of indoor localization [19], wherein a user is localized based on signal received from multiple transmitters; herein, the issue of selecting transmitters to localize the user has no incentive, and hence not been addressed before. To the best of our knowledge, none of these prior works on transmitter localization either have addressed the optimization problem addressed in the paper. The closest related works are [1] and [2] as discussed next. The work [1] focuses on detection of unauthorized transmitters using low-cost sensors in the context of shared spectrum systems; they consider the problem of selection of sensors in this context, and propose a heuristic with no performance guarantees. The key difference of our work from theirs is that they focus on detection of transmitters, which is a much simpler problem than localization of transmitters. In addition, [2] considers selection of sensors for transmitter localization, but with a objective of maximizing the “coverage” of the region by the sensors. They present heuristics without any performance guarantees. Nevertheless, we implement their approach and compare with our techniques (§IV).
**Sensor Selection in Sensor Networks.** Sensor selection is a natural problem to address in the context of wireless sensor networks deployed to detect and/or localize an event or phenomenon (see [20] for a survey). Many of these works have leverage the submodularity property to develop greedy approximation algorithms. The closest work among these is that of [21] which shows approximability of the greedy approach for the problem of minimizing uncertainty in estimating a spatial phenomenon (e.g., temperature). However, in general, the key difference of our work with these works is our desired objective function ($O_{\text{acc}}$ or $P_{\text{err}}$)—and thus, the making the proof of monotonicity and/or submodularity of the objective function very different. In our case, we had to even circumvent the non-submodularity of the objective function $O_{\text{acc}}$ by considering an appropriate auxiliary objective function.
**Online Selection of Sensors.** An alternate formulation of our sensor selection problem could be to select sensors adaptively based on the observations of previously selected sensors. This online problem is similar to the adaptive stochastic optimization problem addressed in other contexts [22], [23], [24], [25]. However, in online selection, a sensor is selected based on analysis (which will incur non-trivial latency) of observations of previous sensors. This makes localization based on near-simultaneous sensor observations, required to localize intermittent transmitters, infeasible. Also, note that online selection needs to be done anew for each localization, which may be performed very frequently (e.g., every second or fraction of a second) in many applications, e.g., spectrum patrolling. Thus, our focus is on offline selection.
## VI. CONCLUSION
In this work, we consider the hypothesis-driven approach for localization of transmitters, and develop techniques to optimize the localization accuracy under a constraint of limited resources. Developed techniques are shown to yield provably approximate solutions. Our work can be instrumental in maximizing the network lifetime of a spectrum monitoring and/or patrolling system. Our future work focusses on improving our theoretical performance guarantee results, and developing similar sensor selection approximation algorithms for other localization approaches that are not hypothesis-driven.
### APPENDIX A: PROOF OF THEOREM 1
Let $T$ be a given subset of sensors. For simplicity and without any loss of generality, let use assume that (i) the
JPD for $H_0$ has a zero mean, and (ii) the variance of the JPDs for both $H_0$ and $H_1$ is same ($\Sigma$). Thus, the JPD for $H_0$ is $N(0, \Sigma)$ and for $H_1$ is $N(p, \Sigma)$, where $N(\mu, \sigma)$ is a normal distribution with mean $\mu$ and variance $\sigma$, $p$ is the vector (one dimension for each sensor in T) of means, and $\Sigma$ is the covariance matrix. To prove the theorem, we will show the following for a given set of sensors T:
1) $P_{err}(T) = Q(\frac{1}{2} \sqrt{p^T \Sigma^{-1} p})$, where $p^T$ is the transpose of the $p$ vector and $Q()$ is the tail function.
2) $O_{acc}(T) = 1 - P_{err}(T)$ is monotone and submodular.
The theorem follows easily from the above, as it is well known that greedy algorithms for a monotone and submodular objective function yield a 63% approximation [11].
**Expression for $P_{err}(T)$**
We start with computing $P_{err}(T|H_0)$, i.e., the probability that MAP picks $H_1$ (i.e., $P(H_1|x) > P(H_0|x)$ when the prevailing hypothesis in $H_0$, based on an observation vector $x$ from T. We get:
$$P(H_1|x) = \frac{1}{\sqrt{2\pi\Sigma}} \exp[-\frac{1}{2} (x-p)^T \Sigma^{-1} (x-p)]$$
$$P(H_0|x) = \frac{1}{\sqrt{2\pi|\Sigma|}} \exp[-\frac{1}{2} x^T \Sigma^{-1} x]$$
Now, the expression $P(H_1|x) > P(H_0|x)$ is equivalent to $P(H_1|x)/P(H_0|x) > 1$ which simplifies to:
$$x^T \Sigma^{-1} p > \frac{1}{2} p^T \Sigma^{-1} p.$$
(10)
We are interested in computing the probability of above expression being true, given $H_0$. In essence, given $H_0$, we want to compute:
$$P_{err}(T|H_0) = P(x^T \Sigma^{-1} p > \frac{1}{2} p^T \Sigma^{-1} p)$$
$$= P(\frac{x^T \Sigma^{-1} p}{\sqrt{p^T \Sigma^{-1} p}} > \frac{1}{2} \sqrt{p^T \Sigma^{-1} p}) = Q(\frac{1}{2} \sqrt{p^T \Sigma^{-1} p}),$$
where $Q$ is the tail function of the standard Gaussian distribution. The last equation follows, since in $H_0$, the expression $\frac{x^T \Sigma^{-1} p}{\sqrt{p^T \Sigma^{-1} p}}$ has a mean of 0 and a standard deviation of 1.
Similarly, we can show that $P_{err}(T|H_1) = Q(\frac{1}{2} \sqrt{p^T \Sigma^{-1} p})$, since variance of the JPDs in $H_0$ and $H_1$ is same ($\Sigma$). Thus, $P_{err}(T) = Q(\frac{1}{2} \sqrt{p^T \Sigma^{-1} p})$, and the localization accuracy $O_{acc}(T)$ is:
$$O_{acc}(T) = 1 - P_{err}(T) = 1 - Q(\frac{1}{2} \sqrt{p^T \Sigma^{-1} p})$$
(11)
$O_{acc}()$ is Monotone and Submodular: First, we note that the value of $p^T \Sigma^{-1} p$ increases monotonically with “growth” (more dimensions) in $p$. Now, since $Q(z)$ is a monotonically decreasing function, we get $O_{acc}(T) > O_{acc}(T \cup \{s\})$. For submodularity, we note that $Q(z)$ is continuous, differentiable, with $\frac{d^2 Q(z)}{dz^2} > 0, \forall z > 0$. Thus, the rate of reduction of $Q(z)$ reduces with an increase in $z$. Thus, $O_{acc}$ is submodular.
**APPENDIX B: PROOF OF LEMMA 1**
We prove the lemma in three parts.
$O_{aux}(T) \leq O_{acc}(T)$. This directly follows from an application of Boole’s inequality [26] which states that the probability of a union of events is never greater than the sum of the probabilities of individual events. In particular, by Boole’s inequality, we have for all $i$:
$$P(\cup_{j \neq i} \text{MAP}_{ij} = j | H_i) \leq \sum_{j \neq i} P(\text{MAP}_{ij} = j | H_i)$$
(12)
Then, by multiplying each by $P(H_i)$, summing over all $i$, subtracting each side from 1, and noting that $\sum_i P(H_i) = 1$, we get $O_{aux}(T) \leq O_{acc}(T)$ using Eq (8) and Eq (9).
$O_{acc}(T) \leq 1 - \frac{1}{m} (1 - O_{aux}(T))$. To get this, we utilize the fact that the probability of a union of events is more than the probability of each of the individual events. Thus,
$$P(\cup_{j \neq i} \text{MAP}_{ij}(x) = j | H_i) \geq \max_{j \neq i} \{P(\text{MAP}_{ij}(x) = j | H_i)\} \quad \forall i.$$
We also have the below, as maximum is greater than mean:
$$\max_{j \neq i} \{P(\text{MAP}_{ij}(x) = j | H_i)\} \geq \frac{1}{m} \sum_{j \neq i} P(\text{MAP}_{ij}(x) = j | H_i) \quad \forall i,$$
where $0 \leq i \leq m$. Now, using Eq (8) and the above two equations, we get:
$$O_{acc}(T) \leq 1 - \frac{1}{m} \sum_{i=0}^{m} \sum_{j \neq i} P(\text{MAP}_{ij}(x) = j | H_i) P(H_i)$$
$$= 1 - \frac{1}{m} (1 - O_{aux}(T)).$$
The lemma now follows from the following fact, whose proof we omit for lack of space.
$$\frac{1 - O_{aux}(T')}{1 - O_{acc}(T')} \leq \frac{1 - O_{aux}(T)}{1 - O_{acc}(T)}, \quad \text{for any } T' \supseteq T.$$
**APPENDIX C: INDEPENDENT SENSOR OBSERVATIONS**
From Theorem 1’s proof and notations therein, note that Eq (9) can be written as:
$$O_{aux}(T) = 1 - \sum_{i} \sum_{j \neq i} Q((p_j - p_i) \Sigma^{-1} (p_j - p_i)^T) P(H_i),$$
(13)
where $Q(x)$ denotes the Gaussian Q-function [27]. Now, suppose we wish to compute $O_{aux}(T \cup \{s_k\})$ for a sensor $s_k$ whose observations have a mean of $p_{k,i}$ for hypothesis $H_i$ and a variance is $\sigma_k^2$. We denote the argument of $Q()$ in Eq (9) by $q_{ij}(T)$. Then, we have the following recurrence relation:
$$O_{aux}(T \cup \{s_k\}) = 1 - \sum_{i} \sum_{j \neq i} Q(q_{ij}(T \cup \{s_k\})) P(H_i)$$
(14)
We note that computing $q_{ij}(T)$ directly using Eq (13) takes $O(B^2)$ time. However, we can reduce the time complexity by computing $q_{ij}(T)$ incrementally in constant time by using:
$$q_{ij}(T \cup \{s_k\}) = q_{ij}(T) + (p_{k,i} - p_{k,j})/\sigma_k^2.$$
As computing the Q-function takes constant time, the above reduced the time complexity by a factor of $O(B^2)$.
ACKNOWLEDGMENTS
This work is supported by the NSF grant CNS-164296 and CNS-1815306.
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STUDY OF SILICA-BASED ELECTROSPUN NANOFIBERS AS A SCAFFOLD FOR HUMAN BONE MARROW MESENCHYMAL STEM CELLS
SYROVÁ Zdeňka\textsuperscript{1,2}, MAZEL Tomáš\textsuperscript{2}, CHUDOBA Josef\textsuperscript{1}, RYSOVÁ Miroslava\textsuperscript{1}, POLÁKOVÁ Dáša\textsuperscript{1}, PYTLÍK Robert\textsuperscript{3}
\textsuperscript{1}Institute for Nanomaterials, Advanced Technologies and Innovations, Technical University of Liberec, Liberec, Czech Republic, EU
\textsuperscript{2}First Faculty of Medicine, Charles University, Prague, Czech Republic, EU
\textsuperscript{3}Department of Hematology, First Faculty of Medicine, Charles University, Prague, Czech Republic, EU
Abstract
Electrospun nanofibers with their nanoscale structure and ability to mimic native extracellular matrix (ECM) harbor a great potential for biotechnology, biomedicine, and tissue engineering. Inorganic nanofibers, such as silica-based nanofibers, have attracted attention for their physical and chemical stability, surface functionalities and hydrophilic nature.
In this study, we tested biodegradable SiO$_2$ nanofibers prepared by sol-gel method and needleless electrospinning as a scaffold for human bone marrow mesenchymal stem cells (hMSC), cells which are promising for regenerative medicine. The nanofibers were tested for cytotoxicity and capability to support cell adhesion.
For cytotoxicity testing, the nanofibers were incubated for 24 or 72 hours in phosphate-buffered saline (PBS) or cell culture media supplemented with serum. The eluate was then applied to hMSC for either 24 hours or 4 days and cytotoxicity was evaluated using MTT assay. While eluates from PBS-treated nanofibers had no effect on the cells, eluates from nanofibers treated with serum-containing media had negative impact on cell metabolic activity.
The adhesion of hMSC to nanofibers was studied using confocal microscopy. The nanofibers supported cell adhesion, however cell survival was limited.
In conclusion, silica-based nanofibers supported the adhesion of hMSC, however, they were not sufficient for extended cultivation and nanofibre eluates decreased the viability of the cells. Additional tests will be necessary to clarify the interactions of hMSC with silica nanofibers and to optimize conditions for long-term cell survival.
Keywords: Silica nanofibers, electrospinning, sol-gel method, cytotoxicity, hMSC
1. INTRODUCTION
Many biocompatible polymers, mostly organic macromolecules, were successfully electrospun as either biodegradable or non-biodegradable mats for biomedical application. Due to their properties, such as specific surface, porosity, and fiber diameter, they can mimic the extracellular matrix and could therefore be used as scaffolds in wound dressing, as drug delivery systems, or carriers for cell cultivation [1]. Silica-based nanofiber mats, an example of inorganic nanofibers, can also be electrospun, mostly via the sol-gel process and needle electrospinning [2,3,4], and can be successfully used as scaffolds for cells [5]. Recently, needleless electrospinning has emerged as a new procedure for large scale nanofiber production for broad application. Instead of a needle, nanofibers in needleless electrospinning devices, such as “Nanospider”, are produced using a roller or a string [6]. Such nanofibers could potentially offer a cheap alternative to presently used organic fibers with many additional advantageous properties, including physical and chemical stability, surface functionalities, and hydrophilic nature.
Mesenchymal stem cells (MSCs) are multipotent stromal cells that can differentiate into a variety of cell types. They exhibit wide distribution in the body and from the perspective of function, they have a major role
in normal growth and tissue repair. MSCs can be isolated from various tissues, such as bone marrow, adipose tissue, dental pulp, etc. quite easily and can be kept and expanded in cell culture. Therefore, MSCs attract attention and interest for their great potential in tissue repair, regenerative medicine and tissue engineering [7].
Nanofibers for biomedical application as carriers for cells have to support cell attachment and function and need to match biocompatibility criteria. In this study we tested these criteria for biodegradable non-woven silica matrices prepared via the sol-gel process and used as a scaffold for human MSC (hMSC).
2. MAIN TEXT
2.1. Material and methods
$SiO_2$ nanofibers
Silica nanofibers were prepared by sol-gel method, needleless electrospinning, and subsequent thermal stabilization below 200°C [8,9].
Cell culture
hMSC were obtained from the Laboratory of Experimental Cell Therapy, First Faculty of Medicine, Charles University according to the Declaration of Helsinki and under the local ethical committee approval. Cell cultures were cultivated in tissue culture flasks with alpha-MEM (Gibco), supplemented with 10% fetal bovine serum (Gibco), 100 U/ml penicillin-streptomycin (Gibco) at 37°C in 5% CO$_2$/air. When cells became confluent, they were resuspended using trypsin-EDTA (Gibco).
Immunocytochemistry
Detection of hMSC adhering to silica nanofibers was performed using mouse anti-$\beta$-actin antibody. The samples were fixed for 20 min in 4% paraformaldehyde, followed by three 5-min washing steps in PBS and a 10-min incubation with 5% normal goat serum. Samples were then incubated with 5 $\mu$g/ml anti-$\beta$-actin antibody for 1 hour followed by three 5-min washing steps in PBS-Tx (0.25% Triton-X 100) and staining with anti-mouse Alexa 488 for 45 min at room temperature in darkness. After three 5-min washing steps in PBS, cell nuclei were stained with DAPI for 10 min. Leica SP5 confocal microscope was used to visualize adherent cells.
Adhesion assay
Viability and metabolic activity of adherent cells was tested with MTT assay. Cells were seeded at $2 \times 10^4$ cells/well and cultured in cell culture medium at 37°C with 5% CO$_2$/air 24 h or 72h before performing the MTT assay. Samples were washed in PBS and MTT solution (1 mg/ml in medium) was added for 3 h. Then the solution was aspirated and isopropanol was added. Synergy plate reader (BioTek) was used to assess cell viability by spectrophotometry at 570 nm (reference wavelength 650 nm).
Eluates
Samples of silica nanofibers ($1 \text{cm}^2$) were weighted and sterilized with UV light. Eluates were obtained by incubating 4 mg/ml of samples in PBS or cell culture medium supplemented with 5% or 10% serum at 37°C in 5% CO$_2$/air for 24h or 72h. PBS and culture medium supplemented with serum without silica nanofibers incubated under the same conditions served as a control.
MTT assay
Cytotoxicity was tested using the MTT assay. hMSC seeded at a density of $3 \times 10^3$/well were cultured at 37°C in 5% CO$_2$/air for 24 h prior to adding eluates / control. MTT assay was performed 24 or 96 hours later. Eluates were aspirated and MTT solution (1 mg/ml) was added to each well. Cells were incubated at 37°C in 5% CO$_2$/air for 3 hours. Thereafter, the MTT solution was aspirated and isopropanol was added. Synergy plate reader (Bio Tek) was used to assess cell viability by spectrophotometry at $\lambda=570$ nm (reference wavelength 650 nm).
Results of the MTT assay were expressed relative to controls (cells in control medium/PBS without silica nanofibers; considered 100%).
**Cell morphology analysis**
Confocal microscopy images were analyzed in ImageJ and CellProfiler [10].
**Statistical analysis**
Statistical analysis was performed using Mann - Whitney test (differences were tested at a significance level of 0.05).
### 2.2. Results
Silica nanofibers prepared by needleless electrospinning were tested as a scaffold for hMSC. **Fig. 1** presents confocal microscopy images 1, 2, and 3 days after seeding the cells on the scaffold. One day after seeding, hMSC were adhering to the nanofibers and had normally distributed cytoplasm and cytoskeleton (similar to normal adherent cell culture conditions). In contrast, on the 3rd day, many cells were rounded and their area (in z-projection) decreased by almost 60% (**Fig. 2A**). The MTT assay revealed a corresponding decline of cell metabolic activity and viability of approximately 30% (**Fig. 2B**).
**Fig. 1** Confocal microscopy images of hMSC cells seeded on silica nanofiber scaffolds: 1st day (A), 2nd day (B), and 3rd day (C). Cells were stained with anti-beta-actin antibody/Alexa 488 (green color) and DAPI (blue color)
**Fig. 2** Cell size (A) and viability (B) of hMSC seeded for 24–72 hours on silica-based scaffold. Cell viability was assessed using MTT assay
Cytotoxicity tests (**Fig. 3**) were performed with three different eluates of silica nanofibers incubated i) for 72 hours in PBS or culture media supplemented with 10% serum, or ii) 24 hours in culture media supplemented with 5% serum. In the first case, hMSC were exposed to eluates for 24 hours. PBS eluates did not significantly compromise cell metabolic activity and viability compared to controls (**Fig. 3A**). However, 24-hour exposure of
the cells to eluates from nanofibers incubated in culture media with 10% serum had a significant negative influence (Fig. 3B). Their viability was reduced to 84% (Fig. 3A). In the second case, the extended incubation time of 96 hours resulted in a mild but clearly pronounced decrease in cell metabolic activity and viability compared to 24-hour exposure (Fig. 3C).
**Fig. 3** Viability of hMSC exposed to eluates of silica nanofibers (MTT assay). A) After 24 hours of exposure to 72-hour eluates using two different solvents. B) Change in cell viability compared to control in individual experiments. C) Viability of cells after 24 and 96 hours of exposure to eluates of silica nanofibers incubated for 24 hours in culture medium supplemented with 5% serum
### 2.3. Discussion
Biocompatibility and biodegradability are two of the most important requirements imposed on materials used in biomedicine. Needle-electrospun silica nanofibers have already been successfully used as scaffold for several cell types, including Chinese hamster ovarian cells (CHO-K1), human hepatocellular carcinoma (HepG2) cells [4], or human osteoblastic MG63 cells [5]. Brázda et al. [11] have shown that needleless silica nanofibers (produced using technology identical to the one used in our study) may be biodegradable, at least when using simulated pulmonary fluids, and the nanofibers have been estimated to be safe. In our study we tested needleless silica nanofibers as a scaffold for hMSC, cells that are already used in clinical medicine.
Confocal microscopy and cell adhesion assays showed that this material can support hMSC adhesion and that hMSC cells seeded on these nanofibers are metabolically active. However, after three days in culture, the cells exhibited changes in cell morphology and a decline in viability. This finding is in contrast to the findings of Yamaguchi et al. [5] who found that silica nanofibers can support proliferation of HepG2 cells. However, they did not study cytotoxicity and they used an established cancer-derived cell line, which tend to be more resistant and have higher tendency to proliferate. They also observed a difference between heat-treated and non-heat-treated nanofibers. Whereas heat-treated fibers were better at supporting cell adhesion, non-heat treated nanofibers were better at supporting proliferation. The fact that our nanofibers were heat-treated could contribute to limited proliferation of the hMSC cells.
Regarding biocompatibility, in our research we focused on cytotoxicity tests under *in vitro* culture conditions. hMSC cells were exposed for 24 hours to eluates from nanofibers incubated for 24-72 hours in PBS or cell culture media supplemented with serum. We observed that the metabolic activity of cells was greatly influenced by the type of solvent used. Whereas PBS eluates did not significantly change cell metabolic activity and viability compared to controls, eluates from nanofibers incubated in culture medium supplemented with serum caused a significant reduction in cell viability and metabolic activity. This could be explained by the fact that in PBS the surface of the nanofibers was almost intact, whereas in cell culture medium supplemented with serum the fibers undergo partial degradation [12].
3. CONCLUSION
In conclusion, our study offers the first testing of needleless-electrospun silica nanofibers as scaffold for human bone marrow mesenchymal stem cells, cells that have already shown promising potential for regenerative medicine. In our experiments, needleless electrospun silica nanofibers revealed as a suitable scaffold to support adhesion of hMSC. However, these nanofibers in *in vitro* culture conditions tend to release eluates that are toxic to the cells and negatively impact their viability. More detailed studies aimed at optimizing the conditions for cell survival and function will be necessary.
ACKNOWLEDGEMENTS
*This research was supported by Centre for Nanomaterials, Advanced Technologies and Innovation (CZ.1.05/2.1.00/01.0005), the NPU project (LO1201), the VaVpI MŠMT Pre-Seed project (CZ.1.05/3.1.00/14.0295), and UNCE c. 204022.*
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[4] YAMAGUCHI T., SAKAI S., KAWAKAMI K. Application of silicate electrospun nanofibers for cell culture, *Journal Sol-Gel Science Technology*, Vol. 48, 2008, pp. 350-355.
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[9] STUDNÍČKOVÁ J., MARŠÁLKOVÁ M., EXNAR P., GRÁBMÜLLEROVÁ J., MÜLLEROVÁ, J. Thermal Properties of Silicon Oxide Nanofibers. In *6th Int. Conference TEXCSI 2007*. Liberec: Technical University in Liberec, 2007, pp. 117-118.
[10] CARPENTER A.E., JONES T.R., LAMPRECHT M.R., CLARKE C., KANG I.H., FRIMAN O., GUERTIN D.A., CHANG J.H., LINDQUIST R.A., MOFFAT J., GOLLAND P., SABATINI D.M. CellProfiler: image analysis software for identifying and quantifying cell phenotypes. *Genome Biology* 7, 2006, R100.
[11] BRÁZDA L., STUDNÍČKOVÁ J., PETR EXNAR P., HELEBRANT A. Kinetics of SiO2 nanofibres dissolution in the simulated lung Environment. *Advanced Materials Research*, Vol. 39-40, 2008, pp. 347-350.
[12] SYROVÁ Z., RYSOVÁ M., CHUDOBA J., MAZEJ T., POLÁKOVÁ D., PYTLÍK R. *In vitro* study of SiO2-Based Electrospun Nanofibers. In *NART 2015*. Liberec: Technical University in Liberec, 2015, submitted. |
The E5 protein of the human papillomavirus type 16 down-regulates HLA-I surface expression in calnexin-expressing but not in calnexin-deficient cells
Myriam Gruener, Ignacio G Bravo*, Frank Momburg, Angel Alonso and Pascal Tomakidi
Address: ¹Division of Cell Differentiation, German Cancer Research Center, Heidelberg, Germany, ²Division of Genome Modifications and Carcinogenesis, German Cancer Research Center, Heidelberg, Germany, ³Division of Molecular Immunology, German Cancer Research Center, Heidelberg, Germany, ⁴Department of Dental Medicine, University of Heidelberg, Heidelberg, Germany; and ⁵Experimental Molecular Evolution, Institute for Evolution and Biodiversity, University of Muenster, Muenster, Germany
Email: Myriam Gruener - firstname.lastname@example.org; Ignacio G Bravo* - igr email@example.com; Frank Momburg - firstname.lastname@example.org; Angel Alonso - email@example.com; Pascal Tomakidi - firstname.lastname@example.org
* Corresponding author
Published: 30 October 2007
Received: 7 September 2007
Accepted: 30 October 2007
Virology Journal 2007, 4:116 doi:10.1186/1743-422X-4-116
This article is available from: http://www.virologyj.com/content/4/1/116
© 2007 Gruener et al; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.
Abstract
The human papillomavirus type 16 E5 protein (HPV16 E5) down-regulates surface expression of HLA-I molecules. The molecular mechanisms underlying this effect are so far unknown. Here we show that HPV16 E5 down-regulates HLA-I surface expression in calnexin-containing but not in calnexin-deficient cells. Immunoprecipitation experiments reveal that calnexin and HPV16E5 can be co-precipitated and that this association depends on the presence of a wild-type first hydrophobic region of E5. When an E5 mutant (M1) in which the first putative transmembrane helix had been disrupted was used for the transfections calnexin-E5 co-precipitation was strongly impaired. In addition, we show that the M1 mutant is only able to marginally down-regulate HLA-I surface expression compared to the wild-type protein. Besides, we demonstrate that E5 forms a ternary complex with calnexin and the heavy chain of HLA-I, which is mediated by the first hydrophobic region of the E5 protein. On the basis of our results we conclude that formation of this complex is responsible for retention of HLA-I molecules in the ER of the cells.
Introduction
Epidemiological analyses have demonstrated a close association between infection of certain human papillomavirus (HPV) species within the Alphapapillomavirus genus and malignant growth of the human cervix epithelium [1-3], as HPV sequences have been found in virtually all cervical cancers [4]. HPV types associated to cervical cancer are phenomenologically named as "high-risk HPVes", and about 70% of the HPV sequences isolated from cervical lesions have been identified as being HPV type 16 or 18 [5,6]. High-risk HPV infection of the stratified epithelium occurs first in the basal cell layer, where transcription of the early genes E5, E6 and E7 takes place [7,8]. Upon upwards migration towards more superficial layers and concomitant differentiation of the infected keratinocyte, the late genes of the virus are expressed leading to the formation of viral particles and their release upon cell death.
During evolution the arms race between papillomaviruses (PVes) and their hosts has resulted in parallel selection of...
cellular mechanisms aiming to clear viral infection, such as inhibition of cellular apoptosis or uncoupling of the normal proliferation/differentiation program of the epithelium on the one hand, and in selection of viral mechanisms aiming to hamper cellular reaction directed to clear infection on the other. In this context, several molecular interactions between the oncogenes HPV16 E5, E6 and E7 and different apoptotic pathways have already been identified [9]. E6 and E7 modulate apoptosis by binding and inactivating p53 and the product of tumour suppressor gene Rb1 respectively [10,11], thereby deregulating the cell cycle. E5 impairs ligand-mediated apoptosis by reducing the amount of surface CD95 proteins or inhibiting the formation of the DISC complex [12], and affects the normal functioning of a number of membrane associated proteins, probably by modifying the composition and the interactions in the cell membranes [13]. Another mechanism evolved in certain PVes proceeds through down-modulation of the host adaptive immunoresponse. In this context it should be mentioned that whereas antibodies against E6 and against E7 have been found in blood of infected patients [14,15], no antibodies against E5 have been so far detected [16-18].
Using cellular systems it has been shown that HPV16 E5 expression results in down-regulation of cell surface expression of HLA-I and HLA-II molecules [19-22]. This down-regulation might result in diminished antigen-presentation and decreased adaptive immunoresponse of the host. Interestingly, a reduced expression of HLA-I molecules has also been detected in squamous cell carcinomas of the cervix compared to uninfected epithelium [23]. The decrease in HLA-I surface expression seems to be mediated by a failure in the HLA-complex transport systems to the cell membrane, which accumulate instead in the endoplasmic reticulum [22,24]. The molecular mechanisms that lead to this impaired intracellular trafficking are unknown. Recently it has been shown that HPV16 E5 may co-precipitate with the heavy chain of HLA-I in cells over-expressing the E5 protein [21]. Nevertheless, no biological evidence has been presented demonstrating that this association is responsible for the down-regulation of HLA-I surface expression. Thus, the intimate mechanisms responsible for the reduced amount of HLA-I molecules at the cell surface remain still elusive.
Calnexin is a chaperone that plays a major role in HLA-I maturation and surface transport [25-27]. Based on the observation that in cervical cancer lesions the expression of calnexin is deregulated [28], we hypothesize that this chaperone is involved in the E5-mediated down-regulation of HLA-I surface expression. In this communication we present experimental evidence showing that HPV16 E5 down-regulates cell surface expression of HLA-I in calnexin-expressing but not in calnexin-deficient cells. We further show that E5 associates and co-localizes with calnexin and forms a ternary complex with the heavy chain of HLA-I molecules. Further, we show that E5 mutants unable to bind calnexin fail to down-regulate cell surface expression of HLA-I molecules.
**Methods**
**Cells and recombinants**
HaCaT, Hela and HEK-293T cells were grown in DMEM (Gibco) supplemented with 10% heat-inactivated fetal calf serum (FCS) and 1% penicillin/streptomycin. The two subclones of a human T cell leukaemia cell line CEM-C7 [29] and the calnexin-deficient CEM-NKR [30,31] were grown in RPMI 1640 (Gibco) with 10% heat-inactivated FCS and supplements. The coding region of HPV16 E5, an E5 alpha type protein [32], containing a HA-tag at the 5-end terminus and was cloned into the pCI vector (Promega) devoid of the starting methionine. Further, an AU1-tagged version of the E5 gene with codon usage adapted to the human relative synonymous codon usage preferences (Accession Number EF463082) was cloned into the pCDNA 3.1(+) vector (Invitrogen). A GFP-E5 fusion recombinant was synthesized by ligating the E5 wild-type coding region to the C-terminal end of the green fluorescence protein gene of the pEGFP vector [33].
Mutant recombinants were prepared by changing amino acids (QuickChange® Site-Directed Mutagenesis Kit of Stratagene) in order to disrupt the putative transmembrane helix of each of the three domains of the E5 protein [34-36] without altering the length of the protein. All PCR-generated recombinants were confirmed by sequencing. Putative transmembrane domains of the E5 protein and the mutants were analysed using the TMHMM server version 2.0 [37,38].
**Transfections and confocal microscopy**
Cells were transfected with Lipofectamine (HaCaT cells) or using the calcium phosphate method (Hela, HEK-293T). CEM-C7 and CEM-NKR cell lines were electroporated using 1×107 cells in 200 µl PBS, 10 µg DNA and setting the pulser to 220 Volt and 960 µFarad (Bio-Rad GenePulser). Transfected CEM-C7 and CEM-NKR clones were selected with 0.8 mg/ml G418. For microscopy, transfected HaCaT cells were grown for 24 hours after transfection and then fixed with 4 % paraformaldehyde. Permeabilized, fixed cells were incubated with anti-AU1 (1:1000, Covance) or anti-calnexin (1:100, Santa Cruz), thoroughly washed and incubated with a secondary antibody labelled either with AlexaFluor® 488 or AlexaFluor® 594 (Molecular Probes). A LEICA laser scanning microscope (LEICA TCS SP) was used in all experiments.
**Immunoprecipitation**
CEM-NKR and CEM-C7 transfectants were lysed with a modified RIPA buffer (150 mM NaCl, 1% NP-40, 0.5% sodium deoxycholate, 0.1% SDS, 1 mM EDTA, 1 mM EGTA, 50 mM Tris-HCl pH 8.0) supplemented with protease inhibitors. HEK-293T and Hela cells were transfected with the corresponding recombinants or with the empty vector. At 20–24 hours post transfection, the cells were lysed with a CHAPS buffer (0.2 M NaCl, 50 mM HEPES pH 7.5, 2% CHAPS) containing phosphatase- and proteinase-inhibitors for 20 min at 4°C. From the cell extracts 0.5 up to 1.5 mg proteins were immunoprecipitated with 2 μg of anti-AU1, anti-HA, anti-GFP or anti-calnexin. Immunoprecipitates were collected with protein G-sepharose, separated on acrylamide gels, blotted onto PVDF membranes and incubated with the appropriate antibodies. Reacting bands were revealed with the Western Lightning™ Chemiluminescence Reagent Plus (Perkin Elmer).
**Peptide translocation-assay**
This assay was performed essentially as described [39] using the glycosylable peptide TNKTRIDGOY labeled with 125I by chloramine-T-catalyzed iodination. Cells were permeabilized with Streptolysin-O (Murex Diagnostics, Darford, UK). 2 x 106 CEM-C7 or CEM-NKR cells were incubated with peptide and 10 mM ATP in 0.1 ml translocation buffer (130 mM KCl, 10 mM NaCl, 1 mM CaCl2, 2 mM EGTA 2 mM MgCl2, 5 mM HEPES pH 7.3) for 20 min at 37°C. Following lysis in 1% NP-40 (Sigma-Aldrich, Taufkirchen, Germany) the glycosylated peptide fraction was isolated with 30 μl concanavalin A-Sepharose slurry (Amersham-Pharmacia, Freiburg, Germany) and quantified by γ-counting. For control 5.0 mM EDTA was added instead of ATP.
**Flow cytometry and antibodies**
HEK-293T cells were trypsinised 20 h post-transfection and incubated for 1 h in 37°C CO2-incubator to recover molecules expressed on the surface. CEM-NKR and CEM-C7 transfectants were stained with the HLA-A, B-reactive mAbs B9.12 [40]. Secondary antibodies were FITC-conjugated goat anti-mouse IgG (Dianova, 1:100) or PE-conjugated donkey anti-mouse IgG (Jackson ImmunoResearch Laboratories, 1:200). Incubations were performed in Eppendorf tubes for 45 min on ice in the dark, followed by two washes with ice-cold PBS/BSA. Cells were resuspended in 300 μl PBS/BSA and filtered in round-bottom polystyrene tubes (Greiner bio-one). Flow cytometry was performed with a FACSSort (Becton Dickinson).
**Statistical analysis**
Analysis of FACS data and Kolmogorov-Smirnov statistics were performed with CellQuest™ software (BD Bioscience). Paired data were analysed with both the Wilcoxon Matched-Pairs Signed-Ranks Test -more conservative- and with the paired Student’s t-test -less conservative. Inter-group comparisons were performed with both a Kruskal-Wallis test -more conservative- and with a one-way Analysis Of Variance (ANOVA) -less conservative. Differences below p value of 0.05 were considered significant.
**Results**
**HPV16 E5 decreases surface expression of HLA-I molecules**
Experimental results have shown that BPV E5 as well as HPV16 E5 and HPV2 E5 proteins down-regulate surface expression of HLA-I molecules [22,24,41,42]. To evaluate this effect under our experimental conditions, we transfected pEGFP-HPV16-E5 or pCI-HPV16-E5-HA into HEK-293T cells and analysed cell surface expression of HLA-I by flow cytometry. Both constructs lead to a significant down-regulation of HLA-I surface expression (p ≤ 0.001, Kolmogorov-Smirnov test, Fig. 1). For the pEGFP-HPV16-E5 and pCI constructs, the intracellular GFP-dependent fluorescence allowed us to gate GFP-expressing transfected cells making it possible to compare GFP-E5 with GFP positive populations in respect to their HLA-I signals (Fig. 1A). Further, in our hands the anti-HA antibody did not render sharp results differentiating transfected from untransfected cells. For this reason, the effects for the pCI-HPV16-E5-HA and pCI constructs were assessed by comparing total living cell populations (Fig. 1B). Since transfection efficiency never reached 100%, reduction in relative values of the HLA-I surface expression tended to be more discrete in HPV16E5-HA than in pEGFP-HPV16-E5 transfected cells, leading to clearly significant though smaller values in the statistical analyses (Fig. 1A and 1B). These results therefore demonstrate that HPV16 E5 can down-regulate cell surface expression under our experimental conditions. Further, they also show that neither the small HA (10 amino acids) nor the large EGFP (239 amino acids) used for tagging the viral protein impairs the ability of HPV16 E5 to down-regulate HLA-I cell surface expression.
**HPV16 E5 expression reduces cell surface expression of HLA-I molecules in calnexin-expressing but not in calnexin-deficient cells**
Since calnexin plays an important role in maturation of the HLA-I complex, we decided to analyze whether E5 affects HLA-I surface expression by a mechanism involving calnexin. We transfected CEM-NKR and CEM-C7 cells with pCI-HPV16-E5HA or empty pCI vector and selected clones stably expressing E5. CEM-NKR [31] is a variant of the leukaemia cell line CEM [43] known to be deficient in calnexin expression (Fig. 2A) [30]. First, we checked whether the permanent transfectants expressed E5 at similar amounts. Pooled clones of both CEM-NKR and CEM-C7 cells were analysed by immunoblotting for E5 expresHPV16 E5 expression down-regulates HLA-I surface molecules. HEK-293T cells were transfected either with (A) pEGFP-HPV16-E5 or empty pEGFP vector, (B) pCI-HPV16-E5-HA or empty pCI vector. HLA-I molecules were then detected by immunostaining and flow cytometry using mouse monoclonal anti-HLA-A, B, C (mAb B9.12). Differences between the HLA-I surface expression levels were assessed by Kolmogorov-Smirnov test. This statistic defines the maximum vertical deviation between the two curves (pEGFP-E5 and GFP, pCI-E5-HA and pCI) as the statistic $D$. The $p$ value of each single experiment was in all cases $\leq 0.001$.
As shown in Fig. 2B no major difference in the expression level was found between both cell types. We then analysed surface expression of HLA-I molecules by flow cytometry, using two different anti-HLA-I antibodies. Whereas calnexin-expressing CEM-C7 transfected with the E5 protein contained clearly reduced amounts of surface HLA-I molecules (Fig. 2C, left panels, KS-test $p \leq 0.001$), the calnexin-deficient CEM-NKR transfectants showed no differences in HLA-I surface expression between E5-expressing cells and controls (Fig. 2C, right panels, KS-test $p \geq 0.100$).
To test whether this effect simply reflected the presence of different total amounts of HLA-I proteins in the cells, we analysed the total amount of HLA-I molecules in CEM-NKR and CEM-C7 cells by immunoblotting. As shown in Fig. 2D, no major differences in the HLA-I content between CEM-NKR and CEM-C7 cells were found when using total cellular protein extracts from both cell lines ($N = 5$, $p_{KW} = 0.87$, Kruskal-Wallis test, $p_A = 0.77$, ANOVA). The E5-mediated reduction in the HLA-I amount at the cell surface was thus not mediated by a lower total cellular content of HLA-I proteins in the CEM-C7 transfectants. These results therefore strongly suggest that E5 affects surface HLA-I expression by a mechanism that involves calnexin.
**HPV16 E5 does not influence the transport activity of TAP**
Experimental evidence has been published showing that certain viruses target the TAP peptide transport as an effective strategy to reduce the availability of HLA-I-peptide complexes at the cell surface, thereby reducing the cellular
HPV16 E5 decreases HLA-I surface expression in calnexin-containing but not in calnexin-deficient cells. CEM-C7 (calnexin) and CEM-NKR (no calnexin) cells were stably transfected with pCI-HPV16-E5-HA or pCI empty vector. A) Calnexin is only expressed in CEM-C7 cells but not in CEM-NKR cells. B) E5-HA expression was analysed in each stable polyclone by immunoprecipitation and -blot using mouse monoclonal anti-HA Ab and 500 μg RIPA cell lysate. C) FACS analysis of CEM-NKR and CEM-C7 cells transfected with either the empty vector pCI or with pCI-E5-HA were stained with anti-HLA-A, B, C mAbs B9.12. E5 expression results in diminished HLA-I surface staining in cells expressing calnexin, but not in calnexin deficient cells. D) The upper part of the blot shown in A was incubated with anti-HC-10 antibodies (anti HLA-B, C). Incubation with anti-actin antibodies was performed as loading control. Columns represent average values (N = 5) and the error bars comprise the corresponding standard deviations. There were no differences between the total amounts of cellular HLA (N = 5; $p_{KW} = 0.87$, Kruskal-Wallis test, and $p_A = 0.77$, ANOVA). Molecular-mass markers (in kDa) are indicated in the left of the blots.
susceptibility to CTL control and eventual lysis [44,45]. To determine whether HPV16 E5 interferes with the peptide transport activity of TAP in CEM cells, leading to the observed decrease in HLA-I surface expression, we applied a peptide translocation/glycosylation assay previously described [39]. As shown in Fig. 3, no differences in transport rates between E5 expressing and control cells were found, demonstrating that the transporter activity of TAP is not affected by HPV16 E5 expression in CEM-C7 and CEM-CEM-NKR transfectants.
**HPV16 E5 and calnexin can be co-immunoprecipitated from cellular extracts**
To examine whether there is a physical interaction between E5 and calnexin, we transfected cells with HPV16 E5 and analysed whether calnexin and E5 could be co-immunoprecipitated. Since protein expression of the viral E5 gene is very weak in transfected cells, we prepared a codon-adapted version of the E5 sequence fitting to the codon usage preferences in humans, a procedure known to allow for increased protein expression of the protein in eukaryotic cells [46-48]. HEK-293T cells were transfected with the codon-adapted E5-coding DNA and protein expression levels were tested by Western blot. As shown in Fig. 4A (left) the codon-optimised E5 gene is well expressed in HEK-293T cells, some orders of magnitude above the expression achieved for the wild-type E5 gene (Fig. 4A, right). Cellular proteins were immunoprecipitated with antibodies against the AU1-tagged E5 protein, separated on SDS-PAGE, blotted, and the membrane was subsequently incubated with antibodies against calnexin. A band of 90 kDa apparent molecular mass corresponding to calnexin was identified in the immunoprecipitates, demonstrating that HPV16 E5 and calnexin could be co-immunoprecipitated in extracts of transfected cells (Fig. 4B). To further substantiate these results we performed the reverse experiment immunoprecipitating the extracts from transfected cells first with calnexin antibodies and then incubating the separated immunoprecipitates on the membrane with anti-E5-tag antibodies (anti-AU1). As shown in Fig. 4C, a reacting band of about 10 kDa was observed. This is the molecular mass found for HPV16 E5 when total cellular protein extracts were used for the immunoblots. These results demonstrate that HPV16 E5 and calnexin either directly interact *in vitro*. This interaction could also be reproduced when non-optimised viral E5-coding DNA (pCI-HPV16-E5-HA) was used for transfection (Fig. 4D and 4E), indicating that the effects did not arise from the higher amount of protein expressed from the codon-adapted version (Fig. 4A).
To further corroborate this finding at the intracellular level we next sought to demonstrate co-localization of both proteins in human keratinocytes expressing the E5 protein. HaCaT cells were transiently transfected with AU1-tagged codon-adapted E5 and co-localization with calnexin was analysed by laser confocal double immunofluorescence microscopy. As shown in Fig. 5A we observed a sharp colocalization of both proteins, confirming already published results for retroviral transduced keratinocytes [48]. Similar results were obtained when the GFP fusion protein was expressed instead of the AU1-tagged codon-optimised E5 protein (Fig. 5B), indicating that the subcellular localization of the E5 protein does not depend on the nature of the tag used to label E5.
**An intact hydrophobic region of HPV16 E5 is necessary for binding to calnexin**
To analyze the characteristics of the E5-calnexin binding in more detail, we prepared a series of point mutants -M1, M2 and M3- in which we modified the E5 protein sequence, altering the hydrophobic profile and the local propensity to form helical structures. Leucine and/or isoleucine residues were mutated to proline, aspartate or arginines and then the resulting hydrophobic profile, propensity to helical structure and potential for stably spanning the cellular membrane were analysed and compared with those of the wild-type E5 protein (Fig. 6A, 6B). The point mutations were chosen so that they resulted respectively in the disruption of each of the three putative transmembrane helix within each of the three hydrophobic...
domains of the E5 protein, without changing the total protein length. All three mutants were based on the codon-optimised version of E5.
To test whether the mutants M1, M2 and M3 were expressed at similar levels, HEK-293T cells were transfected with the original codon-optimised E5 sequences or with each of the mutants, and the protein content was analysed by immunoblotting. As shown in Fig. 7A, all recombinants showed similar levels of expression, being differences in SDS-PAGE migration attributable to the different hydrophobicity of the proteins.
To analyze the differential involvement of the each of the three E5 transmembrane domains in the interaction between E5 and calnexin, we performed immunoprecipitation experiments with the three mutants M1, M2 and M3 as described above. Protein extracts from transfected cells were immunoprecipitated with antibodies against the AU1 epitope, and the precipitates were analysed for calnexin content by immunoblotting. As shown in Fig. 7B, the original codon-optimized E5 protein and the mutants M2 and M3 co-precipitated calnexin to similar extents, whereas mutant M1 precipitated clearly reduced amounts of calnexin. To discard artefacts due to different inputs of antibody, protein G-sepharose or protein, the experiments were repeated six times. As shown in Fig. 7C mutant M1 co-precipitated calnexin to only 50% of the levels precipitated by the wild-type and mutants M2 and M3. These results could be reproduced when non-optimised viral E5-coding DNA (pEGFP-HPV16-E5 and pEGFP-M1) was used for transfection instead of the codon-adapted E5-coding DNA (Fig. 7D and 7E). Taken together, these results strongly suggest that the first hydrophobic region of E5, i.e. the first putative transmembrane domain of the protein, is involved in the interaction with calnexin.
**Co-localization of HPV16 E5 and calnexin is dependent on the presence of the first hydrophobic domain of E5**
The experiments described above indicate that the interaction between E5 and calnexin relies on the presence of an intact first hydrophobic region, and that this binding may be responsible for down-regulation of HLA-I expression. Should this be true, a reduction in co-localization between calnexin and mutant M1 would be expected in immunofluorescence experiments. In order to address this point, HaCaT cells were transfected with the three mutants M1, M2, and M3 and double immunofluorescence with anti-calnexin and anti tag antibodies was performed.
As shown in Fig. 8, calnexin colocalized with the E5 protein expressed from the codonoptimized gene (Fig. 8A), as well as with the M2 and M3 mutants (Fig. 8C and 8D). In contrast, the disruption of the first helix in mutant M1 results in a change in the subcellular localisation of the protein, yielding a disperse and punctuate subcellular distribution, where only a partial co-localization with calnexin (Fig. 8B). These results are consistent with those found in the immunoprecipitation experiments and further confirm that the interaction of HPV16 E5 and calnexin requires a native, non-modified first transmembrane domain of the viral protein.
**Calnexin, HPV16 E5 and HLA form a trimeric complex**
Recent results have shown that HPV16 E5 may co-precipitate with the heavy chain of HLA-I [21]. In the light of our results presented above, and together with the fact that HLA-I and calnexin associate during HLA maturation, we hypothesized that the formation of a trimeric complex between HLA-I heavy chain, calnexin and E5 might be involved in the retention of HLA-I in the ER/Golgi apparatus of the cells expressing E5. To address this question, HeLa cells were transfected with AU1-tagged codon-optimised E5 or with mutant M1, and protein extracts were immunoprecipitated with anti-AU1. Immunoprecipitates separated in SDS-PAGE, were blotted onto PVDF memTransmembrane Hidden Markov Model posterior probabilities for the sequences of E5 and the mutants M1, M2 and M3. A) Amino acid sequence of the wild-type E5 protein and corresponding mutants. Aminoacids of the AU1-tag are underlined. Arrows show the position of exchanged amino acids. B) Analysis of the wild-type E5 and mutants using the TMHMM 2.0 algorithm (36, 37), showing the three hydrophobic regions predicted to be transmembrane domains, and the corresponding disruptions in the three mutants.
Membrane and probed either with anti-HC10, recognizing HLA-B, C heavy chains [49], or with anti-calnexin antibodies. As shown in Fig. 9, both HLA-I heavy chain and calnexin could be co-immunoprecipitated with anti-AU1 antibodies, which target E5. More important, the E5 mutant M1 previously shown to be deficient in immunoprecipitation of calnexin, also failed to co-precipitate the HLA-I heavy chain. These results demonstrate that HPV16 E5 forms a complex with calnexin and HLA-I heavy chain and that this complex depends on the interaction of the first hydrophobic region of E5 with calnexin.
Mutant M1 is not able to down-regulate HLA-I cell surface expression in the same extent that wild type HPV16 E5 does
Since the experiments shown above demonstrate that mutation of the first putative transmembrane helix of E5 results in the loss of binding to calnexin, we addressed the question whether this loss correlates with the failure to down-regulate HLA-I surface expression. HEK-293T cells were transfected with the wild-type pEGFP-E5, mutant pEGFP-M1 or pEGFP empty vector and the amount of HLA-I expression at the cell surface was determined by...
Mutant M1 binds less calnexin than wild-type E5 protein. HEK-293T cells were transfected with either (A-C) AU1-tagged codon-optimised HPV16 E5, the mutants M1, M2 and M3 or pcDNA 3.1 empty vector as control. (D and E) pEGFP-tagged HPV16 E5, mutant pEGFPM1, mock-control or pEGFP empty vector and lysed at 24 h posttransfection with CHAPS lysis buffer. A) Similar expression levels of all HPV16 E5 and the mutants M1, M2 and M3. B) Immunoprecipitations were performed using monoclonal anti-AU1, and proteins in the immune complex were detected using anti-AU1 and anti-calnexin. C) Quantification of co-precipitated calnexin for wild-type HPV16E5 protein, the mutants M1, M2, M3 and the vector control. The wild-type expression level was set to 100%. Data shown represent six independent experiments 2 plus standard errors of the mean. P values were calculated with paired two-tailed Student’s t-test. D) Similar expression levels of pEGFP-HPV16-E5 and the mutant pEGFP-M1. E) Immunoprecipitations were performed using monoclonal anti-GFP, and proteins in the immune complex were detected using anti-GFP and anti-calnexin. Molecular-mass markers in kDa are indicated at the left of the blots.
FACS analysis. While wild-type E5 expression resulted in HLA-I down-regulation at the plasma membrane (Figs. 1 and 2C, Fig. 10), this effect was not observed when the cells expressed the E5 mutant M1 (Fig. 10). To substantiate this result, we did the experiment six times and analysed the median values of HLA-I surface expression in the transfected cells (for statistical analysis, see Table 1). Whereas the wild type E5 protein was able to down-regulate HLA-I surface expression down to 65% (median of six experiments), the median HLA-I staining of HEK-293T transfected with the E5 mutant M1 was 82% (median of six experiments) as compared with HEK-293T control transfectants (N = 6, pW = 0.0313, Wilcoxon matchedHPV16 E5, M2 and M3 mutants but not M1 mutant strongly co-localize with calnexin. HaCaT cells were transfected with A) AU1-tagged codon-optimised E5 or AU1-tagged codonoptimised E5 mutants M1 B), M2 C), and M3 D) and analysed after 24 h by confocal laser scanning microscopy using a monoclonal anti-AU1 and polyclonal anticalnexin antibodies.
pairs signed ranks test, $pST = 0.009$, paired Student’s t-test).
Taken together, our results strongly indicate i) that E5-mediated down-regulation of HLA-I surface expression proceeds through the formation of a ternary complex between E5, calnexin and the heavy chain of HLA-I; ii) that the disruption of the first transmembrane domain of HPV16 E5 modifies the subcellular distribution of the protein; and iii) that the disruption of the first transmembrane domain of HPV16 E5 prevents the interaction, colocalisation and immunoprecipitation of the viral protein with calnexin, and also of that with the heavy chain of HLA-I.
**Discussion**
Eukaryotic cells respond to viral infection by activating mechanisms aiming to abortion of the infection through hindering of viral protein expression, virus maturation or virus release, while viruses have developed during evolution molecular countermasures to escape from these cellular controls. One of these viral strategies leads to a reduction in the adaptive immunoresponses of the host by reducing the exposure of the infected cells to immune surveillance. Reduced surface expression of HLA-I has been described upon expression of HPV16 E5 or HPV2 E5 proteins [22,42], but the molecular mechanisms responsible for the decrease of HLA-I on the cell surface have not yet been elucidated. In this report we present experimental evidence demonstrating that HPV16 E5 down-regulates HLA-I surface expression by a calnexin-mediated mechanism. Using transient and stably transfected cells, we have shown that HPV16 E5 is able to reduce HLA-I surface expression in calnexin-containing cells, but not in a calnexin-deficient cell line. Published reports have described that the heavy chain of HLA-I molecules and HPV16 E5 could be co-precipitated [21], suggesting that this binding might be involved in HLA-I down-regulation. Nevertheless, our results point to the binding of E5 to calnexin as the critical molecular event directly involved in HLA down-regulation. Expression of E5 in CEM-C7 cells, which constitutively express calnexin, results in a decreased amount of HLA-I at the cell surface, but no down-regulation was observed in CEM-NKR cells devoid of calnexin (see Fig. 2C). Since both cell types CEM-C7 and CEM-NKR contain similar amounts of HLA-I molecules (Fig. 2D and see [30]) it seems unlikely that a putative binding of HPV16 E5 to the HLA-I heavy chain alone could be solely responsible for the decreased surface expression of HLA-I proteins in CEM-C7 cells.
Regarding other viruses, such as herpes simplex virus and cytomegalovirus, it has been shown that they target the transporter associated with antigen processing (TAP) in order to down-regulate HLA-I surface expression [50,51]. In PVs it has been demonstrated that purified HPV11 E7 protein is able to inhibit ATP-dependent peptide transport into the lumen of the ER in vitro [52]. In this context, our peptide translocation-assay results show that HPV16 E5 does not influence the transport of antigen peptides from the cytosol to the ER. Thus, the data here presented sugsuggest that HPV16 E5 does not target the TAP transporter activity to control surface expression of HLA-I molecules.
Our co-immunoprecipitation experiments using either antibodies against different tagged versions of the E5 protein or against calnexin demonstrate that HPV16 E5 associates with calnexin *in vitro*. The biological significance of this interaction is further supported by the previously described intracellular co-localization of calnexin and HPV16 E5 [48], that we confirmed in this report.
Upon interaction between the first and the third hydrophobic segments [53], HPV16 E5 could be organized as a transmembrane protein with three putative transmembrane helices [54]. In the present work we have introduced specific point mutations in this E5 gene, selectively targeting local hydrophobicity and propensity towards helix conformation in each of the three predicted transmembrane helices of the HPV16 E5 protein [32]. These point mutations result in the selective and individual disruption of each helix without altering the overall length of the protein. Our results reveal that the first hydrophobic helix is mainly responsible for HPV16 E5 subcellular localisation and concomitantly for colocalisation between HPV16 E5 and calnexin. Mutant M1 –with the first putative transmembrane helix being disrupted– was able to bind reduced amounts of calnexin in immunoprecipitation assays, while co-localizing only weakly with calnexin in transfected cells. In addition, M1 transfectants did not down-regulate surface expression of HLA-I in the same extent than wild-type E5. Together both results suggest that i) the first putative transmembrane domain of HPV16 E5 is responsible for the HPV16 E5 localisation; ii) the interaction of HPV16 E5 and calnexin depends on the integrity of the first putative transmembrane domain; iii) the effect of HPV16 E5 on HLA-I surface expression strongly depends on the integrity of the first putative transmembrane domain and on the subsequent interaction between HPV16 E5 and calnexin.
The definitive finding presented here is the existence of a ternary protein complex of HPV16 E5, calnexin, and the heavy chain of HLA-I molecules. The formation of this complex depends on the presence of the first predicted transmembrane domain of HPV16 E5. Since the dimer calnexin-HLA is a natural step in the antigen processing route, it can be hypothesized that HPV16 E5 binds to the calnexin-HLA-I complex and that this binding blocks further trafficking of the HLA-I complex to the plasma membrane, leading instead to its accumulation in the ER/Golgi of the infected cell. A direct binding of E5 to the heavy chain of HLA-I seems under the light of our results improbable. This is further supported by our findings using calnexin-deficient cells lines. Although both cell types, calnexin-containing and calnexin-deficient, express similar amounts of heavy chain HLA-I, the E5-mediated reduction of surface HLA-I becomes evident exclusively in calnexin-containing cells.
The interaction between E5 and calnexin could be demonstrated in cells transfected with the codon-adapted version of the gene, and also in cells transfected with the wild-type gene. This association is therefore independent from the effective amount of E5 protein expressed, and cannot be due to a very large overexpression from the optimised version of the gene. This is not a trivial result, as it has been shown that codon usage optimization can lead to changes in the phenotype associated with protein expression [55,56].
**Table 1: E5 mutant M1 down-regulates surface expression of HLA-I to a lesser extent than the E5 protein does.**
| | E5-GFP | p- value<sup>a</sup> | M1-GFP | E5-GFP | p- value<sup>a</sup> | M1-GFP |
|----------------------|--------|----------------------|--------|--------|----------------------|--------|
| HLA-surface | | | | | | |
| expression<sup>b</sup> | 57.77% | t- test | 69.78% | KS-D<sup>c</sup> | 0.29 | t- test | 0.20 |
| | 67.92% | **0.009** | 75.67% | 0.17 | **0.005** | 0.13 |
| | 75.67% | | 94.75% | 0.15 | | 0.04 |
| | 69.16% | **Wilcoxon** | 82.04% | 0.20 | **Wilcoxon** | 0.11 |
| | 59.35% | **0.0313** | 82.78% | 0.25 | **0.0313** | 0.10 |
| | 62.08% | | 100.90%| 0.23 | | 0.02 |
| Median | 65.00% | | 82.41% | Median | 0.215 | 0.105 |
| Range | 58%-76%| | 70%-100%| Range | 0.17–0.29 | 0.02–0.2 |
<sup>a</sup>Values of pEGFP-E5 and pEGFP-M1 were normalized to the values of the pEGFP-control (E5-GFP, M1-GFP), which was set as 100% expression of HLA-I surface expression.
<sup>b</sup>Kolmogorov-Smirnov (KS) test was performed with CellQuest™ software (BD Bioscience). This statistic defines the maximum vertical deviation between the two curves (pEGFP-E5 and pEGFP-control or pEGFP-M1 and pEGFP-control) as the statistic D. The p value of each single experiment was ≥ 0.001.
<sup>c</sup>Paired two tailed paired student’s t-test and Wilcoxon matched-pairs signed-ranks test values for the raw percentages of immunoreactive cells (left column) and for the D statistic (right column). The E5 mutant M1 does not affect HLA-I expression in the same extent than the original E5 protein does (p < 0.05 in all cases).
Conclusion
In summary, our results support a model for the E5-mediated HLA-I surface downregulation in which the viral protein interacts with calnexin, finally leading to an E5-calnexin-HLA-I heavy chain ternary complex unable to be further transported to the cell surface.
Authors' contributions
MG performed molecular biology, cell biology, confocal microscopy and flow citometry experiments, and drafted the manuscript. IGB participated in the design of the research concept and in mutant design, performed statistical analyses and drafted the manuscript. FM performed the peptide translocation assay. AA conceived and supervised the study and drafted the manuscript. PT collaborated in the supervision of the study and helped draft the manuscript. All authors have read and approved the final manuscript.
Acknowledgements
IGB is the recipient of a grant from the Volkswagen Stiftung under the Thematic Impetus "Evolutionary Biology".
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WATER-BASED POLYURETHANE-POLYETHYLENE COMPOSITIONS
Inventor: T. Howard Killilea, North Oaks, MN (US)
Correspondence Address:
IPLM GROUP, P.A.
POST OFFICE BOX 18455
MINNEAPOLIS, MN 55418 (US)
Assignee: Valspar Sourcing, Inc., Minneapolis, MN (US)
Appl. No.: 10/567,974
PCT Filed: Aug. 12, 2004
PCT No.: PCT/US04/26133
§ 371(c)(1), (2), (4) Date: Feb. 10, 2006
Provisional application No. 60/494,667, filed on Aug. 13, 2003.
Int. Cl.
C08G 18/08 (2006.01)
U.S. Cl. ......................................................... 524/507
The present invention provides water dispersible polyurethane-polyethylene compositions (or dispersions) having a sulfonated polyurethane polymer and a polyethylene polymer (second polymer). The polyurethane polymer is a reaction product of a polyisocyanate, and a sulfonated polyol.
WATER-BASED POLYURETHANE-POLYETHYLENE COMPOSITIONS
CROSS-REFERENCE TO RELATED APPLICATIONS
[0001] This application claims priority from U.S. provisional patent application Ser. No. 60/494,667, filed Aug. 13, 2003; which is incorporated herein by reference.
BACKGROUND OF THE INVENTION
[0002] The present invention relates to polyurethane polymers, particularly air curable water-based polyurethane-polyethylene polymer compositions, and more particularly, air curable water based polyurethane-polyethylene polymer dispersions suitable for coatings such as, for example, floor coatings.
[0003] Polyurethane (PU) polymers are known in the coating industry to be useful as a part of polymeric coatings because they have excellent resistance to abrasion, chemicals and solvents. These polymers can be designed to be highly flexible and very durable. Conventional oil modified polyurethane polymers are prepared in organic solvents such as aliphatic hydrocarbons and applied as clear or pigmented coatings. After application, the solvent is allowed to evaporate and the film cures via cross-linking, by air oxidation of the ethylenic groups attached to the polyurethane backbone. A principle application for these coatings has been as clear coatings for wood flooring. Coating compositions prepared with higher levels of solids will release less hydrocarbon solvent than compositions that have higher amounts of volatile organic compound (VOC) levels.
[0004] In an effort to reduce the amount of VOC’s released, and maintain performance, manufacturers have been using water dispersible polyurethanes. For example, water-based anionically stabilized polyurethane polymers are prepared by reacting polyols and dihydroxy carboxylic acid compounds with an excess of diisocyanate to provide a carboxy functional prepolymer having NCO terminal groups. The acid groups are neutralized with tertiary amines to provide salt groups. The neutralized prepolymer can be readily dispersed in water. The terminal NCO groups can be reacted with compounds having active hydrogen groups, wherein the active hydrogen groups are more reactive than water, to produce a fully reacted polyurethane polymer. Typically, to facilitate the reaction, the prepolymer is made in the presence of a solvent that is either left in the dispersion, or removed as one of the last steps in production to provide a low solvent or solvent-free product. Solvents that can be easily removed, are usually volatile solvents, such as acetone or methyl ethyl ketone. Alternatively, the anionic stabilizing group of the water dispersible polyurethane polymers can be replaced with cationic stabilizing groups or non-ionic stabilizing groups, to facilitate water dispersibility. Generally, the polymers are linear and their films are from hard and relatively inflexible to soft and highly flexible. Their applications for these water-based polyurethane polymers include clear and pigmented coatings for concrete, metal, wood, semi-rigid and flexible plastics, rubber and leather; glass fiber sizing, printing inks and adhesives.
[0005] The water-based polyurethane polymers are usually linear polymers. These polymers produce films that have chemical resistance lower than the highly crosslinked films of two component solvent-borne urethane systems. Preparing the polyurethane coating compositions by pre-crosslinking a water-based polyurethane polymer can be accomplished by incorporating a large amount of monomers(s) that have more than two reactive functional groups in the prepolymer stage. However, this results in highly viscous prepolymer blends that cannot be easily dispersed in water. The products using a high percentage of pre-crosslinking of the prepolymer at the dispersion stage using chain extenders, having more than two reactive functional groups can result in significant gelling of the polymer.
[0006] Due to increasing environmental restrictions on the levels of volatile organic content (VOC) in coating systems, there is a need in the coatings industry for low solvent or solvent free polymer systems. There is a further need for stable and self-crosslinkable polyurethane-polyethylene compositions that are air curable polyurethane-polyethylene compositions that dry rapidly at room temperature and can produce a crosslinked coating that is resistant to abrasions, chemicals and stains.
[0007] There is a further need for stable one component self crosslinkable ethylenic containing polyurethane-polyethylene compositions that dry rapidly at room temperature.
SUMMARY OF THE INVENTION
[0008] The present invention provides water dispersible polyurethane-polyethylene compositions (or dispersions) having a sulfonated polyurethane polymer and a polyethylene ether polymer (second polymer). The polyurethane polymer is a reaction product of a polyisocyanate, and a sulfonated polylol. Optionally, the polyurethane polymer includes a chain extension agent containing an active hydrogen. The sulfonated polyurethane polymers of the invention include ethylenic groups in appended chains. The polyethylene polymer includes vinyl monomers.
[0009] In addition, the instant invention provides a process for producing water dispersible polyurethane-polyethylene compositions (or dispersions) having a sulfonated polyurethane polymer and a polyethylene polymer. Incorporation of di-carboxylic acid sulfo-monomers or salts thereof; such as, for example, 5-(sodiosulfo)isophthalic acid (SISIPA), 5-(lithiosulfo)isophthalic acid (LISIPA) and the like, into the backbone of a urethane functional polymer provides water dispersible polyurethane polymers that do not requireamine neutralizers, which can contribute to the VOC. However, it is acceptable to employ small amounts of amine neutralizers. The invention provides a process wherein the ethylenically unsaturated monomers can function as reactive diluents in place of organic solvents during the polyurethane polymerization stage. The use of ethylenically unsaturated monomers, as reactive diluents, provides a method to prepare low, e.g., zero, VOC polyurethane dispersions, for example, fatty acid and/or oil modified polyurethane dispersions.
[0010] The invention also provides polyurethane polymer compositions having low or substantially zero volatile organic content (VOC). The compositions will have a VOC of less than about 5% based on the total weight of the composition. Preferably, the VOC of the composition is less than about 3% based on the total weight of the composition. More preferably, the VOC of the composition is less than
about 1% based on the total weight of the composition. Most preferably, the VOC of the composition is substantially zero % based on the total weight of the composition. The compositions of the invention are self-crosslinkable oil and/or fatty acid modified polyurethane-polyethylene compositions that are air curable, dry rapidly at room temperature, and produce a coating that is resistant to abrasions, chemicals and stains.
These and other advantages of the present invention will become more apparent by referring to the detailed description and illustrative examples of the invention.
DETAILED DESCRIPTION
In one embodiment, this invention relates to a water dispersible polyurethane-polyethylene polymer composition including: (a) a sulfonated polyurethane polymer comprising the reaction product of a polyisocyanate; a sulfonated polyol; and (b) a second polymer comprising vinyl monomers; wherein the sulfonated polyurethane polymer includes ethylenic groups. Optionally, the polyurethane polymer includes a chain extension agent containing active hydrogen atoms.
The invention also provides a low or zero VOC polyurethane compositions having rapid drying times including functional polyurethane resins having di-carboxylic acid sulfo-monomers incorporated and a polymer prepared from ethylenically unsaturated monomers used as reactive diluents. A specific advantage of these systems would be the development of a substantially zero VOC composition which would have a substantial dry time advantage over existing solvent borne technology. Experimental results show that the dispersions of the invention achieve tack free dry 4-5 times faster than state of the art solvent based systems. These SSIPA/LSIPA functional polyurethanes of the invention are suitable for one-component applications on wood flooring where excellent toughness, chemical and water resistance, and early dry times are required.
The following definitions are used, unless otherwise described: Alkyl denotes both straight and branched groups; but reference to an individual radical such as “propyl” embraces only the straight chain radical, a branched chain isomer such as “isopropyl” being specifically referred to.
Specific and preferred values listed below for radicals, substituents, and ranges, are for illustration only, they do not exclude other defined values or other values within defined ranges for the radicals and substituents. Specifically, (C₁-C₁₀)alkyl can be methyl, ethyl, propyl, isopropyl, butyl, iso-butyl, sec-butyl, tert-butyl, pentyl, 3-pentyl, methylpentyl, hexyl, 2-hexyl, heptyl, 2-heptyl3-heptyl, octyl, nonyl or decyl.
The term “active hydrogen atom” refers to a compound having hydrogen atoms which, can be easily extracted from the compound. For example, an active hydrogen atom includes hydrogen atoms attached to oxygen, nitrogen, or sulfur, and compounds in practicing the invention will include those having at least two of these groups (in any combination) —OH, —SH, and —NH₂. The active hydrogen groups can be attached to aliphatic, aromatic, cycloaliphatic compounds or a mixture thereof.
The term “(meth)acrylic” as used herein refers to both the acrylic or methacrylic species, i.e., acrylic acid or methacrylic acid. The term “(meth)acrylate” as used herein refers to both the acrylate or methacrylate species, i.e., acrylate esters or methacrylate esters. The term “poly(meth)acrylate polymer” as used herein refers to both the acrylate or methacrylate polymers or mixtures thereof.
The term “reactive diluents” as used herein refers to unsaturated monomers including, acids such as, for example, acrylic acid, methacrylic acid, and the like; esters such as, for example, methyl acrylate, ethyl acrylate, propyl acrylate, butyl acrylate, 2-ethylhexyl acrylate, methyl methacrylate, ethyl methacrylate, propyl methacrylate, butyl methacrylate, 2-ethylhexyl methacrylate, 2-(acetoxycetoxymethyl)methacrylate, and the like; hydroxy functional acrylates such as, for example, hydroxyethyl acrylate, hydroxyethyl methacrylate and the like; amides such as, for example, acrylamide, methacrylamide, diacetoamidoacrylamide, r4 and the like; and olefins such as, for example, styrene, α-methyl styrene, vinyl toluene and the like; vinyl esters such as, for example, vinyl acetate, vinyl propionate, and the like, or mixtures thereof.
As used herein the term “isocyanate” refers to organic compounds having at least two —NCO groups that can react with a compound having an active hydrogen atom. The term isocyanate includes diisocyanates, triisocyanates and other polyisocyanates.
As used herein the term “pigment,” refers to an organic or inorganic material that imparts color to another substance or mixture. A “colorant” refers to a substance that imparts color to another substance or mixture, and generally includes pigment and other additives. A “tinting agent” similarly refers to a color-imparting agent.
The water dispersible polyurethane-polyethylene polymer compositions (dispersions) of the invention have accelerated dry times. The compositions are prepared with ethylenically unsaturated monomers utilized as reactive diluents. These compositions can be prepared having both high Tg and high molecular weight. These dispersions have excellent tack free times, e.g., low times, and a rapid cure. The results show that the dispersions of the invention dry (are tack free) 4-5 times faster than state of the art solvent based systems. The polyurethane dispersions of the invention are particularly suited for one-component applications in wood flooring where excellent toughness, chemical and water resistance, and rapid dry times are required.
The water dispersible polyurethane-polyethylene polymer compositions (dispersions) include a reaction product of hydroxy functional alkyls. The hydroxy functional alkyls can be prepared by any method known in the art, and may or may not contain sulfinate functionality. An example of a method to prepare an alkyl could include the alcoholysis of an oil and polyol with a further reaction with polybasic acids and optionally, further polyols. In addition, polybasic acids and fatty acids can be reacted with polyols in suitable proportions, e.g., with an excess of hydroxy groups to prepare the alkyls. Monoglycerides and diglycerides may also be utilized in place of the hydroxy functional alkyl. Suitable monoglycerides and diglycerides can be readily synthesized using conventional techniques. In addition esters of polyols synthesized via the reaction of at least one fatty acid and a polyol can be used.
The sulfonated di-carboxylic acid monomers useful in practicing the invention include compounds having sulfonate groups present in the form of alkali metal salts such as, for example, lithium, sodium or potassium. Also, the sulfonate groups can be present in the form of ammonium, tertiary amine, copper, or iron salts. Non-limiting examples of monomers with sulfonate groups include; 5-(sodiosulfo)isophthalic acid (SSIPA), 5-(lithiosulfo)isophthalic acid (LSIPA) and the like.
Suitable oils and/or fatty acids derived therefrom useful in practicing the present invention include compounds such as, for example, linseed oil, safflower oil, tall oil, cotton seed, ground nut oil, tung oil, wood oil, ricinene oil or, preferably, sunflower oil, soya oil, castor oil, dehydrated castor oil and the like. These oils or fatty acids can be used alone or as a mixture of one or more of the oils or fatty acids. Preferred fatty acids are soya fatty acids, dehydrated castor fatty acids, linolenic fatty acids, ricinoleic fatty acids, and linoleic fatty acids.
Suitable polyols useful in practicing the present invention include compounds such as, for example, aliphatic, cycloaliphatic and/or araliphatic alcohols having 1 to 6, preferably 1 to 4, hydroxy groups attached to nonaromatic or aromatic carbon atoms. Examples of suitable polyols include: ethylene glycol, 1,2-ethanediol, 1,3-propanediol, 1,2-butandiol, 1,3-butandiol, 1,4-butanediol, 2-ethyl-1,3-propanediol, 2-methylpropanediol, 2-buty12-ethylpropanediol, 2-ethyl-1,3-hexanediol, 1,3 neopentyl glycol, 2,2-dimethyl-1,3-pentanediol, 1,6 hexanediol, 1,2- and 1,4-cyclohexanediol, bisphenol A, 1,2- and 1,4-bis(hydroxymethyl)cyclohexane, bis(4-hydroxycyclohexyl)methane, adipic acid bis(ethylene glycol ester), ether alcohols, such as diethylene glycol and triethylene glycol, dipropylene glycol, peroxogenated biphenols, 2,4-butanediol, 1,2,6-hexanetriol, trimethylolethane, trimethylolpropane, trimethylolhexane, glycerol, pentaerythriol, dipentaerythriol, mannitol and sorbitol, and also chain-terminating monoalcohols having 1 to 8 carbon atoms such as propanol, butanol, cyclohexanol, benzyl alcohol, hydroxypropionic acid and mixtures thereof. Preferably employed polyols are: glycerol, trimethylolpropane, neopentyl glycol, diethylene glycol, and pentaerythriol.
The polybasic acids useful in practicing the present invention include compounds such as, for example, aliphatic, cycloaliphatic saturated or unsaturated and/or aromatic polybasic carboxylic acids, such as, for example, dicarboxylic, tricarboxylic and tetra carboxylic acids. These compounds can be used alone or as a mixture of one or more polybasic acids. Suitable examples of polybasic acids useful in practicing the instant invention include acids such as, for example, phthalic acid, isophthalic acid, adipic acid, terephthalic acid, tetrahydrophthalic acid, hexahydrophthalic acid, endomethyltetrahydrophthalic acid, maleic acid, glutaric acid, sebacic acid, azelaidic acid, trimellitic acid, pyromellitic acid, fumaric and malic acid and the like, or mixtures thereof. The preferred polybasic acids are isophthalic acid and adipic acid, or mixtures thereof.
Polybasic acids, as used herein, are broadly defined to include anhydrides of the polybasic acids such as, for example, maleic anhydride, phthalic anhydride, succinic anhydride, tetrahydrophthalic anhydride, hexahydrophthalic anhydride, trimellitic anhydride, or mixtures thereof. These compounds can be used alone or as a mixture of one or more polybasic acids.
In one embodiment the polyurethane polymers comprise a polyol, having at least one sulfonate group and aliphatic or aromatic diacids, without ethylenic groups. In another embodiment, the polyurethane polymers comprise a polyol, having at least one sulfonate group and optional aliphatic or aromatic diacids, with ethylenic groups attached.
Preferred isocyanates for practicing the invention are isocyanates having 4 to 25 carbon atoms and from 2 to 4 isocyanate groups per molecule. Particularly preferred isocyanates are aliphatic, cycloaliphatic, araliphatic or aromatic diisocyanates such as, for example: 1,2-ethylenediisocyanate, 1,4-tetramethylenediisocyanate, 1,6-hexamethylenediisocyanate, 2,2,4-trimethyl-1,6-hexamethylene diisocyanate, 2,4,4-trimethyl-1,6-hexamethylene diisocyanate, 1,1,2-trioctadecane-1,3-diisocyanate, cyclobutane 1,3-diisocyanate, cyclohexyl 1,3-diisocyanate, cyclohexane 1,3-diisocyanate, amino-bis(4-isocyanatocyclohexyl)methane (Des W), 1-methylcyclohexane-2,2-diisocyanate, 1-methylcyclohexane-2,4-diisocyanate, 3-isocyanatomethyl-3,5,5-trimethylcyclohexyl isocyanate (isophorone diisocyanate, IPDI), 2,5-bis(isocyanatomethyl)-8-methyl-1,4-methano-decahydronaphthalene, 3,5-bis(isocyanatomethyl)-8-methyl-1,4-methano-decahydronaphthalene, 3,5-bis(isocyanatomethyl)-8-methyl-1,4-methano-decahydronaphthalene, 2,6-bis(isocyanato)-4,7-methano-hexahydridomadane, dicyclohexyl 2,4'-diisocyanate, dicyclohexyl 4,4'-diisocyanate, 2,6-hexahydrodiphenylene diisocyanate, 2,6-hexahydrodiphenylene diisocyanate, perhydrol-2,4-diphenylmethane diisocyanate, perhydrol-4,4'-diphenylmethane diisocyanate, 1,3-phenylene diisocyanate, 1,4-phenylene diisocyanate, 4,4'-biphenyl diisocyanate, 4,4'-diisocyanato-3,3',3'-dimethoxybiphenyl, 4,4'-diisocyanato-3,3',3'-dimethylbiphenyl, 3,3'-dipenylbiphenyl-4,4'-diisocyanate, 2,4-diphenylmethane diisocyanate, 4,4'-diphenylmethylene diisocyanate (MD), naphthylene 1,5-diisocyanate, toluene diisocyanates (TDI), such as, for example, 2,4-toluene diisocyanate, 2,6-toluene diisocyanate, N,N-(4,4'-dimethyl-3,3'-disiocyanato-diphenyl)uretdione, m-xylene diisocyanate, tetramethylxylylene diisocyanate, and the like, and trisocyanates, such as, for example, 2,4,4'-tris(4-isocyanatophenyl)ether, 4,4,4'-tris(4-isocyanatophenyl)methane, tris(4-isocyanatophenyl)thiophosphite, and the like; polysiocyanates (isocyanurates) based on 1,6-hexamethylene diisocyanate such as, for example, 1,3,5-tris-(6-isocyanato-hexyl)-[1,3,5]triazinane-2,4,6-trione (Desmodur N-3300) and 1,3-bis-(6-isocyanato-hexyl)-1-[6-(6-isocyanato-hexamino)-oxomethyl]-urea (Desmodur N-75); or mixtures thereof. More preferred isocyanates include toluene diisocyanates such as, for example, 2,4-toluene diisocyanate and 2,6-toluene diisocyanate, 2,4'-toluene diisocyanate, 2,4'-dicyanato-diphenylmethane, 4,4'-diphenylmethane diisocyanate, 4,4'-diphenylmethylene diisocyanate (MDI), 3-isocyanatomethyl-3,5,5-trimethyl-cyclohexyl isocyanate (IPDI), bis(4-isocyanatocyclohexyl)methane (Des W), dicyclohexyl 2,4'-diisocyanate, dicyclohexyl 4,4'-diisocyanate; or mixtures thereof. Most preferred isocyanates are 2,4-toluene diisocyanate, and 2,6-toluene diisocyanate, 1,6-hexamethylene diisocyanate, 2,4'-dicyanato-diphenylmethane, 4,4'-dicyanato-diphenylmethane, 4,4'-diphenylmethane diisocyanate (MDI), 3-isocyanatomethyl-3,5,5-trimethyl-cyclohexyl isocyanate (MDI), bis(4-isocyanatocyclohexyl)methane (Des W), or mixtures thereof.
The polyethylene polymer (second polymer) is prepared from unsaturated monomers containing a carbon-carbon double bond, including acids such as, for example, acrylic acid, methacrylic acid, and the like; esters such as, for example, methyl acrylate, ethyl acrylate, propyl acrylate, butyl acrylate, 2-ethylhexyl acrylate, methyl methacrylate, ethyl methacrylate, propyl methacrylate, butyl methacrylate, 2-ethylhexyl methacrylate, 2-(acetoxycetox)ethylmethacrylate, and the like; hydroxy functional acrylates such as, for example, hydroxyethyl acrylate, hydroxyethyl methacrylate and the like; amides such as, for example, acrylamide, methacrylamide, diacetone acrylamide, and the like; vinyl monomers such as, for example, styrene, α-methyl styrene, vinyl toluene, and the like vinyl esters such as, for example, vinyl acetate, vinyl propionate and the like or mixtures thereof. A specific polyethylene polymer is a poly(meth)acrylate polymer. Optionally, some or all of the monomers can be added to the polyurethane dispersion, before the second polymerization. The monomers, for preparing the polyethylene polymer, can be added to the dispersions dispersion just prior to and/or during the free radical polymerization step.
A specific group of unsaturated monomers that form the second polymer include vinyl monomers selected from the group consisting of acrylic acid, methacrylic acid, methyl acrylate, ethyl acrylate, propyl acrylate, butyl acrylate, 2-ethylhexyl acrylate, methyl methacrylate, ethyl methacrylate, propyl methacrylate, butyl methacrylate, 2-ethylhexyl methacrylate, hydroxyethyl acrylate, hydroxyethyl methacrylate, acrylamide, methacrylamide, styrene, α-methyl styrene, vinyl toluene, vinyl acetate, vinyl propionate, and mixtures thereof.
Sulfonate functional polyols, such as an alkyd, useful in practicing the invention, can be prepared by the step growth polymerization process, which is well known to those familiar with the art. A typical sulfonate functional alkyd could be based upon a composition of (SSIPA/L-isopellic acid/IPA/NPG/IMP) which has a hydroxyl number of 201. This alkyd would then be reacted with either monomeric and/or polymeric isocyanates in the presence of ethylenically unsaturated monomers. Typically, the amount of di-carboxylic acid sulfo-monomer useful in the PU polymers of the present invention can be from about 3 to about 10 weight percent based on the weight of the polyurethane polymer. More preferably the amount of di-carboxylic acid sulfo-monomer useful in the present invention can be from about 4% to about 8%. Most preferably the amount of di-carboxylic acid sulfo-monomer useful in the present invention can be from about 5.5% to about 7.5%.
The SSIPA and L-SIPA functional polyols can also be prepared by reacting polycarboxy acids compounds with a compound containing an amine to provide an amide functional polyester or alkyd. Typical amine compounds useful in preparing the PUs of the invention include polyamines such as, for example, ethylene diamine, diethylene triamine, triethylene tetramine, melamine, 1,2-diamino propane, 1,3-diamino propane, and the like; or amino alcohols, such as, for example, 2-amino-propan-1-ol, 3-amino-propan-1-ol, dimethylisopropanolamine, 2-amino-2-methyl-1-propanol or, dimethylethanolamine and the like. These amide containing polymers can be designed to be amine and/or hydroxy functional.
Another advantage to using sulfonate functional monomers in the preparation of a water dispersible polyurethane-polyethylene polymer compositions of the invention is when the aromatic isocyanates are used. The aromatic isocyanates are highly reactive, as process temperatures exceed 60° C., the isocyanate group can react with a carboxyl group, which may lead to poor aqueous stability or gelation of the reaction. If the majority of carboxyl functional aqueous polyurethanes are prepared using dimethyl propionic acid (DMPA), an organic solvent is usually required to dissolve the DMPA to process the reaction at temperatures below 60° C. As a result, the aromatic polyurethane dispersions have high NCO. Further difficulties can occur if the polyurethane prepolymer is to be chain extended. Before chain extension, the polyurethane prepolymer must be dispersed into water or water must be added to the polyurethane. However, if salting of the carboxyl functionality with a base is used, the base can catalyze the carboxylisocyanate reaction. This base catalysis of the carboxylisocyanate reaction requires the use of difficult and proprietary processing techniques which are not required with the aromatic isocyanate based sulfonate functional polyurethane dispersions of the present invention.
The water dispersible polyurethane-polyethylene polymer composition (dispersion) can be prepared using either an excess of isocyanate or an excess hydroxyl. If excess hydroxy groups are used, the reaction will proceed until less than 0.5% isocyanate functionality remains. At this point, the polyurethane (PU) polymer can be dispersed in water and a free radical initiator is utilized to polymerize the ethylenically unsaturated monomers. If a hydroxy terminated PU polymer is desired then the prepolymer with an excess of hydroxy functionality, typically in the range of an equivalent OH/NCO ratio is from about 1:1 to about 4:1. A more preferred OH/NCO ratio is from is from about 1:1 to about 2:1.
The non-chain extended oil and/or fatty acid modified polyurethane dispersions prepared using an excess of hydroxyl groups can provide performance properties similar to chain extended polyurethane dispersions, without the use of chain extension agents. These compositions can form inter penetrating networks having a high Tg and high molecular weights because of the polymerization with ethylenically unsaturated monomers. This advantage is observed in the formulation of water based oil and/or fatty acid modified urethanes.
Typically, the hydroxy terminated PU polymers can have a hydroxy number of from about 0 to about 150.
Alternatively, the water dispersible polyurethane-polyethylene polymer composition (dispersion) can be chain extended using an excess of isocyanate. Chain extended polyurethane dispersions are prepared using a urethane prepolymer in the presence of ethylenically unsaturated monomers and a prepolymer with an excess of isocyanate functionality, typically in the range of an equivalent NCO/OH ratio of about 1.05:1 to about 3:1. Preferably the NCO/OH ratio is from about 1.6:1 to about 2.2:1.
The polyurethane polymer is subsequently dispersed into water and optionally chain extended with an active hydrogen containing multifunctional, preferably a di or tri functional, reactive species. Preferably, a multifunctional amine can facilitate chain extension. If a chain exsion agent is not added to the dispersion, water can facilitate the chain extension. After chain extension, a free radical initiator is utilized to polymerize the ethylenically unsaturated monomers.
[0041] Examples of chain extenders useful for practicing the instant invention include compounds such as, for example, alkyl amino alcohols, cycloalkyl amino alcohols, heterocyclic amino alcohols, polyamines, hydrazines, substituted hydrazines, hydrazide; amides, water and mixtures thereof.
[0041] Suitable examples of polyamines, include ethylene diamine, diethylene triamine, triethylene tetra amine, melamine and the like.
[0042] A specific polyamine chain extender is ethylene diamine.
[0043] Another specific chain extender composition includes polyalkene oxide, such as, for example, polyalkene oxide, a hydroxyl functional latex or an amine functional latex.
[0044] The water dispersible polyurethane-polyethylene polymer composition (dispersions) of the invention can have pendant groups on the backbone of the polymerized ethylenically unsaturated monomers. Examples of suitable groups include acetoacetate, diacetonacrylamido, acetyl, benzoyl and the like. These groups can be used to cross-link the polyethylene polymer using the unsaturation present on the alkyd portion of the polyurethane or with residual amine functionality present on the urethane polymer.
[0045] Polymerization of the ethylenically unsaturated monomers of the water-based polyurethane-polyethylene compositions can be accomplished by using a free radical source. As used herein, a "free radical source" refers to any known effective free radical vinyl polymerization initiator such as, for example, sodium potassium and ammonium persulfates, peroxides, perborates, peroxybenzoates, and peroxides such as, hydrogen peroxide, tert-butyl hydroperoxide, tert-butyl peroctoate; and similar percarboxylic acid esters, azobisobutyronitrile (AIBN), 1,1'-azobis(cyclohexane-carbonitrile (AICN), 4,4'-azobis(4-cyanovaleric acid) (AICA), and the like. The amount of free radical initiator is from about 0.1 to about 3% by weight of monomers. Preferably the amount of free radical is from about 0.1 to about 2% by weight of monomers.
[0046] The water dispersible polyurethane-polyethylene compositions (or dispersions) of the invention also can include driers. The driers can be added before or after preparing the polyurethane-water dispersion. Typical driers include metal salts of cobalt, manganese, lead, zirconium, calcium, zinc, tin, magnesium, iron, nickel, copper or combinations thereof of Examples of suitable metal drier compounds are known in the art. See, for example, Wicks, Z. W., Jones, F. N., and Pappas, S. P.; "Organic Coatings Science and Technology", Vol. II, 1994, New York, John Wiley & sons, Inc. The water dispersible polyurethane-polyethylene compositions can also include compounds such as, for example, 1,10 phenanthroline, bipyridine, and the like. These compounds can function as accelerators in combination with the metal driers. Preferably the amount or drier is from about 50 to about 1000 ppm (by weight) of metal ion based on the weight of polyurethane polymer. More preferably the amount or drier is from about 50 to about 300 ppm (by weight) of metal ion.
[0047] The water dispersible polyurethane-polyethylene compositions (or dispersions) of the invention also can include other ingredients such as plasticizers, pigments, colorants, dyes, surfactants, thickeners, heat stabilizers, leveling agents, anti-cratering agents, fillers, sedimentation inhibitors, ultraviolet-light absorbers, and the like to modify properties. Additives such as heat stabilizers, ultraviolet-light absorbers, etc., can be dispersed in the reaction mixture and become an integral part of the urethane polymer. Alternatively, the additives may be added after the water dispersible polyurethane-polyethylene compositions (or dispersions) have been formed. The resulting water dispersible polyurethane-polyethylene compositions (or dispersions) have low or zero VOC and improved mar and scuff resistance properties, and are air dryable, have a high hardness and are resistant to abrasions, chemicals, and stains.
[0048] Pigments for use with the present invention are known in the art. Suitable pigments include titanium dioxide white, carbon black, lampblack, black iron oxide, red iron oxide, yellow iron oxide, brown iron oxide (a blend of red and yellow oxide with black), phthalocyanine green, phthalocyanine blue, organic reds (such as naphthol red, quinacridone red and toulidine red), quinacridone magenta, quinacridone violet, D\textsubscript{NA} orange, and/or organic yellows (such as Hansa yellow).
[0049] The following abbreviations have been used herein:
| Abbreviation | Description |
|--------------|-------------|
| IPA | Isophthalic Acid |
| AA | Adipic Acid |
| SSIPA | 5-(Sodiosulfo)Isophthalic Acid |
| LSIPA | 5-(Lithiosulfo)Isophthalic Acid |
| TMP | Trimethyl Propane |
| NPG | Neopentyl Glycol |
| DEG | Diethylene Glycol |
| DBTDL | Dibutyl Tin Dilaurate |
[0050] The advantages of the water dispersible polyurethane-polyethylene compositions (or dispersions) of the present invention are further illustrated in the following illustrative examples. All amounts are provided as parts by weight (weight parts).
**EXAMPLE 1**
Preparation of SSIPA Functional Alkyd
Step A
[0059] A reactor was charged with 11.8 parts SSIPA, 20.7 parts neopentyl glycol, and 950 ppm of Fascat 4100 tin catalyst from Elf Atochem. The reaction mixture was heated and stirred for about 4 hours and water was removed. The mixture was heated and tested until a test sample has an acid number of less than 2 mg of KOH/gram. Linoleic Acid (67.5 parts) was added to the mixture and the reaction cooled to room temperature.
Step B
[0060] The reaction product prepared in Step A (52 parts) was combined with 16 parts of trimethyl propane, 11.2 parts isophthalic acid and 333 ppm Fascat 4100 tin catalysfrom Elf Atochem. The mixture was heated and stirred for about 3.5 hours until an acid number of less than 5 mg of KOH/gram was achieved.
[0061] The physical properties of the SSIPA functional alkyd were:
[0062] MW=537 OH#=201 AV<4.0.
EXAMPLE 2
Preparation of a Water Dispersible SSIPA Functional Polyurethane-Polyethylene Polymer
[0063] The SSIPA functionalized alkyd, prepared in Example 1, 272 grams, was reacted with 54 grams of toluene diisocyanate in the presence of 80.3 grams methyl methacrylate (MMA) and 75 ppm 2,6 Di-tert-butyl-4-methylphenol under air. The reaction mixture was heated to 60° C. and stirred until the free isocyanate level was <0.3% as determined by titration with hydrochloric acid.
[0064] A dispersion of the polyurethane polymer blend was prepared by addition of 365 grams of deionized water. The free radical polymerization of the MMA was conducted using a redox initiation system of t-butyl hydroperoxide (70% solution in water) (1.2 grams) diluted with 200 grams of deionized water and isoascorbic acid (0.8 grams) diluted with 20 grams of deionized water. The isoascorbic acid solution was neutralized with aqueous ammonia to a pH of 7-8 and added to the polyurethane dispersion. The t-butyl hydroperoxide solution was added dropwise to the dispersion over three hours at 40° C. under a nitrogen atmosphere. A catalytic level of Hampol-4.5% iron catalyst (supplied by Hampshire) was added to the dispersion just prior to the isoascorbic acid addition. The dispersion was then adjusted to 35% solids with deionized water.
[0065] The properties of the dispersion are outlined in the table below:
| EXAMPLE 2 |
|-----------|
| NVM % | 43.9% |
| pH | 7.4 |
| VOC (lb/gal) | Zero* |
*A trace level of VOC will result from the formation of t-butanol as a byproduct of the t-butyl hydroperoxide.
EXAMPLE 3
Preparation of LSIPA Functional Alkyd
[0066] A reactor was charged with 135 parts LSIPA, 397.5 parts DEG, 157.5 parts TMP, and 1500 ppm of Facsof 4100 tin catalyst from Elf Atochem. The reaction mixture was heated and stirred for about 4 hours and water was removed. The mixture was heated and tested until a sample has an acid number of less than 2 mg of KOH/gram. 300 parts soya fatty acid and 510 parts AA were then added to the mixture, and the mixture was heated and stirred for about 4.0 hours until an acid number of less than 5 mg of KOH/gram was achieved.
[0067] The physical properties of the LSIPA functional alkyd were:
[0068] MW=1343 OH#=83 AV<4.0.
EXAMPLE 4
Preparation of a Water Dispersible LSIPA Functional Polyurethane-Polyethylene Polymer
[0069] The LSIPA functionalized alkyd, prepared in Example 3, 243 grams, was reacted with 82 grams of IPDI in the presence of 81 grams methyl methacrylate A), and 200 ppm 2,6 Di-tert-butyl-4-methylphenol under an air sparge. The mixture was heated to 80° C. under an air sparge, where upon 200 ppm DBTDL was added and the reaction processed until the isocyanate level was below 9.2%. The urethane prepolymer was cooled to 65 C. The urethane prepolymer was then dispersed into 632 grams 30° C. deionized water and subsequently chain extended with a mix of 8.2 grams of ethylene diamine and 24 grams of deionized water. The free radical polymerization of the MMA was conducted using a redox initiation system of t-butyl hydroperoxide (70% solution in water) (2.25 grams) diluted with 90 grams of deionized water and isoascorbic acid (1.75 grams) diluted with 10 grams of deionized water. The isoascorbic acid solution was neutralized with aqueous ammonia to a pH of 7-8 and added to the polyurethane dispersion. The t-butyl hydroperoxide solution was then added dropwise to the dispersion over three hours at 40° C. under a nitrogen atmosphere. A catalytic level of Hampol-4.5% iron catalyst (supplied by Hampshire) was added to the dispersion just prior to the isoascorbic acid addition. The dispersion was then adjusted to 35% solids with deionized water.
[0070] The properties of the dispersion are outlined in the table below:
| EXAMPLE 4 |
|-----------|
| NVM % | 35.0% |
| pH | 7.4 |
| VOC (lb/gal) | Zero* |
*A trace level of VOC will result from the formation of t-butanol as a byproduct of the t-butyl hydroperoxide.
EXAMPLE 5
Performance Results
[0071] A 3 mil wet film of the water dispersible LSIPA functional polyurethane-polyethylene polymer from Example 4 was applied to Leneta test charts and allowed to dry at room temperature.
| TEST | EXAMPLE 5 |
|------------|-----------|
| Dry time | <20 minutes |
| Gloss 60 degree | 92 |
| Gloss 20 degree | 74 |
[0072] Gloss testing was performed in accordance with ASTM test method
[0073] D-523 with a micro-TRI-gloss unit from
[0074] The above specification, examples and data provide a complete description of the manufacture and use of
the composition of the invention. Since many embodiments of the invention can be made without departing from the spirit and scope of the invention, the invention resides in the claims hereinafter appended.
[0075] All patents, patent applications, and literature cited in the specification are hereby incorporated by reference in their entirety. In the case of any inconsistencies, the present disclosure, including any definitions therein will prevail.
1. A composition comprising:
a) a sulfonated polyurethane polymer comprising the reaction product of:
i) a polyisocyanate;
ii) a sulfonated polyol;
b) a second polymer formed from vinyl monomers; and
c) water;
wherein the sulfonated polyurethane polymer comprises ethylenic groups; and
the composition has a VOC of less than about 5% based on the total weight of the composition.
2. The composition of claim 1, wherein the polyurethane polymer further comprises a sulfonated polyol without ethylenic groups.
3. The composition of claim 1, wherein the polyurethane polymer further comprises a sulfonated polyol with ethylenic groups.
4. The composition of claim 1, wherein the sulfonated polyol comprises an aliphatic or aromatic diacid having at least one sulfonate group.
5. The composition of claim 4, wherein the sulfonated diacid comprises from about 3 to about 10 weight percent based on the weight of the polyurethane polymer.
6. The composition of claim 5, wherein the sulfonated diacid comprises from about 4 to about 8 weight percent based on the weight of the polyurethane polymer.
7. The composition of claim 6, wherein the sulfonated diacid comprises from about 5.5 to about 7.5 weight percent based on the weight of the polyurethane polymer.
8. The composition of claim 1, wherein the second polymer comprises vinyl monomers selected from the group consisting of acrylic acid, methacrylic acid, methyl acrylate, ethyl acrylate, propyl acrylate, butyl acrylate, 2-ethylhexyl acrylate, methyl methacrylate, ethyl methacrylate, propyl methacrylate, butyl methacrylate, 2-ethylhexyl methacrylate, hydroxyethyl acrylate, hydroxyethyl methacrylate, 2-ethoxyethyl acrylate, acrylamide, acrylamide, methacrylamide, diacetone acrylamide, styrene, α-methyl styrene, vinyl toluene, vinyl acetate, vinyl propionate, and mixtures thereof.
9. The composition of claim 8, wherein the second polymer comprises vinyl monomers selected from the group consisting of acrylic acid, methacrylic acid, methyl acrylate, ethyl acrylate, propyl acrylate, butyl acrylate, 2-ethylhexyl acrylate, methyl methacrylate, ethyl methacrylate, propyl methacrylate, butyl methacrylate, 2-ethylhexyl methacrylate, hydroxyethyl acrylate, hydroxyethyl methacrylate, acrylamide, methacrylamide, styrene, α-methyl styrene, vinyl toluene, vinyl acetate, vinyl propionate, and mixtures thereof.
10. The composition of claim 9, wherein the second polymer comprises methyl methacrylate, butyl acrylate, styrene, vinyl acetate, or a mixture thereof.
11. The composition of claim 8, wherein the second polymer is a poly(meth)acrylate polymer.
12. The composition of claim 11, wherein, the poly(meth)acrylate polymer comprises a copolymer of an acrylate ester, methacrylate ester, acrylamide, methacrylamide, acrylic acid, methacrylic acid, or a mixture thereof.
13. The composition of claim 12, wherein the poly(meth)acrylate polymer comprises vinyl monomers selected from the group consisting of comprising methyl acrylate, ethyl acrylate, butyl acrylate, 2-ethylhexyl acrylate, methyl methacrylate, ethyl methacrylate, butyl methacrylate, and mixtures thereof.
14. The composition of claim 13, wherein the poly(meth)acrylate polymer comprises methyl methacrylate, butyl acrylate, or a mixture thereof.
15. The composition of claim 14, wherein the second polymer further comprises styrene, vinyl acetate, or a mixture thereof.
16. The composition of claim 1, wherein the second polymer is polymerized using a free radical catalyst.
17. The composition of claim 1, wherein the polyisocyanate is 1,2-ethylene disiocyanate, 1,4-tetramethylene disiocyanate, 1,6-hexamethylene disiocyanate, 2,2,4-trimethyl-1,6-hexamethylene disiocyanate, 2,4,4-trimethyl-1,6-hexamethylene disiocyanate, 1,12-dodecane disiocyanate, cyclobutane 1,3-diisocyanate, cyclohexane 1,3-diisocyanate, cyclohexane 1,4-diisocyanate, bis(4-isocyanatocyclohexyl)methane, 1-methylcyclohexane-2,2-diisocyanate, 1-methylcyclohexane-2,6-diisocyanate, 3-isocyanatomethyl-3,5,5-trimethyl-cyclohexyl isocyanate, 2,5-bis(isocyanatomethyl)-8-methyl-1,4-methano-decahydronaphthalene, 3,5-bis(isocyanatomethyl)-8-methyl-1,4-methanodeca-hydronaphthalene, 2,6-bis (isocyanatomethyl)octahydro-hexahydrophthalic anhydride, dicyclohexyl 2,4'-diisocyanate, dicyclohexyl 4,4'-diisocyanate, 2,6-hexahydrotoluene disiocyanate, perhydro-2,4'-diphenylmethane disiocyanate, perhydro-4,4'-diphenylmethane disiocyanate, 1,3-phenylene disiocyanate, 1,4-phenylene disiocyanate, 4,4'-biphenyl disiocyanate, 4,4'-diisocyanato-3,3',3'-dimethoxybiphenyl, 4,4'-diisocyanato-3,3'-dimethylbiphenyl, 3,3'-diphenylbiphenyl 4,4'-diisocyanate, 2,4-diphenylmethane disiocyanate, 4,4'-diphenylmethane disiocyanate, naphtalene 1,5-diisocyanate, 2,4-toluene diisocyanate, 2,6-toluene diisocyanate, N,N-(4,4'-dimethyl-3,3'-dioctyloxybiphenyl)urethane, m-xylene diisocyanate, tetramethylxylenediisocyanate, 2,4,4'-trisocyanatodiphenyl ether, 4,4',4''-trisocyanatotriphenylmethane, tris(4-isocyanatophenyl)thiophosphate, or a mixture thereof.
18. The composition of claim 17, wherein the polyisocyanate is a diisocyanate.
19. The composition of claim 18, wherein the diisocyanate is 2,4-toluene diisocyanate, 2,6-toluene diisocyanate, 1,6-hexamethylene disiocyanate, 2,4'-disiocyanato-diphenylmethane, 4,4'-disiocyanato-diphenylmethane, 4,4'-diphenylmethane disiocyanate, 3-isocyanatomethyl-3,5,5-trimethylcyclohexyl isocyanate, bis(4-isocyanatocyclohexyl)methane, dicyclohexyl 2,4'-diisocyanate, dicyclohexyl 4,4'-diisocyanate, or a mixture thereof.
20. The composition of claim 1, wherein the sulfonated polyol comprises a polyester, an alkyl or a mixture thereof.
21. The composition of claim 4, wherein the sulfonate groups are present in the form of ammonium, tertiary amine, calcium, copper, or iron salts.
22. The composition of claim 4, wherein the sulfonate groups are present in the form of alkali metal salts.
23. The composition of claim 22, wherein the alkali metal salts are lithium, sodium or potassium.
24. The composition of claim 1, wherein the sulfonated polymer comprises a derivative of 5-sulfo-isophthalic acid.
25. The composition of claim 1, wherein the polyurethane polymer further comprises a chain extension agent.
26. The composition of claim 25, wherein the chain extension agent is an alkyl amino alcohol, cycloalkyl amino alcohol, heterocyclic amino alcohol, polyamine, hydrazine, substituted hydrazine, hydrazide, amide, water or a mixture thereof.
27. The composition of claim 25 wherein the chain extension agent comprises ethylene diamine.
28. The composition of claim 25, wherein the chain extension agent comprises ethylene diamine.
29. The composition of claim 25, wherein the chain extension agent comprises polyalkene oxide, a hydroxyl functional latex or amine functional latex.
30. The composition of claim 1, wherein the composition has a VOC less than about 3 percent, based on the total weight of the composition.
31. The composition of claim 30, wherein the VOC is less than about 1 percent, based on the total weight of the composition.
32. The composition of claim 31, wherein the VOC is substantially zero percent, based on the total weight of the composition.
33. A process for preparing a water dispersible polyurethane-polyethylene polymer composition of claim 1 comprising:
a) blending a polyurethane prepolymer with one or more vinyl monomers, inert to isocyanate functionality;
b) dispersing the prepolymer/vinyl monomer blend into water;
c) chain extending the terminal isocyanate groups of the prepolymer with one or more active hydrogen containing compounds wherein the chain extended polyurethane prepolymer has
i) at least one sulfonate group and at least one curable ethylenic unsaturated group; and
ii) terminal isocyanate groups or both terminal isocyanate groups and terminal vinyl groups; and
d) reacting the vinyl monomers by free radical polymerization. |
Edwin Aiwazian (SBN 232943)
Arby Aiwazian (SBN 269827)
Hill J. Parker (SBN 274230)
Maria F. Nickerson (SBN 274225)
LAWYERS for JUSTICE, PC
410 West Arden Avenue, Suite 203
Glendale, California 91203
Telephone: (818) 265-1020
Kevin Shenkman (SBN 223315)
Mary Hughes (SBN 222662)
SHENKMAN & HUGHES
28905 Wight Road
Malibu, California 90265
Telephone: (310) 457-0970
Attorneys for Plaintiff and the Proposed Settlement Class
SUPERIOR COURT OF THE STATE OF CALIFORNIA
FOR THE COUNTY OF LOS ANGELES – CENTRAL DISTRICT
DANIEL FLANNERY; individually, and on behalf of other members of the general public similarly situated;
Plaintiff,
vs.
MCCORMICK & SCHMICK’S SEAFOOD RESTAURANTS, INC., an unknown business entity; MCCORMICK & SCHMICK RESTAURANT CORP., an unknown business entity; LANDRY’S RESTAURANTS, INC.; an unknown business entity; LANDRY’S, INC.; an unknown business entity; and DOES 1 through 100, inclusive,
Defendants.
Case No.: BC487942
Honorable Lee Smalley Edmon
Department D322
CLASS ACTION
STIPULATION OF CLASS ACTION SETTLEMENT
This Stipulation of Class Action Settlement (hereinafter “Settlement Agreement”) is made and entered into by and between Plaintiff DANIEL FLANNERY (“Plaintiff”), individually and on behalf of other members of the general public similarly situated, and Defendants MCCORMICK & SCHMICK’S SEAFOOD RESTAURANTS, INC., MCCORMICK & SCHMICK RESTAURANT CORP., and LANDRY’S, INC., erroneously sued as LANDRY’S RESTAURANTS, INC. (collectively, “Defendants”), subject to the terms and conditions herein and final approval by the above-entitled Court. Plaintiff and Defendants are collectively referred to herein as the “Parties.”
**PROCEDURAL HISTORY AND BACKGROUND FACTS**
1. On July 10, 2012, Plaintiff filed the above-entitled class action complaint on behalf of himself and all other members of the general public similarly situated against Defendants (the “Action”) alleging false advertising and unfair business practices in violation of California Business and Professions Code §§ 17500 et seq. and §§ 17200 et seq., as well as violations of the Consumers Legal Remedies Act, codified at California Civil Code §§ 1750 et seq. Plaintiff also alleged that Defendants’ actions constitute fraud, intentional misrepresentation, and negligent misrepresentation.
2. Plaintiff alleged that “Kobe” beef is only available from Japan, and that the term “Kobe” signifies that beef comes from the “Wagyu” bloodline of cattle which are isolated in the Kobe region of Japan and that the beef comes from cattle slaughtered within the Kobe region of Japan. Plaintiff further alleged that the United States Department of Agriculture has banned importation of beef and cattle from Japan since approximately May 2010. Plaintiff further alleged that the menu items at Defendants’ McCormick & Schmick’s restaurants that purport to contain “Kobe” beef do not actually contain “Kobe” beef. Plaintiff further alleged that Defendants’ in store and online menu items have misled consumers into believing that their menu items which purport to contain “Kobe” beef offered at McCormick & Schmick’s restaurants do in fact contain “Kobe” beef.
3. Defendants denied and continue to deny all of Plaintiff's allegations, and further deny that the Action is appropriate for class treatment for any purpose other than this settlement. Defendants contend that they have complied at all times with the California Business & Professions Code and Consumer Legal Remedies Act sections at issue, and further contend that, if this case were to be litigated, class certification would be inappropriate because individual issues predominate and no class can be ascertained. Defendants have concluded, however, that further litigation of the Action would be protracted and expensive and, therefore, acknowledge that certification of a settlement class is appropriate.
4. By entering into this Settlement Agreement, including without limitation stipulating to Court approval of it and a class settlement, Defendants do not admit and shall not be deemed to have admitted any violation of or right to remedies or relief under the California Unfair Competition Law (Cal. Bus. and Prof. Code §§ 17200 et seq.), California Legal Remedies Act (Cal. Civil Code §§ 1750 et seq.), or any of Plaintiff's other causes of action. Nothing in this Settlement Agreement shall be construed as an admission by Defendants of any fact, issue of law or violation of law, nor shall Defendants' compliance with the terms of this Settlement Agreement constitute or be construed as an admission of any fact, issue of law or violation of law. This Settlement Agreement is a settlement document and shall, pursuant to California Evidence Code Sections 1152 and 1154, be inadmissible in evidence in any proceeding. The preceding sentence shall not apply to an action or proceeding to approve, interpret or enforce this Settlement Agreement.
5. On January 14, 2013, the Parties participated in a full-day of private mediation before Hon. Edward Infante (Ret.) of JAMS. Pursuant to a mediator's proposal submitted by Judge Infante, the Parties agreed upon the proposed settlement described herein.
6. Plaintiff and his counsel have diligently pursued an investigation of Plaintiff's and the putative class members' claims against Defendants and have conducted
a thorough investigation into the facts of the Action, including a review and verification of statistical data and other facts and information provided by Defendants. Class Counsel also represent they have investigated the applicable law as applied to the facts discovered regarding the alleged claims of Plaintiff and potential defenses thereto, and the damages claimed by Plaintiff. Based on their own independent investigation and evaluation, Plaintiff and Class Counsel are of the opinion that the settlement with Defendants for the consideration and on the terms set forth in this Settlement Agreement is fair, reasonable and adequate, and is in the best interest of the class in light of all known facts and circumstances, including the risks and delay associated with continued litigation, the risks associated with a motion for class certification, the defenses asserted by Defendants and numerous potential appellate issues.
6. Plaintiff had the benefit of experienced counsel in evaluating the reasonableness of this Settlement, had sufficient time and opportunity to conduct discovery into the merits of the claims and allegations, and relies on nothing other than his own judgment and that of his counsel (and not any representation by Defendants) in reaching the conclusion that the Settlement set forth herein is fair, reasonable, adequate and in the best interests of the Class Members.
7. Defendants also consider it desirable to resolve the Action on the terms stated herein in order to avoid further expense, inconvenience and interference with ongoing business operations, and to dispose of this litigation, and thus have determined that settlement of the Action on the terms set forth herein is in their best interests.
8. It is the desire of the Parties to fully, finally and forever settle, compromise and discharge all disputes and causes of action raised in the Action.
NOW, THEREFORE, in consideration of the mutual promises contained herein, and other good and valuable consideration, the sufficiency of which is hereby acknowledged, it is hereby stipulated and agreed, by and between the Parties, by and through their respective undersigned counsel, that the Action shall be fully, finally and forever resolved, discharged, settled and compromised, subject to Court approval, in the
manner and upon the terms and conditions hereafter set forth:
**PRELIMINARY TERMS AND DEFINITIONS**
9. "Class Counsel" is Edwin Aiwazian, Arby Aiwazian, Jill J. Parker and Maria F. Nickerson of Lawyers for Justice, PC, and Kevin Shenkman and Mary Ruth Hughes of Shenkman & Hughes.
10. Subject to Court approval, the Parties have agreed to the appointment of Kurtzman Carson Consultants to perform the duties of the "Settlement Administrator."
11. "Subject Food Product" shall mean any menu item at Defendants' restaurants described as containing "Kobe" beef including, without limitation, "Kobe Beef Sliders" or "Kobe Burger."
12. "Class Period" shall mean July 10, 2008 to July 15, 2012.
13. "Class Members" shall mean all California based consumers who were exposed to Defendants' online and/or in store menus, and who purchased a Subject Food Product (or any menu item that was advertised to contain "Kobe" beef on Defendants' online and/or in store menus) at or from a Defendants' restaurant located in the State of California at any time during the Class Period.
14. "Comp Period" shall mean a date no later than fourteen (14) calendar days after the date the Court enters the order granting preliminary approval of the proposed Settlement herein to the one hundredth and twentieth (120) day thereafter. Counsel for Defendants agrees to notify Class Counsel, in writing, of the start date of the Comp Period prior to said start date.
15. "M&S" shall mean Defendant MCCORMICK & SCHMICK RESTAURANT CORP., which owns and operates 12 restaurants in California.
16. "Opt-Out Deadline" shall mean forty-five (45) calendar days after the date Defendants commence giving notice to the Settlement Class pursuant to paragraph 42, below.
17. "Settlement" shall refer to the settlement between Defendants and Plaintiff as memorialized in this Settlement Agreement.
CLASS CERTIFICATION FOR SETTLEMENT PURPOSES
18. Pursuant to California Rules of Court, Rule 3.769, for settlement purposes only, the Parties agree that there shall be a certified "Settlement Class," defined as follows:
"All California based consumers who were exposed to Defendants' online and/or in store menus, and who purchased a Subject Food Product (or any menu item that was advertised to contain "Kobe" beef on Defendants' online and/or in store menus) at or from a Defendants' restaurant located in the State of California at any time during the Class Period."
19. The Parties agree that the class described herein may be certified and that any motion for preliminary approval seeking, inter alia, certification of a class is for purposes of the Settlement only. If for any reason the Settlement is not approved, the certification will have no force or effect and will be immediately revoked. The Parties further agree that certification for purposes of the Settlement is in no way an admission that class certification is proper under the more stringent standard applied for litigation and that evidence of this limited stipulation for settlement purposes only will not be admissible in this or any other proceeding.
20. The Settlement is contingent upon the final approval and certification by the Court of the Settlement Class for settlement purposes only. Defendants do not waive, and expressly reserve, their rights to challenge the propriety of class certification for any purpose should the Court not approve this Settlement Agreement and certify the Settlement Class. Plaintiff does not waive, and expressly reserves, his right to move for class certification should the Court not approve this Settlement Agreement and certify the Settlement Class.
TERMS OF SETTLEMENT
21. Following notice of the Action, and without admitting any liability or fault, Defendants changed the description of the Subject Food Products on M&S menus from "Kobe beef" to "American Kobe Style" beef. Defendants shall forebear from using the
term “Kobe beef” on M&S menus, and will refer to Subject Food Products as “American Kobe Style” beef.
22. Defendants shall provide a Fifteen Dollar ($15.00) comp card to any Class Member who submits to the Settlement Administrator during the Comp Period (i) an M&S sales receipt, a credit card receipt or a credit card statement showing that he/she purchased a meal in excess of $15.00 at any M&S restaurant in the State of California at any time between July 10, 2008 and July 15, 2012 (hereinafter, a “Qualifying Receipt”), and (ii) a claim form (“Claim Form”) signed under penalty of perjury under the laws of the State of California attesting that he/she purchased and consumed a Subject Food Product on the date shown on the Qualifying Receipt submitted with the Claim Form. The comp card shall be in the form of a card good for the purchase of any food or beverage item at any M&S restaurant located in the State of California.
23. Defendants shall provide a Ten Dollar ($10.00) comp card to any Class Member who submits to the Settlement Administrator during the Comp Period a Claim Form signed under penalty of perjury under the laws of the State of California attesting that he/she purchased a meal in excess of $15.00 at an M&S restaurant in the State of California on a date between July 10, 2008 and July 15, 2012, and that he/she purchased and consumed a Subject Food Product on that date. The comp card shall be in the form of a card good for the purchase of any food or beverage item at any M&S restaurant located in the State of California.
24. In order for a Class Member to receive a comp card, the Class Member must accurately complete and sign a Claim Form under penalty of perjury, and return the Claim Form to the Settlement Administrator during the Comp Period. The timeliness of Claim Forms submitted by mail will be determined by valid postmark.
25. No common fund or minimum or maximum claims amount shall be established. If no objections to this Settlement are timely filed and no objector appears at any final approval hearing, then no later than fifteen (15) calendar days after the Court enters an order granting final approval of this Settlement Agreement, Defendants shall
provide the Settlement Administrator with all comp cards in the respective amounts necessary to satisfy all valid claims submitted by Class Members in accordance with the requirements of paragraphs 22 and 23. If objections to this Settlement are timely filed or an objector does appear at any final approval hearing, Defendants shall provide all comp cards in the respective amounts necessary to satisfy all valid claims submitted by Class Members in accordance with the requirements of paragraphs 22 and 23 no later than twenty-one (21) calendar days after the latest of: (1) the last date by which a notice of appeal to the California Court of Appeal of the Judgment may be timely filed, and none is filed; (2) the last date by which a petition for review by the California Supreme Court of a decision by the California Court of Appeal affirming the Judgment may be timely filed, and none is filed; (3) the last date by which a petition for certiorari to the U.S. Supreme Court with respect to a decision by the California Court of Appeal or the California Supreme Court affirming the Judgment may be timely filed, and none is filed; and (4) if a notice of appeal to the Court of Appeal, a petition for review to the California Supreme Court, or a petition for certiorari to the U.S. Supreme Court is timely filed, the date on which the highest reviewing court renders its decision denying the petition (where the immediately lower court affirmed the Judgment) or affirming the Judgment. Upon receipt of the comp cards, the Settlement Administrator shall thereafter mail them to the Class Members who have submitted valid Claim Forms no later than ten (10) calendar days after receipt from Defendants.
26. Class Members must use their comp cards for the purchase of a food or beverage item at any M&S restaurant located in the State of California after they are mailed by the Settlement Administrator. Purchasing a food or beverage item is a condition precedent to a Class Member’s entitlement to any settlement funds, and a Class Member shall have no property interest in any funds remaining due to unused comp cards.
27. Upon entry of the Court’s order finally approving this Settlement, the Court shall enter a judgment approving class action settlement, in a form substantially similar to the one attached hereto as Exhibit “A,” so as to permanently bar Plaintiff and
the Settlement Class and each of its members, other than those who timely opt-out, from prosecuting the claims released herein against Defendants and/or others released herein.
28. The Parties agree that to the extent a perceived or actual violation of the procedures and terms set forth in Paragraphs 21 through 25, above, occurs, and Defendants are expressly informed of such perceived or actual violation, Defendants shall be provided a reasonable amount of time, not less than thirty (30) calendar days, within which to remedy such perceived or actual violation.
**ATTORNEYS’ FEES AND COSTS**
29. Subject to Court approval, Defendants agree to pay the total amount of $90,000 to Class Counsel for all attorneys’ fees, expenses and court costs incurred in this Action including, but not limited to, attorneys’ fees, expenses and court costs (other than costs of the Settlement Administrator) relating to the Settlement and Court approval thereof, and any appeals thereon. Defendants will not object to Class Counsel’s request for preliminary and final approval of an award of attorneys’ fees, expenses and court costs in the amount of $90,000.
30. Class Counsel agree and stipulate that they will not request attorneys’ fees, expenses and court costs in an amount greater than $90,000. In the event the Court awards Class Counsel an amount greater than $90,000, Class Counsel agree and stipulate that they will accept the amount of $90,000 as full and complete satisfaction of and compliance with any such order and award.
31. Class Counsel agree and stipulate that they will not request a named-plaintiff incentive award in an amount greater than $2,000. Defendants will not object to any request for an incentive award in an amount not greater than $2,000. Subject to Court approval, Defendants agree to pay the incentive award, in addition to the other items contemplated in this Settlement Agreement. In the event that the Court awards Plaintiff an amount greater than $2,000, then Plaintiff agrees that he will accept the amount of $2,000 as full and complete satisfaction and compliance with any such order and award.
32. Defendants shall pay the $90,000 (or any lesser amount if so awarded by the Court) in attorneys' fees, expenses and court costs to the Settlement Administrator, for the benefit of Class Counsel, and the named-plaintiff incentive award of $2,000 (or any lesser amount if so awarded by the Court), no later than twenty (20) calendar days from the date the Court enters the order granting final approval of the proposed settlement herein and awarding attorneys' fees, expenses and court costs to Class Counsel and a named-plaintiff incentive award to Plaintiff. The Settlement Administrator shall thereafter pay the $90,000 (or any lesser amount if so awarded by the Court) to Lawyers for Justice, PC and Shenkman & Hughes according to the fee splitting agreement entered into by the lawyers of each firm and consented to by Plaintiff, and the $2,000 (or any lesser amount if so awarded by the Court) to Plaintiff, no later than ten (10) calendar days after the Settlement Agreement becomes final and effective upon occurrence of all of the events set forth in paragraph 51.
33. Plaintiff and Class Counsel understand and agree that neither Defendants nor Defendants' counsel are providing any tax or legal advice, and that they make no representations regarding tax obligations or consequences, if any, related to this Settlement Agreement.
34. Plaintiff and Class Counsel agree that they shall be exclusively responsible for the payment of any applicable federal and state taxes which may be due as the result of the consideration paid under this Settlement, and they shall not seek any indemnification or contribution from Defendants in that regard. Class Counsel shall provide Defendants with a W-9 form in order to process the above-referenced payment.
SETTLEMENT ADMINISTRATOR
35. Defendants agree to pay the Settlement Administrator all costs associated with administering the proposed Settlement, not to exceed ten thousand dollars ($10,000). Any costs or fees associated with administering this Settlement in excess of $10,000 shall be paid by Plaintiff or Class Counsel.
36. Notwithstanding such payment by Defendants, the Settlement Administrator has been selected by Class Counsel. Neither Defendants nor their counsel shall have any liability for the administration of the Settlement by the Settlement Administrator, nor shall they have any liability to Plaintiff, the Settlement Class, Class Members, or Class Counsel in connection with such administration.
37. All proceedings with respect to the administration of the Settlement shall be subject to the exclusive jurisdiction of this Court.
**DUTIES OF THE PARTIES PRIOR TO COURT APPROVAL**
38. Promptly after execution of this Settlement Agreement, Plaintiff shall move the Court for preliminary approval of this Settlement and entry of an order scheduling a fairness hearing on the question of whether the proposed Settlement should be finally approved as fair, reasonable and adequate as to the Class Members. Plaintiff shall submit this Settlement Agreement in support of the motion for preliminary approval of the Settlement. Defendants shall thereafter file a Notice of Non-Opposition (or similarly-captioned pleading).
39. In connection with the hearing on final approval of the Settlement provided for in this Settlement Agreement, Plaintiff through Class Counsel, will submit a proposed final order in a form substantially similar to Exhibit A ten (10) days prior to the scheduled date of the hearing on final approval:
(a) approving the settlement, adjudging the terms thereof to be fair, reasonable and adequate, and directing consummation of its terms and provisions;
(b) approving Class Counsel’s application for an award of attorneys’ fees and reimbursement of documented litigation costs and expenses, the Plaintiff’s incentive award, and the costs of administering the settlement; and;
(c) entering Judgment in conformance with the Settlement Agreement and permanently barring all Class Members from prosecuting any Released Claims against any of the Released Parties.
40. Class Counsel will file an application for attorneys’ fees and reimbursement of costs and expenses ten (10) calendar days prior to the scheduled date of the hearing on final
41. The Parties each expressly waive any right to appeal they may have in connection with any ruling of the Court in connection with the Action and settlement of it; except that Plaintiff and/or Class Counsel may appeal any reduction in the award of attorneys' fees and costs; and the Parties may jointly agree to appeal any ruling notwithstanding this waiver.
**NOTICE TO THE CLASS MEMBERS**
42. For a period of ninety (90) calendar days, commencing no later than fourteen (14) calendar days after the date the Court enters the order granting preliminary approval of the proposed settlement herein, Defendants shall post a short notice, in the form attached hereto as Exhibit "B" (actual size of notice) and approved by the Court, viewable by the public at the host/hostess station at all M&S California restaurants generally notifying customers that a class action lawsuit involving the Subject Food Product was filed and has been conditionally settled without admission of liability. In addition, Defendants shall provide a notice in a form substantially similar to the form attached hereto as Exhibit "C" as part of a table tent, check presenter or other form of table flyer at each dining room table at all M&S California restaurants. Both notices will direct customers to www.kobeclassaction.com, or a similar website URL maintained by the Settlement Administrator, which will provide customers with additional information about the lawsuit and Notice of Proposed Class Action Settlement, a copy of which is attached hereto as Exhibit "D." Said website shall remain active and viewable for a period of one hundred and twenty (120) calendar days, commencing no later than fourteen (14) calendar days after the date the Court signs the order granting preliminary approval of the proposed Settlement herein. Said website will provide, free of charge, viewable and printable copies of the Settlement Agreement, Preliminary Approval Order, Claim Forms, and the Notice of Proposed Class Action Settlement. Counsel for Defendants agrees to notify Class Counsel and the Settlement Administrator, in writing, of the start date of both of these forms of notice.
OPT-OUT PROCEDURE
43. Class Members have a right to opt-out of the Settlement. To opt-out, the Class Member must electronically complete and submit an opt-out form made available on www.koboclassaction.com, or such similar website URL as may be used, on or before the Opt-Out Deadline. This form shall require the Class Member to (a) provide his or her full name and address, (b) attest that he/she purchased a meal in excess of $15.00 at an M&S restaurant in the State of California on a date between July 10, 2008 and July 15, 2012 and that he/she purchased and consumed a Subject Food Product on that date, and (c) check a box stating that he/she wants to opt-out of the Settlement. Class Members who opt-out must send their opt out form via U.S. Mail to the Settlement Administrator at the physical address provided on Settlement Administrator’s website. Requests to opt-out that do not include all required information, or that are not submitted on a timely basis, will be deemed null, void and ineffective. Class Members who submit valid and timely requests to opt-out of the Settlement will not participate in the Settlement, nor will they be bound by the terms of the Settlement, if it is approved. The timeliness of requests to opt-out submitted by mail will be determined by valid postmark.
44. The Settlement Administrator will notify the Parties of the total number of valid Claim Forms (under paragraphs 22 and 23, respectively) and valid requests to opt-out no later than ten (10) calendar days after the end of the Comp Period. The Settlement Administrator will also provide to the Parties, at least fourteen (14) calendar days prior to the final approval hearing, a report listing the amount of all comp cards to be made to Class Members that have submitted valid Claim Forms under paragraphs 22 and 23, respectively.
45. Defendants may choose to void the Settlement if fifty (50) Class Members timely and validly opt-out of the Settlement. If Defendants wish to void this Settlement Agreement pursuant to this paragraph, Defendants must do so by delivering written notice to Class Counsel and the Settlement Administrator at least five (5) court days prior to the Final Approval Hearing.
46. Class Members have a right to object to the Settlement if they do not opt out of the proposed Settlement. Class Members who object to the Settlement will still be bound by the terms of the Settlement. To object, Class Members must complete and submit an objection form available on www.kobeclassaction.com, or such similar website URL as may be used, on or before the Opt-Out Deadline. This form shall require the Class Member to provide his or her full name and address, and check a box stating that he/she objects to the Settlement. Class Members who object to the Settlement must also send to the Settlement Administrator via U.S. Mail at the address provided on said website a Claim Form signed under penalty of perjury, evidencing their purchase of a Subject Food Product from one of M&S’ restaurants in California during the Class Period.
47. Upon the final approval by the Court of this Settlement Agreement and the class action settlement, and except as to such rights or claims as may be created by this Settlement Agreement, Plaintiff, the Settlement Class, and each Class Member (other than those who timely opt-out), including their respective successors, assigns, legatees, heirs, and personal representatives, fully, finally, and forever release and discharge Defendants, and each of them, including their respective parents, subsidiaries, sister corporations and affiliates, owners, officers, directors, employees, agents, representatives, attorneys, insurers, successors, assigns, and all persons acting by, through, under or in concert with them, or any of them (“Released Parties”), from any and all claims, debts, liabilities, demands, obligations, penalties, guarantees, costs, expenses, attorneys’ fees, damages, actions or causes of action of whatever kind or nature, which were alleged, or which could have been alleged based on the facts and claims alleged, in the Action.
48. In addition to the release given in paragraph 47, above, upon the final approval by the Court of this Settlement Agreement and the class action settlement, and
except as to such rights or claims as may be created by this Settlement Agreement, Plaintiff, on behalf of himself and his successors, assigns, legatees, heirs, and personal representatives, does hereby completely release and forever discharge Defendants and the Released Parties from any and all claims, rights, demands, actions, obligations, liabilities, indebtedness, and causes of action, of any and every kind, nature and character whatsoever, whether known or unknown, which Plaintiff may now have or has ever had against Defendants and/or the Released Parties.
49. In order to achieve a full and complete release of Defendants and the Released Parties, as set forth in paragraph 47 above, the Settlement Class and each member thereof (other than those that timely opt-out), and each of their respective successors, assigns, legatees, heirs, and personal representatives, acknowledge that this Settlement Agreement is intended to include in its effect all causes of action and allegations which were alleged, or which could have been alleged based on the facts and claims alleged, in the Action, including any claims that the Settlement Class, and the individual members thereof, do not know or suspect to exist in their favor. Consequently, with regard to the causes of action which were alleged, or which could have been alleged based on the facts and claims alleged, in the Action, the Settlement Class, and each individual member thereof (other than those who timely opt-out), waive all rights and benefits afforded by California Civil Code Section 1542, or any other similar provision under federal or state law, and do so understanding the significance of that waiver. Section 1542 provides:
"A general release does not extend to claims which the creditor does not know or suspect to exist in his or her favor at the time of executing the release, which if known by him or her must have materially affected his settlement with the debtor."
50. In order to achieve a full and complete release of Defendants and the Released Parties, as set forth in paragraph 48, above, Plaintiff, on behalf of himself and his successors, assigns, legatees, heirs, and personal representatives, acknowledges and
understands that his is a full and final release covering all unknown and unanticipated injuries, debts, claims, or damages to him which may have arisen, or may arise, in connection with any act or omission by Defendants or the Released Parties prior to the date of execution of this Settlement Agreement. For that reason, Plaintiff hereby waives any and all rights or benefits, which he may have under the terms of California Civil Code Section 1542 or any other similar provision under federal or state law, and does so understanding the significance of that waiver.
**CONDITIONS OF SETTLEMENT**
51. This Settlement Agreement will become final and effective upon occurrence of all of the following events:
a. execution of the Settlement Agreement by the Defendants, Plaintiff, Defendants’ counsel and Class Counsel;
b. entry by the Court of a preliminary approval order;
c. the Court’s certification of the Settlement Class for settlement purposes;
d. entry by the Court of a final approval order and judgment; and
e. unless the Parties otherwise agree in writing to waive all or any portions of the following provisions, there has occurred (i) in the event that there is a properly and timely filed objection to entry of the final approval order and judgment, the expiration (without the filing or noticing of an appeal) of the time to appeal from the final approval order and judgment; (ii) the final dismissal of an appeal from the final approval order and judgment; (iii) affirmance on appeal of the final approval order and judgment in substantially the same form as approved by the Court; (iv) if a ruling or decision is entered by an appellate court with respect to affirmance of the final approval order and judgment, the time to petition for a *writ of certiorari* with respect to such ruling or decision has expired; or (v) if a petition for a *writ of certiorari* with respect to the final approval order and judgment is filed, the petition has been denied or dismissed or, if granted, has resulted in affirmance of the final approval order and judgment in substantial form.
52. A failure of the Court to approve any material condition of this Settlement Agreement other than a modification or reduction of the request for an award of attorneys' fees, expenses, or court costs, which effects a fundamental change of the Settlement, or if the Settlement is reversed or materially modified on appellate review, shall render the entire Settlement Agreement voidable and unenforceable as to all Parties herein at the option of any Party. Except as otherwise provided herein, in the event the Settlement is terminated for any reason or any of the conditions set forth in paragraph 51 are not satisfied, then the Parties shall be deemed to have reverted to their respective status in the Action as of April 30, 2013, and the Parties shall proceed in all respects as if this Settlement Agreement and any related orders had not been entered, and any monies, including without limitation any attorneys' fees and costs awarded by the Court, paid by or on behalf of the Defendants to the Settlement Administrator for Class Counsel shall be returned to Defendants forthwith.
PARTIES’ AUTHORITY
53. The signatories hereto represent that they are fully authorized to enter into this Settlement Agreement and bind their respective Party to the terms and conditions hereof.
MUTUAL FULL COOPERATION
54. The Parties agree to fully cooperate with each other to accomplish the terms of this Settlement Agreement, including, but not limited to, execution of such documents and to take such other action as may reasonably be necessary to implement the terms of this Settlement Agreement. The Parties shall use their best efforts, including all efforts contemplated by this Settlement Agreement and any other efforts that may become necessary by order of the Court, or otherwise, to effectuate this Settlement Agreement and the terms set forth herein. As soon as practicable after execution of this Settlement Agreement, Class Counsel shall, with the cooperation of Defendants and their counsel, take all necessary steps to secure the Court’s preliminary and final approval of the Settlement.
55. Defendants agree not to encourage Class Members to opt-out of or object in
any way to the proposed Settlement.
**MISCELLANEOUS PROVISIONS**
56. This Settlement Agreement may not be changed, altered, or modified, except in writing and signed by the Parties, and approved by the Court. This Settlement Agreement may not be discharged except by performance in accordance with its terms or by a writing signed by the Parties.
57. This Settlement Agreement contains the entire agreement between the Parties relating to the proposed Settlement and transaction contemplated herein, and all prior or contemporaneous agreements, understandings, representations, and statements, whether oral or written and whether by a party or such party’s legal counsel, are merged herein. No rights hereunder may be waived except in writing.
58. This Settlement Agreement shall be binding upon and inure to the benefit of the Parties hereto and their respective heirs, trustees, executors, administrators, successors, and assigns.
59. The Parties hereto represent, covenant, and warrant that they have not directly or indirectly, assigned, transferred, encumbered, or purported to assign, transfer, or encumber to any person or entity any portion of any liability, claim, demand, action, cause of action or rights released and discharged by this Settlement Agreement.
60. Except with respect to Class Notice obligations and Defendants’ obligations with respect to the paragraph 42, above, Class Counsel and counsel for Defendants agree not to issue any press release or otherwise publicize the Settlement or any of the terms contained in this Settlement Agreement.
61. The Parties agree that the terms and conditions of this Settlement Agreement are the result of arm’s-length negotiations between the Parties, and that this Settlement Agreement shall not be construed in favor of or against any of the Parties by reason of their participation in the drafting of this Settlement Agreement.
62. Headings are inserted as a matter of convenience and for reference, and in no way define, limit, extend, or describe the scope of this Settlement Agreement.
or any of its provisions.
63. Pursuant to California Code of Civil Procedure Section 664.6, and California Rules of Court, rule 3.679(h), the Court shall retain jurisdiction of the Action to implement the Settlement and enforce this Settlement Agreement.
64. This Settlement Agreement shall be subject to and governed by the laws of the State of California and subject to the continuing jurisdiction of the Court.
65. Should any provision of this Settlement Agreement, or any portion thereof, be declared or be determined to be illegal, invalid, void, or otherwise unenforceable, such invalidity shall not affect the enforceability of the remaining terms hereof.
66. This Settlement Agreement may be executed in counterparts, and when each party has signed and delivered at least one such counterpart, each counterpart shall be deemed an original, and, when taken together with other signed counterparts, shall constitute one Settlement Agreement, which shall be binding upon and effective as to the Parties. For purposes of this Settlement Agreement, a facsimile or email signature shall be as valid and enforceable as an original.
67. It is agreed that, because the members of the Settlement Class are numerous, it is impossible or impractical to have each Class Member execute this Settlement Agreement. The Class Notice, attached hereto as Exhibit D, will advise all Class Members of the binding nature of the release provided herein and such shall have the same force and effect as if this Settlement Agreement were executed by each Class Member.
68. Whenever this Settlement Agreement requires or contemplates that one Party shall or may give notice to the other, notice shall be provided by facsimile, email and/or next day (excluding Sunday) express delivery service as follows:
If to Plaintiffs, then to:
LAWYERS FOR JUSTICE, PC
Edwin Aiwanian
firstname.lastname@example.org
410 West Arden Avenue, Suite 203
Glendale, California 91203
Facsimile: (818) 265-1021
If to Defendants, then to:
VON BIEREN & HUNTER, LLP
Andrew R. Hunter
email@example.com
2041 Rosscrans Ave., Suite 367
El Segundo, California 90245
Facsimile: (310) 613-3006.
SO STIPULATED AND AGREED.
Dated: July 9, 2013
DANIEL FLANNERY
By: Daniel Flannery, Plaintiff
Dated: July 10, 2013
MCCORMICK & SCHMICK’S SEAFOOD RESTAURANTS, INC.
By: Steven L. Scheinthal, Vice President
Dated: July 15, 2013
MCCORMICK & SCHMICK RESTAURANT CORP.
By: Steven L. Scheinthal, Vice President
Dated: July 16, 2013
LANDRY’S, INC.
By: Steven L. Scheinthal, Executive Vice President and General Counsel
APPROVED AS TO FORM:
Dated: July 5, 2013
VON BEHREN & HUNTER LLP
Andrew R. Hunter
Carol B. Lewis
By: ____________________________
Andrew R. Hunter
Attorneys for Defendants MCCORMICK & SCHMICK'S SEAFOOD RESTAURANTS, INC., MCCORMICK & SCHMICK RESTAURANT CORP., AND LANDRY'S, INC., erroneously sued as LANDRY'S RESTAURANTS, INC.
Dated: July 8, 2013
LAWYERS for JUSTICE, PC
Edwin Aiwazian
SHENKMAN & HUGHES
Kevin Shenkman
By: ____________________________
Edwin Aiwazian
Attorneys for Plaintiff DANIEL FLANNERY and the Proposed Settlement Class
EXHIBIT A
Kevin Shenkman (SBN 223315)
Mary Ruth Hughes (SBN 222662)
SHENKMAN & HUGHES
28905 Wight Road
Malibu, California 90265
Telephone: (310) 457-0970
Edwin Aiwazian (SBN 232943)
Arby Aiwazian (SBN 269827)
Jill J. Parker (SBN 274230)
Maria F. Nickerson (SBN 274225)
LAWYERS for JUSTICE, PC
410 West Arden Avenue, Suite 203
Glendale, California 91203
Telephone: (818) 265-1020
Attorneys for Plaintiff and the Proposed Settlement Class
SUPERIOR COURT OF THE STATE OF CALIFORNIA
FOR THE COUNTY OF LOS ANGELES
DANIEL FLANNERY; individually, and on behalf of other members of the general public similarly situated;
Plaintiff,
vs.
MCCORMICK & SCHMICK’S SEAFOOD RESTAURANTS, INC., an unknown business entity; MCCORMICK & SCHMICK RESTAURANT CORP., an unknown business entity; LANDRY’S RESTAURANTS, INC.; an unknown business entity; LANDRY’S, INC.; an unknown business entity; and DOES 1 through 100, inclusive,
Defendants.
Case No.: BC487942
Honorable Lee Smalley Edmon
Department D322
CLASS ACTION
[PROPOSED] ORDER GRANTING FINAL APPROVAL OF CLASS ACTION SETTLEMENT AND FINAL APPROVAL OF ATTORNEYS’ FEES, COSTS AND INCENTIVE AWARD AND JUDGMENT THEREON
Hearing Date: TBD
Hearing Time: TBD
Hearing Dept.: 322
[PROPOSED] ORDER GRANTING FINAL APPROVAL OF CLASS ACTION SETTLEMENT AND FINAL APPROVAL OF ATTORNEYS’ FEES, COSTS AND INCENTIVE AWARD AND ENTERING JUDGMENT THEREON
On or about July __, 2013, Plaintiff Daniel Flannery ("Plaintiff"), individually and on behalf of the Settlement Class, and Defendants McCormick & Schmick's Seafood Restaurants, Inc., McCormick & Schmick Restaurant Corp., and Landry's, Inc., erroneously sued as Landry's Restaurants, Inc. (collectively, "Defendants") (together with Plaintiff, the "Parties") entered into a class action settlement (the "Settlement"), the terms and conditions of which are set forth in the Stipulation of Class Action Settlement between Plaintiff and Defendants (the "Agreement"). This matter having come before the Court on [DATE] for the Final Approval Hearing on Plaintiff's Motion for Final Approval of Class Action Settlement and Plaintiff's Motion for Final Approval of Attorneys' Fees, Costs, and Incentive Award, due and adequate notice having been given to Class Members as required by the Court's Preliminary Approval Order dated [DATE], and the Court, having considered all the papers filed and proceedings herein, having received no objections to the Settlement, having determined that the Settlement is fair, adequate and reasonable, and otherwise being fully informed, hereby ORDERS as follows:
1. All terms used herein shall have the same meaning as given them in the Agreement.
2. The Court has jurisdiction over the subject matter of this proceeding and over all Parties to this proceeding, including all Class Members.
3. The Court hereby unconditionally certifies the Settlement Class, as set forth in the Settlement, for purposes of this settlement only.
4. Proving of Notice, directed to the Class Members as set forth in the Preliminary Approval Order has been completed in conformity with the Preliminary Approval Order, including the best notice practicable under the circumstances. The Notice provided due and adequate notice of the proceedings and of the matters set forth in the Preliminary Approval Order, including the proposed Settlement as set forth in the
Agreement. The Notice provided adequate and appropriate notice to all persons entitled to such notice, and therefore fully satisfied the requirements of due process. All Settlement Class Members and all Released Claims are covered by and included within the Settlement and within this Final Approval Order.
5. The Court finds that the Settlement has been reached as a result of intensive, serious, and non-collusive arms-length negotiations and the Settlement was entered into in good faith. The Court further finds that the Settlement is fair, reasonable, and adequate, and that Plaintiff has satisfied the standards and applicable requirements for final approval of this class action Settlement under California law.
6. The Court hereby approves the Settlement as set forth in the Agreement and directs the parties to effectuate the Settlement according to the terms set forth in the Agreement. In granting final approval of the Agreement, the Court considered the nature of the claims, the amounts and kinds of benefits paid in settlement, the allocation of settlement proceeds among the Settlement Class Members, and the fact that a settlement represents a compromise of the parties’ respective positions rather than the result of a finding of liability at trial. Additionally, the Court finds that the terms of the Agreement have no obvious deficiencies and do not improperly grant preferential treatment to any individual Settlement Class Member.
7. As of the date of this Final Approval Order, except as to such rights or claims that may be created by the Settlement, each and every Released Claim of each Settlement Class Member who did not timely submit a valid opt-out request is and shall be deemed to be conclusively released as against the Released Parties (as those terms are defined in the Agreement).
8. Neither the Settlement nor any of the terms set forth in the Agreement constitute an admission by Defendants, or any of the other Released Parties, of liability to the Settlement Class Representative or any other Settlement Class Member, nor does this Final Approval Order constitute a finding by the Court of the validity of any of the
claims alleged in the Lawsuit, or of any liability of Defendants or any of the other Released Parties.
9. The Court hereby finds the Settlement provided for in the Agreement to be fair, reasonable and adequate.
10. The Court hereby confirms Kevin Shenkman, Esq., and Mary Ruth Hughes, Esq. of Shenkman & Hughes and Edwin Aiwazian, Esq., and Arby Aiwazian, Esq., of Lawyers for Justice, P.C. as Class Counsel.
11. Pursuant to the terms of the Agreement, and the authorities, evidence, and argument set forth in Class Counsel’s application, an award of attorneys’ fees and costs in the amount of $__________, as final payment for and complete satisfaction of any and all attorneys’ fees and costs incurred by and/or owed to Class Counsel is hereby granted. The Court finds that Class Counsel’s request falls within the range of reasonableness and that the result achieved justifies the award. The payment of fees and costs to Class Counsel shall be made in accordance with the terms of the Agreement and pursuant to the agreements between Class Counsel.
12. The Court also hereby approves Plaintiff Daniel Flannery as the Settlement Class Representative and orders payment to Plaintiff for his service as a named Plaintiff the sum of $______. The payment of the Settlement Class Representative’s service payments shall be made in accordance with the terms of the Agreement.
13. The Court hereby authorizes and directs the Settlement Administrator, Kurtzman Carson Consultants (“KCC”), to distribute the appropriate comp cards to all of the Settlement Class Members who have submitted timely and valid claims in accordance with the terms of the Agreement.
14. The Court further approves the payment of $__________ to KCC for the costs of administering the Settlement as set forth in the Agreement. The payment authorized by this paragraph shall be made in accordance with the terms of the Agreement.
15. If the Settlement does not become final and effective in accordance with the terms of the Agreement, this Final Approval Order and all orders entered in connection herewith, including the Judgment on this Order, shall be vacated and shall have no further force or effect.
JUDGMENT
16. Pursuant to California Rules of Court, rule 3.769(h), the Court hereby enters judgment consistent with, and as expressly set forth in, the terms of the Agreement in this action.
17. Kurtzman Carson Consultants shall post a copy of this signed Judgment for thirty (30) calendar days on its website in compliance with California Rules of Court Rule 3.771(b).
18. The Judgment does not apply to those individuals who were excluded from the Settlement Class in accordance with the Final Approval Order.
19. Pursuant to California Code of Civil Procedure Section 664.6 and Rule 3.769(h) of the California Rules of Court, this Court reserves exclusive and continuing jurisdiction over this action, the Class Representative, members of the Settlement Class, and Defendants for the purpose of;
a. supervising the implementation, enforcement, construction, and interpretation of the Agreement, the Preliminary Approval Order, the plan of allocation, the Final Approval Order, and the Judgment; and
b. supervising the distribution of amounts paid under this Settlement.
IT IS SO ORDERED.
DATED: ____________________________
Honorable Lee Smalley Edmon
Judge of the Superior Court
EXHIBIT B
NOTICE OF PROPOSED CLASS ACTION SETTLEMENT
If you purchased a menu item containing “Kobe beef” at a McCormick & Schmick’s restaurant in California between July 10, 2008 and July 15, 2012, you may be entitled to receive a $10 or $15 comp card good for the purchase of any food or beverage item at any McCormick & Schmick’s restaurant located in the State of California.
Your Legal Rights May Be Affected.
To obtain more information about the proposed settlement, please visit:
www.kobeclassaction.com
EXHIBIT C
KOBE STYLE CRAVING?
Try our American Kobe Style Beef Burger – for just $15.95.
Have you enjoyed one of our Kobe Beef menu items between July 10, 2008 and July 15, 2012? If you have, you might be eligible for a Complimentary Dinner card.
To find out more about whether you are eligible for the card, visit www._____.com
McCORMICK & SCHMICK’S™
SEAFOOD & STEAKS
EXHIBIT D
SUPERIOR COURT OF THE STATE OF CALIFORNIA FOR THE COUNTY OF LOS ANGELES
Daniel Flannery, et al. v. McCormick & Schmick's Seafood Restaurants, Inc., et al., Case No. BC487942
NOTICE OF PROPOSED CLASS ACTION SETTLEMENT
If you are a California based consumer who was exposed to McCormick & Schmick’s online and/or in store menus, and who purchased any menu item that was advertised to contain “Kobe” beef at or from a McCormick & Schmick’s restaurant located in the State of California between July 10, 2008 and July 15, 2012,
Your Legal Rights May Be Affected.
On ____________, the Court in this action granted preliminary approval of a proposed settlement as set forth in the Stipulation of Class Action Settlement (“Settlement Agreement”). The Court in this action authorized the publication of this notice because your rights may be affected by the legal proceedings in this action. If the proposed settlement of this action is granted final approval by the Court, you may be entitled to a comp card valued at either $15.00 or $10.00 good for the purchase of any food or beverage items at any McCormick & Schmick’s restaurant located in the State of California.
This Notice informs you of the proposed settlement; its terms; and your rights to participate in the proposed settlement, object to the terms of the proposed settlement, or opt-out of the proposed settlement. This Notice also explains how you can obtain more information about the proposed settlement.
The Plaintiff, his attorneys, and the attorneys for Defendants McCormick & Schmick’s Seafood Restaurants, McCormick & Schmick Restaurant Corp., and Landry’s Inc. (collectively “Defendants”) believe that the proposed settlement is fair, adequate, reasonable, and in the best interest of the Settlement Class.
PLEASE READ THIS ENTIRE NOTICE CAREFULLY.
YOUR RIGHTS MAY BE AFFECTED
BY THE PROPOSED SETTLEMENT DESCRIBED IN THIS NOTICE
On July 10, 2012, Plaintiff filed the above-entitled class action complaint on behalf of himself and all other members of the general public similarly situated against Defendants (the “Action”) alleging false advertising and unfair business practices in violation of California Business and Professions Code §§ 17500 et seq. and §§ 17200 et seq., as well as violations of the Consumers Legal Remedies Act, codified at California Civil Code §§ 1750 et seq. Plaintiff also alleged that Defendants’ actions constitute fraud, intentional misrepresentation, and negligent misrepresentation.
Plaintiff alleged that “Kobe” beef is only available from Japan, and that the term “Kobe” signifies that beef comes from the “Wagyu” bloodline of cattle which are isolated in the Kobe region of Japan and that the beef comes from cattle slaughtered within the Kobe region of Japan. Plaintiff further alleged that the United States Department of Agriculture had banned importation of beef and cattle from Japan since approximately May 2010. Plaintiff further alleged that the menu items at Defendants’ McCormick & Schmick’s restaurants that purport to contain “Kobe” beef do not actually contain “Kobe” beef. Plaintiff further alleged that Defendants’ in store and online menu items have misled consumers into believing that their menu items which purport to contain “Kobe” beef offered at McCormick & Schmick’s restaurants do in fact contain “Kobe” beef. Defendants denied and continue to deny all of Plaintiff’s allegations, and further deny that the Action is appropriate for class treatment for any purpose other than settlement.
As used herein, “Subject Food Product” shall mean any menu item at Defendants’ restaurants described as containing “Kobe” beef including, without limitation, “Kobe Beef Sliders” or “Kobe Burgers.”
For settlement purposes only, the parties agree that there shall be a certified “Settlement Class,” defined as follows:
All California based consumers who were exposed to Defendants’ online and/or in store menus, and who purchased a Subject Food Product (or any menu item that was advertised to contain “Kobe” beef on Defendants’ online and/or in store menus) at or from a Defendants’ restaurant located in the State of California at any time from July 10, 2008 through July 15, 2012 (the “Class Period”).
A proposed settlement of the Lawsuit has been reached and has been preliminarily approved by the Court. The Court must give final approval of the proposed settlement before the benefits of the proposed settlement will be made available. If the Court approves the proposed settlement at the Final Approval Hearing scheduled for ____________, 2013, then the proposed settlement will bind all Settlement Class members who have not excluded themselves from the proposed settlement. This means that all Settlement Class members who have not excluded themselves from the proposed settlement will release all claims and causes of action arising from or relating to the claims that were made in the Lawsuit. On the other hand, if the Court does not approve the proposed settlement, the Settlement Agreement will have no effect or precedential value in any subsequent proceedings in the Lawsuit or in any other litigation, and the case will proceed as if no settlement had been attempted. There can be no assurance that if the proposed settlement is not approved and the
Lawsuit resumes that the Settlement Class members will recover more than is provided for under the proposed settlement, or will recover anything at all.
2. What Am I Entitled To From This Proposed Settlement?
Settlement Class members are entitled to either a Fifteen Dollar ($15.00) or a Ten Dollar ($10.00) comp card good for the purchase of any food or beverage item at any McCormick & Schmick’s restaurant located in the State of California.
In order to receive a comp card, you must accurately complete and sign a claim form (“Claim Form”) under penalty of perjury under the laws of the State of California, and return the Claim Form to the Settlement Administrator by no later than ____________, 2013. Claim Forms are available to download and print from www.kobeclassaction.com. The timeliness of a Claim Form submitted by mail will be determined by a valid postmark.
You are entitled to a Fifteen Dollar ($15.00) comp card if you mail the following documents to the Settlement Administrator by no later than ____________, 2013:
(i) a McCormick & Schmick’s sales receipt, a credit card receipt or a credit card statement showing that you purchased a meal in excess of $15.00 at any McCormick & Schmick’s restaurant in the State of California at any time between July 10, 2008 and July 15, 2012 (hereinafter, a “Qualifying Receipt”), and
(ii) a Claim Form, signed under penalty of perjury under the laws of the State of California, attesting that you purchased and consumed a Subject Food Product on the date shown on the Qualifying Receipt submitted with the Claim Form.
If you do not have a Qualifying Receipt, you are entitled to a Ten Dollar ($10.00) comp card if you mail to the Settlement Administrator by no later than ____________, 2013 a Claim Form, signed under penalty of perjury under the laws of the State of California, attesting that you purchased a meal in excess of $15.00 at any McCormick & Schmick’s restaurant in the State of California on a date between July 10, 2008 and July 15, 2012, and that you purchased and consumed a Subject Food Product on that date.
Defendants also agree to change the description of the Subject Food Products on Defendants’ menus from “Kobe beef” to “American Kobe Style” beef. Defendants shall forebear from using the term “Kobe beef” on Defendant’s menus, and will refer to Subject Food Products as “American Kobe Style” beef.
3. How Can I Receive The Benefits Of The Proposed Settlement?
To participate in the proposed settlement, you must accurately complete and sign a Claim Form under penalty of perjury, and return a Qualifying Receipt and/or the Claim Form to the Settlement Administrator by no later than ____________, 2013. The timeliness of Claim Forms submitted by mail will be determined by valid postmark.
You must use your comp card for the purchase of food or beverage items at any McCormick & Schmick’s restaurant located in the State of California after they are mailed by the Settlement Administrator. Purchasing a food or beverage item is a condition precedent to your entitlement to any settlement funds, and you shall have no property interest in any funds remaining due to unused comp cards.
4. Can I Exclude Myself From The Proposed Settlement?
Yes. You have the right to opt-out of the settlement. To opt out, you must complete and submit an opt-out form made available on www.kobeclassaction.com on or before ____________, 2013. This form shall require you to (a) provide your full name and address, (b) attest that you purchased a meal in excess of $15.00 at an McCormick & Schmick’s restaurant in the State of California on a date between July 10, 2008 and July 15, 2012 and that you purchased and consumed a Subject Food Product on that date, and (c) check a box stating that you wish to opt-out of the Settlement. If you opt-out, you must send your opt out form via U.S. Mail to the Settlement Administrator at the physical address provided on the Settlement Administrator’s website.
Requests to opt-out that do not include all required information, or that are not submitted on a timely basis, will be deemed null, void and ineffective. If you submit a valid and timely request to opt-out of the Settlement, you will not participate in the Settlement, nor will you be bound by the terms of the Settlement, if it is approved. The timeliness of requests to opt-out submitted by mail will be determined by valid postmark.
5. Can I Object To The Proposed Settlement?
Yes. You have the right to object to the proposed settlement if you do not opt-out of the proposed settlement. If you elect to opt-out of the proposed settlement, you may not object to the settlement. Settlement Class members who object to the Settlement will still be bound by the terms of the Settlement if approved by the Court. To object, you must complete and submit an objection form available on www.kobeclassaction.com, or such similar website URL as may be used, on or before ____________, 2013. This form shall require you to provide your full name and address and to check a box stating that you object to the Settlement. Settlement Class members who object to the Settlement must also send via U.S. Mail to the Settlement Administrator at the address provided on its website a Claim Form signed under penalty of perjury, evidencing their purchase of a Subject Food Product from one of McCormick & Schmick’s restaurants in California during the Class Period.
If you fail to object in the manner specified above, you shall be deemed to have waived any objections and shall be foreclosed from making any objection (whether by appeal or otherwise) to the Settlement Agreement, or any aspect of the proposed settlement, including, without limitation, the fairness, reasonableness or adequacy of the proposed settlement, or any award of attorneys’ fees or reimbursement of costs and expenses. If you submit a timely written
statement of objection, you will have a right to appear at the Final Approval Hearing scheduled for ____________, 2013 in order to have your objections heard by the Court.
6. What Happens If I Do Nothing?
If you do nothing (meaning you do not exclude yourself from, or object to, the proposed settlement), you will be entitled to the benefits of the Settlement described in Sections 2 and 3 of this Notice, and you will be subject to the Release described in Section 7 below.
7. What Rights Am I Giving Up?
Upon the final approval by the Court of this Settlement Agreement and the class action settlement, and except as to such rights or claims as may be created by this proposed settlement, each Settlement Class member (other than those who timely opt-out), including Plaintiff and their respective successors, assigns, legatees, heirs, and personal representatives, fully, finally, and forever release and discharge Defendants, and each of them, including their respective parents, subsidiaries, sister corporations and affiliates, owners, officers, directors, employees, agents, representatives, attorneys, insurers, successors, assigns, and all persons acting by, through, under or in concert with them, or any of them ("Released Parties"), from any and all claims, debts, liabilities, demands, obligations, penalties, guarantees, costs, expenses, attorneys' fees, damages, actions or causes of action of whatever kind or nature, which were alleged, or which could have been alleged based on the facts and claims alleged, in the Action.
In order to achieve a full and complete release of Defendants and the Released Parties, Plaintiff, the Settlement Class and each member thereof (other than those that timely opt-out), and each of their respective successors, assigns, legatees, heirs, and personal representatives, acknowledge that this Settlement Agreement is intended to include in its effect all causes of action and allegations which were alleged, or which could have been alleged based on the facts and claims alleged, in the Action, including any claims that the Settlement Class, and the individual members thereof, do not know or suspect to exist in their favor. Consequently, with regard to the causes of action which were alleged, or which could have been alleged based on the facts and claims alleged, in the Action, the Settlement Class, and each individual member thereof (other than those who timely opt-out), waive all rights and benefits afforded by California Civil Code Section 1542, or any other similar provision under federal or state law, and do so understanding the significance of that waiver. Section 1542 provides:
"A general release does not extend to claims which the creditor does not know or suspect to exist in his or her favor at the time of executing the release, which if known by him or her must have materially affected his settlement with the debtor."
8. Who Is The Settlement Class Representative?
The Court has appointed Plaintiff Daniel Flannery as “Settlement Class Representative” to represent the Settlement Class. The Court will be asked to grant final approval of an incentive award in an amount not to exceed $2,000, to be paid by Defendants to compensate him for his efforts in bringing and assisting with the prosecution of the Lawsuit on behalf of the Settlement Class.
9. **How Will the Attorneys’ Fees for the Settlement Class Be Paid?**
You are not personally responsible for any portion of the Settlement Class Counsel’s or Defendants’ attorneys’ fees and costs. All payments for the Settlement Class Counsel’s attorneys’ fees and costs will be paid by Defendants. Settlement Class Counsel has actively litigated this matter since July 10, 2012. In this case, Settlement Class Counsel will request an award of $90,000 for attorneys’ fees and costs.
Settlement Class Counsel will apply to the court for approval of their attorneys’ fees and costs at the Final Approval Hearing scheduled for ____________, 2013. The actual amount awarded will be determined by the Court to ensure that the amount of attorneys’ fees and costs is reasonable.
10. **When and Where is the Final Settlement Approval Hearing?**
The “Final Settlement Approval Hearing” has been scheduled for ____________, 2013 at ______ [am/pm] before the Honorable Lee Smalley Edmon presiding in Department 322 of the Los Angeles Superior Court located at 600 S. Commonwealth Avenue, Los Angeles, California 90005, at which time the Court will determine: (1) whether the proposed settlement should be approved as fair, reasonable and adequate to the Settlement Class; (2) whether the application of Settlement Class Counsel for an award of attorneys’ fees and expenses should be approved and in what amount; (3) whether the application for an enhancement award for the Settlement Class Representative should be approved and in what amount; and (4) whether a proposed Final Approval Order should be entered as recommended to the Court.
**You Are Not Required To Attend The Final Settlement Approval Hearing.**
You are welcome to attend the Final Settlement Approval Hearing, at your own expense. You may request permission to speak to the Court at the Final Settlement Approval Hearing. You may hire your own attorney at your own expense to speak at the Final Settlement Approval Hearing.
If you want to speak at the Final Settlement Approval Hearing, you must ask the Court for permission. To do so, send a letter to the Court (at the address set forth above) with a copy to the Settlement Administrator at the addresses set forth in Section 11 of this Notice no later than ____________, 2013 requesting permission to speak at the Final Settlement Approval Hearing. Such letter should be signed and should contain a brief statement of the position that you wish to put before the Court at the Final Settlement Approval Hearing and the basis for that position. The Court may, or may not, grant the request.
Where Can I Get Additional Information?
This Notice provides only a summary of the matters relating to the proposed settlement. The Settlement Agreement and all other pleadings and papers filed in the Lawsuit are available for inspection and copying during regular business hours from 8:30 a.m. to 4:30 p.m., Monday through Friday, at the Los Angeles County Superior Court, Records Department, located at 600 S. Commonwealth Avenue, Los Angeles, California 90005. You may also contact the Settlement Administrator by calling toll-free or by email at:
Kurtzman Carson Consultants
75 Rowland Way, Suite 250
Novato, CA 94945
Telephone: (866) 381-9100
E-mail: firstname.lastname@example.org
You may also contact Settlement Class Counsel as follows:
Kevin Shenkman, Esq.
Mary Ruth Hughes, Esq.
Shenkman & Hughes
28905 Wight Road
Malibu, CA 90265
Telephone: (310) 457-0970
Edwin Alwazian, Esq.
email@example.com
LAWYERS for JUSTICE, PC
410 West Arden Ave, Suite 203
Glendale, CA 91203
Telephone: (818) 265-1020
PLEASE DO NOT CONTACT THE COURT WITH QUESTIONS ABOUT THE PROPOSED SETTLEMENT. |
Øyvind Glimse
Geir Inge Lotsberg
Anders Kjellberg Nilsson
Simple Symphony
Benjamin Britten
1 Boisterous Bourree
2 Playful Pizzicato
3 Sentimental Saraband
4 Frolicsome Finale
Concerto for String Orchestra
Grazyna Bacewicz
5 Allegro
6 Andante
7 Vivo
8 Carmina
Terje Bjørklund
Divertimento for Strings
Béla Bartók
9 Allegro non troppo
10 Molto adagio
11 Allegro assai
Hybrid Super Audio CD included
— plays on all standard CD players and computers
The divertimento as a musical genre dates back to the nineteenth century. Divertimenti were composed for various social occasions and were intended to be light, uncomplicated and cheerful. Such pieces were often scored for small string ensemble. Over the years this effortless, elegant form has appeared in many different musical styles and, to a large extent, set the standard for the virtuosic concert chamber music we know today. A number of the most prominent composers of our age have engaged with this most fascinating ensemble style and have contributed to its further refinement as a chamber-symphonic showpiece.
Edward Benjamin Britten (born 1913 in Lowestoft, Suffolk; died 1976 in Aldeburgh, Norfolk) was one of the most influential composers ever in the history of English music. His fascinating career led him through a wide variety of genres; among his many superb works are to be found operas, orchestral works, chamber music and several songs. He was especially fond of children, composing a children’s opera (Let’s make an Opera!) in 1949; his wonderfully playful nature gave rise to the Simple Symphony op. 4, built on eight melodies from his childhood – to tunes for each of the work’s four movements. The music is witty and exciting, and brilliantly orchestrated. It demonstrates the full range of Britten’s human qualities as a composer, priceless wit alongside youthful earnestness, genuine and moving.
Grażyna Bacewicz (born 1909 in Łódź; died 1969 in Warszawa) was a Polish composer and violinist, and one of very few female composers in Poland of her generation who achieved recognition outside her native country. Bacewicz received her first violin lessons from her father, going on to study piano and violin at the Warsaw conservatoire in 1928. She continued her studies in 1932 at the Ecole Normale de Musique in Paris with Nadia Boulanger, taking private violin lessons from Henri Touret. Later she returned to Paris to study with the Hungarian violinist Carl Flesch.
After completing her studies Bacewicz embarked on an extensive career as a composer and performer, taking up the post of concertmaster in the Polish Radio Orchestra. Throughout World War II she remained in Warsaw where she gave a number of underground concerts and secret first performances of her own music. After the war Bacewicz was appointed professor at the state conservatoire in Łódź. She expanded her composing activities at the expense of her performing career, and after a serious car accident in 1954 she turned her full attention to composing. Bacewicz’ list of opuses contains a great many works for strings, including seven violin concertos, five violin sonatas, seven string quartets, two piano quartets...
and four symphonies. The *Concerto for String Orchestra* (1948) demonstrates her formal craftsmanship and distinctive colouring. Although her musical language reveals traces of Lutoslawski and Szymanowski, it is first and foremost highly original and distinctly personal. The dark, many-facetted textures of the second movement, for example, are unparalleled.
**Terje Bjørklund** (born 1945 in Narvik, Norway) operates with a soft, radiant musical palette. His *Carmina* ("Songs") consists of long lines and a gentle unfolding of musical texture, interrupted only occasionally by shorter, more active passages. The work is built up around an imperturbable descending scale of compelling beauty, supported by softly flowing, minimalistic sound modules. Bjørklund’s scoring is exquisite, demonstrating the value of his long-lasting, genre-transcending musical involvement. Bjørklund was an active jazz pianist for many years, and in 1983 he was awarded the Norwegian Jazz Federation’s Buddy statuette for his contribution to Norwegian jazz. Since 1980 Bjørklund has concentrated on composing, producing works for the most part in so-called ‘serious’ art music genres. In many of Bjørklund’s works harmony is a central element; the voicing of chords and nuanced textures are often reminiscent of modern jazz. He has been commissioned to write for choir, orchestra and various solo and chamber scorings. He has composed a substantial corpus of works for strings, inspired by the number of excellent string players in Trondheim. *Carmina* was originally written for the Chilingirian String Quartet and was transcribed by Bjørklund for the TrondheimSolistene string ensemble for this recording. The work was inspired by ‘The Pindar Odes’ which were written for winners of the Olympiad in ancient Greece.
**Béla Bartók** (born 1881 in Nagyszentimiklós; died 1945 in New York) suffered a great deal of illness as a child. This might contributed to his early musical awareness and creative maturity. He was thirty-eight at the end of World War I when the Treaty of Versailles divided his native Hungary, distributing three-fifths of the country between other nations – an act which aroused his fierce commitment to Hungarian folklore and culture. Together with his close friend and colleague Zoltán Kodály he would embark on long research journeys in all the Hungarian-speaking regions (including Romania) to collect folk music material. In the *Divertimento for Strings* (1939) we encounter the mature Bartók – he was simultaneously working on his sixth string quartet and had just completed his violin concerto and the piece *Contrasts* for violin, clarinet and piano for Benny Goodman. At this time the political climate in Europe was making it very difficult for the anti-Nazi Bartók to continue his activities in Hungary, and the following year he and his wife emigrated to the USA, settling in New York, where he died in 1945. Bartók’s highly individual style becomes increasingly evident in the works from the last period of his life; his lifelong interest in Hungarian and Romanian folk music resulted in ever more lucidly articulated acts of musical genius. The man, who by an American music critic was described as being “graceful and meticulous in his movements – more like a professor of botany than a composer”, created music of almost ruthless energetic quality. In the *Divertimento* he convincingly succeeds in uniting folklore elements with radical, modernistic devices such as note-clusters and multi-tonal passages. Craftsmanship alone is never allowed to determine the result, however – there is a principal musical idea behind every impulse. One of the most fascinating aspects of the work is the relationship between the movements’ mutual expression. Bartók loved to juxtapose extremes and in this instance we encounter extremes in choice of tempi and length of musical subject: the stabbing rhythms of the outer movements are contrasted by the slow middle movement with its almost infinite linear interplay in which we seem to encounter the composer’s passionate emotional life in its entirety.
TrondheimSolistene (The Trondheim Soloists) is one of Norway’s most exciting young ensembles performing on the international stage. Thanks to the orchestra’s dedication, commitment and enthusiasm it has quickly established itself as an innovative chamber orchestra with invitations to collaborate with artists of the highest level across a broad range of genres.
Formed in 1988 by Bjarne Fiskum, TrondheimSolistene was for many years the main forum for professional concert training in Trondheim. The orchestra announced its arrival on the international stage in 1990 with a rapturously received debut in London and further international concerts followed confirming the orchestra’s reputation. In 1999 the orchestra was invited to accompany the violinist Anne-Sophie Mutter on her new recording of Vivaldi’s Four Seasons for Deutsche Grammophon, thus initiating an important artistic collaboration for both groups. In 2001 the orchestra made its Carnegie Hall debut with Mrs Mutter followed by further concerts in Washington, Boston, Chicago and Ann Arbor with the violinist Joshua Bell. In 2007 TrondheimSolistene toured Germany, Spain and Ireland with Mrs Mutter and in 2008 the orchestra accompanies her once more on an extensive tour of the Far East with concerts in China, South Korea, Taiwan and Japan, in addition to performances at the Lucerne Festival.
The orchestra regularly performs with many of Scandinavia’s leading artists, and recent collaborations have included concerts with Leif Ove Andsnes, Lars Anders Tomter, Arve Tellefsen, Solveig Kringelborn and Ole Edvard Antonsen. The orchestra is a leading advocate of Scandinavian music, and regularly includes Scandinavian music in its programming, recordings and commissions. The Orchestra’s remarkable versatility enables them to perform a broad range of musical genres and styles from baroque to tango, jazz, pop and rock.
TrondheimSolistene are prolific and award winning recording artists in 2008 counting more than 25 recordings. Recording projects include Mozart’s Violin Concerti for 2L with Marianne Thorsen as soloist, which won the Norwegian Recording Industry Prize as best classical recording in 2006. US magazine Stereophile declared the album ‘a Record to Die For’. A new CD with Mrs Mutter featuring Bach Concerti is due for release by Deutsche Grammophon in the Spring of 2008.
TrondheimSolistene enjoys partnership with StatoilHydro, Storebrand Insurance Services, Klipp&Lim Media and the Norwegian University of Science and Technology, NTNU, which graciously co-provides the orchestra’s concert venue, Dokkhuset.
Øyvind Gimse (b. 1968) was appointed Artistic Director of TrondheimSolistene in 2002, continuing the Ensemble’s broad programming profile and musical versatility. Following studies in Oslo, Munich, Salzburg and Vienna, Øyvind Gimse was Principal Cellist with the Trondheim Symphony Orchestra 1991-97. Gimse is currently a Professor for String Studies at the Department of Music in Trondheim. His teachers have included Walter Nothas, Frans Helmerson and William Pleeth. Øyvind Gimse often combines poetry, visual art, dance and theatre within a dynamic artistic whole. He has a unique musical ability to thrill his audiences, putting the musical experience itself at the centre of his work.
Geir Inge Lotsberg (b. 1969) studied the violin with Leif Jørgensen in Oslo, Sandor Végh in Salzburg, Camilla Wicks in Texas, and with Ana Chumachenco in Munich. He started his musical career as a member of the Norwegian Chamber Orchestra and the Camarata Academica, Salsburg, followed by engagements as a concertmaster with the Bergen Philharmonic and the Norwegian National Opera Orchestra. Geir Inge Lotsberg is a member of the Oslo String Quartet since 1991. From 1997 until 2004 he was serving as concert master of the Norwegian National Opera Orchestra. Presently he is teaching the
violin at the Barratt Due Institute of Music in Oslo. He has released several recordings a.o. with works by Bach, Nielsen and Grieg. Geir Inge Lotsberg plays on a violin by Joseph Guarnerius filius Andreae from 1703, provided by Dextra Musica AS.
Violinist Anders Kjellberg Nilsson (b.1983) has already made a name for himself as a mature and versatile musician. His early inspiration came from the active string department of the Barratt Due Institute of Music in Oslo, subsequent studies continuing in Berlin and in Stockholm with Ulf Wallin. In 2008 he completed his soloist diploma studies at the Norwegian Academy of Music with Detlef Hahn as his teacher. Anders Kjellberg Nilsson has performed solo with the majority of Norwegian orchestras, and he is a frequent guest of the nation’s chamber music festivals. He is also an accomplished viola player and is regularly engaged to coach and lead various chamber orchestras. Anders Kjellberg Nilsson has won several national and international prizes, among these Prinsesse Astrids musikkpris, and in 2007 at the Bergen International Festival he was awarded a place on the Rikskonsertene’s INTRO-classical programme for the 2008-09 season.
Violin Geir Inge Lotsberg (track 1-7), Anders Kjellberg Nilsson (track 8-11), Anders Larsen, Elisabeth Rolfsjord Uddu, Ola Lindseth, Kjell Are Strøm, Stina Andersson, Sigmund Tveite Vik, Ian Hedley, Hannah Wilder, Margrete Pettersen, Åse Våg Aaknes, Kristoffer Gjærde and Johannes Leonard Rusten.
Viola Ole Wuttudal, Ragnhild Torp, Frøydis Tøsse and Anne Våg Aaknes.
Cello Øyvind Gimse, Tove Tørngren, Marit Aspås and Katrine Pedersen.
Bass Rolf Hoff Baltzersen and Aslak Tronnes Skau.
Britten and Bjørklund: 5 - 4 - 3 - 3 - 1
Bartok and Bacewicz: 6 - 6 - 4 - 4 - 2
Divertimento er en musikalsk sjanger med røtter tilbake til 1800-tallet. Divertimenti ble gjerne skrevet for ulike sosiale anledninger og skulle være lette, uanstrengte og lystige i formen. Besetningen var gjerne en mindre strykerbesetning. Med årene har denne utvungne og elegante musikkformen fått mange uttrykksvarianter og har langt på vei vært normdannende for den virtuose, konsertante kammerorkesterlitteraturen vi kjenner i dag. Flere av de mest fremtredende komponister i vår tid har beskjeftiget seg inngående med denne forførende ensemblestilen og vært med på å videreførede den til en kammersymfonisk paradegren.
Edward Benjamin Britten, (født 1913 i Lowestoft, Suffolk, død 1976 i Aldeburgh, Norfolk), er en av de mest sentrale engelske komponistnavn overhodet. Hans fascinerende løpebane skulle bringe ham innom en rekke sjangere, og blant hans mange strålende verker finner vi operaer, orkesterverker, kammermusikk og en mengde sanger. Han hadde et spesielt stort hjerte for barn, og skrev blant annet en barneopera (Let’s make an Opera!) i 1949. Hans herlig lekne natur ga også støtet til komponeringen av Simple Symphony op.4, som bygger på åtte melodier fra hans barne- og ungdomstid, to melodier i hver av stykkets fire satser. Musikken er både vittig og spennende, og blendende orkestrert. Den viser oss hele registeret av Brittens menneskelige egenkaper som komponist, et kostelig vidd side om side med et ungdommelig alvor som virker gripende i sin ekthet.
Grażyna Bacewicz (født 1909 i Łódź – død 1969 i Warszawa) var polsk komponist og fiolinist, og en av bare ytterst få kvinnelige polske komponister av sin generasjon som oppnådde berømmelse utenfor Polens grenser. Sine første musikktimer fikk hun av sin far, og hun begynte å studere klaver- og fiolinspill ved Warszawa-konservatoriet i 1928. Hun fortsatte studiene i 1932 ved École Normale de Musique i Paris under Nadia Boulanger samtidig som hun tok privattimer i fiolinspill med Henri Touret. Senere reiste hun fra Paris for å studere med den ungarske fiolinisten Carl Flesch. Etter fullførte studier begynte hun en utstrakt konsert- og komponistvirksomhet, og tiltrådte som konsertmester i Polsk Radio’s symfoniorkester. Under hele 2. verdenskrig bodde Grażyna Bacewicz i Warszawa, der hun blant annet ga en rekke undergrunnskonserter og hemmelige uroppføringer av egne verker. Bacewicz virket etter krigen som professor ved det statlige konservatoriet i Łódź. Hun utvidet nå stadig sin komponistvirksomhet på bekostning av sin utoverkarriere, og etter en alvorlig bilulykke i 1954 koncentrerte hun hele sin oppmerksomhet om komponeringen.
Hennes verkliste omfatter en mengde verker for strykere – blant annet sju fiolin-konserter, fem fiolinsonater, sju strykekvartetter, to klaverkvartetter og fire symfonier. *Concerto for String Orchestra* (1948) er et verk som viser hennes formmessige mesterskap så vel som en distinkt musikalsk koloritt. Hennes tonespråk inneholder spor av både Lutoslawski og Szymanowski, men først og fremst en usedvanlig original og sterk egen personlighet. Annen sats i verket forbløffer gjennom blant annet en mørk og fasettert klangrikdom som savner sin like i litteraturen.
**Terje Bjørklund** (født 1945 i Narvik) har en dus og lysskimrende musikalsk palett. Verket *Carmina* ("Sanger") er et stykke langlinjet, stillferdig, klangmalende musikk, bare unntaksvis gjennombrutt av kortere, bevegelige partier. Det er bygget opp rundt en uforstyrelig fallende skala av betagende skjonnhet, understøttet av stillferdig flytende minimalistiske klangmoduler. Instrumentbehandlingen er utsøkt, og demonstrerer verdien av Bjørklunds mangeårige befatning med musikk som kommunikasjonsmiddel på tvers av sjangergrense. Han var i mange år aktiv jazzpianist, og ble i 1983 tildelt Norsk Jazzforbunds høyeste utmerkelse, Buddy-statuetten, for sin innsats i norsk jazzliv. Siden 1980 har han prioriteret komponering, og hovedsaklig orientert seg mot den seriøse kunstmusikken.
I mange av hans verker er harmonikken et bærende element. Måten akkorder og klanger nyanseres på kan gi assosiasjoner til moderne jazz. Bjørklund har skrevet en rekke bestillingsverk for kor, orkester og ulike solo- og kammermusikkbesetninger. Spesielt har han skrevet mye for strykere, noe som henger sammen med det rike strykermiljøet i Trondheim.
Opprinnelig var *Carmina* komponert som strykekvartett for The Chilingirian String Quartet, men ble senere transkribert av komponisten selv for TrondheimSolistene til denne innspillingen. Verket er inspirert av "The Pindar Odes" skrevet til antikkens olympiadevinnere.
**Béla Bartók** (født 1881 i Nagyszsentimklós, død 1945 i New York) var mye syk i barneårene. Dette kan ha bidratt til hans tidlige musikalske oppvåkning og kreative modenhet. Han var 38 år da Versailles-traktaten ved 1. verdenskrigs slutt kuttet opp hans hjemland Ungarn og fordelte 3/5-deler av landet på andre land, noe som vekket hans brennende engasjement for ungarsk folklore og kultur for alvor. Sammen med sin gode venn og kollega Zoltán Kodály la han ut på lange forskningsreiser i alle de ungarskspråklige områdene (bla. i Romania) for å samle sammen folkemusikalsk materiale.
Vi møter en meget moden Bartók i *Divertimento for strykere* fra 1939 – han arbeidet samtidig på sin sjette strykekvartett, og hadde nettopp fullført sin fiolin-konsert og *Contrasts* for fiolin, klarinett og klaver for Benny Goodman. På denne tiden var de politiske omstendighetene i Europa i ferd med å gjøre det umulig for den sterkt nazi-kritiske Bartók å fortsette sin virksomhet i Ungarn. Sammen med sin kone reiste han til USA året etter, og slo seg ned i New York, der han døde i 1945.
Bartóks sterkt personlige stil trer stadig tydeligere frem for oss i verkene fra denne siste perioden i hans liv; den livslange interessen for ungarsk og rumensk folkemusikk frembringer stadig mer velartikulerte musikalske genistreker. Mannen som av en amerikansk konsertanmelder ble omtalt som "grasiøs og pertentlig i sine bevegelser – snarere som en botanikkprofessor enn en komponist", skaper musikk av en bortimot hensynsløs energisk kvalitet. I Divertimento makter han på en overbevisende måte å forene folkloristiske elementer med radikale modernistiske virkemidler som cluster-teknikker og multitonale sekvenser. Likevel tar aldri det håndverksmessige overhånd – det ligger en bærende musikalsk idé bak hvert eneste innfall.
Noe av det mest fascinerende ved dette verket er sammenhengen mellom satsenes innbyrdes uttrykk: Bartók elsket å stille ekstremer opp mot hverandre, og i dette tilfellet møter vi ekstremerne i så vel tempovalg som motivlengde: Ytter-satsernes huggende rytmikk kontrasteres av en langsom sats med et nesten uendelig linjespill der vi møter hele den lidenskapelige Bartóks rike følelsesliv.
TrondheimSolistene er et dynamisk kvalitetsensemble som ble grunnlagt i 1988 av professor Bjarne Fiskum. Orkesteret var i mange år en arena for profesjonell konserterfaring for strykere ved Musikkonservatoriet i Trondheim. Gjennom sine konserter over store deler av Europa og turneer i USA, Japan og Brasil har TrondheimSolistene utviklet seg til et internasjonalt ensemble av rang.
Øyvind Gimse tok over som kunstnerisk leder i 2002, og har videreført utviklingen av TrondheimSolistene til å bli et ensemble med stor programbredde og musikalsk vidsyn. Energi, kreativitet og pågangsmot kjennetegner aktiviteten, og konsertene preges av humor, spontanitet og intensitet. Orkestret samarbeider med solister som Leif Ove Andsnes, Truls Mork, Martin Fröst, Ole Edvard Antonsen Solveig Kringlebotn og Arve Tellefsen. Fremfor alt er samarbeidet med Anne-Sophie Mutter et tydelig bevis på TrondheimSolistenes kvalitet, og innspillingen av Vivaldis “Arstdiene” på Deutsche Grammophon har blitt lovprist over hele Europa.
TrondheimSolistenes europaturne med Mutter i februar/mars 2007 ble et nytt høydepunkt i orkestrets karriere. På ny ble de største konsertarenaer erobret med stor suksess, og det ble gjort en ny innspilling av Bach sine fiolinkonserter på Deutsche Grammophon som lanseres våren 2008 hvor orkesteret igjen turnerer med Anne-Sophie Mutter, denne gangen til Kina, Taiwan, Sør-Korea og Japan.
Konsertar og innspillingar TrondheimSolistene har gjort sammen med flere av våre mest profilierte artistar, som Sissel Kyrkjebø og Herborg Kråkevik, har vært med på å gjøre orkestret til allemannseie. Under festspillene i Bergen, både i 2004 og 2005, gjorde TrondheimSolistene seg positivt bemerket i spennende konsepter med Arve Tellefsen, Håvard Gimse og Erlend Skomsvoll i Grieghallen, med Martin Fröst i Håkonshallen og et musikalsk spenn fra de største romantiske verk som “Verklarte nacht” av Schönberg og Strauss’ “Metamorphosen” til musikk av Jon Lord (ex Deep Purple) og samarbeid med Come Shine. TrondheimSolistene er en viktig formidler av norsk musikk og har bestilt og urfremført en rekke verker av norske komponister.
Orkestret har gjort en rekke innspillingar, av bl.a. Grieg-verker, flere bestillingsverker og store romantiske verk som Tsjaikovskijis Serenade og Strauss’ Metamorfoser. TrondheimSolistenes diskografi inkluderer nå totalt hele 25 plateinnspillingar hvorav flere er prisbelønte. Orkestrets innspilling av Mozarts fiolinkonserter med Marianne Thorsen som solist ble nylig tildelt Spellemannspris for beste klassiske innspilling i 2006, og kåret til en “record to die for” av amerikanske Stereophile.
Med høy internasjonal kvalitet og nyskapende kunstnerisk profil bidrar TrondheimSolistene til økt tilgjengelighet, oppmerksomhet og bevissthet rundt det kunstneriske uttrykk – kammermusikk. Orkesteret har vakt stor oppsikt og høster anerkjennelse både nasjonalt og internasjonalt på grunn av dets høye kunstneriske kvalitet, i kombinasjon med ungdommelig friskhet og sprudlende, entusiastisk spilleglede.
Øyvind Gimse (f. 1968) er fra 2001 kunstnerisk leder for TrondheimSolistene. Han er en dynamisk musiker med stor spennvidde. Etter studier i Oslo, München, Salzburg og Wien var han i perioden 1991-97 alternerende solocellist i Trondheim Symfoniorkester, TSO. Siden 1997 er han 1. amanuensis i strykerfag ved Institutt for musikk (NTNU) i Trondheim. Øyvind var allerede i studietiden aktiv i det Norske Kammerorkester og har senere gjentatte ganger vært engasjert som solocellist i Stavanger Symfoniorkester og Kringkastingsorkesteret. Blant hans læremestere er Walter Nothas, Frans Helmersson og William Pleeth. Gimse har deltatt ved en rekke festivaler hvor han har spilt kammermusikk med bl.a. Leif Ove Andsnes, Nobuko Imai, Martin Fröst, Leonidas Kavakos, Natalia Prischepenko og Maggini Quartet og barokmusikk med bl.a. Andrew Manze, Richard Egarr og Catherine Bott. Øyvind har spilt inn sonater af Tellefsen og Chopin med sin bror Håvard, og med ensemblet
ter Jung sekstett har han spilt inn CD'en "Hexa" med norsk samtidsmusikk. Han har innehatt statens 2-årige arbeidsstipend for yngre kunstnere. Hans samspill med Anne-Sophie Mutter i Vivaldis Årstidene på Europaturne i 1999 og innspilling på Deutsche Grammophone hostet ovaasjoner og lovord.
**Geir Inge Lotsberg** (f. 1969) studerte fiolin i Oslo med Leif Jørgensen, Sandor Végh i Salzburg, Camilla Wicks i Houston og Ana Chumachenco i München. Han startet tidlig sin profesjonelle virksomhet, og har en allsidig erfaring fra Det Norske Kammerorkester, Camerata Academica Salzburg og engasjementer som konsertmester i Bergen Filharmoniske Orkester og Den Norske Operas Orkester. Han er medlem av Oslo Strykkekvartett siden 1991 og jobbet som konsertmester i halv stiling 1997–2004 i Den Norske Operas Orkester. Han underviser ved Barratt Due musikkinsti-
tutt i Oslo siden 2002. Han har gitt ut en rekke cd-innspillinger med verker av bl.a. Bach, Nielsen og Grieg. Geir Inge Lotsberg spiller på en fiolin bygget av Joseph Guarnerius filius Andreae fra 1703, stilt til rådighet av Dextra Musica AS. Dette er et selskap opprettet av Sparebankstiftelsen Dnb NOR.
**Fiolinisten Anders Kjellberg Nilsson**, født i 1983, har allerede rukket å gjøre seg bemerket som en moden og allsidig musiker. Han fikk tidlig impulser fra det rike strykermiljøet på Barratt Due musikkinsti-
tutt i Oslo og studerte senere i Berlin og Stockholm hos professor Ulf Wallin. I 2008 avslutter han sitt solistdiplomstudium ved Norges musikkhøgskole med professor Detlef Hahn som lærer. Anders Kjellberg Nilsson har vært solist med de fleste norske orkestrene og er regelmessig gjest på landets kammermusikkfestivaler. Han er også aktiv som bratsjist og blir ofte brukt som instruktør og leder av kammerorkestre. Han har vunnet flere nasjonale og internasjonale priser, blant disse Prinsesse Astrids musikkpris, og under Festspillene i Bergen 2007 vant han en plass i Rikskon-
sertenes lanseringsprogram INTRO-klassisk for perioden 2008-2009.
Norway is blessed with many churches and cathedrals and most of 2L’s recordings are made in these wonderful spaces. The music captured by 2L features Norwegian composers and performers, and an international repertoire reflected in the Nordic atmosphere. The traditional way to illuminate and enhance an identity is to define the borders to operate within. This Norwegian label has chosen a different path as the products are developed without fences, originating from classical European art music and traditional folk music, recognizing the fundamental values of musical performances and excellent sound production.
It’s never too late to uncover original music. Such a reward is always worth the wait. **2L** is proving precisely that. Lindberg Lyd AS is the full name. *Lyd*, in Norwegian, means audio, or sound. The young founder Morten Lindberg was born in 1970. While still in the recording academy, he already got a head start by moonlighting in recording studios. He got the leverage from his classical music training, trumpet and choral. While most of his classmates were just preparing themselves to work in pop music industry, Morten was gaining experience and earning references from classical musicians and recording in churches and concert halls. One year after graduation, he already had accrued 45 recordings to his credit, and contributed to *The Grieg Edition*, awarded *MIDEM Classical Award - Best Special Project* in 1994.
In the classical music world, 2L is still a young label. But the team definitely has a edge since all the players are both keen musicians and engineers. Jørn Simenstad, a trumpet player and leading performer of traditional Norwegian instruments, is the main editor. Hans Peter L’Orange is the head of engineering. Wolfgang Plagge is composer, pianist and producer. Ståle Hebaek Ødegårdén is a pianist with a keen ear for microphone setting and balancing. Lindberg Lyd was nominated for the US GRAMMY-award 2007 for their production of *Immortal NYSTEDT* (2L29SACD) in categories ‘Best Surround Sound Album” and “Best Choral Performance”.
Fifteen years ago, when their studio came into operation, all of the Lindberg Lyd projects were services provided to other labels, which included EMI/Virgin, Naxos, ASV, Hyperion, Linn and Philips, among others. Currently half of Lindberg’s studio output is for its own label 2L, totaling 50 classical and traditional releases since 2001, and the projection is 12 per year from 2008 onwards.
The core quality of audio production is made by choosing the venue for the repertoire and balancing the image in the placement of microphones and musicians. Lindberg Lyd travels all over Scandinavia for the right cathedral or chapel. However, it is the team’s attitude to surround sound, which they started working seriously in 2000, that puts them in a completely different league from most multi channel classical engineers. They’re not scared to experiment and to put the listener in the thick of the music rather than in a seat at one end of the hall. They’ve made recordings with the orchestra in the front and the choir behind and the musical results are remarkable. Planning and discussions with the musicians create trust and a sense of occasion and excitement that translates onto the recordings. “The tools we have, even with a good surround set up, is not a perfect way to bring an audience to the concert hall; we still have to work the art of illusions,” says Morten Lindberg. “This is one of the ways to do that – to bring the listener into the music and in among the musicians to be a part of it.” That’s not to say that they won’t record in a more traditional surround format but they allow the venue, repertoire and musicians to suggest a configuration to them. It’s a healthy attitude towards multi channel that doesn’t hide behind the usual excuses of worrying about integrity of listener’s loudspeaker layout. They’re recording surround for those who want to listen in surround and the stereo layer of the hybrid disc is there for those who don’t.
“What we insist upon in the recording phase is time. We usually spend from four to six days of recording on a 60-minutes repertoire. In credit of the musicians I need to say that this is not in need of getting the score right, but in order to bring forward the right mood and dimensions. At most projects the entire first day is spent bringing the dimensions down from a 1500-people hall to the proximity encountered on a home-visit to your living room. The challenge of this process is to get the volume down, keeping the intensity and energy up, without being intrusive. There is no method available today to reproduce the exact perception of attending a live performance. That leaves us with the art of illusion when it comes to recording music. As recording engineers and producers we need to do exactly the same as any good musician; interpret the music and the composer’s intentions and adapt to the media where we perform.”
The 2L label is best described as a premium brand with very high production and packaging values. “We are in a very fortunate position in Norway because we have cultural grants from the government to help preserve and re-vitalize our cultural heritage and that means Norwegian repertoire both in a historic and contemporary perspective,” explains Morten. “Our strength is where we live, where we have grown up and where we have our local knowledge and culture. We also have a choice of venues that other countries do not have. You might consider this an invitation to other labels to visit Norway, make their recordings and publish worldwide.”
Lindberg Lyd has been passionate about SACD and since the year 2000 has been making serious investment in the new format through advanced equipment and pioneering technology like DXD. Their approach is somehow different from the others. They would not shy away from using the surround channels to their full potential, dedicated to actual instruments or vocal parts instead of just the ambience. The music seems to be more engaging and more involving, putting the listener right in the centre of music making. Most multi-channel projects are all discrete 6-channel recordings employing six microphones and six recording tracks (sometimes augmented with back up or fill in microphones and tracks). Depending on the repertoire and the recording venue, but whenever possible, they would avoid cardioid microphones that have narrow directional characteristics. In the recording of Mozart’s concertos for violin and orchestra (2L38SACD) the members of the orchestra formed a circle, with the five microphones set up in the middle. That places the listener into the position of the conductor. Vibrancy is in the air. Tone of the instruments is vividly natural. The Gregorian Chant recording by Consortium Vocale Oslo (2L43SACD) also conjures lifelike presence without exaggerating hi-fi excitement. Both these titles are DXD processing. The result is sonic quality that exemplifies high definition and fine, smooth texture. The signal path is as simple and short as it is technically advanced and the company has devised a formula which Lindberg Lyd describe as: “Fantastic musicians and adventurous music in a beautiful venue!”
Digital eXtreme Definition is a professional audio format that brings “analogue” qualities in 32 bit floating point at 352.8 kHz. DXD preserves 11.2896 Mbit/s (4 times the data of DSD) per channel. This leaves headroom for editing and balancing before quantizing to DSD for SACD or PCM for Blu-Ray. The hybrid SACD still looks like a CD and is totally compatible with conventional CD players and computers.
All resolutions and encodings presented on these two discs are derived from the same original DXD source files. More information at www.lindberg.no
Recorded at Selbu church
November 2007 by Lindberg Lyd AS
Recording producer and balance engineer Morten Lindberg
Recording engineer Hans Peter L’Orange
Editing and mastering Morten Lindberg
SACD authoring Lindberg Lyd AS
Blu-ray authoring Sony DADC
Frontpage photo Trym Ivar Bergsmo
Sessionphotos Lindberg Lyd AS
Text Wolfgang Plagge / Translation Andrew Smith
Artwork and graphic design Morten Lindberg
Musical director Øyvind Gimse
Executive producers Steinar Larsen and Morten Lindberg
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of Lindberg Lyd AS 20©08 [NOMPP0802010] 2L50SABD
Worldwide distributed by Musikkoperatorene and www.2L.no
TrondheimSolistene has a close relationship with its main sponsors StatoilHydro and NTNU, both of whom have contributed to the development of the orchestra. Financial support from NTNU, Trondheim Kommune, Fond for lyd og bilde and Fond for Utøvende Kunstnere has been instrumental in the realization of this project. |
A multi-model analysis of the East Asian monsoon changes in the Medieval Climate Anomaly and Little Ice Age
Kaiqing Yang | Wei Hua | Qin Hu
School of Atmospheric Sciences/Plateau Atmosphere and Environment Key Laboratory of Sichuan Province/Joint Laboratory of Climate and Environment Change, Chengdu University of Information Technology, Chengdu, China
Correspondence
Wei Hua, School of Atmospheric Sciences/Plateau Atmosphere and Environment Key Laboratory of Sichuan Province/Joint Laboratory of Climate and Environment Change, Chengdu University of Information Technology, Chengdu 610225, China.
Email: email@example.com
Funding information
National Natural Science Foundation of China, Grant/Award Number: 41775072; Outstanding Young Talents Project of Sichuan Province, Grant/Award Number: 2019JDQ0001; the National Key R&D Program of China, Grant/Award Number: 2018YFC1505702; the Scientific Research Foundation of Key Laboratory of Meteorological Disaster, Ministry of Education, Grant/Award Number: KLME201803
Abstract
Using nine climate model simulations from the Paleoclimate Modelling Intercomparison Project Phase 3, the changes in the East Asian summer and winter monsoon, together with their associated atmospheric circulations in the Medieval Climate Anomaly (MCA) and Little Ice Age (LIA), were investigated in this study. The East Asian summer monsoon strengthened (weakened) as a consequence of the increased (decreased) land–sea thermal contrast between the East Asian continent and the adjacent western North Pacific and South China Sea in the MCA (LIA). The East Asian winter monsoon (EAWM) changes varied across models, and differences were shown between the low latitudes and mid-to-high latitudes of the EAWM region. In the northern area, the EAWM intensified slightly due to a reinforced Aleutian Low during the MCA and decreased slightly because of the suppression of the Siberian High and the weakening and northward shift of the Aleutian Low during the LIA. In contrast, there are large inconsistencies among models during both periods in the southern EAWM region. Our results imply that model improvement is needed to reproduce the complex interacting processes over the low latitudes of East Asia.
KEYWORDS
East Asian summer monsoon, East Asian winter monsoon, LIA, MCA, model
1 INTRODUCTION
The East Asian monsoon (EAM), which includes the East Asian summer monsoon (EASM) and East Asian winter monsoon (EAWM), is one of the most important components of Asian climate system. The EAM exerts a direct impact on temperature and precipitation regulation in densely populated East Asia and consequently relates to the occurrence of disasters and extreme events, such as floods, droughts and severe cold/hot events. Much effort has been made to understand the recent and future changes in the EAM over various time scales, and the role of external forcing and natural internal variability has also been addressed (Chen et al., 2000; Jiang and Wang, 2005; Ding et al., 2008; Wang and Chen, 2010; Jiang and Tian, 2013; Chen et al., 2014). However, instrumental observations only cover the last few decades; in an attempt to better understand the present-day EAM behaviour and conduct future predictions to reduce the damage caused by these disasters, it is necessary to extend the temporal scale into the past.
Geological evidence shows multiple time scale temperature variations over the past millennium. On the centennial scale, there are two widely recognized climate intervals. One interval is the Medieval Climate Anomaly (MCA), which is characterized by warm surface temperature, high solar irradiance and low volcanic activity, and the other interval is the Little Ice Age (LIA), which is...
characterized by cold temperature, low solar activity and frequent volcanic eruptions (Mann and Jones, 2003; Juckes et al., 2007; Mann et al., 2009; PAGES 2k Consortium, 2013; Hakim et al., 2016). Reconstruction studies regarding the EASM suggest that East Asia generally experienced a stronger EASM during the MCA than during the LIA (Wang et al., 2005; Hu et al., 2008; Zhang et al., 2008; Li et al., 2017). By comparing the EASM evolution with other proxy data, it is further proposed that external forcing factors such as solar activity (Wang et al., 2005; Zhang et al., 2008; Li et al., 2017) and internal variability modes such as the Asia-Pacific Oscillation (Fang et al., 2014) and Pacific Decadal Oscillation (Lee and Park, 2015; Zhao et al., 2015) may affect the EASM variation. On the other hand, the sequences of the Holocene EAWM are less well established than those of the EASM because of unsuitable archives and proxies (Sagawa et al., 2014), and discrepancies are evident among different reconstruction results (Xiao et al., 2006; Liu et al., 2009; Sagawa et al., 2014; Tu et al., 2017; Li et al., 2018). It is also implied that changes in the Holocene EAWM were likely forced by the reduction in solar irradiance through changes in the oceanic–atmospheric circulation patterns on the centennial scale (Sagawa et al., 2014), and Arctic Sea ice may have modulated the relationship between the EAWM and the Atlantic Oscillation (Li et al., 2018). However, given the sporadic distribution and limited indicators of proxies, the mechanisms behind the EAM variations are incomprehensively interpreted.
Climate models provide an approach for determining the dynamic processes that are responsible for past climate changes; therefore, simulating the EAM over the last millennium is of high interest. Based on different climate models, studies concerning the EASM have consistently showed a strengthened (weakened) EASM during the MCA (LIA) (Peng et al., 2010; Liu et al., 2011; Man et al., 2012; Landrum et al., 2013; Man and Zhou, 2014), and this change tends to closely follow the effective radiation forcing that relates to both solar irradiation and volcanic aerosols (Liu et al., 2011; Man et al., 2012; Landrum et al., 2013; Man and Zhou, 2014). Furthermore, large volcanic eruptions can cause the summer precipitation over eastern China to significantly decrease for a period of 2–3 years and may even trigger drought events in eastern China (Anchukaitis et al., 2010; Peng et al., 2010; Peng et al., 2014). However, it should be noted that the boundary conditions applied by these simulations are obtained from different reconstructions, which leads to uncertainties in directly comparing these results. In addition, most of these studies mainly focused on the EASM, little effort has been made to understand the EAWM.
The Paleoclimate Modelling Intercomparison Project Phase 3 (PMIP3) provides new insights into past climate investigations. Based on multi-model experiments, Shi et al. (2016a) addressed the mechanism of the tripole humidity pattern in the Asian region and implied the effects of the La Niña (El Niño)-like conditions during the last millennium. Shi et al. (2016b) compared Asian climate differences between the MCA and LIA and noted overestimated natural forcing impacts on Asian monsoon rainfall. However, the changes in the EAM in multiple climate models are still insufficiently determined, especially for the EAWM. Therefore, in this study, simulations of the last millennium from the PMIP3 are analysed with the aim to examine the EASM and EAWM changes and the underlying physical mechanisms in the non-anthropogenic warm and cold climate backgrounds.
## DATA AND METHOD
Eleven climate models have performed the last millennium experiment in the PMIP3. Considering that MIROC-ESM has a long-term climate drift (Sen Gupta et al., 2013) and BCC-CSM1.1 includes unsolvable missing values, the remaining nine models were used in this study. We consider only one (R124, with almost the same boundary conditions as the other models) of the eight GISS-E2-R ensembles (R121–128) to avoid overemphasizing the influence of this model. Basic information of these models is provided in Table 1, and more details are available online at http://pmip3.lsce.ipsl.fr/. The observational data used for model evaluation are obtained from the European Center for Medium Range Weather Forecast ERA-interim reanalysis data (Dee et al., 2011). Both model and observational data were first bilinearly interpolated to a horizontal resolution of $2.0^\circ \times 2.0^\circ$ for further comparison, which is the mid-range level for models.
Model performance was assessed by comparing the spatial distributions between simulations and observations for the period 1979–2005. As the primary features of the EAM are southerly winds loading warm and moist air masses from the South China Sea and Bay of Bengal in summer and strong northerly winds from the cold-core Siberia–Mongolia in winter (Ding, 1994), low-level meridional wind fields were applied for evaluation. Here, we referred to the method used by Jiang and Tian (2013). Specifically, summer (June, July and August) evaluation was performed on the 850 hPa meridional wind over 63 grid points within the region of $20^\circ–40^\circ N$ and $105^\circ–120^\circ E$, and as three models did not release wind data at 10 m, winter (December, next January and February) evaluation was performed on meridional wind at two levels of 10 m and 925 hPa within the regions of $25^\circ–40^\circ N$ and $120^\circ–140^\circ E$ together with $10^\circ–25^\circ N$ and $110^\circ–130^\circ E$ on 123 grid points. To objectively measure the ability of models to simulate the EAM, spatial correlation coefficients (SCC) and normalized centred root mean square differences (RMSD)
Table 1: Details of the model simulations used in this study
| Model ID | Model name | Country | Atmospheric resolution | Time span | No data for wind at 10 m |
|----------|---------------------|---------|------------------------|-------------|--------------------------|
| 1* | CCSM4 | USA | 1.25° × −0.9°, L26 | 850–1850 | √ |
| 2* | CSIRO-Mk3L-1-2 | Australia | ~5.6° × ~3.2°, L18 | 851–1850 | √ |
| 3 | FGOALS-gl | China | 5.0° × −4.0°, L26 | 1000–1999 | √ |
| 4* | FGOALS-s2 | China | ~2.8° × ~1.7°, L26 | 850–1850 | |
| 5* | GISS-E2-R | USA | 2.5° × 2.0°, L40 | 850–1850 | |
| 6* | HadCM3 | UK | 3.75° × 2.5°, L19 | 850–1850 | |
| 7* | IPSL-CM5A-LR | France | 3.75° × −1.9°, L39 | 850–1850 | |
| 8* | MPI-ESM-P | Germany | ~1.9° × −1.9°, L47 | 850–1849 | |
| 9* | MRI-CGCM3 | Japan | ~1.1° × −1.1°, L48 | 850–1850 | |
Note: Model IDs with asterisks represent those with historical runs for assessment covering from 1979 to 2005.
of each simulation with respect to observations were calculated model by model. Model selection was based on the criterion that the SCC is statistically significant at the 99% confidence level together with the normalized centered RMSD being less than 1.00. On this basis, the median value of the chosen models was adopted to represent the overall estimate.
Although the timing and spatial structure of the MCA and LIA are complex, with different reconstructions exhibiting warm and cold conditions at different times for different regions and seasons, the Northern Hemisphere temperature reconstructions indicated mostly warmer conditions from about 950 to about 1250 and colder conditions from about 1450 to about 1850 (PAGES 2k Consortium, 2013). For the convenience of calculation, we considered these two intervals the MCA and LIA, respectively.
3 RESULTS
There are several approaches to quantify the intensities of the EASM and EAWM, which are measured from perspectives involving sea-level pressure (SLP) gradient, meridional and/or zonal winds in the lower or upper troposphere and geopotential height in the middle troposphere (Wang et al., 2008; Wang and Chen, 2010). Considering that the monsoon originates from the land–sea thermal contrast and is intrinsically related to the low-level air temperature, SLP and wind fields, we used two indices measured by the wind and SLP gradient, respectively, to quantitatively depict the EAM intensity. One index used the regionally averaged summer meridional wind at 850 hPa within the region of 20°−40°N and 105°−120°E to quantify the EASM, and the winter meridional wind at 10 m was averaged within the regions of 25°−40°N and 120°−140°E together with 10°−25°N and 110°−130°E to quantify the EAWM. The percentage change in these values relative to their 850–1850 climatology for each model was regarded as the EASM or EAWM intensity index, hereafter referred to as the meridional wind (MW)-index. The other index is defined as the zonal SLP difference between a land longitude over East Asia and an oceanic longitude over the western North Pacific (Guo, 1994; Guo et al., 2003), namely, the SLP-index.
3.1 Evaluation of the PMIP3 models and change in the EASM
Figure 1a displays the SCCs and normalized centred RMSDs between the simulated and observed climatology of the meridional wind at 850 hPa in summer. It shows that seven of the eight models have statistically significant SCCs at the 99% confidence level ranging from 0.51 to 0.72, except for CSIRO-Mk3L-1-2, which shows a negative correlation. The normalized centred RMSDs range from 0.74 to 1.35, with the values of CSIRO-Mk3L-1-2 and FGOALS-s2 larger than 1.00. Given that not all the models meet the requirement we defined and that FGOALS-gl is not available for model assessment, we eliminated this model in order to avoid the potential uncertainties it may bring. Thus, six models were chosen for the following analysis.
As shown in Figure 2, the EASM intensity varies slightly over the whole past millennium with all the models exhibiting decreasing trends either for the MW-index or SLP-index. However, statistically significantly decreased trends at the 95% confidence level are identified in only two models (GISS-E2-R and IPSL-CM5A-LR) and the six-model median estimate in the MW-index and in four models (CCSM4, GISS-E2-R, HadCM3 and MRI-CGCM3) and the six-model median estimate in the SLP-index.
In the case of the MCA, the EASM change was simulated at a high-level model consistency, with five of the
FIGURE 1 Taylor diagrams (Taylor, 2001) displaying the normalized pattern statistics of climatological meridional wind (a) at 850 hPa within the region of $20^\circ–40^\circ$ N and $105^\circ–120^\circ$ E between the eight climate models and observations in summer and (b) at 10 m and (c) 925 hPa within the regions of $25^\circ–40^\circ$ N and $120^\circ–140^\circ$ E together with $10^\circ–25^\circ$ N and $110^\circ–130^\circ$ E between the six and eight climate models, respectively, and observations in winter for the reference period of 1979–2005. Each number represents a model ID (see Table 1), and the observation is considered the reference (REF). Standard deviation and centred root mean square difference are normalized by the REF standard deviation. The radial distance from the origin is the normalized standard deviation of a model; the correlation between a model and the REF is given by the azimuthal position of the model, with the oblique dotted line showing the 99% confidence level, and the normalized centred root mean square difference between a model and the REF is their distance apart. Briefly, the nearer the distance between a number and REF, the better the performance of the corresponding model [Colour figure can be viewed at wileyonlinelibrary.com]
FIGURE 2 East Asian summer monsoon intensity indices as measured by (a) meridional wind at 850 hPa and (b) zonal sea-level pressure difference, in which black curves represent the six-model median estimates, and yellow and red lines denote the mean values averaged over the MCA and LIA based on median estimates, respectively. Grey dashed areas indicate the MCA and LIA periods. MCA, Medieval Climate Anomaly; LIA, Little Ice Age [Colour figure can be viewed at wileyonlinelibrary.com]
six models showing strengthening during the MCA (Figure 3a,c). At the regional scale, the models showed warming over and around the East Asian region (Figure 4a). However, owing to the different heat contents between the land and ocean, the temperature over the Asian continent increased with a larger magnitude than over the neighbouring oceans, which generated an anomalous Asian continental low at the lower level. Thereafter, on the one hand, meridional SLP gradient increased over East Asia and the South China Sea, leading to the development of the cross-equatorial current off the Somali coast and deepening and northward migration of the monsoon trough over the Bay of Bengal. This accelerated the eastward propagation of low-level moist westerlies across India and resulted in enhanced Indian monsoonal precipitation in the Indian Peninsula. On the other hand, the reinforced thermal contrast between East Asia and the same latitudes of the western North Pacific led to an intensified zonal SLP gradient and, in turn, generated southerly wind anomalies over East Asia. Therefore, more warm water vapour from the South China Sea and the western North Pacific moved towards south-eastern China and the Yangtze River Basin and then generated increased precipitation. In addition, an anomalous positive SLP centre was
established over the Japan Sea due to the warming contrast, hence guiding south-easterly anomalies at its southern edge to transport moisture from the Pacific to the Yellow River Basin and bring more precipitation to that region (Figure 5b). For the upper troposphere, the 200 hPa subtropical westerly jet stream, which is another major component of the EASM system, indicated a weakened feature (Figure 6b). It was the aforementioned meridional warming difference between the land and ocean that weakened the temperature gradient from higher to lower latitudes on a hemispheric scale, which reduced the baroclinic feature that extended to the upper troposphere. Consequently, heating-induced mass change removed the meridional temperature contrast and then weakened the subtropical westerly jet. The decreased EASM was also identified at the middle level, where a strengthened western Pacific subtropical high was found extending straight upward to the middle troposphere, and its centre barely moved (Figure 7b).
In the context of the LIA, the EASM behaved in the opposite way, with all the six models showing decreased strength (Figure 3b,d). Specifically, the temperature over the Asian continent cooled more than the surrounding...
FIGURE 5 (a) Climatology of summer wind (vector; units: m s$^{-1}$) at 850 hPa and precipitation (shaded; units: mm day$^{-1}$) for 850–1850 from the six-model median estimates and the corresponding differences in the (b) Medieval Climate Anomaly and (c) Little Ice Age with reference to 850–1850. The rectangles are the same as in Figure 4. The locations of Dongge Cave (Wang et al., 2005), Heshang Cave (Hu et al., 2008), Wanxiang Cave (Zhang et al., 2008), Huangye Cave (Tan et al., 2010), Dongdao Island (Yan et al., 2011), Gonghai Lake (Chen et al., 2015), core TY08PC1 (Lee and Park, 2015), Yelang Cave (Zhao et al., 2015), Qionghai (Deng et al., 2017), Mulyoungari Swamp (Park et al., 2017) and Nakaumi Lake (Yamada et al., 2019) are marked, with red, blue and purple representing strong, weak and no obvious changes in EASM during the corresponding periods, respectively [Colour figure can be viewed at wileyonlinelibrary.com]
oceans, causing a rising SLP across the continent (Figure 4b). This implies a reduced meridionally SLP gradient in southern East Asia and a suppressed zonal SLP gradient in eastern East Asia. Therefore, on the southern coastal Asian continent, an anomalous easterly wind weakened the monsoon trough and reduced the moisture transport from the Arabian Sea to the India Peninsula and from the Bay of Bengal and South China Sea to East Asia; thus, less precipitation was simulated in both India and southeastern China (Figure 5c). In addition, on the eastern coast of Asia, in the presence of a negative SLP centre over the northern Pacific, anomalous northerly and northwesterly winds formed, which lowered the vapour transportation from the subtropical western Pacific to the Asian continent, leading to deficient precipitation in central and northeastern China. In contrast to the MCA, the high-level subtropical westerly jet stream intensified due to the strengthened low-level meridional temperature contrast, and the mid-level western Pacific subtropical high showed a weakened feature (Figures 6c and 7c).
Changes in the EASM intensity during these two periods are also confirmed by previous single-model simulations (Peng et al., 2010; Liu et al., 2011; Man et al., 2012; Landrum et al., 2013; Man and Zhou, 2014). These model simulations showed better agreement in terms of changes in atmospheric circulation than that of precipitation, which is in accordance with the PMIP3 results. Overall, the majority of the models demonstrated a synchronous in-phase precipitation change over the whole monsoonal region, but CCSM4 from the PMIP3 and FGOALS-gl (Man and Zhou, 2014) presented a meridional tripole pattern change in both the MCA and LIA over East Asia, and HadCM3 from the PMIP3 showed a meridional tripole pattern only during the LIA. It is widely accepted that ENSO plays a role in influencing the EASM; the inconsistent precipitation pattern might be generated from the different sea surface temperature
patterns and also ENSO-related physical processes, for example, the Indo-western Pacific ocean capacitor (Xie et al., 2016), simulated from model to model.
The EASM intensity during the last millennium has been reconstructed from multiple types of geological archives, including stalagmite records (Wang et al., 2005; Hu et al., 2008; Zhang et al., 2008; Tan et al., 2010; Zhao et al., 2015), fossil pollen and ostracods from lake sediments (Yan et al., 2011; Chen et al., 2015; Li et al., 2017; Yamada et al., 2019) and marine sediments (Lee and Park, 2015; Deng et al., 2017). Most of these reconstructions are indicators of precipitation variation, and they demonstrated a degree of regional feature (Figure 5b,c). Generally, proxy sites located in the northern monsoonal region showed a stronger EASM during the MCA than during the LIA (Hu et al., 2008; Zhang et al., 2008; Tan et al., 2010; Chen et al., 2015; Li et al., 2017), which is consistent with the finding of multiple simulations, whereas those located in the southeastern region exhibited insignificant EASM differences between the two periods but centennial scale variations (Zhao et al., 2015) or an increasing trend beginning in the late MCA (Wang et al., 2005). Moreover, two lake sediments (Park et al., 2017; Yamada et al., 2019) and one marine sediment (Lee and Park, 2015) showed conflicting changes around South Korea and southwest Japan. Park et al. (2017) further noted that this may be because rainfall in coastal East Asia is extraordinarily complex as it is influenced not only by EASM but also by ENSO-modulated typhoons.
Recently, some studies have noted that $\delta^{18}$O signals recorded in stalagmites reflect changes in moisture sources or water vapour pathways rather than precipitation changes (LeGrande and Schmidt, 2009; Dayem et al., 2010; Liu et al., 2015). Therefore, the centennial scale difference between the northern and southern located stalagmite data may be due to the water vapour in the southwestern monsoonal region being mostly from the Bay of Bengal than from the western Pacific, while that of the northeastern part is the opposite.
In summary, model simulations and geological evidence coincide well with each other and suggest a strengthened EASM in the MCA and the opposite in the LIA. Uncertainties exist in both models and reconstructions. This is because, on the one hand, the capability of models in
accurately depicting the monsoon system is still inadequate, and on the other hand, diverse proxy types and reconstruction methods generated discrepancies across different monsoonal regions and among different EASM reconstructions. In addition, information interpreted from most of these proxies is annual climatic signals, leading to an insufficient ability in distinguishing summer signals from other seasonal signals.
### 3.2 Evaluation of the PMIP3 models and change in the EAWM
In Figure 1b,c, winter meridional wind assessments show that the SCCs are all statistically significant at the 99% confidence level with values from 0.51 to 0.87 and from 0.47 to 0.82, and the corresponding normalized centred RMSDs are from 0.52 to 0.90 and from 0.57 to 1.07 at levels of 10 m and 925 hPa, respectively. Besides, those who have both levels of wind data showed similar performances at the two levels. Considering that the normalized centred RMSDs of CCSM4 and CSIRO-Mk3L-1-2 are greater than 1.00 in the 925 hPa assessment, and that both of these two models did not release 10 m wind data, we eliminated these two models and utilized 10 m wind data of the remaining six models for the following investigation.
Figures 8 and 9 show that the EAWM indices present little long-term trend throughout the millennium. In detail, FGOALS-s2 and HadCM3 demonstrated increased trends, whereas GISS-E2-R, IPSL-CM5A-LR, MPI-ESM-P and MRI-CGCM3 presented decreased trends in both the MW-index and SLP-index. However, only increased trend of FGOALS-s2 and decreased trend of MRI-CGCM3 for the MW-index are statistically significant at the 95% confidence level, and no statistically significant trend was detected for the SLP-index. Overall, changes in the EAWM intensity are dependent on model and index.
The EAWM mostly dominates the northerly wind along coastal East Asia and is driven by SLP differences between the Siberian High and Aleutian Low. As shown in Figure 11a, the winter monsoonal circulation during
the last millennium has a pattern that is similar to the modern EAWM (Chen et al., 2000). It can be separated into two components; the northern component is in the region north of $25^\circ$N, where northwesterly winds are separated into two branches: one that moved east through southern Japan to the subtropical western and central Pacific and the other that flowed along the coastline of East Asia. The southern component is in the region south of $25^\circ$N, where the northeasterly flow mainly prevailed.
With respect to the MCA, the majority of models simulated increased temperature changes in most of the Northern Hemisphere, with higher latitudes experiencing more heating (Figure 10a). However, because of the large spread among models in characterizing the distribution of positive and negative temperature centres from Siberia to the Aleutian Islands, four (two) of the six models exhibited an intensified (weakened) Siberian High, and five (one) reproduced a weakened (strengthened) Aleutian Low. Therefore, in the northern part of the EAWM region, an enhanced Aleutian Low led to strengthened meridional SLP contrast between the Aleutian Islands and North Pacific and consequently generated an anomalous westerly flow over the Yellow Sea and southern Japan, indicating an intensified EAWM (Figure 11b). However, the simulations in the southern part of the EAWM region are highly debated. Three models showed a warmer continent than the same latitudes of the ocean, while the other three models exhibited reversed thermal changes or a similar degree of warming. Therefore, the northerly flow shown in the median estimate is largely uncertain (Figure 11b). In the middle troposphere, a stronger East Asian trough at 500 hPa geopotential height was detected in most models during this period, which confirms a strengthened EAWM.
With regard to the LIA, most models simulated southerly anomalies along coastal East Asia (Figure 11c), indicating a weakened EAWM. In detail, temperature presented the largest decrease over the Aleutian Islands compared with Siberia and the mid-latitude North Pacific in four of the six models. Consequently, the SLP ascended over the Aleutian Islands and was slightly suppressed over the Siberian region, resulting in a weakened and northward shifted Aleutian Low and a suppressed Siberian High (Figure 10b), consequently generating southerly winds over the northern component of the EAWM key region (Figure 11c). In addition, the East Asian trough at 500 hPa geopotential height was consistently weakened. However, situations in the southern part are similar to those in the MCA, with models showing diverse changes in temperature, SLP difference and winds.
Modern climatological studies considered EAWM to be an essential link between mid-latitude and tropical circulations, and its impact on the South China Sea and eastern Pacific was illustrated as a predicting tool for the following summer monsoon (Chen et al., 2000; Wang and Chen, 2010). On the interannual-to-interdecadal scale, variability of the EAWM system was distinguished as two unique northern and southern modes. The northern mode is preceded by excessive autumn snow cover in southern Siberia–Mongolia, whereas the southern mode is related to the ENSO (Wang et al., 2010; Chen et al., 2014). During winter, ENSO largely modulated East Asian water vapour transport through the access of the Pacific-East Asian teleconnection (Wang et al., 2000), and the central and eastern tropical Pacific sea surface temperature-associated teleconnection was also lately identified as a crucial factor impacting the water vapour transport over East Asia (Sun et al., 2019). This explains,
to a certain extent, the performance of multiple models showing some skills in simulating the northern component of the EAWM but exhibiting diverse results for the southern component when involved in complex extratropical–tropical and air–sea interactions. It is also worth noting that enhanced precipitation was simulated over Indonesia and that the opposite was found over the Philippines and mid-latitude western Pacific (Figure 11b). This agrees with previous findings showing that a strong EAWM facilitates excessive precipitation in low latitudes and deficient precipitation over mid-latitudes based on modern observations (Wang and Chen, 2010).
Grain size of sediments, foraminiferal $\delta^{18}$O data and diatom assemblages from marine sediments and elemental ratios in Chinese loess deposits are commonly used proxies for reconstructing the Holocene EAWM evolution (Wang et al., 2012; Liu et al., 2013; Li and Morrill, 2014; Sagawa et al., 2014; Li et al., 2018). However, these pieces of geological evidence mostly have low temporal resolutions and show conflicting results during the past millennium (Figure 11b,c). For example, in northwestern East Asia, reconstructions derived from aeolian sediments (Liu et al., 2013) and lake deposits (Liu et al., 2009) showed a stronger EAWM in the MCA than in the LIA, which is in accordance with the model simulations in this study. However, between these two sites, aeolian sediments (Li and Morrill, 2014) and a peat record (Yu et al., 2011) indicated multiple time scale variations rather than a centennial scale difference. For southeastern East Asia, a stronger (weaker) northerly wind was interpreted by the total organic carbon contents and titanium concentrations (Yancheva et al., 2007), as well as by diatom assemblages (Wang et al., 2012) from Huguang Maar Lake, indicating a reinforced (weakened) EAWM during the MCA (LIA). However, for the western North Pacific, conflicting results are found in the marine sediments from northern Japan (Sagawa et al., 2014) and the southern Okinawa Trough (Li et al., 2018). In addition, based on nine mean grain size records of muddy sediments from Chinese coastal seas dating back to 3,000 years ago, Tu et al. (2017) found large discrepancies in EAWM intensity among different records. The researchers further noted that those located far from the river estuary mostly showed weak EAWM strength during the MCA and enhanced strength during the LIA.
In a word, multiple model simulations show that the EAWM is slightly stronger during the MCA than that
FIGURE 10 Changes in winter temperature (shading; units: K) and sea-level pressure (contour; units: hPa) in the (a) Medieval Climate Anomaly and (b) Little Ice Age with reference to the period of 850–1850 as derived from the six-model median estimate. The rectangles show the regions of $10^\circ–25^\circ$ N and $110^\circ–130^\circ$ E, and $25^\circ–40^\circ$ N and $120^\circ–140^\circ$ E [Colour figure can be viewed at wileyonlinelibrary.com]
FIGURE 11 (a) Climatology of winter wind (vector; units: m s$^{-1}$) at 10 m and precipitation (shaded; units: mm day$^{-1}$) for 850–1850 as derived from the six-model median estimates and the corresponding differences in the (b) Medieval Climate Anomaly and (b) Little Ice Age with reference to 850–1850. The rectangles are the same as in Figure 10. The locations of Huguang Maar Lake (Yancheva et al., 2007; Wang et al., 2012), Kusai Lake (Liu et al., 2009), Hongyuan Swamp (Yu et al., 2011), Gonghe Basin (Liu et al., 2013), Huangyanghe (Li and Morrill, 2014), core SK-2 (Sagawa et al., 2014) and core MD05-2908 (Li et al., 2018) are marked, with red, blue and purple representing strong, weak and no obvious changes in East Asian winter monsoon during the corresponding periods, respectively [Colour figure can be viewed at wileyonlinelibrary.com]
during the LIA for the northern component of the EAWM, and the changes during both periods at the southern component are controversial. Uncertainties come from the different model responses to external forcings, as well as diverse modelling skills in simulating air–sea and extratropical–tropical interactions. Moreover, spatial and temporal discrepancies are evident in the EAWM reconstructions during the last millennium. This is due to sparse suitable archives and proxies (Sagawa et al., 2014); age uncertainties; and other influencing factors such as sedimentary environments, riverine runoff and storms (Tu et al., 2017). All the above makes the conclusion less trustworthy. Therefore, reconstructions in higher temporal and spatial resolutions, together with sources of reliable types of proxy and methods, are needed to precisely characterize the EAWM intensity in order to test model simulations and better understand the mechanisms of the EAWM during the past millennium.
4 | CONCLUSIONS
Based on nine simulations of the last millennium from the PMIP3, the EASM and EAWM changes and their underlying mechanisms in the warm MCA and cold LIA were assessed in this study. The main results are as follows:
The EASM during the MCA is stronger than that during the LIA, and most of the reconstructions support this result, although discrepancies exist among different records. The monsoonal region shows anomalous southerly winds in the lower level, a strengthened western Pacific subtropical high in the middle level and an intensified subtropical westerly jet stream in the higher level, together with excessive precipitation over East Asia during the MCA and inverted situations in the LIA. The main factor responsible for the changes in the EASM system is the land–sea thermal contrast.
The variations in EAWM indices are dependent on model and index. The EAWM system shows different changes between the low latitudes and the mid-to-high latitudes during the MCA and LIA periods. In the northern part of the EAWM region, a high-latitude temperature change is the main driver of the associated circulation. It generates a strengthened Aleutian Low that guides the westerly wind anomalies at its southern edge during the MCA, whereas a weakened and northward shifted Aleutian Low, as well as a slightly strengthened Siberian High, result in a southerly flow in the LIA, indicating an intensified EAWM in the MCA and a weakened EAWM in the LIA. However, for the southern part of the EAWM region, controversial results were simulated among individual models, leading to large uncertainty.
Collectively, climate models show a better ability to reproduce the EAM system when underlying thermal changes act as the dominant driving factor, and more efforts should be made to improve the model skill in demonstrating regional scale processes and internal climate interactions, especially for the EAWM.
ACKNOWLEDGMENTS
We acknowledge all the climate modelling groups in the PMIP project (listed in Table 1) for producing and sharing their model output. This research was jointly supported by the National Natural Science Foundation of China (grant 41775072), the National Key R&D Program of China (grant 2018YFC1505702), the Outstanding Young Talents Project of Sichuan Province (grant 2019JDQ0001) and the Scientific Research Foundation of Key Laboratory of Meteorological Disaster, Ministry of Education (grand KLME201803).
ORCID
Kaiqing Yang https://orcid.org/0000-0002-3902-5024
Wei Hua https://orcid.org/0000-0003-2496-3592
Qin Hu https://orcid.org/0000-0002-8576-299X
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**How to cite this article:** Yang K, Hua W, Hu Q. A multi-model analysis of the East Asian monsoon changes in the Medieval Climate Anomaly and Little Ice Age. *Int J Climatol*. 2020;40:5084–5097. [https://doi.org/10.1002/joc.6506](https://doi.org/10.1002/joc.6506) |
Working memory load strengthens reward prediction errors.
Anne G.E. Collins\textsuperscript{1,3}, Brittany Ciullo\textsuperscript{3}, Michael J Frank\textsuperscript{3,4} and David Badre\textsuperscript{3,4}
\textsuperscript{1}Department of Psychology, University of California, Berkeley, Berkeley, CA 94720.
\textsuperscript{2}Helen Wills Neuroscience Institute, Berkeley, CA, 94720
\textsuperscript{3}Department of Cognitive, Linguistics and Psychological Sciences, Brown University, Providence RI 02912
\textsuperscript{4}Brown Institute for Brain Science, Providence, RI 02912.
DOI: 10.1523/JNEUROSCI.2700-16.2017
Received: 25 August 2016
Revised: 8 March 2017
Accepted: 12 March 2017
Published: 20 March 2017
Author contributions: A.G.E.C., M.J.F., and D.B. designed research; A.G.E.C. and B.C. performed research; A.G.E.C. and B.C. analyzed data; A.G.E.C., M.J.F., and D.B. wrote the paper.
Conflict of Interest: The authors declare no competing financial interests.
We thank Christopher R Gagne for his role in data collection. This research was supported by NIH grants NS065046 & MH099078 to D.B and MH080066-01 to MJF, a James S. McDonnell foundation award do D.B., and NSF1460604 to MJF and AGEC.
Corresponding author: Anne G.E. Collins, 3210 Tolman Hall, Department of Psychology, UC Berkeley, Berkeley, CA 94720, firstname.lastname@example.org.
Cite as: J. Neurosci ; 10.1523/JNEUROSCI.2700-16.2017
Alerts: Sign up at www.jneurosci.org/cgi/alerts to receive customized email alerts when the fully formatted version of this article is published.
Working memory load strengthens reward prediction errors.
Abbreviated title: Working memory load strengthens prediction errors
Authors: Anne G.E. Collins$^{1-3}$, Brittany Ciullo$^3$, Michael J Frank$^{2-4}$, David Badre$^{3-4}$
Affiliations
1. Department of Psychology, University of California, Berkeley, Berkeley, CA 94720
2. Helen Wills Neuroscience Institute, Berkeley, CA, 94720
3. Department of Cognitive, Linguistics and Psychological Sciences, Brown University, Providence RI 02912
4. Brown Institute for Brain Science, Providence, RI 02912.
Corresponding author:
Anne G.E. Collins
3210 Tolman Hall, Department of Psychology, UC Berkeley, Berkeley, CA 94720
email@example.com,
Number of pages: 30
Number of figures: 6
Number of tables: 3
Abstract: 185 words
Introduction: 497 words
Discussion: 1487
The authors declare no competing financial interests.
Acknowledgements: We thank Christopher R Gagne for his role in data collection. This research was supported by NIH grants NS065046 & MH099078 to D.B and MH080066-01 to MJF, a James S. McDonnell foundation award do D.B., and NSF1460604 to MJF and AGEC.
Abstract:
Reinforcement learning in simple instrumental tasks is usually modeled as a monolithic process in which reward prediction errors are used to update expected values of choice options. This modeling ignores the different contributions of different memory and decision-making systems thought to contribute even to simple learning. In an fMRI experiment, we asked how working memory and incremental reinforcement learning processes interact to guide human learning. Working memory load was manipulated by varying the number of stimuli to be learned across blocks. Behavioral results and computational modeling confirmed that learning was best explained as a mixture of two mechanisms: a fast, capacity-limited, and delay-sensitive working memory process together with slower reinforcement learning. Model-based analysis of fMRI data showed that striatum and lateral prefrontal cortex were sensitive to reward prediction error, as shown previously, but critically, these signals were reduced when the learning problem was within capacity of working memory. The degree of this neural interaction related to individual differences in the use of working memory to guide behavioral learning. These results indicate that the two systems do not process information independently, but rather interact during learning.
Significance Statement
Reinforcement learning theory has been remarkably productive at improving our understanding of instrumental learning as well as dopaminergic and striatal network function across many mammalian species. However, this neural network is only one contributor to human learning, and other mechanisms such as prefrontal cortex working memory, also play a key role. Our results show in addition that these other players interact with the dopaminergic RL system, interfering with its key computation of reward predictions errors.
Intro:
Reinforcement learning (RL) theory (Sutton & Barto 1998) proposes that we can learn the value associated with various choices by computing the discrepancy between the reward we obtain and our previously estimated value, and proportionally adjusting our estimate. This discrepancy, the reward prediction error (RPE), signals a valenced
surprise at the outcome being better or worse than expected and a direction to adapt behavior (Pessiglione et al. 2006; Schönberg et al. 2007; Daw & Doya 2006). In the brain, cortico-basal ganglia loops appear to implement a form of algorithmic RL: Dopamine-dependent plasticity in the striatum may reinforce selection of choices leading to positive RPEs and weaken those leading to negative RPEs (Frank et al. 2004; Collins & Frank n.d.). Dopaminergic neurons exhibit phasic changes in their spike rates that convey RPEs (Montague et al. 1996; Schultz 2002), and dopamine release in target regions provides a bidirectional RPE signal (Hart et al. 2014). Human imaging studies have indeed found that striatal BOLD correlates with RPE and is enhanced by DA manipulations (Pessiglione et al. 2006; Schönberg et al. 2007; Jocham et al. 2011).
However, other neurocognitive processes contribute to learning besides the integration of reward history by RL. Specifically, executive processes (such as those involved in representing sequential or hierarchical task structure) contribute substantially to human learning over and above incremental RL (Daw et al. 2011; Badre & Frank 2011; Botvinick et al. 2009; Collins & Koechlin 2012; Collins & Frank 2013). Even in basic stimulus-response learning tasks, working memory (WM) contributes substantially to instrumental learning beyond RL (Collins & Frank 2012; Collins et al. 2014), as evidenced by both behavioral analyses and quantitative computational model fits. Two effects of WM were evident in learning. As WM set size increased (working memory load), learning curves per stimulus were slowed. Second, accuracy per trial declined as a function of the number of intervening items (working memory delay). These WM effects decayed with further experience, as the more reliable but slower RL process gained control of behavior. A hybrid model of WM and RL provided a better fit to these data than either process itself (Collins & Frank 2012; Collins et al. 2014).
This prior behavioral work implies that WM contributes to RL processes. Here, we investigate the neural markers of learning and RPEs to determine whether they are interact with WM. While many RL studies have revealed neural correlates of RPEs that relate to learning, these studies have not manipulated or estimated WM factors that could contribute to (and potentially confound) these signals. Identifying separate markers of systems that contribute jointly to behavior also provides an opportunity to explore whether they interact (e.g., competitively or cooperatively). Specifically, we tested whether frontoparietal networks associated with cognitive control and striatal systems
associated with RL would show parametric modulations of RPE signaling as a function of WM load during learning. We also tested whether such interactions would be predictive of the extent to which individuals relied on WM contributions to RL behaviorally.
**Methods:**
**Participants:**
We scanned 26 participants (ages 18-31, mean age 23, 15 males/11 females). All 26 participants are included in the behavioral analysis. 5 participants were excluded from fMRI analysis prior to analyzing their fMRI data due to head movement greater than our voxel size. 2-6 blocks were excluded from 3 other participants due to movement during data collection towards the end of the scan. All participants were right-handed with normal or corrected-to-normal vision and were screened for the presence of psychiatric or neurological conditions and contraindications for fMRI. All participants were compensated for their participation and gave informed, written consent as approved by the Human Research Protection Office of Brown University.
**Experimental design:**
The task (Fig1) was similar to that described previously (Collins & Frank 2012; Collins et al. 2014), itself adapted from a classic Conditional Associative Learning paradigm (Petrides 1985). On each trial, subjects had to respond with one of three responses (button presses on a response pad) when presented with a centrally displayed single stimulus. Subjects had to learn over trials which response was correct for each stimulus, based on binary deterministic reinforcement feedback (Collins & Frank 2012; Collins et al. 2014).
To manipulate working memory demands separately from RL components, we systematically varied the number of stimuli (denoted as set size $n_s$) to be learned within a block. Larger set sizes provide greater load on working memory, and also impose on average larger delays between repetitions of the same stimulus. Subjects experienced 3 blocks of each of the set-sizes one through six. In each block, subjects learned about a different category of visual stimulus (such as sports, fruits, places, etc.), with stimulus
category assignment to block set size counterbalanced across subjects. Block ordering was also counterbalanced within subjects to ensure an even distribution of high/low load blocks across each third of the experiment.
At the beginning of each block, subjects were shown the entire set of stimuli for that block and were encouraged to familiarize themselves with them for a duration of 10 sec (figure 1 top). They were then asked to make their response as quickly and accurately as possible after each individual stimulus presentation. Within each block, stimuli were presented 12 times each in a pseudo-randomly intermixed order.
Stimuli were presented in the center of the screen for up to 0.5s seconds, followed by a blue fixation cross for up to 1s or subjects making a choice by pressing one of 3 buttons, at which time the fixation cross turned white (figure 1 bottom). Feedback was presented 1.5s after stimulus onset for 0.5s as either “Correct” in green, “Incorrect” in red, or “Too slow” if the subject failed to answer within 1.5s. A white fixation cross followed with jittered duration of mean 1.5s, ranging [.5 6.5]s, before the next stimulus was presented.
Subjects were instructed that finding the correct action for one stimulus was not informative about the correct action for another stimulus. This was enforced in the choice of correct actions, such that, in a block with e.g., $n_S=3$, the correct actions for the three stimuli were not necessarily three distinct keys. This procedure was implemented to ensure independent learning of all stimuli (i.e., to prevent subjects from inferring the correct actions to stimuli based on knowing the actions for other stimuli). Prior to entering the scanner, subjects went through the instructions and practiced on a separate set-size 2 sets of images to ensure they were familiarized with the task.
**Computational model:**
**RLWM model:**
To better account for subjects’ behavior and disentangle roles of working memory and reinforcement learning, we fitted subjects’ choices with our hybrid RLWM computational model. Previous research showed that this model, allowing choice to be a mixture between a classic delta rule reinforcement learning process and a fast but capacity-limited and delay-sensitive working memory process, provided a better quantitative fit to learning data than models of either WM or RL alone (Collins & Frank 2012; Collins et al.
The model used here is a variant of the previously published models. We first summarize its key properties, following by the details:
- RLWM includes two modules which separately learn the value of stimulus-response mappings: a standard incremental procedural RL module with learning rate $\alpha$, and a WM module that updates S-R-O associations in a single trial (learning rate 1) but is capacity-limited (with capacity $K$).
- The final action choice is determined as a weighted average over the two modules’ policies. How much weight is given to WM relative to RL (the mixture parameter) is dynamic and reflects the probability that a subject would use WM vs. RL in guiding their choice. This weight depends on two factors. First, a constraint factor reflects the *a priori* probability that the item is stored in WM, which depends on set size $n_S$ of the current block relative to capacity $K$ (i.e., if $n_S > K$, the probability that an item is stored is $K/n_S$), scaled by the subject’s overall reliance of WM vs. RL (factor $0 < \rho < 1$), with higher values reflecting relative greater confidence in WM function. Thus, the constraint factors indicates that the maximal use of WM policy relative to RL policy is $w_0 = \rho \times \min(1, K/n_S)$. Second, a strategic factor reflects the inferred reliability of the WM compared to RL modules over time: initially, the WM module is more successful at predicting outcomes than the RL module, but because it has higher capacity and less vulnerability to delay, the RL module becomes more reliable with experience.
- Both RL and WM modules are subject to forgetting (decay parameters $\phi_{RL}$ and $\phi_{WM}$). We constrain $\phi_{RL} < \phi_{WM}$ consistent with WM’s dependence on active memory).
**Learning model details.**
**Reinforcement learning model:** All models include a standard RL module with simple delta rule learning. For each stimulus $s$, and action $a$, the expected reward $Q(s,a)$ is learned as a function of reinforcement history. Specifically, the $Q$ value for the selected action given the stimulus is updated upon observing each trial’s reward outcome $r_t$ (1 for correct, 0 for incorrect) as a function of the prediction error between expected and observed reward at trial $t$:
$$Q_{t+1}(s,a) = Q_t(s,a) + \alpha \times \delta_t$$
where $\delta = r_t - Q_t(s,a)$ is the prediction error, and $\alpha$ is the learning rate. Choices are generated probabilistically with greater likelihood of selecting actions that have higher $Q$ values, using the softmax choice rule:
$$p(a|s) = \frac{\exp(\beta Q(s,a))}{\Sigma_i (\exp(\beta Q(s,a_i)))}.$$
Here, $\beta$ is an inverse temperature determining the degree with which differences in $Q$-values are translated into more deterministic choice, and the sum is over the three possible actions $a_i$.
**Undirected noise.** The softmax temperature allows for stochasticity in choice, but where stochasticity is more impactful when the value of actions are similar to each other. We also allow for “slips” of action (“irreducible noise”, i.e., even when $Q$ value differences are large). Given a model’s policy $\pi = p(a|s)$, adding undirected noise consists in defining the new mixture policy:
$$\pi' = (1-\varepsilon)\pi + \varepsilon U,$$
where $U$ is the uniform random policy ($U(a) = 1/n_A$, $n_A=3$), and the parameter $0 < \varepsilon < 1$ controls the amount of noise (Collins & Koechlin 2012; Collins & Frank 2013; Guitart-Masip et al. 2012). (Nassar & Frank 2016) showed that failing to take into account this irreducible noise can render fits to be unduly influenced by rare odd datapoints (e.g. that might arise from attentional lapses), and that this problem is remedied by using a hybrid softmax-$\varepsilon$–greedy choice function as used here.
**Forgetting.** We allow for potential decay or forgetting in $Q$-values on each trial, additionally updating all $Q$-values at each trial, according to:
$$Q \leftarrow Q + \phi (Q_0 - Q),$$
where $0 < \phi < 1$ is a decay parameter pulling at each trial the estimates of values towards initial value $Q_0 = 1/n_A$. This parameter allows us to capture delay-sensitive aspects of WM, where active maintenance is increasingly likely to fail with intervening time and other stimuli, but also allows us to separately estimate any decay in RL values (which is typically substantially lower than in WM).
**Perseveration.** To allow for potential neglect of negative, as opposed to positive feedback, we estimate a perseveration parameter $pers$ such that for negative prediction errors ($\delta < 0$), the learning rate $\alpha$ is reduced by $\alpha = (1-pers) \times \alpha$. Thus, values of $pers$
near 1 indicate perseveration with complete neglect of negative feedback, whereas values near 0 indicate equal learning from negative and positive feedback.
**Working Memory.** To implement an approximation of a rapid updating but capacity-limited WM, this module assumes a learning rate $\alpha = 1$ (representing the immediate accessibility of items in active memory), but includes capacity limitation such that only at most $K$ stimuli can be remembered. At any trial, the probability of working memory contributing to the choice for a given stimulus is $w_{WM}(t) = P_t(WM)$. This value is dynamic as a function of experience (see next paragraph). As such, the overall policy is:
$$\pi = w_{WM}(t) \pi_{WM} + (1 - w_{WM}(t)) \pi_{RL}$$
where $\pi_{WM}$ is the WM softmax policy, and $\pi_{RL}$ is the RL policy. Note that this implementation assumes that information stored for each stimulus in working memory pertains to action-outcome associations. Furthermore, this implementation is an approximation of a capacity/resource-limited notion of working memory. It captures key aspects of working memory such as 1) rapid and accurate encoding of information when low amount of information is to be stored; 2) decrease in the likelihood of storing or maintaining items when more information is presented or when distractors are presented during the maintenance period; 3) decay due to forgetting. Because it is a probabilistic model of WM, it cannot capture specifically which items are stored, but it can provide the likelihood of any item being accessible during choice given the task structure and recent history (set size, delay, etc).
**Inference:** The weighting of whether to rely more on WM vs. RL is dynamically adjusted over trials within a block based on which module is more likely to predict correct outcomes. The initial probability of using WM $w_{WM}(0) = P_0(WM)$ is initialized by the *a priori* use of WM, as defined above, $w_{WM}(0) = \rho \times \min(1, K/n_S)$, where $\rho$ is a free parameter representing the participant’s overall reliance on WM over RL.
On each correct trial, $w_{WM}(t) = P_t(WM)$ is updated based on the relative likelihood that each module would have predicted the observed outcome given the selected correct action $a_c$; specifically:
- for WM, $p(\text{correct|stim, WM}) = w_{WM} \pi_{WM}(a_c) + (1-w_{WM})1/n_A$
- for RL, $p(\text{correct|stim, RL})$ this is simply $\pi_{RL}(a_c)$
The mixture weight is updated by computing the posterior using the previous trial’s prior, and the above likelihoods, such that
\[ P_{t+1}(WM) = \frac{P_t(WM) \times p(\text{correct} | \text{stim}, WM)}{P_t(WM) \times p(\text{correct} | \text{stim}, WM) + P_t(RL) \times p(\text{correct} | \text{stim}, RL)} \]
and \( P_{t+1}(RL) = 1 - P_{t+1}(WM) \).
**Models Considered.** We combined the previously described features into different learning models and conducted extensive comparisons of multiple models to determine which fit the data best (penalizing for complexity) so as to validate the use of this model in interpreting subjects’ data. For all models we considered, adding undirected noise, forgetting and perseveration features significantly improved the fit, accounting for added model complexity (see model comparisons).
This left three relevant classes of models to consider:
- **RL:** This model combines the basic delta rule RL with forgetting, perseveration and undirected noise features. It assumes a single system that is sensitive to delay and asymmetry in feedback processing. This is a 5-parameter model (learning rate \( \alpha \), softmax inverse temperature \( \beta \), undirected noise \( \varepsilon \), decay \( \phi_{RL} \), and \( pers \) parameter).
- **RL6:** This model is identical to the previous one, with the variant that learning rate can vary as a function of set-size. We have previously shown that while such a model can capture the basic differences in learning curves across set-sizes by fitting lower learning rates with higher set sizes, it provides no mechanism that would explain these effects, and still cannot capture other more nuanced effects (e.g. changes in the sensitivity to delay with experience). However it provides a benchmark to compare with RLWM. This is a 10-parameter model (6 learning rate \( \alpha_{ns} \), softmax inverse temperature \( \beta \), undirected noise \( \varepsilon \), decay \( \phi_{RL} \), and \( pers \) parameter).
- **RLWM:** This is the main model, consisting of a hybrid between RL and WM. RL and WM modules have shared softmax \( \beta \) and \( pers \) parameters, but separate decay parameters, \( \phi_{RL} \) and \( \phi_{WM} \), to capture their differential sensitivity to delay. Working memory capacity is 0<K<6, with an additional parameter for overall reliance on working memory 0<\( \rho \)<1. Undirected noise is added to the RLWM mixture policy. This is an 8-parameter model (capacity K, WM reliance \( \rho \), WM
decay $\phi_{WM}$, RL learning rate $\alpha$, RL decay $\phi_{RL}$, softmax inverse temperature $\beta$, undirected noise $\varepsilon$, and $pers$ parameter).
In the RLWM model presented here, the RL and WM modules are independent, and only compete for choice at the policy level. Given our findings showing an interaction between the two processes, we also considered variants of RLWM including mechanisms for interactions between the two processes at the learning stage. These models provided similar fit (measured by AIC) to the simpler RLWM model. We chose to use the simpler RLWM model, because the more complex model is less identifiable within this experimental design, providing less reliable parameter estimates and regressors for model-based analysis.
**RLWM fitting procedure:** We used matlab optimization under constraint function `fmincon` to fit parameters. This was iterated with 50 randomly chosen starting points, to increase likelihood of finding a global rather than local optimum. For models including the discrete capacity $K$ parameter, this fitting was performed iteratively for capacities $K = \{1,2,3,4,5\}$, using the value that gave the best fit in combination with other parameters.
Softmax $\beta$ temperature was fit with constraints $[0, 100]$. All other parameters were fit with constraints $[0, 1]$. We considered sigmoid-transforming the parameters to avoid constraints in optimization and obtain normal distributions, but while fit results were similar, distributions obtained were actually not normal. Thus, all statistical tests on parameters were non-parametric. See table 4 for fit parameter statistics.
**Other competing models:**
In order to further test whether “single system” models, as opposed to hybrid models including an RL and a WM component, could account for behavior, we tested other algorithms embodying alternative assumptions in which behavior is governed by a single learning process (either RL or WM).
- The WMd model is similar to a WM module, with the following changes. A) there is no capacity limitation. B) Instead of being fixed, the decay parameter is fixed to an initial value which then decreases toward 0 with each stimulus encounter, modeling the possibility that forgetting in WM itself might decrease with practice.
This model includes 5 parameters: $\beta$, $\varepsilon$ and $p_{\text{err}}$ as defined above, the initial value of decay $decay_0$, and $\xi$ the decay factor.
- The WMdi model adds an interference mechanism to WMd, such that the decay factor of a given stimulus additionally increases with every encounter of a different stimulus. This adds one parameter to the previous model.
- The RLi model is identical to the basic RL model, with an added interference mechanism: on each trial, the Q-value of non-observed stimuli with the chosen action is updated in the same way as the observed stimuli, but with a fraction of the learning rate $\alpha i$. This captures the possibility that credit is assigned to the wrong stimulus, modeling the possibility that WM-like effects might reflect interference within a pure RL system. This model includes 6 parameters.
**Model Comparison:** We used the Akaike Information Criterion to penalize model complexity – AIC (Burnham & Anderson 2002). Indeed, we previously showed that in the case of the RLWM model and its variants, AIC was a better approximation than Bayesian Information Criterion (BIC; Schwarz 1978) at recovering the true model from generative simulations (Collins & Frank 2012). Comparing RLWM, RL6 and RL-only showed that models RL6 and RL-only were strongly non-favored, with probability 0 over the whole group. Other single process models were also unable to capture behavior better than RLWM (Fig. 3 E).
**Model Simulation:** Model selection alone is insufficient to assess whether the best fitting model sufficiently captures the data. To test whether models capture the key features of the behavior (e.g., learning curves), we simulated each model with fit parameters for each subject, with 100 repetitions per subject then averaged to represent this subject’s contribution. In order to account for initial biases, we assume that the model’s choice at first encounter of a stimulus is identical to the subjects, while all further choices are randomly selected from the model’s learned values and policies.
**fMRI recording and preprocessing:**
Whole-brain imaging was performed on a Siemens 3T TIM Trio MRI system equipped with a 32-channel head coil. A high-resolution T1-weighted 3D multi-echo MPRAGE image was collected from each participant for anatomical visualization. Functional
images were acquired in one run of 1,920 volume acquisitions using a gradient-echo, echo planar pulse sequence (TR 2 s, TE 28 ms, flip angle 90, 40 interleaved axial slices, 192 mm field of view with 3x3x3 mm voxel size). Stimuli were presented on a BOLD screen display device (http://www.crsltd.com/tools-for-functional-imaging/mr-safe-displays/boldscreen-24-lcd-for-fmri/) located behind the scanner and made visible to the participant via an angled mirror attached to the head coil. Padding around the head was used to restrict head motion. Participants made their responses using an MRI-compatible button box.
Functional images were preprocessed in SPM8 (http://www.fil.ion.ucl.ac.uk/spm). Before preprocessing, data were inspected for artifacts and excessive variance in global signal (functions: tsdiffana, art_global, art_movie). Functional data were corrected for differences in slice acquisition timing by resampling slices to match the first slice. Next, functional data were realigned (corrected for motion) using B-spline interpolation and referenced to the mean functional image. Functional and structural images were normalized to Montreal Neurological Institute (MNI) stereotaxic space using affine regularization followed by a nonlinear transformation based on a cosine basis set, and then resampled into 2x2x2 mm voxels using trilinear interpolation. Lastly, images were spatially smoothed with an 8 mm full-width at half-maximum isotropic Gaussian kernel.
**GLMs:**
A temporal high-pass filter of 400 seconds (.0025 Hz) was applied to our functional data in order to remove noise but preserve power from low-frequency regressors. Changes in MR signal were modeled using a general linear model (GLM) approach. Our GLM included six onsets regressors, one for correct trials corresponding to each set size (1-6). Each onset was coded as a boxcar of 2 seconds in length that encompasses stimulus presentation, response, and feedback. Each onset regressor was modulated by a Prediction Error parametric regressor. We modeled Error trials, No Response trials, and instructions (1 instruction screen at the beginning of each block, 18 total and each 10 seconds in length) as separate regressors. Note that error trials across all set sizes were binned into one regressor due to the low number of error trials in low set sizes. Finally, we included nuisance regressors for the six motion parameters (x, y, z, pitch, roll, yaw) and a linear drift over the course of the run. SPM-generated regressors were created by convolving onset boxcars and parametric functions with the canonical hemodynamic response (HRF) function and the temporal derivative of the HRF. Beta
weights for each regressor were estimated in a first-level, subject-specific fixed-effects model. For group analysis, the subject-specific beta estimates were analyzed with subject treated as a random effect. At each voxel, a one-sample t-test against a contrast value of zero gave us our estimate of statistical reliability. For whole brain analysis, we corrected for multiple comparison using cluster correction, with a cluster forming threshold of $p < .001$ and an extent threshold calculated with SPM to set a family-wise error cluster level corrected threshold of $p < .05$ (127 for PE>fixation; 267 for PE*set size interaction). Note that these appropriately high cluster forming threshold ensures that parametric assumptions are valid and the rate of false positives are appropriate (Eklund et al. 2016; Flandin & Friston 2016).
**ROIs:**
Fronto-parietal network: As we did not have specific regional predictions regarding the WM component of learning, we defined broad fronto-parietal networks as ROIs that have been previously associated with a wide range of tasks involving cognitive control. Specifically, our first control network ROIs were defined by using left and right anterior dorsal premotor cortex (prePMD: 8mm sphere around -38 10 34, (Badre & D’Esposito 2007) as seeds in two separate “resting state” (task-free) seed-to-voxel correlation analyses in the CONN toolbox (https://www.nitrc.org/projects/conn/), and using the corresponding whole-brain connectivity to left and right prePMD, as our control network ROI. In order to confirm the robustness of our findings, we then ran a larger frontoparietal network ROI defined from a functionally neutral group (Yeo et al. 2011), along with a functionally defined ROI of the multiple demands network from (Fedorenko et al. 2013). All three of these frontoparietal ROIs yielded similar outcomes, thus confirming the robustness of our findings. We report here the results from the Yeo et al ROI as the widest, most neutral ROI.
The striatum ROI was defined based on univariate activity for prediction error ($p < .001$, uncorrected), masked by AAL definitions for putamen, caudate, and nucleus accumbens (Marsbar AAL structural ROIs: http://marsbar.sourceforge.net/download.html). We note that this ROI definition would be biased for assessing the effect of RPE in the striatum. However, this is not our goal as the relationship of RPE and striatum is established both in general from the prior literature, and in this study based on the corrected whole brain analysis (see Results). Rather, this ROI will be used to test the effects of set size and the interaction of set size with RPE, within regions maximally sensitive to RPE. As the
set size variable is uncorrelated with that of RPE, this ROI definition does not bias either of these analyses.
For each ROI, a mean time course was extracted using the MarsBar toolbox (http://marsbar.sourceforge.net/). The GLM design was estimated against this mean time series, yielding parameter estimates (beta weights) for the entire ROI for each regressor in the design matrix.
**Whole brain Contrasts:** We focus on two main contrasts: 1) positive effect of RPE; 2) positive interaction of RPE and set size, to determine whether WM processes influence RPE signaling and whether such interactions relate to behavior. The first contrast is defined by considering the sum of the beta weights across all set sizes: $\Sigma_{i=1:6} \beta_{\text{RPE}(i)}$; we test whether this contrast value is significantly positive. The second contrast takes the linear contrast of the beta weights across set sizes by the set size: $\Sigma_{i=1:6} (i-3.5)^* \beta_{\text{RPE}(i)}$; testing whether this contrast is positive signals a linear increase of RPE with set size. We also tested the opposite contrasts, as well as the linear effect of set size $\Sigma_{i=1:6} (i-3.5)^* \beta_i$
**Interaction between set-size and RPE:** To investigate individual differences in the interaction between set size and RPE, we assessed ROI markers of this interaction. We computed this in one of three ways, each reflecting different assumptions: (A) a linear contrast of set-size on RPE regression weight; (B) a contrast of high set size (4-6) vs. low set size (1-3) on RPE regression weights (in case of a step function for e.g. above vs. below capacity sets), and (C) Spearman rho of RPE weights across set-sizes, which does not require linearity and is less susceptible to outliers than linear regression. Despite slightly different assumptions, all three measures are highly correlated (all rhos>0.8, p<10^-4) and yielded qualitatively similar results. Because we observe that results neither show linear changes across set sizes, nor a step function, we report results using the measure defined as option C.
Results:
Behavior:
Behavioral results replicate our previous findings (Collins & Frank 2012; Collins et al. 2014; Figure 2). Learning curves showed strong differences as a function of set size, despite the same number of encounters for each stimulus. Logistic regression analysis of subjects’ choices (Fig. 2B) showed main effects of reward history, delay, and load, indicating that subjects were more likely to select the correct action with more previous correct experience for a given stimulus ($t(25)=6.8$, $p<10^{-4}$), and less likely to be correct with increasing set size ($t(25)=-3.4$, $p=.002$) and increasing delay (intervening trials since their last correct choice on this stimulus) ($t(25)=-3.2$, $p=.004$). There were also interactions between all pairs of factors, such that the delay effect was stronger in high load ($t(25)=-4.4$, $p=.0002$, Fig. 2C), and the effects of load and delay both decreased with more correct reward history ($ts>2.1$, $ps<.05$, Fig. 2D). The latter interaction is expected given the RLWM model’s prediction that behavior transitions from WM (which is more sensitive to delay and load) to RL as a function of learned reliability.
Model fitting:
Model fitting also confirmed our previous findings, showing that a computational model including two modules (RL and WM) explained subjects’ behavior better than variants of a model assuming a single RL or WM process. Specifically, RLWM provided a significantly better AIC than RL6 ($t(25)=3.9$, $p=0.001$) and RL ($t(25)=-6.6$, $p<10^{-4}$), and individual AICs favored RLWM for a significant number of subjects (21/26 for RL6, sign test $p=0.002$; 23/26 for RL, $p<10^{-4}$). Model simulations show that a simple RL model cannot capture the behavior as well as RLWM or RL6, but note that RL6 needs too many parameters to appropriately capture behavior. Pure working memory models assuming changes in decay with experience, or interference, also cannot capture behavior as well as our hybrid RLWM model (Fig. 3E)
Imaging results:
Whole brain analysis showed increasing activity with set size in bilateral precuneus and decreasing activity in a network including bilateral superior frontal gyrus, bilateral angular
gyrus and bilateral supramarginal gyrus (table 3), confirming that the set size manipulation is effective at differentially engaging large brain networks.
Whole brain analysis showed a distributed network that positively correlated with the parametric reward prediction errors (RPE) regressor. We verified RPE-related activation in the right caudate nucleus and thalamus (See table 1 for full results, figure 4B), as expected from the literature. Notably, the RPE network also includes regions of bilateral prefrontal and parietal cortex commonly observed in cognitive control tasks.
We next tested whether the RPE signal was homogeneous across set sizes in striatum, as implicitly expected if striatal RL is independent of WM. To the contrary, we found a significant positive interaction of set size with RPE ($t(20)=2.4$, $p=0.026$; figure 5B) in the striatal ROI (see Methods). Note that this interaction reflects a stronger effect of RPE on the striatal BOLD signal at higher set-sizes (i.e., under more cognitive load). This finding supports the hypothesis that WM interacts with RL, showing blunted RL signals in low set sizes (i.e., within the capacity of WM).
Next, we investigated whether other brain regions showed the same modulation of RPE signaling by WM load. Whole brain analysis showed a positive linear interaction of set size with RPE in left lateral prefrontal cortex and parietal cortex (MNI coordinates -38, 20, 28; table 2). Further investigation within an independent fronto-parietal network ROI (Yeo et al. 2011) showed both a strong main effect of prediction error ($t(20)=6.9, p<10^{-4}$) and a significant interaction of set-size with RPE in the fronto-parietal ROI ($t(20)=2.3, p=0.03$), a pattern similar to the striatum ROI. Again, RPE signaling was larger with more WM load, possibly reflective of a common neuromodulatory signal in striatum and cortex influenced by cognitive demands.
**Link to behavior:**
We hypothesized that the weaker RPE signals observed in low set-sizes might reflect an interaction between WM and RL systems. Specifically, this may reflect the greater use of WM, instead of RL, at low set sizes. This strategy could be because low set sizes do not require RPE signaling: the most recent stimulus-action-outcome can be accessed from memory. Thus, we predicted that those subjects relying more on WM would exhibit a stronger neural interaction effect (i.e., they would show less homogeneity in their RPE
signals across set-sizes). To index WM contributions to choice, we use the computational model-inferred weight of the WM module, averaged over all trials. Indeed, we found that greater WM contributions to choices was significantly related to the set-size effect on RPE signaling, both in striatum (rho=0.55, p=.01), and the fronto-parietal ROI (rho=0.49; p=0.02; figure 6 left). Moreover, subjects who continued to rely on WM with experience (i.e., exhibiting less transition to RL) also showed greater set-size effects on RPE signaling in FP (rho=-0.46, p=0.03) and marginally, in striatum (rho=-0.41; p=0.06; figure 6 middle). This may be due to the fact that for participants with higher overall reliance on WM, the WM module is more reliable, and thus WM use decreases less over learning. Indeed, the two indexes were negatively correlated (rho=-0.69, p<10-3). The results were partly accounted for by differences in model fit capacity parameter: subjects with higher capacity showed significantly stronger nsxRPE interaction in FP (rho=0.46, p=0.03), and marginally so in striatum (rho=.41, p=0.06;). Finally, we confirmed this effect was independent of the fit of the RLWM model by using the logistic regression, and specifically the effect of set-size on accuracy (note that this measure was, as expected, related to the one obtained by the computational model: Spearman rho=-.42, p=0.05). Indeed, the effect of set-size on accuracy was marginally related to the set-size by RPE interaction in striatum (rho=-0.4,p=0.06, figure 6 right) and FP (rho=-0.41,p=0.06). Again, neural interactions were stronger for those subjects exhibiting a stronger negative effect of set-size on behavior.
**Discussion:**
We combined computational modeling and fMRI to investigate the contributions of two distinct processes to human learning: reinforcement learning and working memory. We replicated our previous results (Collins & Frank 2012; Collins et al. 2014) showing that these jointly play a role in decisions: computational models assuming a single learning process (either WM or RL) could not capture behavior adequately. We also replicated the widespread observation that the striatum and lateral prefrontal cortex are sensitive to reward prediction errors, a marker of RL. We made the novel observation that RL and WM are not independent processes, with the most commonly studied RL signal blunted under low WM load. Further, we found that the degree of interaction was related to individual differences in subjects' use of WM: the more robustly subjects used WM for learning, the more they showed WM effects on RL signals.
The process of model-free reinforcement learning, as both a class of machine learning algorithms and as the neural network function implemented via dopamine-dependent plasticity in cortico-basal ganglia networks, is characterized by integration of rewards over time to estimate the value of different options, and a value dependent policy. Our behavioral results replicate our previous work showing that even in simple instrumental learning, we cannot account for human learning based only on the integrated history of reward. Instead, the influences of load and delay/intervening trials show that working memory also contributes to learning. That this influence decreases with experience supports a model where RL and WM modules are dynamically weighted according to their success in predicting observed outcomes.
We used computational modeling to disentangle the contributions of RL and WM to learning and to assess neural indicators of their interactions. We extracted the reward prediction error signal from the RL module, and confirmed in a model-based whole brain fMRI analysis that striatum was sensitive to prediction errors, as established from a large literature (Pessiglione et al. 2006; Schönberg et al. 2007), as was a large bilateral fronto-parietal region (Daw et al. 2011). However, we found in both regions that sensitivity to RPE was modulated by set size, the number of items that subjects learned about in a given block. Specifically, the RPE signal was weaker in lower set sizes, in which subjects’ learning was closest to optimal, and thus likely to mostly use WM. Thus, as noted in our earlier studies (Collins & Frank 2012; Collins et al. 2014), WM contributions to learning can confound measures typically attributed to RL. While the previous findings were limited to behavioral, genetic and computational model parameters, here we report for the first time that even neural RPE signals are influenced by WM. These results also imply that in other studies that do not manipulate WM load during learning, the contribution of WM to learning may yield inflated or blunted estimates of the pure RL process.
We further found that individual differences in the degree to which set-size modulated RPE signals correlated with the degree to which subjects relied on WM in their behavioral learning curves. Specifically, subjects with more robust use of WM showed more reliably blunted RPE signals in lower set sizes, supporting the interpretation that WM use induces weaker RPEs in the RL system. Further supporting this interpretation,
we observed that subjects who continued to use WM with learning (i.e., showing less transition to RL) exhibited larger effects of set-size on RPE signaling.
One might expect to observe more reliable indicators of neural computations with easier tasks; our findings show the opposite. These results thus strongly hint at a mechanism by which WM and RL interact beyond the competition for control of action (Poldrack et al. 2001), and specifically at a mechanism by which WM interferes with RL computations. How might this interference occur? One possibility is that the two processes compete not only for guiding action, but also more generally, for example based on their reliability in a given environment. Such interference would mean that in conditions in which WM performs better than RL (e.g. early in learning for low set sizes), WM inhibits the whole RL mechanism and thus weakens its characteristic neural signals, such as RPEs. Another possible explanation for the observed interference is cooperative interaction, where WM modifies the reward expectations in the RL system. This would lead – when WM was working well – to higher expectations than would be computed by pure RL, and thus to weaker RPEs. Future research will need to distinguish these possibilities. There may be other interpretations of the change in RPE signaling with set size, besides our interpretation as an interaction between the RL and WM processes. However, given that behavioral fits strongly implicate separate WM and RL processes in learning (see above and previous studies), and that WM is sensitive to load in other paradigms with similar profiles, this remains the most parsimonious explanation. Note that this interaction also makes other behavioral predictions suggesting that reinforcement value learning is actually enhanced under high WM load; we have recently confirmed this prediction using a novel task building on this line of work (Collins et al., submitted).
Our results are related to recent work on sequential decision making and learning that highlighted the role of a model-free module (similar to our RL model), and of a model-based module, responsible for representing stimulus-action-outcome transitions and using them to plan decisions (Doll et al. 2015). This latter module has been linked to cognitive control and is weakened under load (Otto et al. 2013), suggesting that it may require WM. Moreover, both WM use in the current task and model-based processing in the sequential task are related to the same genetic variant associated with prefrontal catecholaminergic function (Collins & Frank 2012; Doll et al. 2016). Notably, (Daw et al.
showed that RPEs in the striatum were modulated by model-based values, a result that may support our collaborative hypothesis. However, we demonstrate such interaction even in paradigms that are traditionally thought to involve purely “model-free” RL. As there is no sequential dependence between trials, learning in our paradigm does not require learning a transition model or planning. Indeed, we could adequately capture learning curves for individual set-sizes using a purely model-free RL model (Collins & Frank 2012; Collins et al. 2014), with decreasing learning rates across set sizes, but this model has more parameters than RLWM and cannot capture the nuanced effects of e.g., delay and set-size interactions. Thus, our results show that learning in very simple environments that appear to require purely model-free learning still recruits executive functions, with working memory contributing to learning and interfering with the putative dopaminergic RL process. Our results show a similar pattern of RPE activations for subcortical and lateral prefrontal cortex areas, a common finding in published studies (e.g. Badre & Frank 2012; Frank & Badre 2012), possibly reflecting a common dopaminergic input to both regions (Bjorklund & Dunnett 2007).
We investigated the role of working memory using set-size as a proxy. However, this leaves open some questions and may limit some of our interpretations. In particular, set-size affects the overall load of working memory, but is also predictive of higher delays between repetitions of the same stimulus. While our analyses tease apart load from delay, the delay itself comprises both a temporal component (number of seconds over which working memory could decay passively), and a discrete component (number of intervening trials that may interfere with working memory). Our paradigm did not manipulate those two factors to make them maximally decorrelated, and cannot distinguish their relative contributions to the effect of delay on behavior. Furthermore, by focusing on set size as the marker of WM, we cannot distinguish between a “tonic”, or slowly tuned interference of WM in RL computation, vs. a more “phasic”, trial-by-trial adjustment of their role and interaction between them. A target for future research is increasing the experimental paradigm’s capacity to carefully disentangle delay from load, allowing us to better understand the dynamics of interactions between RL and WM.
We focused on WM as an alternative learning mechanism from RL, with an *a priori* interest in regions of the cognitive control network in lateral frontal and parietal cortices. However, regions involved in long-term memory (LTM), such as medial temporal lobe
(MTL) and hippocampus, could also play an important role: rote memorization of explicit rules is in the prime domain of LTM, others have shown trade-offs for learning between LTM and striatal based learning (Poldrack et al. 2001), and WM itself is often difficult to distinguish from LTM (Ranganath & Blumenfeld 2005; D’Esposito & Postle 2015). Our results are consistent with LTM having a role in learning: indeed, we observe a negative correlation between RPE and activation in a network of regions including MTL (table 2), indicating higher activation early in learning (Poldrack et al. 2001). However, computational modeling shows that the second learning component we extract is capacity limited, supporting our interpretation of this component as mainly WM. Nevertheless, future research is needed to more carefully dissociate the role of WM from LTM in reinforcement learning.
Learning is a key factor in humans improving their abilities, skills, and fitting to our quickly changing environments. Understanding what distinct cognitive and neurological components contribute to learning is thus essential, in particular to study differences in learning across individuals. Many neurological and psychiatric disorders include learning impairments (Huys et al. 2016). To precisely understand how learning is affected by these conditions, we must be able to reliably extract separable cognitive factors, understand how these factors interact, and link them to their underlying neural mechanisms. Our results provide a first step toward clarifying how we trade off working memory and integrative value learning to make decisions in simple learning environments, and how these processes may interfere with each other.
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Figure Legends
**Figure 1: Experimental Protocol.** At the beginning of each block, subjects were shown for 10 s the set of stimuli they would see in that block. In this example, Block 1 uses color patches for stimuli and has a set size $n_s = 2$; Block n uses shapes and has $n_s = 6$. Each trial included the presentation of a stimulus for 0.5s followed by a blue fixation cross until subject pressed one of three buttons, or up to 1.5s after trial onset. Button press caused the fixation cross to turn white. Feedback was presented for 1s, and came 1.5s after trial onset. Feedback consisted of the words correct or incorrect in green and red, respectively. The inter-trial interval consisted of a white fixation cross with jittered duration to allow trial by trial event-related analysis of fMRI signal. Blocks set sizes varied between 1 and 6, and the order was randomized across subjects.
**Figure 2: Behavioral Results.** A) Proportion of correct choices as a function of how many times a specific stimulus was encountered (i.e., learning curves), for each set size. B) Logistic regression on factors that contribute to accuracy for a given image, including set size (NS), delay since last previous correct choice for a given image (D), PCor (number of previous correct choices for that image), and their interactions. C) Illustration of the interaction between delay and set size. D) Illustration of the interaction between set size and PCor – early indicates PCor<4, late indicate PCor>6. Error bars indicate standard error of the mean.
**Figure 3: Model Validation.** A-C) Proportion of correct responses as a function of how many times a specific stimulus was encountered, for each set size, for simulation of different models with individually fit parameters. Models were simulated a 100 times per subject then averaged within subjects to represent this subject’s contribution. Error bars indicate standard error of the mean across subjects. A) simple RL model including decay and different sensitivity to gains/losses. B) Identical model to A, with learning rate varying per set size. C) Model incorporating both RL and WM. D) Model comparisons show a significantly lower AIC for RLWM than RL6 or RL, for a significant number of subjects. Each cross indicates a single subject. E) Model comparison to other potential models show best fit for RLWM (see methods for other model names).
**Figure 4: Whole brain effects of RPE and RPExns.** A-B) Regions positively correlated with RPE ($p < .05$ cluster corrected). C) Regions showing a positive interaction of RPE with set size.
Figure 5: Striatum and Fronto-parietal ROIs show increased RPE effects in higher set sizes. Average beta coefficient for RPE regressor per set size for A) Striatal ROI and B) Fronto-parietal Network ROI defined by Yeo et al. Error bars indicate standard error of the mean.
Figure 6: Effect of set size on RPE in the fMRI signal is related to individual differences in behavior: Effect of set size on RPE in the fMRI signal is related to individual differences in behavior. Left: average model-inferred mixture weight assigned to working memory over RL (“Model mean WM weight”) is significantly related to a stronger effect of set size in fronto-parietal ROI ($r = 0.49$, $p=0.02$) and in the striatum ($r = 0.55$, $p=0.01$). Middle: decrease in working memory weight from early (first 3 iterations) to late in a learning block (last 3 iterations) is significantly related to fMRI effect in FP ROI ($r = -0.46$, $p=0.03$), and marginally so in striatum ($r = -0.41$, $p=0.06$). Right: the behavioral set-size effect is measured as the logistic regression weight of the set-size predictor; stronger behavioral effect is marginally related to a stronger neural effect in FP ROI ($r = -0.41$, $p=0.059$) and in striatum ROI ($r = 0.4$, $p=0.063$).
fMRI activations from Prediction Error contrasts
Table 1: Main effect of RPE
All clusters reliable at $p < .05$ corrected. Coordinates are the center of mass in MNI.
A) Contrast: Main Effect of RPE > Fixation
| Region | BA | Extent (voxels) | x | y | z | Peak t-val |
|---------------------------------------|------|-----------------|------|------|------|------------|
| Right Angular Gyrus | 7 | 3202 | 34 | -60 | 42 | 10.83 |
| | 40 | | 46 | -52 | 44 | 9.2 |
| Right Inferior Parietal Gyrus | 40 | | 42 | -42 | 40 | 10.21 |
| Left Superior Parietal Gyrus | 7 | 3317 | -30 | -54 | 44 | 10.43 |
| Left Angular Gyrus | 40 | | -46 | -48 | 56 | 10.32 |
| Left Inferior Parietal Gyrus | 40 | | -42 | -42 | 42 | 9.45 |
| Right Superior Frontal Sulcus | 6 | 12409 | 20 | 2 | 62 | 9.64 |
| Right Middle Frontal Gyrus | 46 | | 38 | 36 | 30 | 8.84 |
| Left Superior Frontal Gyrus | 6 | | -24 | -6 | 62 | 8.15 |
| Left Middle Frontal Gyrus | 11 | 1686 | -30 | 56 | 4 | 7.78 |
| Left Lateral Orbital Gyrus | 46 | | -40 | 56 | -2 | 6.96 |
| Left Anterior Orbital Gyrus | 11 | | -24 | 44 | -14 | 6.42 |
| Right Putamen | | 955 | 28 | 22 | 0 | 6.99 |
| Right Thalamus | | | 12 | -10 | 10 | 5.15 |
| Right Pallidum | | | 12 | 0 | 6 | 4.36 |
| Right Precuneus | 7 | 731 | 6 | -64 | 40 | 6.32 |
| | 7 | | 8 | -66 | 58 | 5.21 |
B) Contrast: Main Effect of RPE < Fixation
| Region | BA | Extent (voxels) | x | y | z | Peak t-val |
|---------------------------------------|------|-----------------|------|------|------|------------|
| Right Superior Occipital Gyrus | 18 | 9715 | 16 | -92 | 24 | 10.22 |
| Left Superior Occipital Gyrus | 18 | | -16 | -96 | 18 | 8.73 |
| Right Inferior Lingual Gyrus | 30 | | -10 | -48 | -6 | 8.9 |
| Left Cingulate Gyrus (subgenual) | 11 | 2264 | -4 | 28 | -12 | 8.52 |
| | 25 | | -2 | 18 | -8 | 7.34 |
| Region | BA | Extent (voxels) | x | y | z | Peak t-val |
|--------------------------------------|-----|-----------------|-----|-----|-----|------------|
| Left Superior Frontal Gyrus | 10 | | -8 | 58 | 2 | 7.24 |
| Left Middle Temporal Gyrus | 20 | 2543 | -56 | -8 | -18 | 6.69 |
| Left Supramarginal Gyrus | 48 | | -36 | -36 | 22 | 6.26 |
| Left Superior Temporal Gyrus | 38 | | -34 | 8 | -20 | 6.24 |
| Right Precentral Sulcus | 4 | 1248 | 26 | -30 | 66 | 6.21 |
| Right Postcentral Gyrus | 4 | | 36 | -26 | 72 | 6.13 |
| Right Precentral Gyrus | 4 | | 52 | -12 | 58 | 5.62 |
| Right Superior Temporal Gyrus | 38 | 336 | 30 | 10 | -28 | 6.08 |
| Right Middle Temporal Gyrus | 21 | | 50 | 2 | -26 | 5.56 |
| | | | 58 | 0 | -24 | 4.76 |
| Right Cingulate Gyrus | 23 | 516 | 6 | -20 | 44 | 5.64 |
| Right Superior Frontal Gyrus | 6 | | 12 | -18 | 62 | 5.03 |
| Right Cingulate Sulcus | 4 | | 10 | -16 | 54 | 4.56 |
| Right Superior Temporal Gyrus | 48 | 935 | 54 | -4 | 4 | 5.6 |
| Right Lateral Fissure | 48 | | 50 | 4 | -6 | 5.11 |
| Right Lateral Fissure/Insular Gyrus | 48 | | 40 | -14 | 20 | 5.04 |
**Table 2: set-size * RPE interaction**
**Contrast: RPE Parametric Increasing With Set Size**
| Region | BA | Extent (voxels) | x | y | z | Peak t-val |
|--------------------------------------|-----|-----------------|-----|-----|-----|------------|
| Left Superior Precentral Sulcus | 44 | 725 | -46 | 10 | 36 | 5.69 |
| Left Inferior Frontal Sulcus | 48 | | -38 | 20 | 28 | 5.16 |
| Left Middle Frontal Gyrus | 6 | | -32 | 2 | 38 | 4.57 |
| Right Superior Frontal Gyrus | 6 | 689 | 18 | 4 | 54 | 5.42 |
| | 32 | | 6 | 22 | 46 | 4.3 |
| Left Superior Frontal Gyrus | 6 | | -6 | 10 | 50 | 4.08 |
| Left Intraparietal Sulcus | 7 | 463 | -26 | -66 | 44 | 5.28 |
| | 7 | | -30 | -58 | 46 | 5.24 |
| | 19 | | -26 | -68 | 34 | 4.59 |
Table 3: Main effect of set size
A) Contrast: Set Size Parametric Increasing
| Region | BA | Extent (voxels) | x | y | z | Peak t-val |
|-------------------------|------|-----------------|------|------|------|------------|
| Left Precuneus | 7 | 1948 | -6 | -72 | 44 | 6.98 |
| Left Angular Gyrus | 40 | | -32 | -50 | 36 | 6.4 |
| Right Precuneus | 7 | | 12 | -70 | 44 | 5.22 |
B) Contrast: Set Size Parametric Decreasing
| Region | BA | Extent (voxels) | x | y | z | Peak t-val |
|---------------------------------|------|-----------------|------|------|------|------------|
| Right Superior Frontal Gyrus | 9 | 1344 | 14 | 58 | 34 | 6.64 |
| Left Superior Frontal Gyrus | 9 | | -12 | 46 | 42 | 4.69 |
| | 10 | | -4 | 58 | 28 | 4.5 |
| Left Supramarginal Gyrus | 40 | 447 | -64 | -44 | 34 | 6.31 |
| Left Angular Gyrus | 39 | | -52 | -70 | 28 | 5.83 |
| | 40 | | -60 | -52 | 40 | 4.52 |
| Right Angular Gyrus | 40 | 255 | 58 | -52 | 44 | 5.41 |
| | 22 | | 62 | -54 | 28 | 4.41 |
| Right Supramarginal Gyrus | 40 | | 64 | -46 | 36 | 5.19 |
| Right Superior Frontal Gyrus | 8 | 239 | 14 | 20 | 62 | 5.15 |
| | 9 | | 10 | 38 | 52 | 4.42 |
| Left Superior Frontal Sulcus | 8 | 255 | -24 | 22 | 58 | 4.9 |
| Left Middle Frontal Gyrus | 46 | | -24 | 18 | 40 | 4 |
| | K | $\alpha$ | $\phi_{WM}$ | $\rho$ | $\phi_{RL}$ | $\varepsilon$ | pers |
|-------|-------|----------|-------------|---------|-------------|---------------|--------|
| Mean | 4.08 | 0.07 | 0.29 | 0.86 | 0.05 | 0.03 | 0.34 |
| (std) | (0.98)| (0.13) | (0.31) | (0.18) | (0.05) | (0.03) | (0.31) |
| Median| 4 | 0.03 | 0.18 | 0.94 | 0.05 | 0.03 | 0.25 |
| Min - max | 2-5 | 0.01-0.5 | 0-1 | 0.42-1 | 0-0.21 | 0-0.14 | 0.02-1 |
| | K | $\alpha$ | $\phi_{WM}$ | $\rho$ | $\phi_{RL}$ | $\varepsilon$ | pers |
|-------|-------|----------|-------------|---------|-------------|---------------|--------|
| $\alpha$ | ns | | | | | | |
| $\phi_{WM}$ | ns | | 0.77 | | | | |
| $\rho$ | ns | | -0.65 | -0.77 | | | |
| $\phi_{RL}$ | ns | | 0.83 | 0.69 | -0.62 | | |
| $\varepsilon$ | ns | | ns | ns | ns | ns | |
| pers | ns | | ns | ns | ns | ns | ns |
Table 4) RLWM model fit parameters. A) Parameter statistics B) Correlation between parameters. ns indicates non-significant correlation (p<.05, corrected for multiple comparisons).
10s
Block 1
10s
Block n
Block 18
t
t+0.5s
t+rt
t+1.5s
t+2s
~ t+ 3.5s [2.5-7.5s]
Correct
+
A) Proportion correct vs Iterations per stim
B) Logistic regression weight
C) %correct vs delay
D) %correct vs set size
Figure 1: Model fits and individual best models
A) Model RL
B) Model RL-6
C) Model RLWM
D) RLWM vs. RL6
E) Model fits
Individual Best models
Number of subjects
RLWM
RL
RL6
WMd
WMsi
RLi
A) RPE > Fixation
B)
C) RPE x ns > 0
A) Striatum
B) Fronto-Parietal Network
βPE vs set size
Model mean WM weights
early - late WM weight
behavioral ss effect
Str SS*PE effect
Str PE*SS effect
Str PE x SS interaction
FP SS*PE effect
FP PE*SS effect
FP PE x SS interaction |
Electrophoretic transfer of DNA, RNA and protein onto diazobenzyloxymethyl (DBM) - paper
Edmund J. Stellwag and Albert E. Dahlberg*
Department of Physiological Chemistry, University of Wisconsin, Madison, WI 53706, USA
Received 11 October 1979
ABSTRACT
A method has been developed for the electrophoretic transfer of DNA, RNA, protein and ribonucleoprotein particles from a variety of gels onto diazobenzyloxymethyl (DBM)-paper. Conditions for the electrophoretic transfer of these macromolecules have been optimized to allow for nearly quantitative transfer and covalent coupling. DNA and RNA electrophoretically transferred to DBM-paper retain their ability to hybridize with specific probes. The high efficiency of transfer and the high capacity of DBM-paper for nucleic acids makes possible the sensitive detection of specific nucleotide sequences. Similar efficiency is achieved in electrophoretic transfer and covalent coupling of proteins to DBM-paper. Macromolecules can also be electrophoretically transferred and bound to DBM-paper incapable of covalent bond formation. Their elution from the paper in high salt provides a new and useful preparative method for isolation of DNA, RNA and protein.
INTRODUCTION
The covalent coupling to diazobenzyloxymethyl (DBM)-paper of discrete species of DNA and RNA, separated by gel electrophoresis, and subsequent hybridization with specific radioactive probes is emerging as a significant advance in the analysis and purification of gene sequences (1-4). Use of DBM-paper avoids difficulties associated with nitrocellulose such as loss of DNA during post-hybridization washes and poor binding of fragments smaller than 0.3 to 0.5 Kb. In addition, DBM-paper has analytical possibilities not offered by nitrocellulose because of its ability to couple covalently with RNA and protein (2, 5).
However, the usefulness of DBM-paper has been limited by the lability of reactive diazonium groups responsible for covalent coupling to macromolecules (2, 5). Transferring DNA, RNA and protein from agarose or acrylamide gels to DBM-paper via blotting procedures has resulted in poor transfer and relatively low covalent coupling efficiencies (3,6). Only a recent report utilizing in situ DNA cleavage has provided rapid and efficient transfer of DNA molecules (4). Other techniques intended to give faster blotting from gels to DBM-paper have, in our hands, been slow and resulted in losses or chemical alteration of the macromolecules being transferred.
We now describe an electrophoretic transfer procedure which avoids the limitations imposed by blotting techniques. The electrophoretic transfer procedure allows efficient and rapid transfer of intact DNA, RNA, protein and ribonucleoprotein particles from a variety of gels to DBM-paper without any special treatment of the gel or the macromolecules to be transferred.
MATERIALS AND METHODS
Preparation of DBM-paper
Nitrobenzyloxymethylpyridinium chloride (NBPC) was synthesized according to the procedure described by Alwine et al. (2) with helpful assistance of Robert Metzenberg. DBM-paper was also prepared as described by Alwine et al. (2).
Preparation of RNA and polyribosomes
Wild type Neurospora crassa (strain 74-OR8-1a) was grown in 20ml of Fries medium (7) containing 1.0 mM potassium phosphate and 1 mCi of $^{32}$PO$_4$ (New England Nuclear Corp.). Whole cell RNA was isolated from mid-log phase cultures by homogenizing mycelial pads in 1.8ml of ice cold 1% tri-iso-propyl naphthalene sulfonic acid, 6% p-aminosalicylic acid, and 25 mM ethyleneglycol-bis-(β-amino-ethyl ether)-N,N'tetraacetic acid (EGTA) in 50mM Tris-HCl pH 8.1. (Personal communication, R.L.Metzenberg). This step reduced considerably the nuclease digestion of RNA. Two ml of phenol-chloroform-isoamyl alcohol (50:48:2, v/v) were then added to the homogenate and the mixture was shaken vigorously for 1 min. After centrifugation at 8,000xg for 10 min at 4°C the aqueous phase was extracted twice with an equal volume of phenol-chloroform-isoamyl alcohol, and precipitated in ethanol. Bacterial RNA was labeled for 15 min at 30°C with $^{32}$PO$_4$ in a low phosphate L broth (8) using E.coli strains MRE600 and AB105 (9). Cells were lysed and RNA extracted in SDS and phenol (10). Polyribosomes were prepared from cell lysates (10) and the RNA in these particles
was labeled in vitro with cytidine 3',5' diphosphate (5'-32P) using T4 RNA ligase (11) generously supplied by S.Rose and O.Uhlenbeck.
Gel electrophoresis of RNA and polyribosomes and transfer to DBM-paper
Electrophoresis of RNA was carried out on 3mm thick verticle slab gels (E-C Apparatus Corp., St.Petersburg, Fl.) containing 2.5% acrylamide,0.5% agarose in Tris/EDTA/borate, pH 8.3 buffer at 200V,0°C for times as indicated in text (12,13). Bacterial polyribosomes were electrophoretically separated in composite gels as described (14). Two-dimensional gel electrophoretic separation of tRNAs was as reported (15). RNA species separated on composite gels were prepared for electrophoretic transfer by incubating the gel in 2 ml of 50 mM sodium phosphate, pH 5.5 per cm² of gel for 45-60 min at 4°C. Gels containing RNA species larger than 30S were incubated in 3 ml of 25 mM sodium phosphate, pH 5.5 per cm² of gel for 90 min before transfer. RNA was electrophoretically transferred from gels to freshly prepared DBM-paper in 2-4 liters of phosphate buffer, as above, at 5-10V/cm for 1 to 6 hours at 4°C. Polyribosomes were transferred as described in the text. A schematic diagram of the apparatus used for electrophoretic transfer is shown in Figure 1.
Preparation of DNA
pMF2 DNA (16) was amplified in the presence of chloramphenicol (17) and purified from bacterial lysates by cesium chloride-ethidium bromide buoyant density gradient centrifugation (18).
Gel electrophoresis of DNA and transfer to DBM-paper
Electrophoresis of plasmid DNA restriction fragments was carried out on horizontal slab gels (17x17 cm) containing 0.7 to 1.0% agarose (Seakem LE agarose, Marine Colloids, Inc.) essentially as described by Sharp et al.(19). After electrophoresis portions of the gel were stained with ethidium bromide (0.3µg/ml) for 30 min and then destained in distilled water for 1 hour at 20°C. Before transfer to DBM-paper the DNA in agarose gels was denatured by incubation in 1 ml of 0.5N NaOH per cm² of gel for 20-30 min at 20°C. The NaOH was decanted and the gel rinsed with distilled water, and then incubated successively in 500, 50 and finally 25 mM sodium
Figure 1. Schematic diagram of apparatus for electrophoretically transferring macromolecules from slab gels to DBM-paper. The apparatus consists of a 23x15 cm electrophoretic destainer (E-C Apparatus Corp.) with a porous stainless steel cathode plate (6) and platinum wire anode (5) woven in plastic screen, held by a plexiglas frame and separated by a distance of 2 cm. The gel to be transferred (1) is placed directly on freshly prepared DBM-paper (2) and then wrapped in Whatman 3MM paper (3) presoaked in electrophoresis buffer, care being taken to avoid trapping air bubbles between the gel and paper. The wrapped gel is then placed on a cushion of overlapping nylon screen (4) (Sears) positioned between the anode and the cathode of the destaining apparatus so as to prevent slippage of the gel during electrophoresis. The anode and cathode plates of the destainer, containing the wrapped gel and nylon screen, fit into a plexiglas destainer box (7) (E-C Apparatus Corp.) (17x24x19 cm) containing sufficient buffer to completely submerge the gel. Current is applied and buffer is circulated from cathode to anode at a rate of 100-200 ml per minute.
phosphate (pH 5.5) for 15, 15 and 30 min respectively at 4°C in a volume of 1 ml/cm² of gel. If denaturation was not desired the NaOH and the first sodium phosphate incubation were omitted. DNA was electrophoretically transferred to freshly prepared DBM-paper in 2-4 liters of 25 mM sodium phosphate (pH 5.5) at 10V/cm for 4-6 hrs, 4°C.
Hybridization of RNA to DBM-paper carrying DNA
Before hybridization, the DBM-paper carrying DNA was incubated for 4 hours at 37°C in 50 µl per cm² of 2×SSC, 0.1% SDS and 1% glycine in a Sears "Seal-N-Save" bag. The preincubation mixture was discarded and replaced by 50 µl per cm² of 2-6×SSC, 0.1% SDS containing 1-10×10³ cpm 32P-labeled RNA probe per track. Hybridizations were carried out for 16-24 hours at 65°C, after which the paper was washed (37°C) with gentle rocking in 4 changes of hybridization buffer for a total of 90-120 min. The paper was then blotted dry, covered with Saran Wrap and 32P was detected by autoradiography on Kodak XR-5 X-ray film for 4-24 hours at -70°C using a Dupont Cronex Quanta III intensifying screen.
Hybridization of DNA to DBM-paper carrying RNA
Before hybridization DBM-paper carrying RNA was incubated for
several hours at 20°C or at 4°C to allow maximum covalent bond formation. Pretreatment and hybridization of DBM-paper was as described by Alwine et al.(5). The probe was pMF2 DNA labeled to a specific activity of $1-3 \times 10^6$ cpm/μg by nick translation(20) or, in one experiment, with terminal deoxynucleotidyl transferase (21).
**Preparation, electrophoresis and transfer of protein to DBM-paper**
Ribosomal proteins labeled with ($^{14}$C)-leucine and separated on one-dimensional polyacrylamide gels according to Leboy et al.(22) were electrophoretically transferred at 10V/cm for 2 hrs, 4°C, directly onto DBM-paper with 50 mM sodium phosphate, pH 5.5 as the transfer buffer. The DBM-paper carrying proteins was dried, placed directly on Kodak XR-5 film and autoradiographed as above. A similar transfer was made of ribosomal proteins electrophoretically separated in a two dimensional gel system (23) containing 6M urea (kindly supplied by Donald Winkelmann). Urea should be removed from the gel by soaking prior to transfer to avoid swelling of the gel and streaking of the pattern during transfer. Proteins separated in a Tris-glycine-SDS gel system (24) were also electrophoretically transferred to DBM-paper with helpful assistance of Joanna Beachy and Diane Goldman. Prior to transfer the gel was soaked in 50 mM sodium phosphate, pH 6.5, plus 0.1% SDS for 90 min at 20°C to remove Tris and glycine. The gel was then placed on DBM-paper as in Fig 1 and surrounded by a thin plastic sheet with outer dimensions the size of the destainer electrodes and an inner rectangular area (6x12 cm) cut out to fit around the gel. The plastic sheet was sandwiched between the Whatman 3MM papers or, if the papers were omitted, between two nylon screens. The plastic sheet thus channeled the current entirely through the gel. The protein was electrophoretically transferred from the gel to DBM-paper in 2 liters of 50 mM sodium phosphate, pH 6.5 (no SDS) at 170 mA, about 1-2V/cm for 6 hrs, at 20°C.
**RESULTS**
**Electrophoretic transfer of DNA onto DBM-paper**
Electrophoretic transfer of labeled DNA restriction fragments (0.91-3.35Kb) from EcoRI digested pMF2 is a highly efficient process requiring a minimum of manipulation as shown in Table 1.
Less than 2% of the input DNA remained in the gel following 6 hours of electrophoresis at 10V/cm in 25 mM sodium phosphate,
TABLE 1
Covalent coupling efficiency of DBM-paper for electrophoretically transferred, denatured and non-denatured DNA
| | Nondenatured DNA | Denatured DNA |
|------------------------|------------------|---------------|
| | Experiment I | II | Experiment I | II |
| cpm remaining in the gel | 467 | 511 | 81 | 45 |
| cpm removed from DBM-paper by washing | 6917 | 5943 | 3401 | 2736 |
| cpm remaining bound to DBM-paper after wash | 24886 | 25013 | 27231 | 20803 |
| percent of DNA coupled to DBM-paper | 77 | 79 | 88 | 88 |
EcoRI generated restriction fragments (0.91-3.35Kb) of pMF2 were labeled with (alpha-32P)ATP at 3' OH termini using terminal deoxynucleotidyl transferase (21) and electrophoresed into a 0.7% agarose gel. DNA fragments (10^6cpm/μg) in two lanes were denatured and neutralized as described in Methods. Both denatured and non-denatured pMF2 fragments were electrophoretically transferred to freshly prepared DBM-paper in 25 mM sodium phosphate, pH5.5, for 6 hours at 10V/cm and 175mA at 4°C. Following transfer the gels were dissolved in saturated NaI and counted by Cerenkov radiation. After overnight incubation at 4°C the DBM-paper carrying DNA was washed in six changes of 2xSSC, 0.1% SDS at 37°C for 24 hours, washes were pooled and counted. The labeled DNA remaining coupled to DBM-paper after washing was hydrolyzed by successive incubations in 1N HCl and 1N NaOH for 60 min each at 37°C. The cpm removed by acid-alkali treatment of DBM-paper carrying DNA were taken as the fraction of counts which were covalently coupled. The covalent coupling efficiency was defined as cpm bound after washing/cpm bound after washing + cpm removed by washing.
pH 5.5. Furthermore DEAE paper positioned anodically from the DBM-paper, and in direct contact with it during electrophoresis, showed no detectable radioactivity, indicating that DNA migration through DBM-paper was negligible. Control experiments showed that DEAE-paper carrying labeled RNA retained it quantitatively under these conditions. Greater than 85% of the denatured DNA and 75% of the non-denatured DNA remained stably bound to DBM-paper through extensive washing (Table 1). Autoradiography of the DBM-paper carrying the labeled DNA showed that, after washing, the four EcoRI-generated restriction fragments of pMF2 with poly A "tails" were transferred and coupled to DBM-paper with comparable efficiencies (data not shown). Poor covalent coupling was
observed with nondenatured EcoRI and Smal generated restriction fragments of pMF2 which were labeled with $^{32}$P by polynucleotide kinase (25). Only 10% of the radioactivity associated with EcoRI fragments and 1-2% of that associated with Smal fragments were covalently coupled to DBM-paper following electrophoretic transfer and washing.
**Electrophoretic transfer of RNA to DBM-paper**
Figure 2 shows that *E.coli* RNAs ($^{32}$P-labeled) ranging in size from 4S to 23S were completely transferred from a composite gel to DBM-paper in 4 hours at 5V/cm in 50 mM sodium phosphate, pH5.5. As expected the rate of transfer for intact RNAs was size dependent. The 4S and 5S RNAs were completely transferred in 1 hour whereas the larger RNAs required 2 to 4 hours for complete transfer at 5V/cm. In addition complete transfer of a 37-40S RNA of *N.crassa* from a composite gel as above was achieved in 6 hours by raising the voltage to 10V/cm (data not shown). The covalent coupling efficiency (cpm bound/cpm bound + cpm removed by washing) varied from 60-65% for 4S and 5S RNA to 70-80% for higher molecular weight RNAs.
**Figure 2. Rate of electrophoretic transfer of RNA from a composite gel to DBM-paper.** *E.coli* RNA, $^{32}$P-labeled, was electrophoresed into a composite gel for 1.5 hours and then prepared for electrophoretic transfer as described in Methods. The RNA was electrophoretically transferred from the gels to DBM-paper for time intervals of 1, 2 and 4 hours as described in the text. Following electrophoresis both the gels (A) and the DBM-paper (B) were autoradiographed. Numbers in the slot areas indicate the hours of electrophoresis.
Rate of covalent bond formation of transferred RNA
Alwine et al. (2) have proposed that DNA and RNA initially adhere to DBM-paper by an interaction of positively charged diazonium groups with negatively charged nucleic acids. The ionic interactions are then superceded more slowly by covalent linkages. The rate at which covalent bonds are formed between RNA and reactive diazonium groups following electrophoresis was assessed by electrophoretically transferring $^{32}$P-labeled *E.coli* 4S RNA from a composite gel to freshly prepared DBM-paper and allowing the DBM-paper carrying RNA to incubate for various lengths of time prior to washing. As shown in Figure 3, RNA-bearing DBM-paper washed immediately after a 90 min electrophoretic transfer had less than 15% of the total 4S RNA covalently attached. However a 2.5 hour incubation at 20°C of DBM-paper carrying RNA was sufficient for maximum covalent bond formation. DBM-paper carrying RNA which was incubated at 20°C following electrophoretic transfer bound 10-15% more 4S RNA covalently than did identical samples incubated at -80°C, suggesting that covalent bond formation does exhibit some activation energy.
These results support the suggestion (2) that coupling of macro-
Figure 3. Rate of covalent bond formation of electrophoretically transferred 4S RNA. Segments of composite gels containing $^{32}$P-labeled 4S RNA were incubated in phosphate buffer and transferred to DBM paper at 10V/cm. DBM-papers carrying RNA were covered with Saran Wrap and incubated for times varying from 0 to 30 hours at 20°C (O) or -80°C (●). After incubation each DBM paper carrying RNA was washed separately with 4 changes of 2x SSC, 0.1% SDS at 65°C for 24 hours. The washes were counted to assess the amount of RNA non-covalently bound by DBM-paper. The RNA bound to the DBM-papers after washing was hydrolyzed by incubating the DBM-paper carrying RNA in 1N NaOH overnight at 65°C. R:IA coupling efficiencies were determined as described in TABLE I.
molecules to DBM-paper involves a two-step reaction sequence.
**Time-dependent decay of ability to form covalent bonds**
The decay rate of reactive diazonium groups on DBM-paper often exceeds the rate at which macromolecules can be transferred from gels to DBM-paper (3-6). The net effect of such rapid decay is a low covalent coupling efficiency. The decay rate of covalent coupling efficiency under our conditions was determined by electrophoresing 4S RNA from gel segments onto DBM-paper at various times after preparation of the paper. The DBM-paper was kept in 25 mM phosphate buffer at 4°C until used. RNA coupling to DBM-paper was slightly more efficient at 1 and 2 hours after preparation than when used immediately, as shown in Figure 4. We have observed this phenomenon repeatedly and suspect that prolonged washing of DBM-paper removes inhibitors of covalent coupling generated during the process of diazotization. The covalent coupling efficiency of DBM-paper for 4S RNA began to decline rapidly 3-4 hours after diazotization, with approximately 50% of the initial coupling activity lost during the first 6-8 hours and less than 2% remaining after 24 hours.
**pH optimum for covalent coupling of RNA**
Alwine et al. (2) indicated that coupling of nucleic acids to DBM-paper was more efficient at pH 6.5 than at pH 8.0. The optimum pH for electrophoretic transfers of macromolecules to DBM-paper was assessed by electrophoresing 4S RNA onto DBM-paper preincubated at 4°C for various periods of time in buffers rang-
**Figure 4.** Time-dependent decay of covalent bond forming ability. Labeled RNA, as used in Figure 3, was electrophoretically transferred to DBM-paper at varying times after preparation of the paper. The papers were incubated overnight to allow for maximum covalent bond formation, and then washed and counted as in Figure 3. The control (100%) was covalent coupling efficiency of freshly prepared DBM-paper.
ing in pH from 4.0 to 9.0. Figure 5 shows that the covalent coupling efficiency of 4S RNA to DBM-paper was markedly influenced by pH. Preincubation of DBM-paper at pH 9 resulted in the most rapid decline in covalent coupling activity, while preincubation at pH 4 and 5 were most effective in prolonging the covalent coupling activity of DBM-paper. These results confirm and extend those obtained by Alwine et al. (2).
Non-covalent binding of RNA and DNA to DBM-paper
After prolonged incubation, DBM-paper lost the ability to form covalent bonds with macromolecules (as shown in Figure 4) but it did retain a capacity for non-covalent, presumably electrostatic binding of nucleic acids. DBM-paper incubated in 50mM sodium phosphate, pH 5.5, at 4°C for 24-30 hours bound electrophoretically transferred DNA and RNA with a capacity of approximately 25-30μg/cm². This was about the same capacity as freshly prepared DBM-paper (2). However the DNA and RNA bound in this manner were quantitatively removed by overnight incubation of DBM-paper in 2x SSC, 0.1% SDS.
We utilized the non-covalent binding of RNA to DBM-paper for isolation of specific RNAs from gels. For example *N. crassa* tRNAs, labeled with ³²P and separated by two-dimensional gel electrophoresis, were electrophoretically transferred to DBM-paper which had lost all capacity for covalent coupling. The DBM-paper was autoradiographed and spots corresponding to four tRNAs were cut.
Figure 5. Optimum pH for stabilization of covalent coupling of RNA by DBM-paper. The procedure was identical to that of Figure 4 except that the DBM-paper was preincubated in six different buffers ranging in pH from 4 to 9. Buffers were as follows: 50mM sodium acetate/acetic acid, pH 4 (■), and pH 5 (□); 50mM sodium phosphate, pH 6 (○), and pH 7 (○); 50mM sodium borate/boric acid, pH 8 (▲), and pH 9 (△).
out, eluted in 2x SSC, 0.1% SDS, re-electrophoresed on a second two-dimensional gel and again transferred to DBM-paper. The positions of the four spots in the second gel correspond exactly to their positions in the original gel as shown in Figure 6.
In a second experiment we studied a much larger RNA, the 25S precursor of p23S rRNA in *E.coli* mutant AB105. This RNA, which is found on polyribosomes (A.D., unpublished observation) was separated in a composite gel along with numerous other precursor RNAs from this mutant strain deficient in the rRNA processing enzyme RNase III (Figure 7, slot 1). After transfer of the $^{32}$P-labeled RNA to DBM-paper which had lost covalent coupling capacity, the 25S RNA was eluted in 25mM Tris-HCl, 10mM MgCl$_2$, 300mM NH$_4$Cl, pH 7.6 buffer overnight at 4°C. The RNA was concentrated and dialyzed to reduce NH$_4$Cl to 130mM. An aliquot was treated with RNase III and electrophoresed into a composite gel adjacent to an untreated sample. The conversion of 25S to p23S rRNA, as shown in Figure 7, slots 2 and 3, indicated that electrophoretic transfer and elution of RNA from DBM-paper yielded RNAs susceptible to enzymatic hydrolysis and unaltered in electrophoretic mobility.
**Non-covalent binding of polyribosomes to DBM-paper**
*E.coli* polyribosomes, labeled *in vitro* with $^{32}$PcP (11) and electrophoretically separated in a composite gel (14), were transferred to DBM-paper incapable of covalent bond formation using a buffer containing 2mM MgCl$_2$, 50mM MES (2-(N-Morpholino) ethane sulfonic acid), pH 7.0. Electrophoretic conditions were as described above for transfer of large RNAs. Monosomes and disomes were eluted from the paper in 0.3 ml of 2x SSC, 0.1%SDS overnight at 4°C. The RNAs in each sample, separated from the
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**Figure 6. Isolation and re-electrophoresis of *N.crassa* tRNA non-covalently bound to DBM-paper.** Panel A: Autoradiograph of 32P-labeled tRNA after electrophoretic transfer from gel onto DBM-paper incapable of covalent bond formation. Panel B: Autoradiograph of four tRNAs eluted from DBM paper of panel A, re-electrophoresed in a two-dimensional gel and, again, transferred to DBM-paper.
protein by SDS, were electrophoresed directly into a composite gel and the gel autoradiographed. Figure 8 shows a stained gel pattern of polyribosomes (slot 1) and an autoradiograph of the labeled polyribosomes on DBM-paper (slot 2). The intact nature of the rRNAs eluted from the monosome and disome regions of the DBM-paper is seen in slots 3 and 4.
A simultaneous transfer and separation of the ribosomal protein and rRNA can be achieved by soaking the gel briefly in 8M urea prior to electrophoretic transfer. Urea dissociates the protein from the rRNA and the two components migrate in opposite directions onto DBM-paper placed on either side of the gel.
Covalent binding of polyribosomes and ribosomal precursor
Figure 7. RNase III treatment of precursor rRNA isolated from DBM-paper. $^{32}$P-labeled RNA of strain AB105 separated in a composite gel and stained with Stains-All(14)(slot 1). Autoradiograph of 25S RNA eluted from DBM-paper and re-electrophoresed into a tighter gel (3.5% acrylamide, 0.5% agarose) (slot 2), and same sample after RNase III treatment (slot 3).
Figure 8. Non-covalent binding of polyribosomes to DBM-paper. $^{32}$P-labeled bacterial polyribosomes were electrophoretically separated in a composite gel and stained (14)(slot 1) or transferred to DBM-paper and autoradiographed (slot 2). RNAs recovered from monosome and disome regions of DBM-paper were electrophoresed in a composite gel and autoradiographed (slots 3 and 4). 2x, 3x and 4x represent polyribosomes of disome, trisome and tetrasome size.
particles can also be achieved using freshly prepared DBM-paper and conditions as described above (data not shown).
**Hybridization of $^{32}$P-labeled RNA to DBM-paper carrying DNA**
The ability of electrophoretically transferred DNA, covalently bound to DBM-paper, to hybridize with $^{32}$P-labeled RNA probes was tested using plasmid DNA obtained from pMF2, a hybrid plasmid containing the complement of sequences homologous to the 26S, 17S and 5.8S rRNAs from *N. crassa* (16). pMF2 was digested with restriction endonucleases Bam HI and EcoRI and the fragments were separated by electrophoresis in an agarose gel as shown in Figure 9, slots 1 and 2. After electrophoretic transfer to freshly prepared DBM-paper they were hybridized with RNA probes. As shown in Figure 9, $^{32}$P-labeled 26S and 17S rRNA hybridized to appropriate restriction fragments of pMF2 DNA (16). Background radioactivity resulting from non-specific binding of RNA to DBM-paper was comparable to or lower than that obtained with nitrocellulose (unpublished observations).
**Hybridization of $^{32}$P-labeled DNA to DBM-paper carrying RNA**
Total cellular RNA from *N. crassa* was electrophoresed into a composite gel and then electrophoretically transferred onto DBM-paper at 10V/cm for 6 hours in phosphate buffer. The paper was pretreated as described in Methods and then hybridized with $^{32}$P-labeled pMF2 DNA probe, prepared by nick-translation (20). Hybridizations were performed as described by Alwine et al. (2).
**Figure 9. Hybridization of RNA to DNA restriction fragments electrophoretically transferred to DBM-paper.** pMF2 DNA digested with restriction endonucleases Bam HI (slot 1) and EcoRI (slot 2) was electrophoretically separated on a 1% agarose gel and stained with ethidium bromide. Gel strips identical to 1/2 were electrophoretically transferred to DBM-papers, 3/4 and 5/6, and then hybridized as described in Methods with $3 \times 10^4$ cpm of 26S rRNA probe (slots 3 and 4) or $2.1 \times 10^4$ cpm of 17S rRNA (slots 5 and 6) ($3 \times 10^3$ cpm/μg and about $10^4$ cpm/ml).
The autoradiograph (Figure 10) shows bands corresponding to the three species of *N. crassa* rRNA. In addition weak but unequivocal hybridization was also obtained for at least two bands in the region between 17S and 5.8S rRNA. Kim et al. (26) have reported the presence of three small stable RNAs isolated from long term $^{32}$P-labeled *N. crassa* ranging in size from larger than 7S to smaller than 17S. If these RNAs were ribosomal in origin they could be responsible for the weak hybridization observed with pMF2 probe. The identity of these RNA species remains to be established, however.
**Electrophoretic transfer of protein to DBM-paper**
*E. coli* 70S ribosomal proteins, labeled with $^{14}$C-leucine, were separated by gel electrophoresis (22) and stained with Coomassie Blue (Figure 11, slot 1). A duplicate gel (unstained) was electrophoretically transferred to DBM-paper and the DBM-paper autoradiographed. The pattern obtained is shown in Figure 11, slot 2. Proteins ranging in size from 6,000 to 65,000 daltons were electrophoretically transferred to DBM-paper from a 10% acrylamide-urea gel in 2 hours at about 10V/cm. The gel from which the proteins were transferred showed no detectable bands upon autoradiography indicating that there was essentially complete transfer.
Similar results were obtained when ribosomal proteins were transferred from a two-dimensional urea gel (23) (data not shown). Transfer of proteins from an SDS gel (24) was also successful (data not shown) but required modifications in the procedure as described in Methods. It was necessary to keep
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**Figure 10.** Hybridization of DNA to rRNA electrophoretically transferred to DBM-paper. Total cell RNA from *N. crassa* was fractionated on a composite gel, electrophoretically transferred to DBM-paper and hybridized with $10^6$ cpm of nick-translated pMF2 DNA ($1-3 \times 10^6$ cpm/μg, $5 \times 10^5$ cpm/ml).
Figure 11. Electrophoretic transfer of ribosomal proteins to DBM-paper. Slot 1: $^{14}$C-leucine labeled 70S ribosomal proteins electrophoretically separated in a 10% acrylamide gel and stained. Slot 2: Autoradiograph of DBM-paper after electrophoretic transfer of an identical, unstained gel strip.
SDS in the soak buffer while removing Tris and glycine to avoid precipitation of the proteins in the gel. However SDS was omitted from the reservoir buffer during electrophoretic transfer to DBM-paper to prevent the SDS-protein complexes from passing right through the DBM-paper.
**DISCUSSION**
Here we describe an electrophoretic technique for the transfer of DNA, RNA, protein and ribonucleoprotein particles onto DBM-paper. This method of transfer has several advantages over the conventional method of blotting. All sizes of macromolecules, including very large DNA, RNA and polyribosomes, are transferred to the DBM-paper. The process is rapid, thus achieving complete transfer within the time the paper is capable of forming covalent bonds, even when transferring from a gel composed of 20% acrylamide. Transfer is direct, without any lateral diffusion, thus preserving the sharpness of the original gel pattern on the DBM-paper, and permitting the detection of very small amounts of DNA and RNA. The molecules are transferred intact allowing for binding of large RNAs and single and double stranded DNAs to the DBM-paper without the chemical treatment necessary for transfer by the blotting procedure (2,4). The DNA
and RNA thus transferred remain competent for hybridization to specific radioactive probes. The efficiency of transfer of intact RNA (up to 80%) exceeds that achieved by blotting to DBM-paper following alkali hydrolysis (2) and DNA transfer efficiency (greater than 80%) is equal to that recently described by Wahl et al. (4). Together these factors provide a much improved transfer procedure over blotting with an almost quantitative covalent coupling of intact transferred material.
Electrophoretic transfer of protein from urea-containing gels is about 5 to 10 times more efficient than that reported by the blotting method (5). A less than quantitative transfer is achieved, however, from SDS gels although the original gel pattern is preserved. This was also observed by Towbin et al. (27) with electrophoretic transfer of proteins to nitrocellulose. Proteins electrophoretically transferred to DBM-paper from both urea and SDS gels successfully bind antibody in the manner already demonstrated for blot-transferred proteins (5) (F. Stellwag & D. Winkelmann and J. Beachy & D. Goldman, unpublished observations).
The speed and efficiency of the electrophoretic transfer method has permitted us to examine and confirm some of the parameters reported for the covalent bond formation on DBM-paper (2). In particular we observe that the covalent bond is formed within 2.5 hours after transfer. The DBM-paper's ability to form the covalent bond remains high for the first 2 to 4 hours after preparation if kept at pH 4-6 and 4 C, but then declines dramatically over 24 hours. The marked decrease in covalent coupling efficiency after prolonged incubation accounts for the reduced coupling efficiency associated with transfer by blotting (2-6), and indicates that material transferred after 10-16 hours couples very poorly. Since complete electrophoretic transfer of intact DNA, RNA and protein from gels to DBM-paper can generally be accomplished in 2-6 hours, a coupling efficiency of at least 60-80% can be expected for a wide variety of transfers.
Several different buffer systems may be successfully employed for the electrophoretic transfer of macromolecules to DBM-paper. The sodium phosphate buffer described here was quite satisfactory for most transfers although acetate buffer, when
used in two-dimensional protein gel electrophoretic separations, can then be more conveniently used for subsequent transfer to DBM-paper. Optimum transfer may be achieved with a zwitterionic buffer such as MES or MOPS at a pH equal to its isoelectric point, but these buffers are quite expensive. A home-made electrophoretic transfer apparatus with two electrode wires in a tray is acceptable for transfer of some materials but a considerably more uniform, rapid and reproducible transfer is achieved with electrophoretic destaining plates as described in Methods and Materials.
The binding of macromolecules to DBM-paper incapable of covalent bond formation provides a new and useful preparative method which has not been achieved using conventional blotting procedures. Particles of all sizes and in all types of gels can be electrophoretically transferred to the DBM-paper and then eluted in high salt (0.3M). RNase III cleavage of *E.coli* 25S precursor rRNA, isolated from DBM-paper, demonstrates that the RNA remains a suitable substrate for the enzyme and is unaffected by this preparative method. A rapid, simultaneous isolation of both protein and RNA from ribosomes in a composite gel is achieved by the bidirectional electrophoretic transfer onto two papers on either side of the gel. By washing the DBM-paper in 1M NaCl to remove all non-covalently bound material, and re-equilibration in low salt buffer, the paper may be reused repeatedly.
Noyes and Stark (28) previously indicated that single strandness was a requirement for covalent coupling of nucleic acids to DBM-paper. In assessing the transfer and coupling efficiency of DNA restriction fragments we found that non-denatured EcoRI restriction fragments of pMF2, labeled with $^{32}$P using terminal deoxynucleotidyl transferase (21), were covalently coupled to DBM-paper with excellent efficiency (77% - see Table I). Although these results seemed to contradict the published observations we observed only 10% binding of EcoRI fragments labeled at the staggered cut ends with $^{32}$P by polynucleotide kinase, and 1-2% binding of SmaI generated fragments with blunt ends. We suggest that the terminal adenosine labeled EcoRI restriction fragments (average of 6 adenosines/3' OH EcoRI generated end)
are coupling to DBM-paper by virtue of their single stranded tails. Indeed we found that $^{32}$P AMP, electrophoretically transferred to DBM-paper, bound covalently with a relative affinity of approximately 40-45% of that of GMP. CMP and UMP affinities were approximately 20% and 2-4% respectively (data not shown). The efficient coupling to DBM-paper of DNA which is largely double stranded may be useful in the localization of DNA-binding proteins to particular DNA restriction fragments carrying sequences recognized by these proteins.
ACKNOWLEDGEMENTS
The authors want to express their sincere appreciation to Robert I Metzenberg for helping with numerous aspects of the experimental work and preparation of the manuscript. They gratefully acknowledge the help and encouragement of James E.Dahlberg in whose laboratory a portion of this work was conducted. They thank Donald Winkelmann, Joanna Beachy and Diane Goldman for providing protein gels, Bernard Weisblum for assistance with the polynucleotide kinase labeling reaction, and Andrew C.Peacock for helpful advice regarding electrophoretic techniques. They also thank Kate Loughney and William and Rather Gorman for their contributions, and George Q. Pennable for numerous discussions. This investigation was supported by grants to R.Metzenberg (GM08995) and to AED (GM19756) from the National Institutes of Health, USA. AED is a recipient of a Research Career Development Award, K4GM00044A from the National Institutes of Health.
*Permanent address: Division of Biology and Medicine, Brown University, Providence, Rhode Island, 02912, USA.
REFERENCES
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3. Reiser,J.,Renart,J. & Stark,G.R. (1978) Biochem.Biophys.Res. Comm. 85, 1104-1112.
4. Wahl,G.M., Stern,M., & Stark,G.R. (1979) Proc.Nat.Acad.Sci. USA 76,3683-3687.
5. Renart,J.,Reiser,J., & Stark,G.R. (1979) Proc.Nat.Acad.Sci. USA 76, 3116-3120.
6. Rave,N., Crvenjakov,R., & Boedtker,H. (1979) Nucl.Acids Res. 6, 3559-3567.
7. Beadle,G.W., & Tatum,E.L. (1945) Am.J.Bot. 32, 678-686.
8. Landy,A., Abelson,J., Goodman,H., & Smith,J.D. (1967) J.Mol.Biol. 29, 457-471.
9. Kinder,P., Kell,T.U., & Hofsneider,P.H. (1973) Mol.Gen. Genet. 126, 53-69.
10. Lindahl,L., & Porchhammer,J. (1969) J.Mol.Biol.43,593-606.
11. Rose,S., & Uhlenbeck,S.(1979) I.U.B.Meeting,Abstr.#02-2-H33, Toronto, Canada.
12. Dingman,C.W., & Peacock,A.C. (1968) Biochemistry 7, 668-674.
13. Dahlberg, A.E. & Peacock, A.C. (1971) J.Mol.Biol. 55, 61-74.
14. Dahlberg, A.E., Dingman, C.W., & Peacock, A.C. (1969) J.Mol.Biol. 41, 139-147.
15. Ikenmura, T. & Dahlberg, J.E. (1973) J.Biol.Chem. 248, 5024-5032.
16. Greene, S.L., Rice, P.W., & Metzenberg, R.L. (1979) J.Bacteriol. 137, 1219-1226.
17. Clewell, D.B. (1972) J.Bacteriol. 110, 667-676.
18. Clewell, D.B. & Helinski, D.R. (1969) Proc.Nat.Acad.Sci. USA 62, 1159-1166.
19. Sharp, P.A., Sugden, B., & Sambrook, J. (1973) Biochemistry 12, 3055-3063.
20. Rigby, P.W., Dieckmann, J., Rhodes, C., & Berg, P. (1977) J.Mol. Biol. 113, 237-251.
21. Roychoudhury, R., Jay, E., & Wu, R. (1976) Nucl.Acids Res. 3, 863-877.
22. Leboy, P.S., Cox, E., & Flaks, J.G. (1964) Proc.Nat.Acad.Sci. USA 52, 1367-1374.
23. Howard, G.A. & Traut, R.R. (1974) in "Methods in Enzymology" (L. Moldave & L. Grossman, eds), XXX, 526-539, Academic Press, N.Y.
24. Laemmli, U.K. (1970) Nature (London) 227, 680-683.
25. Maxam, A. & Gilbert, W. (1977) Proc.Nat.Acad.Sci. USA. 74, 560-564.
26. Kim, K.T., Apirion, D., & Chora, B.K. (1978) Molec.Gen.Genet. 160, 25-32.
27. Towbin, H., Staehelin, T., & Gordon, J. (1979). Proc.Nat.Acad.Sci. USA 76, 4350-4354.
28. Noyes, B.E. & Stark, G.E. (1975) Cell 5, 301-310.
Nucleic Acids Research
Downloaded from http://nar.oxfordjournals.org/ at Pennsylvania State University on September 17, 2016 |
A PHASE II CULTURAL RESOURCE EVALUATION OF DUKE STREET (ROUTE 236), BETWEEN THE 1100 AND 1900 BLOCKS, IN THE CITY OF ALEXANDRIA, VIRGINIA
by
T. Ted Cromwell
James Madison University
Archeological Research Center
Harrisonburg, VA 22807
(703) 568-6973
David L. Miller
Principal Investigator
Submitted to
Virginia Department of Transportation
1221 East Broad Street
Richmond, VA 23219
(804) 786-4305
Project #0236-100-107, C501
March 1989
ABSTRACT
Between December 1987 and April 1988 personnel from the James Madison University Archeological Research Center (JMUARC) conducted a Phase II cultural resource evaluation along the 1100 through 1900 blocks of Duke Street (Route 236) in Alexandria, Virginia. The proposed widening of Duke Street is designed to eliminate the traffic bottleneck along the existing roadway. The project right-of-way, along the south side of Duke Street, varies in width from 3 to 60 ft.
This report will not discuss the 1500 and 1600 blocks. The 1500 block was originally bisected by a section of Hooff Run, a small feeder creek which drains into Hunting Creek and the Potomac River. The 1400 and 1600 blocks are coterminous with the creek, and the 1500 block never developed into a separate street address. The 1600 block has already been widened and required no additional archeological investigation.
The Phase II investigation combined an extensive historic document search and an archeological investigation of portions of the 1100-1400 and 1700 blocks along Duke Street where archeological sites were likely to occur. The 1100 block was tested after archival research indicated the location of a Civil War period railroad complex in that block. During the course of the investigation, the western half of the 1400 block and the entire 1800 and 1900 blocks were eliminated from the original scope of work due to the narrow width of the right-of-way and the amount of disturbance in the area.
The proposed right-of-way will impact several historic features and two archeological sites. The features include the remains of a locomotive turnaround associated with the United States Military Railroad (USMRR), a nineteenth-century wooden drain culvert, and a post stain associated with a possible early nineteenth-century residence. In addition, the Bontz site (44AX103), an early nineteenth-century residence, and the USMRR site (44AX105), a portion of a Civil War railroad complex, were documented during the investigation.
Therefore, JMUARC recommends that, following a review by the VDHL, two potentially significant archeological sites (USMRR and Bontz) undergo further evaluation. The USMRR complex and the Bontz site should provide information concerning transportation networks, the spatial distribution of building, the local economic environment, and land use patterns during the nineteenth century. Further archeological testing on the 1200 block should also investigate the documented pre-Civil War occupations; work on the 1700 block should provide information for comparative studies with similar sites within Alexandria and other peripheral communities in the region. Further documentary research should provide a statewide and regional context for the development of West End from the 1790s to 1915 and for the military railroad complex during the Civil War period.
| Figure | Description | Page |
|--------|-----------------------------------------------------------------------------|------|
| 1 | Map of the project area along the south side of Duke Street (Route 236) in Alexandria, Virginia (USGS 1983:Alexandria, VA, Quadrangle) | 2 |
| 2 | The project area along the south side of Duke Street between Henry Street and Elizabeth Street in Alexandria, Virginia | 4 |
| 3 | Detail of "The Environs of Washington" (Anonymous 1865a) | 6 |
| 4 | Plat of Spring Garden Farms, showing division into blocks and $\frac{1}{4}$-acre lots (Gilpin 1806) | 10 |
| 5 | Detail of untitled map showing southwestern Alexandria (Anonymous [185-]) | 14 |
| 6 | "West End of Alexandria" (Hopkins 1879) | 16 |
| 7 | "Map of the U. S. Military Railroad Station, Alexandria, VA." (Merrick 1865) | 19 |
| 8 | "Soldiers Rest Alexandria VA." (Anonymous 1865b) | 23 |
| 9 | Detail of Plate 60 from "City Atlas of Alexandria, Virginia" (Hopkins 1877) | 25 |
| 10 | Base map of the 1100 block along the south side of Duke Street (Route 236) | 40 |
| 11 | Plan and profile views of the box culvert on the 1100 block | 41 |
| 12 | Stratigraphic profile from trench VI on the 1100 block, with soil color (Munsell Color 1975) and texture descriptions | 45 |
| 13 | Base map of the 1200 block along the south side of Duke Street (Route 236), showing the USMRR site (44AX105) | 46 |
| 14 | Stratigraphic profile from trench I on the 1200 block | 49 |
| 15 | Stratigraphic profile from trench II on the 1200 block | 50 |
| 16 | Stratigraphic profile from trench VI on the 1200 block | 51 |
| 17 | Base map of the 1300 block along the south side of Duke Street (Route 236) | 54 |
| 18 | Stratigraphic profile from trench I on the 1300 block | 55 |
| Figure | Description | Page |
|--------|-----------------------------------------------------------------------------|------|
| 19 | Base map of the 1400 block along the south side of Duke Street (Route 236) | 57 |
| 20 | Base map of the 1700 block along the south side of Duke Street (Route 236), showing the Bontz site (44AX103) | 59 |
| 21 | Stratigraphic profile from trench XI on the 1700 block | 63 |
| A:1 | Map showing the initial subdivision of lots in the village of West End | 84 |
| Plate | Description | Page |
|-------|-----------------------------------------------------------------------------|------|
| 1 | The slave trading facility at 1315 Duke Street (photograph from *Civil War Photographs 116 Historic Prints by Andrew J. Russell* (Russell 1982:Plate 99)) | 15 |
| 2 | Construction of the stockade around the USMRR complex (photograph from *Civil War Photographs 116 Historic Prints by Andrew J. Russell* (Russell 1982:Plate 106)) | 21 |
| 3 | Beams excavated at the location of the locomotive turnaround (1100 block, Duke Street, Alexandria, Virginia) | 43 |
| 4 | Foundation wall of building #1 (1700 block, Duke Street, Alexandria, Virginia) | 61 |
| Table | Description | Page |
|-------|-----------------------------------------------------------------------------|------|
| 1 | Chain of Title, USMRR Site (44AX105), Alexandria, Virginia | 28 |
| 2 | Chain of Title, Bontz Site (44AX103), Alexandria, Virginia | 32 |
ACKNOWLEDGMENTS
I would like to express thanks to J. Cooper Wamsley, at the Richmond division of the Virginia Department of Transportation (VDOT), and personnel from the Van Dorn Street VDOT Residency in Alexandria for their assistance in the completion of this project.
A special thanks is extended to Pamela Cressey, Steven Shephard and the staff of Alexandria Archeology for information regarding the study area, for the use of their facilities and for their hospitality.
I would also like to thank Mike Miller and the staff of the Lloyd House Library in Alexandria for their assistance. I also wish to thank Connie Ring, Edith Sprouse and Beth Mitchell, at the office of records at the Fairfax County Courthouse, for their help in locating documents.
The following staff members of the JMUARC are recognized for their contribution to the completion of this study. Clarence R. Geier, director, and David L. Miller, coordinator of historic archeology, served as consecutive principal investigators. James R. Cromwell served as contract liaison. Kimberly Mullin, director of computer and cartographic services, synthesized the recovered data; Sue Mills, cartographer, prepared the bulk of the graphics. Timothy Hills conducted the documentary research and co-authored the history section of the report. Donna Akers and Bruce Hunter analyzed the recovered artifacts.
Beth Seymour and Greg Johnston served as assistant field directors. The field crew included Suzanne Carper, Christie Cleal, Anne Fullerton, Robert Frye, Andrew Harvey, Debbie Norton, David Odom, Pam Piccolo, Donna Sawyers, Max White and Jim Whitley.
INTRODUCTION
Between December 1987 and April 1988 personnel from the James Madison University Archeological Research Center (JMUARC) conducted a Phase II cultural resource evaluation along the 1100 through 1900 blocks of Duke Street (Route 236) in Alexandria, Virginia (Figure 1). The proposed widening of Duke Street is designed to eliminate the traffic bottleneck along the existing roadway. The project right-of-way, along the south side of Duke Street, varies in width from 3 to 60 ft.
A contractual agreement, dated July 13, 1987, was arranged between the Virginia Department of Transportation (VDOT) and JMUARC for the completion of Project #0236-100-107, C501. The Phase II investigation was conducted in accordance with federal environmental and preservation legislation initiated for the protection of potentially significant cultural resources which will be adversely impacted by federally funded projects.
The Phase I documentary investigation recommended further archeological evaluation of areas where sites were likely to occur. The report recommends a search for prehistoric remains along the 1400, 1700 and 1900 blocks and a search for historic remains along the 1200, 1400, 1700, 1800 and 1900 blocks (Cheek and Zatz 1986:61-62). The recommendations were based on documentary research of the area and a predictive model of site distribution in the region.
This report will not discuss the 1500 and 1600 blocks. The 1500 block was originally bisected by a section of Hooff Run, a small feeder creek which drains into Hunting Creek and the Potomac River. The 1400 and 1600 blocks are coterminous with the creek. Consequently, the 1500 block never developed into a separate street address. The 1600 block has already been widened and required no additional archeological investigation.
The Phase II investigation combined an extensive historic document search and an archeological investigation of portions of the 1100-1400 and 1700 blocks along Duke Street where archeological sites were likely to occur. The 1100 block was tested after archival research indicated the location of a Civil War period railroad complex on that block.
Figure 1. Map of the project area along the south side of Duke Street (Route 236) in Alexandria, Virginia (USGS 1983:Alexandria, VA, Quadrangle).
During the course of the investigation, the western half of the 1400 block and the entire 1800 and 1900 blocks were eliminated from the original scope of work due to the narrow width of the right-of-way and the amount of disturbance in the area.
The proposed right-of-way will impact several historic features and two archeological sites. The features include the remains of a locomotive turnaround associated with the United States Military Railroad (USMRR), a nineteenth-century wooden drain culvert, and a post stain associated with a possible early nineteenth-century residence. In addition, the Bontz site (44AX103), an early nineteenth-century residence, and the USMRR site (44AX105), a portion of a Civil War railroad complex, were documented during the investigation.
The artifacts recovered during the investigation are stored at the JMUARC storage facility. All documentation relevant to the project is on file at the JMUARC in Harrisonburg, Virginia.
PROJECT AREA
The project area is located along the south side of Duke Street, between the 1100 and 1900 blocks, in Alexandria, Virginia. The project corridor begins at the intersection of Duke and Henry streets and extends west for 3,150 ft along the south side of Duke Street to the termination point 0.034 mi east of the intersection of Duke and Elizabeth streets (Figures 1, 2). The intersections at Holland Lane, West Street, Payne Street, Fayette Street and Henry Street will also be widened. In these areas, the right-of-way width increases to as much as 250 ft along the 1700 block and 150 ft along the 1100 block (Figure 2).
The eastern section of the project area, from the 1100 block to the 1400 block, is located on a relatively flat landform which descends gradually towards Hooff Run. Present-day land uses includes a rail yard, fuel oil distributorship/depot, a used car lot, and a gas station. Currently, over 80% of the right-of-way is covered with gravel, concrete and asphalt parking lots, access roads and sidewalks; the remaining 20% of the area has been landscaped.
Figure 2. The project area along the south side of Duke Street between Henry Street and Elizabeth Street in Alexandria, Virginia.
The western section of the project area, between the 1700 and 1900 blocks, is located west of Hooff Run on a low terrace which gradually ascends toward Shooters Hill. The landscape has been altered by modern urban development including parking lots, a shopping center and an office complex. Currently, over 90% of this area is covered by the parking lot of a shopping center.
A map drafted during the Civil War (Anonymous 1865a), "The Environs of Washington," illustrates topography similar to the current terrain, except for two upland terraces dissected by Hooff Run and an unnamed stream (Figure 3). The land adjacent to these streams exhibited typical floodplain development, with low-lying terraces which gradually ascended from the streams. Currently, Hooff Run has 10-15-ft-high concrete-supported banks which constrict and direct the stream's flow. During the twentieth century efforts to raise and level the landscape for development have resulted in the depositing of as much as 15 ft of fill along the stream banks. The unnamed streambed along the eastern edge of the corridor was completely filled in during the late nineteenth century when railroad construction and development occurred in the area. The filling of this drainage area raised the mean elevation in the area from 15 ft to over 30 ft.
Soils
The project area lies within the Coastal Plain physiographic region at a mean elevation of 30 ft above sea level (Figure 1). It is located on marine and riverine deposits which overlie eroded Piedmont materials (Cheek and Zatz 1986:2). These soils are part of the Pre-Brandywine (Patuxent Sand) formations which include a variety of sands and clays. The soils are characterized as well-sorted medium sands that typically include a few pebbles of rounded quartz and chert, with about 10% mica. The maritime clays are compact and moist. Fine lenses of silt and bog iron typically occur at the upper and lower edges of the clay deposits (Wentworth 1930:38, 40, 49).
Figure 3. Detail of "The Environs of Washington" (Anonymous 1865a).
Climate
The climate of the area is typified by warm humid summers and mild winters (Maury 1878:3; Ruffner and Bair 1981:418). The average temperature varies between a low of $35.7^\circ$ Fahrenheit in January to a high of $78.5^\circ$ in July, with an average yearly temperature of $57.4^\circ$ (Ruffner and Bair 1981:419). The coldest weather usually occurs from late January to early February, and the warmest weather is during July and August.
No distinct wet or dry seasons occur in Alexandria, and a moderate amount of rainfall is distributed throughout the year (Ruffner and Bair 1981:416). The average rainfall varies between 2.46 in. in February and 4.71 in. in August, with an average annual rainfall of 39.82 in. (Ruffner and Bair 1981:419).
Vegetation
Historically, the area was covered with mixed deciduous hardwood forests of oak and hickory mottled with Virginia and short pine. Open fields were covered with short vegetation, including blue grass and white clover. Various wild fruits such as grapes, persimmons, strawberries and cherries were plentiful. Water sources included streams, springs and wells; wells in Alexandria averaging between 20-30 ft in depth (Maury 1878:23). Currently, none of the original landscape is unaltered; the entire area has undergone urban development.
HISTORIC RESEARCH
The project area is situated within a 6,000-acre tract which was originally patented to Robert Howsing. In 1669 Howsing sold the tract to John Alexander. After Alexander died in 1677, his land was subdivided. Elizabeth Holmes received 200 acres, John Dry received 500 acres, and Alexander's sons Robert and Philip received the rest of the property. The land included in Robert Alexander's holdings contains the present-day eastern section of the right-of-way; the Holmes property
contained the western section of the right-of-way (Cheek and Zatz 1986:12, 14).
Holmes sold her property to Burr Harrison, who later passed the land along to his son, Thomas Harrison. Thomas bequeathed it to his son, Burr Harrison. In 1762 Harrison sold the land to John West, Jr. West held the land until the late eighteenth century when he began to subdivide his holdings (Cheek and Zatz 1986:14).
Robert Alexander conveyed half interest in his land to his brother Philip who later reconveyed this share back to Robert with the exception of 500 acres which he willed to his son Philip. When Philip inherited the land, he settled on the property. A portion of this land later became the present site of Alexandria (Cheek and Zatz 1986:16).
The city of Alexandria was established in 1749. The project area is located west of the original town limits. In 1749, the city was platted on a 60-acre tract bounded by Wolfe, Royal and Pendleton streets and the Potomac River. The first lots in the town were sold in 1749, and by 1763 the town was expanded by an additional 58 lots which were sold at auction (Cheek and Zatz 1986:11).
In the late eighteenth century, Alexandria was centered along the Potomac River. The port was the economic focus of the city, and the area west of the city, including the project corridor, typically contained large unsettled tracts of land. The city continued to expand away from the river during this period, and by the turn of the nineteenth century, the city extended westward toward the vicinity of Henry Street (Cressey et al. 1982:149).
In 1789, Virginia ceded a 10-acre tract of land to the federal government. The newly formed District of Columbia was established so that the federal government would have a permanent seat. In 1801, the portion of Duke Street which extends west to Hooff Run became a part of the district. This incorporation continued until 1846 when the District ceded the land back to Virginia. The area west of Hooff Run was part of Fairfax County throughout the nineteenth century, and it was not until 1915 that the town of West End was annexed to the city (Cheek and Zatz 1986:11-13). Numerous other annexations have occurred in Alexandria.
since 1915, although none of these changes have affected the project area.
During the late eighteenth century, the entire project area along Duke Street was sparsely inhabited and largely undeveloped. The Spring Garden Farm occupied the eastern section of the project corridor along the south side of Duke Street between Hooff Run, Henry Street and Hunting Creek. The farm served as "a recreational retreat where Alexandrians gathered for barbeques and entertainment" (Miller 1988; Gilpin 1806). John West, Jr., owned a large parcel of undeveloped land west of Hooff Run in the western section of the project corridor.
Between 1790 and 1810, the city of Alexandria developed into a major seaport and doubled its population (Cressey et al. 1982:150). The town was one of the ten busiest ports in the United States during the 1790s and had become an important regional market (Cressey 1985:51). This economic growth facilitated expansion and development, particularly along major transportation corridors. A direct result of economic growth was the development of the town's periphery. Subsequently, the Spring Garden Farm and John West's holdings were subdivided into \( \frac{1}{4} \)-acre lots and sold (Cheek and Zatz 1986:14-16).
The sale of these properties began in 1796. Stipulations enacted by the city of Alexandria required that as a part of the development, the landowner was required to build "...a dwelling house of a least sixteen feet square, or equal thereto in size, with a brick or stone chimney ..." (Shepherd 1970:40-41). The law stated that the houses and lots would be incorporated into the town of Alexandria. It is doubtful that these laws were strictly enforced; it is more likely that any enforcement would have been sporadic (Steven J. Shephard, City of Alexandria archeologist, personal communication 1989).
The Spring Garden Farm complex was divided into 4 \( \frac{1}{4} \)-acre lots per block (Figure 4). In 1796 lots within the 1100 to 1400 blocks were sold. Development occurred soon afterward, with a house being listed on the 1200 block by 1797 (City of Alexandria Land Tax Records, Ward 4 1796). Many of the properties along the corridor changed hands several times between 1796 and 1820. Following the initial division into \( \frac{1}{4} \)-acre lots, these lots were often subdivided into 1/4- or 1/8-acre lots. The
Figure 4. Plat of Spring Garden Farms, showing division into blocks and $\frac{1}{2}$-acre lots (Gilpin 1806).
original subdivision included 16-ft alleys on most of the blocks (City of Alexandria Land Tax Records 1790-1820; Gilpin 1806).
Many of the properties along both sides of Duke Street are listed on tax records for the first quarter of the nineteenth century; apparently a community of lower middle class whites and freed blacks occupied these properties. Typically, the houses were owned by merchants and professionals who lived nearer the business district of Alexandria (City of Alexandria Land Tax Records 1800-1825).
West’s property was located west of Hooff Run outside of the city limits. West divided his property into \( \frac{1}{4} \)-acre lots and indicated that a house should be built on each of these properties. West apparently abided by the city building code because the sales agreements he established required that a house be constructed within two years of purchase and contain at least two windows, plastering and whitewashing (Cheek and Zatz 1986:15). It is doubtful that the houses were built within the one-year limit, although several houses were documented on the north side of the Little River Turnpike as early as the 1790s, while houses along the south side of the turnpike were listed by 1800 (Fairfax County Land Tax Records and Land Deeds 1790-1807). Many of the properties sold by West remained \( \frac{1}{4} \) acre in size throughout the nineteenth century (Fairfax County Land Tax Records 1796-1850). Based on the number of lots sold by West in 1796, a total of 20 houses could have been built during the late eighteenth to early nineteenth century.
The built history of the village of West End through the mid-nineteenth century is presented in Appendix A (Figure A:1). This map represents a synthesis of the deed research for the entire village and presents the types of cultural resources in the area. Initial ownership of each lot and improvements through the third quarter of the nineteenth century are also listed. (Further documentary investigation of West End is in progress and will be forthcoming in the Phase III report of the Duke Street project area [Cromwell et al. 1989]).
During the late eighteenth to early nineteenth century, development along both sides of Hooff Run coincided with the growth of the Little River Turnpike and the beginning of residential growth on the periphery.
of Alexandria. This development marked the rise of small, single-family residences for lower to middle class whites and freed blacks.
During this period of development the Little River Turnpike Company was established to develop the route of an earlier toll road organized in 1795 (Shepherd 1970:1:378). The company built a roadway from the western edge of Alexandria to the town of Aldie in western Fairfax County (Cheek and Zatz 1986:19-20). This transportation system provided a link between the rural farms in the western counties and the marketplaces in Alexandria and Washington.
Legislation passed in 1802 and 1803 governed the construction of the roadway. The proprietors of the roadway were given clearance to take the land and resources needed to construct the roadway; in return landowners along the highway were compensated for the land and materials taken from their properties (Shepherd 1970:2:384, 385, 452-453).
In 1803 the 30-ft-wide roadway was increased to a 50-ft-wide corridor. The change stipulated that a 20-ft-wide area be maintained and improved (graveled) for travel throughout the year, with the remainder of the road usable as a fair weather road (Shepherd 1970:2:452-453). The roadway was officially licensed in 1803, and by 1809 over 20 miles of roadway had been constructed; however, it was not completed until 1812 (Cheek and Zatz 1986:23; Alexandria Gazette 1809:January 9).
Throughout the nineteenth century, the Little River Turnpike was one of the major transportation routes into the city. The corridor allowed produce and livestock to be transported to the city. Consequently, industries were developed along or near the roadway to process items for sale in the city (Cheek and Zatz 1986:23).
The development of the village of West End coincided with improvement in the transportation network. The viability of West End was directly tied to the growth of the turnpike. The town's residences and businesses were located immediately adjacent to the north and south sides of the turnpike. The eastern and western boundaries of the town were Hooff Run and the first turnpike tollgate at the base of Shooters Hill, respectively (Alexandria Gazette 1868:September 28). The turnpike was the economic lifeline of West End.
A number of industries were established along Duke Street during the first half of the nineteenth century. Some of the industries built during this time include a tannery on the south side of the 1400 block, a brick yard along the south side of the 1200 and 1300 blocks, a brick kiln on the north side of the 1200 block, and a beer manufactory on the 2000 block. In addition, two slave trading facilities were located on the north side of the 1300 and 1700 blocks, a tavern was located on the north side of the 1900 block, and a slaughter house was located near Hooff Run, south of West End (Cheek and Zatz 1986:22-24; Alexandria Gazette 1844:March 20, 1859). Another major factor contributing to West End industry was Hunting Creek and Hooff Run. Slaughter houses, tanneries and mills, which relied on water, were some of the earliest structures built in this area (Fairfax County Land Deeds and Land Tax Records, 1790-1850). These buildings were located to the south of West End.
The brick yards were established in 1812, followed closely by the tannery in 1816 (City of Alexandria Land Tax Records 1812-1816; Cheek and Zatz 1986:23). The brick kiln and brickyards were in operation until the 1840s, and the tannery is shown on a map drawn in the mid-nineteenth century (Figure 5; Anonymous [185-]) (City of Alexandria Land Tax Records 1815-1850).
The two slave trading facilities were large operations; the firm at 1315 Duke Street was advertised in 1834 and by 1838 boasted the largest trading brokerage in the county (Plate 1) (Cheek and Zatz 1986:25). The facility at 1707 Duke Street was advertised in the Alexandria Gazette in 1844 and was owned by John Bruin (Alexandria Gazette 1844:March 20). Both facilities remained in business until the onset of the Civil War.
The brewery was located four blocks outside of the city limits of West End. It was established in 1838 and may represent one of the earliest industries in West End (Cheek and Zatz 1986:23). The tavern is illustrated on an 1845 map of the area (Ewing 1845) and was shown as Drovers Hotel on an 1879 map (Hopkins 1879) (Figure 7). The tavern apparently served the individuals who were bringing their livestock to the slaughter houses just south of West End. During the second quarter of the nineteenth century, numerous residents of West End were butchers;
Figure 5. Detail of untitled map showing southwestern Alexandria (Anonymous [185-]).
Plate 1. The slave trading facility at 1315 Duke Street (photograph from *Civil War Photographs 116 Historic Prints by Andrew J. Russell* (Russell 1982:Plate 99)).
Figure 6. "West End of Alexandria" (Hopkins 1879).
however, by 1868 only 39 residents were listed as butchers (Fairfax County Land Deeds 1790-1850; Alexandria Gazette 1868:September 28).
During the first half of the nineteenth century, the Duke Street/Little River Turnpike corridor contained single-family dwellings, largely occupied by renters, and a few local industries. A population of free blacks resided along the south side of Duke Street during the early nineteenth century (City of Alexandria Land Tax Records 1800-1850). The dwellings in the area were representative of the lower to lower middle class economic status of the white and free black population. Most of the structures were frame, although brick structures were located at the 1207, 1706 and 1707 Duke Street addresses (City of Alexandria Land Tax Records 1800-1850). Apparently, most of the occupants were employed either in farming or in one of the area's support industries. Many of the people who resided in the 1100 to 1400 blocks were employed at the brick kiln and brick yards (City of Alexandria Land Tax Records 1810-1840; Alexandria City Directories 1810, 1834). The Alexandria Gazette (1860) indicates that freed blacks hired themselves out as servants on a yearly contract. The participants met at West End on the first day of January, and perspective employers such as contractors, farmers and citizens negotiated one-year contracts.
Between 1820 and 1840, the city experienced an economic depression (Cressey et al. 1982:152). This depression was brought about by the shifting of goods and services from Alexandria to other ports, particularly Baltimore (Cheek and Zatz 1986:22). Since the local economy was centered around the port and remained dependent on slave labor, Alexandria was slow to industrialize. The cities in the northeast industrialized more quickly, thereby shifting trade away from Alexandria (Cressey 1985:51). Additionally, with the nation's westward expansion, crops were being grown and shipped from the Mississippi and Ohio valleys, and trade moved away from the eastern seaports (Cressey et al. 1982:149).
During the 1840s, Alexandria began to flourish with the arrival of the Alexandria Canal and the railroads (Cressey 1985:51, 57). The canal was an expensive venture that was outdated within 20 years. The railroads, however, continued to expand and provided a greater network
to local, regional and national marketplaces. The development of the railroad initiated economic growth in the town during the mid-nineteenth century. By 1848, major changes had occurred along the south side of Duke Street. The property in the southern half of the 1300 and 1400 blocks adjacent to Duke Street and Wolfe Street was purchased by the Orange and Alexandria Railroad (O&ARR). In addition, the 1100 and 1200 blocks were purchased by the railroad, and construction began almost immediately. By 1852 a large brick roundhouse, located on the corner of Henry and Wolfe, and several rail spurs were in operation. A brick shop was constructed on the 1200 block (Merrick 1865) (Figure 7).
The railroad brought to the area a new, rapidly growing transportation mode that, in time, supplanted Duke Street and the Turnpike as the primary corridor for market goods (Hurd 1988:8-9). The advent of the railroad apparently initiated the growth of new dwellings in the area, possibly to house employees of the railroad.
The economic growth of the 1850s was cut short by the onset of the Civil War. The focus of development shifted for its duration. The Civil War brought considerable change to the city; Alexandria was placed under martial law until the war was over. Immediately prior to the war, the town began to suffer economic stress. Food supplies became scarce, and a lack of goods and trade within the city started a recession that continued until federal troops occupied the city (Barber 1988:7-11, 15).
The occupied city, particularly the Duke Street area, developed a booming economy brought about by the influx of soldiers and supplies. Due to its strategic location, Alexandria became a Union supply base, a camp for troops and a hospital center (Barber 1988:15). With the arrival of Federal troops in Alexandria in April 1861, all rail lines, including the strategic rail spurs along Duke Street/Little River Turnpike, were seized for military operations.
At the onset of the war, neither army realized the importance of the railroads. Rail lines were not expanded during the first year of the war, and only a single stretch of track extended west of the city to military operations in the northern Virginia theater of war (Barber 1988:33). In the summer of 1862, Herman Haupt was appointed to administer the newly formed United States Military Railroad (USMRR).
Figure 7. "Map of the U. S. Military Railroad Station, Alexandria, VA." (Merrick 1865).
His leadership helped change the concept of railroad utilization. Haupt realized the railroad's usefulness for the transporting of troops and supplies; he immediately began to transform the small O&ARR rail station into a viable military complex (Barber 1988:33-34). Haupt's initial operation at Alexandria forwarded troops and supplies to the front during the Second Battle of Bull Run. Ultimately, his efforts would change the role of the railroad for military use.
Haupt developed a rail station in Alexandria centered around the already existing O&ARR roundhouse and ultimately encompassed 12 city blocks bounded by Duke Street, Payne Street, Gibbon Street and Alfred Street. Railroad shops, engine houses, a commissary department and new rail spurs were constructed (Figure 7).
In 1862-1863, rail transportation developed from a supply network to a means of transporting wounded soldiers from the battlefields to area hospitals. A sanitary commission and hospital were added to the complex during this period (Figure 7). As the war progressed and the theater of operations moved further to the south, the use of the railroad to transport the wounded became a much greater priority. Subsequently, Alexandria became one of the largest Union hospital centers.
During June 1863, Haupt realized the potential threat from Confederate cavalry to the USMRR complex. Haupt instructed his engineers to erect an engine house that could hold 30 locomotives. By late June 1863, Chief Engineer John Barnard began construction of a stockade around the complex. Due to the shortage of laborers, 1,000 local civilians were hired to build the stockade which encompassed the entire 12-block USMRR complex (Plate 2). The barricades extended 3 ft below the ground surface and were 10 ft tall. Bastions were strategically placed around the complex to guard roadways and to provide a cross fire in case of attack (Barber 1988:90, 91). By late summer, the stockade was completed around the entire complex. Civilian and military traffic along Duke Street and the other streets bordering the station
Plate 2. Construction of the stockade around the USMRR complex (photograph from *Civil War Photographs: 116 Historic Prints by Andrew J. Russell* (Russell 1982:Plate 106).
was constantly monitored, and the civilian traffic was required to present identification (Miller 1987:235).
The railroad spurred economic growth in this section of town. Civilians capitalized on the buying power of military personnel stationed in the area. A number of breweries, taverns and boarding houses sprang up along the western end of the corridor (Miller 1987:209). A Soldier's Rest was constructed on the 1300 and 1400 blocks (Anonymous 1865b) (Figure 8). The slave pen complex at 1315 Duke Street was converted into a Confederate prison (Barber 1988:93). Camp Convalescent, a military hospital, was built on the northern side of the 1400 block and several Union camps were located in the vicinity of Shooters Hill. The location of Soldier's Rest and Camp Convalescent in this area was due in part to the proximity of the USMRR and the Little River Turnpike. By this time, more than 26 hospitals were in operation in the city (Barber 1988:96).
The area along the Duke Street/Little River Turnpike corridor flourished as a direct result of the mechanization for war. Duke Street bustled with activity as troops moved through the area. A number of new buildings, most of them constructed by the Union army, were located along the street, particularly near the rail yard. Residents stated that the appearance of Duke Street had changed considerably; the area around the rail yard was almost unrecognizable (Miller 1987:209-225).
During the course of the war, the quartermasters in Alexandria moved over 64,000 lbs of wood, 81,000,000 lbs of corn, 412,000,000 lbs each of oats and hay, and 520,000,000 lbs of coal. The vast majority of these commodities were moved by rail and passed through the USMRR station (Barber 1988:103).
After the war, the federal troops began to dismantle the USMRR station. By late June of 1865, the stockade had been removed, and buildings erected by the military were being dismantled (Barber 1988:101). Subsequently, the army returned control of the railroad to its previous owner, the Orange and Alexandria Railroad.
Following the war, the city of Alexandria experienced an economic depression. In 1869, the town was still considered to be in a miserable state (Cheek and Zatz 1986:30). In the village of West End the
SOLDIERS REST
ALEXANDRIA VA.
COMMANDED BY CAPT. JNO. J. HOFF COMMISSARY U.S.V.
SEPTEMBER 11th, 1865.
Note: These buildings are constructed substantially finished in an effective & lusty style, and every precaution taken to render the pleasant, comfortable & healthy.
The grounds are laid out tastefully, and ample drainage provided in the most secure manner.
Figure 8. "Soldiers Rest Alexandria VA." (Anonymous 1865b).
situation improved more rapidly; the railroad spurred a slow economic growth in the town and particularly in the area including the project corridor. In 1867 the O&ARR merged with the Manassas Gap Railroad to become the Orange, Alexandria & Manassas Gap Railroad (Hurd 1988:9; Alexandria Deed Book Y3:106).
By the mid 1870s, a number of new rail buildings and residences were evident along Duke Street (Hopkins 1877) (Figure 9). The village of West End contained a brewery, a store, the water company for Alexandria, a blacksmith shop, a tavern and a hotel (Figure 6). In the 1870s, the O&ARR/Manassas Gap Railroad merged with the Virginia Midlands (Hurd 1988:9). Several new structures were built during this period (Figure 9). During the last quarter of the nineteenth century, the role of the railroads changed from being a supplier to the port of Alexandria to being a link in the transportation route between larger industrial cities. The port of Alexandria was no longer a viable trade facility; goods and supplies were transported by rail rather than by slower oceangoing ships. Consequently, Alexandria changed from a port city to a railroad depot (Hurd 1988:9-10).
During the 1890s the Southern Railroad purchased the O&ARR and built a new roundhouse, freight building and passenger depot on the 1100 block (Miller 1987). The Southern Railroad presently maintains ownership of these properties.
During the early part of the twentieth century, Alexandria was a developing suburb of Washington. Very little change occurred along the corridor during this time. The absence of major growth may have been due to the fact that the railroads were no longer the major means of transportation and had declined in significance. The advent of automobiles (and trucks) as a major means of transportation spelled the economic decline of rail transport (Hurd 1988:11-12).
During the 1930s-1940s construction along the corridor included a roundhouse south of the 1700 block and the T. J. Fannon Fuel Oil Company facility on the 1200 block. In the 1950s a gas station was built on the south side of the 1300 block, and the residences along the south side of the 1700-1900 blocks were razed and replaced by a shopping center. The area is currently typified by residences along the north side of the
Figure 9. Detail of Plate 60 from "City Atlas of Alexandria, Virginia" (Hopkins 1877).
street and office buildings, shops and industries on the south side of Duke Street.
**History and Cultural Features of Individual Blocks**
**1100 Block**
In the late eighteenth century, this block was part of the Spring Garden Farm complex. In 1796 the land was subdivided for sale. The four \( \frac{1}{4} \)-acre lots (1, 2, 27 and 28) were sold to Johnathan Mendeville. In 1797, Mendeville sold all of these lots to Thomas Swan, who owned the property until about 1820. The property was listed as being vacant through 1816; between 1817 and 1826 the property value increased by $600, and the lot was listed as a garden (Alexandria Land Tax Records 1810-1830). The land tax records are apparently referring to a market garden (Maury 1878:23-25). Between 1827 and 1850 the property was listed as vacant (Alexandria Land Tax Records 1827-1850).
In 1838, Swan sold the property to Burton Richards, who owned the land until it was purchased by the railroad. During the 1850s, a roundhouse was built on the southeastern corner of the lot. Two rail spurs crossed the southern third of the lot, then turned north paralleling Henry Street (Figure 7).
The entire block became a center of operations for the USMRR. A locomotive turnaround, two rail spurs and the northern stockade wall of the military complex were located within this section of the corridor. Following the war all features associated with the railroad complex were removed. In the late nineteenth century, rail spurs and loading platforms were located in this area. By 1910 the roundhouse was razed, and a new roundhouse was built atop the old structure (Sanborn Map Company 1902).
This block has remained a part of the Southern Railway throughout the twentieth century. A number of new rail spurs followed the path of the nineteenth-century lines. During the 1970s, vandals burned the roundhouse, and by the 1980s the lines were abandoned and the lot was
left vacant (Ames W. Williams, local historian, personal communication 1987).
1200 Block
The 1200 block was originally part of John Wise's Spring Garden Farm complex (Table 1). In 1796, the property was subdivided into lots 29, 30, 53 and 54 and sold to Jesse Simms (Alexandria Deed Book K:276; Alexandria Gazette 1796). During the same year Simms sold the lots to William Hartshorne who owned the property until 1809 (Alexandria Deed Book U:452). Hartshorne sold the property to his brothers Richard and Patterson Hartshorne who lived in New Jersey and Philadelphia, respectively. In 1812 the brothers leased the NW quadrant to Thomas Preston and James Anderson (Alexandria Deed Books U:452, W:386, 410). Between 1796 and 1848, the Hartshorne family owned the four lots on the 1200 block, but apparently never lived on the property.
During the second decade of the nineteenth century, a brickyard encompassed at least part of the square. A house was constructed on the NW corner which was used as a rental property (Alexandria Land Tax Records 1810-1830). The brickyard was probably associated with a similar brickyard located on the south side of the 1300 block and a brick kiln on the north side of the 1200 block. The house on the NW lot was apparently removed during the 1830s. The tax records indicate that Frank Seals, a free black, owned a small one-story frame house on the back of the block from 1822 to 1832 (Alexandria Land Tax Records 1822-1832).
In 1850, the entire block was sold to the O&ARR, who owned the land throughout the remainder of the nineteenth century. During the latter part of the century, the O&ARR was purchased by Southern Railway. In 1940 the Southern Railway sold the northern half of the block to the current owners, Francis and Chester Fannon (Alexandria Deed Books 3:196, 421; 164:75).
During the 1850s the O&ARR company constructed a shop on the block; which was valued at $1400 in 1851 (Figure 7) (Alexandria Land Tax Records 1850-1869).
| Date | Grantor | Grantee | Description | Reference |
|-----------------------|----------------------------------------------|----------------------------------------------|--------------------------------------------------|----------------------------------|
| 1796 | John Wise | Matthew F. Bowen & Theodorus J. Hamilton | Subdivision of Spring Garden Farm | Alexandria Deed Book K:276 |
| 1796 | M. F. Bowen & T. J. Hamilton | Jesse Simms | Deed of Trust for Spring Garden Farm | Alexandria Deed Book K:276 |
| | | | | Alexandria Gazette 6/30/1796 |
| May 24, 1796 | Jesse Simms | Wm. Hartshorne | 2-acre block (lots 29, 30, 53, 54) | Alexandria Deed Book U:452 |
| June 20, 1809 | Wm. Hartshorne | Richard & Patterson Hartshorne | 2-acre block | Alexandria Deed Book U:452 |
| August 24, 1812 | Richard & Patterson Hartshorne by Power-of-Attorney of Wm. Hartshorne | Thomas Preston & James Anderson | Ground rent lease of NW corner of 2-acre block | Alexandria Deed Book W:386 |
| January 22 & April 24, 1850 | Heirs of Richard & Patterson Hartshorne | Orange & Alexandria Railroad Company | 2-acre block | Alexandria Deed Book L3:196,421 |
| July 6, 1940 | Southern Railroad Co. | Chester W. & Francis H. Fannon | North half of 2-acre block | Alexandria Deed Book 164:75 |
The USMRR commandeered the O&ARR complex during the war years. The stop on this block became a kitchen within the larger "Commissary Department" which included 10 additional buildings--three mess rooms, a bakery, a storeroom, a stable, a barn, an office and two unidentified buildings. The stockade around the USMRR complex was located along the north and west edges of the block; and one of the bastions was located in the intersection of Duke and Payne (Merrick 1865).
In June 1865, all of the buildings constructed by the USMRR were removed, and within the year the Orange and Alexandria Railroad had bought back the site and much of their seized equipment (McCallum 1866). By 1869, the property included several structures valued at $5,000 (Alexandria Land Tax Records 1869). The area contained several rail lines and numerous rail buildings. As the railroad decreased in importance during the late nineteenth century the buildings were apparently removed, and by the 1890s, only rail spurs were located on this block (Sanborn Map Company 1890). The lot remained unchanged until 1940 when the northern half was purchased by the Fannons.
The Fannon Petroleum Company complex is currently located on the northern half of the lot and includes two buildings, one situated along the eastern third of the lot and the other located on the western edge of the block. The area adjacent to the front and sides of each building is presently used as a parking lot.
1300 Block
Lots 55, 56, 73 and 74 of the Spring Garden Farms (Figure 4) were sold in 1796 and transferred hands numerous times prior to the 1820s; the main occupants were freed blacks (Alexandria Land Tax Records 1800-1820). The western half of the block was occupied by a variety of residents until the 1830s when the lot became vacant. This lot remained vacant until the onset of the Civil War. The eastern half of the block was initially occupied by freed black renters until it was purchased by Thomas Preston and James Anderson, who used the property for a brickyard from 1813 to the 1820s. The lot reverted to a residential property several times between the 1820s and 1840, when it was again listed as a
brickyard owned by Richard Stanton. In 1844 Stanton sold the land to John Emerson, who occupied the lot for several decades (Alexandria Deed Book F3:67). Emerson owned the property during the mid-nineteenth century, and the building shown on the property remained extant until the mid-twentieth century.
The western half of the lot was part of the Soldier's Rest during the war years (Figure 8). In the late 1890s, an apartment was constructed in the northwest section of this lot. The apartment and the house on the eastern half of the lot were razed prior to the construction of a gasoline station in the 1950s (Sanborn Map Company 1902, 1950).
1400 Block
The 1400 block contained lots 75, 76, 93-96 and 112-115 of the Spring Garden Farms complex (Figure 4). All of the lots were sold, although no evidence of residential buildings was found for the early nineteenth century (Alexandria Land Tax Records 1805-1820). By 1816 a tannery had been built on the block and may be the reason why no homes were built (Cheek and Zatz 1986:23). The tannery was abandoned and subsequently burned in the 1850's.
During the 1850s the O&ARR built rail lines through the southern half of the block. During the war, the Soldier's Rest facility was built on the eastern half of the block. This complex included dormitories, kitchens, a mess room and offices (Figure 8). The Soldier's Rest functioned as a convalescent home for wounded soldiers during the final two years of the war. Portions of the dormitory and the stockade in front of the complex were located within the project corridor (Figure 8). After the war all military buildings were removed from the property.
In the 1880s, row houses were constructed along this block. By the early twentieth century, a grocery store was built on the eastern edge of the block; Santullo's Market occupies the building today. In the late 1970s the row houses were razed to facilitate the construction of an office complex.
The property surrounding and including this block was owned by John West. In 1796, he began selling lots in a similar manner to the subdivision of the Spring Garden Farms (Table 2). West sold his lands in both 2-acre blocks and \( \frac{1}{4} \)-acre lots. John West's subdivision was crossed by north-south lanes which he named for his children (John, George, Catherine, Sarah and Elizabeth). East-west extensions of Wolfe Street and Wilkes Street were plotted on the plat of the subdivision, but apparently existed only on paper for many years.
The West property was sold under an agreement to build a home on the land within two years of purchase. The purchasers in essence rented the land from West until they made the required improvements stipulated in the moiety deed. The purchaser was responsible for erecting on each \( \frac{1}{4} \)-acre parcel a house agreeable to the building codes of Alexandria.
The block originally consisted of three smaller lots. These lots were the exception in West's platting scheme. These lots were either 1/2-acre or 3/4-acre long, narrow lots.
The easternmost lot, bordering John Street, is the focus of this study. Giles Baker purchased this \( \frac{1}{4} \)-acre parcel on October 21, 1796, the date when West sold the majority of the subdivision. Baker met the provisions of the sales contract by building a house within the allotted time (Fairfax County Deed Books Z:505; A2:356). Documentation suggests that the house was a two-story frame structure which was constructed on the northeast corner of the lot opposite a similar late eighteenth-century brick dwelling at 1707 Duke Street.
In 1799, Baker sold Moses Kenney his lease for the \( \frac{1}{4} \)-acre lot, which included the house. Two years later, Kenney purchased the rent charge from John West for the \( \frac{1}{4} \)-acre lot (Fairfax County Deed Books L2:408, Z2:299; Fairfax County Court Order Books 1799:493, 1801:111). The documents indicate that Kenney purchased several parcels of land in the village of West End and married Giles Baker's daughter before 1810 (Fairfax County Minute Book 1807:169; Federal Census Fairfax County, Virginia 1810).
| Date | Grantor | Grantee | Description | Reference |
|--------------------|--------------------------------|------------------------------|--------------------------------------------------|------------------------------------------------|
| October 21, 1796 | John West | Giles Baker | Ground rent lease ½-acre lot | Fairfax Co. Deed Book Z:222 |
| 1799 | Giles Baker | Moses Kenney | Ground rent lease ½-acre lot | Fairfax Co. Court Order Book 99:493 |
| | | | | Fairfax Co. Deed Book L2:408 |
| January 23, 1801 | John & Elizabeth West | Moses Kenney | Ground rent charge ½-acre lot | Fairfax Co. Deed Books L2:408; Z2:299 (C2:467 missing) |
| February 26, 1810 | Moses & Elizabeth Kenney | George Varnold | Ground rent charge NW & SE quadrants | Fairfax Co. Deed Book L2:408 |
| July 14, 1817 | Moses Kenney & wife | John West | Ground rent charge NE & SW quadrants | Fairfax Co. Deed Book Z2:299 (P2:306 missing) |
| May 27, 1831 | John & Sarah West | William B. Richards | Ground rent charge NE & SW quadrants | Fairfax Co. Deed Book Z2:299 |
| January 17, 1832 | George Varnold heirs | George Bontz | NW & SE quadrants | Fairfax Co. Deed Book A3:51 |
| June 1, 1840 | William B. & Priscilla Richards| George Bontz | Ground rent charge NE & SW quadrants | Fairfax Co. Deed Book F3:232 |
| June 18, 1900 | George Bontz heirs | Henry Bontz heirs & Elizabeth Johnson heirs | Division of ¼-acre lot | Fairfax Co. Deed Book E6:707 |
| 1901 | George Bontz heirs | Ella H. Brown | Lots 3, 4 & 5 | Fairfax Co. Chancery CFF:91 |
| | | | | Fairfax Co. Deed Book J6:110 |
| August 2, 1902 | Henry Bontz heirs | Elizabeth J. Martin | Lot 1 | Fairfax Co. Deed Book N7:579 |
| June 17, 1912 | Elizabeth J. Martin | Elizabeth Martin & Lavinia Patterson | Lot 1 | Fairfax Co. Deed Book N7:580 |
| 1914 | Ella H. & Arthur R. Brown | John & Laura Haring | Lots 3, 4 & 5 | Fairfax Co. Deed Book U7:72 |
| July 8, 1919 | Laura B. Haring | Hannie C. & Herbert A. Griffin | Lots 3, 4 & 5 | Alexandria Deed Book 68:480 |
| 1925 | Hannie C. Griffith | B. B. & Ida R. Ezrine | Lots 3, 4, & 5 | Alexandria Deed Book 68:570 |
| 1925 | B. B. & Ida R. Ezrine | Alice Moore | Lots 3, 4, & 5 | Alexandria Deed Book 68:572 |
| January 11, 1929 | Martin & Patterson | E. Burnett Ale | Lot 1 | Alexandria Deed Book 97:70 |
| May 10, 1933 | Carl Budwesky, Comm. | E. Burnett Ale | Lot 2 | Alexandria Deed Book 113:506 |
| March 15, 1944 | Alice Moore | Edgar & Georgia Lamb | Lots 3, 4 & 5 | Alexandria Deed Book 206:430 |
| May 21, 1949* | Edgar A. Lamb | Walter J. & Maria Hill | Lots 3, 4 | Alexandria Deed Book 281:592 |
| Sept. 4, 1958 | E. Burnett Ale | Builders & Developers Corp. | Lots 1, 2 | Alexandria Deed Book 475:96 |
| October 16, 1958 | Walter J. Hill | Builders & Developers Corp. | Lots 3, 4 | Alexandria Deed Book 477:606 |
| 1959 | Builders & Developers Corp. | Ruth Baer | Lots 1, 2, 3 & 4 | Alexandria Deed Book 494:530 |
| 1984 | Ruth Baer | Duke Street Associates | Lots 1, 2, 3 & 4 | Alexandria Deed Book 1288:1068 |
*Lot 5 was eventually bought by Herby's Ford Dealership and was lost in foreclosure ca. 1977.
In 1810, Moses Kenney divided the lot into four equal parts and sold the northwest and southeast quadrants to George Varnold (Fairfax County Deed Books L2:408). In 1817, Kenney sold the remaining quadrants to John West (a descendent of the earlier John West). This conveyance stated that the rent was to be paid by the heirs of Giles Baker. Giles Baker's will refers to his real estate in the village of West End; however, by 1818 when the will was drafted, all of Baker's property was owned by either West or Varnold. The will further states that the property was to be leased until Baker's grandson, John Richard Baker, reached the age of 21. The elder Baker indicated that the money raised from such rent was to support and educate his grandson. Presumably Baker's heirs continued to either occupy or sublet the house after the sale of the property (Fairfax County Will Book M:127).
In 1831, William Burton Richards purchased the NE and SW parcels of the \( \frac{1}{4} \)-acre lot from John West. Richards had been a family friend of the Bakers, as well as the executor of Giles Baker's estate (Fairfax County Will Book M:127). Richards owned several house lots in the West End and later became landlord of several lots in the city. George Bontz, a native of Alexandria, purchased Richards' interest in the property in 1840. Documentary evidence suggests that Richards never lived on this lot. Presumably Bontz rented the Richards property in the interim (Fairfax County Deed Books Z2:299, A3:51, F3:232; Federal Census Fairfax County, Virginia 1850).
Varnold was apparently a friend of the Bontz family. In 1816 he served as bondsman at a Bontz family wedding. Varnold's only other land in the West End was obtained in 1808, a \( \frac{1}{4} \)-acre lot south of Baker's. When he died in 1818, his real estate was passed to his wife and son. In 1832 Bontz purchased the moiety agreement from Sarah, George Varnold's wife (Fairfax County Deed Book B3:101).
Personal property tax records indicate that Bontz was living in the village of West End as early as 1825 (Fairfax County Personal Property Tax 1796-1897). The 1850-1860 census lists him as a butcher (Federal Census Fairfax County, Virginia 1850, 1860).
Both George Bontz and his wife died in 1880. Henry Bontz and Elizabeth Johnson inherited the \( \frac{1}{4} \)-acre property. The two houses located
on the 1/4-acre lot apparently stood vacant for many years. Records indicate that the Bontz heirs assumed payment of the annual property tax, but may never have lived on the premises nor rented the property (Fairfax County Land and Personal Property Tax 1880-1897). In 1900 the heirs agreed to divide the estate into five lots and distribute the lots as follows: Henry Bontz received lot 1, including the east half of the frame house and associated narrow lot which adjoined lot 5 to the south; Elizabeth Johnson received lot 2, including the west half of the frame house and associated narrow lot; the heirs retained joint custody of lots 3, 4 and 5, which included the brick house (Fairfax County Deed Book E6:707).
In 1901, the Bontz heirs agreed to sell lots 3, 4 and 5 at public auction after reaching a settlement in Fairfax County Court. Ella H. Brown, daughter of Henry Bontz and one of the heirs, purchased the aforementioned lots at the auction (Fairfax County Chancery CFF 9i). The Browns lived in the brick house at the 1706 Duke Street address until 1914. In 1914 John T. Haring purchased the property, and five years later sold it to Herbert A. Griffith. In 1925, the property was transferred twice, first to B. B. Ezrine and then to Alice Moore. Moore lived there until 1944 when she sold the property to Edgar A. Lamb. In 1949 Lamb sold lots 3 and 4 to Walter J. Hill. In early 1950, lot 5 was sold to Herby's Ford dealership who built an automotive paint shop on the lot. In 1958, the Builders and Developers Corporation bought lots 3 and 4, as well as the other lots of the 1700 block. In 1959 Ruth Baer purchased the 1700 block, demolished the buildings, and built a shopping center (Fairfax County Deed Books J6:110, U7:72; Alexandria Deed Books 68:480; 81:570, 572; 206:430; 281:592; 477:606; 494:530; Alexandria Land and Personal Property Tax 1915-1950).
By the turn of the century the old frame building on lots 1 and 2 was converted into two row houses and sold as separate dwellings. In 1902, the Bontz heirs sold lot 1 and the eastern half of the house to Elizabeth J. Martin, who had made an unsuccessful bid on lots 3, 4 and 5 the previous year. Martin rented the property to several different tenants during the 27 years that she owned the property. In 1929, E. Burnette Ale, a landholder with extensive holdings, purchased the
tenement. Ale owned the property until 1958 when the Builders and Developers Corporation purchased the deed (Fairfax County Deed Book N7:579, 580; Alexandria Deed Books 97:70, 475:96, 494:530; Alexandria Land and Personal Property Tax 1915-1950).
The Johnson heirs retained lot 2 until 1929 and rented it to two different tenants during that time. Between 1929 and 1932, property taxes for the 1702 Duke Street address were not paid. Following an investigation which indicated that all heirs to the property were dead or untraceable, the lot was sold at public auction for delinquent taxes. Ale, already the owner of 1700 Duke Street, bought the other half of the property and rented the house until it was razed in 1958 (Alexandria Deed Books 113:506, 475:96, 494:530; Alexandria Corporation Court:Equity #4059; Alexandria Land and Personal Property Tax 1915-1950).
Only limited archeological excavation and documentary research have been conducted in the immediate vicinity of the project, although over 100 sites have been excavated within the city (Pamela J. Cressey and Donald Crevling, City of Alexandria archeologists, personal communication 1988). The majority of excavated sites are located in the old section of Alexandria and few surveys have been conducted in the western periphery. The old Slave Pen (slave trading facility) on the 1300 block, was excavated by Engineer-Science, Inc., in 1986 (Artemel et al. 1987). These pens were located on the north side of Duke Street opposite the project area.
The Phase I documentary research for Route 236/Duke Street assessed the potential for the occurrence of prehistoric and historic sites within the project corridor and recommended a Phase II evaluation along those blocks where sites were likely to occur. The Phase I report provides a general history of the region and supplies a historical context for the evaluation of individual sites (Cheek and Zatz 1986:10, 32). The bulk of information gathered during the Phase I study refers to the work done by the Alexandria Urban Archaeology Program (AUAP). The AUAP, established in the late 1970's, monitors the city of Alexandria as a large archeological site. The program focuses primarily on areas that were part of the original town; very few studies or comparisons have been conducted on the periphery of semi-periphery of Alexandria (Steven J. Shephard, City of Alexandria archeologist, personal communication 1989).
METHODOLOGY
The Phase II investigation of Duke Street (Route 236) employed both archival research and archeological testing to evaluate the cultural resources on documented archeological sites in the proposed project corridor. The documentary research reviewed pertinent maps, deeds, tax records and supplemental historic documentation. The document search provided site-specific information and a general historical background.
of the region. The archeological investigation involved both manual and mechanical field excavation to evaluate the cultural resources identified during the documentary investigation.
The documentary research was conducted in various repositories including the Virginia Room at the Fairfax Public Library, the Lloyd House Library in Alexandria, the Office of City Planning in Alexandria, the National Archives, the Library of Congress, the National Archives Cartographic Division in Alexandria, the Alexandria Archeological Research Center (AARC), the Fairfax County Courthouse, the Alexandria Courthouse, the Virginia Division of Historic Landmarks (VDHL) in Richmond, and the State Library, also in Richmond.
A number of historic maps illustrate the location of cultural resources and significant archeological sites. These historic maps were later superimposed over the highway plans for the project in an effort to direct the placement of test excavations for optimal recovery of information.
Before archeological testing was initiated all known utility lines throughout the project corridor were marked to insure safety. The proposed right-of-way along the west half of the 1700, the 1800, and the 1900 blocks was approximately 10-15 ft in width. Utility line placement in these three blocks has disturbed over 75% of the proposed right-of-way. Since cultural resources in this area retain limited contextual integrity, no excavation was carried out.
A separate grid system were established for each city block; the length of the corridor made a continuous grid system infeasible. The north-south grid axes were oriented 18.5 degrees east of north, perpendicular to Duke Street. Grid systems of 20-ft squares were established for the 1100, 1200, and 1300 blocks and for the eastern half of the 1400 and the eastern third of the 1700 blocks. A base map illustrating test trenches, test units, features, utility lines and the proposed right-of-way was drawn for each block excavated along the corridor.
The archeological evaluation of the study area included mechanical and manual excavation and utilized 2½-ft-sq and 5-ft-sq test units, auger cores and a mechanical grader (Gradall) to expose cultural
resources. Initial Phase II testing utilized 2\(\frac{1}{4}\)-ft-sq units and 1-in. auger cores to sample the underlying fill deposits. The 5-ft-sq units and mechanically excavated trenches were utilized to expose cultural features. Since approximately 80% of the corridor was covered with gravel, asphalt or cement/concrete atop thick deposits of overburden, mechanical testing proved more effective than manual means of testing the project area.
The survey utilized 2\(\frac{1}{4}\)-ft-sq units to recover artifact samples and to study soil stratigraphy throughout the project area. This sampling procedure was used in the 1100, 1400 and 1700 blocks where the ground surface was not covered by parking lots or sidewalks. Test units were excavated in 10-cm arbitrary levels or by natural soil layers. The excavated soil was sifted through \(\frac{1}{4}\)-in. mesh screen. Profile maps were drawn of at least one wall of each test unit.
A smooth-bucket Gradall was used to excavate trenches across each block where intact cultural resources were likely to occur. Trenches were approximately 5 ft wide and 10-50 ft long and were excavated to various depths depending upon the amount of overburden. The trenches were excavated in 10-ft-long increments. The soil stratigraphy along each trench was examined, and profile maps were drawn of a long wall of each trench. The base of each trench was examined for evidence of cultural or natural features. Wall profiles and the floors of all trenches were photographed to provide additional documentation.
Five-ft-sq test units were placed in the base of the trenches to examine underlying cultural deposits and/or cultural features. These test units provided a sample of preserved artifact deposits beneath the overburden and exposed cultural features which would have been adversely impacted by mechanical excavation.
Individual cultural features exposed during the excavation were examined and sampled to determine their age and function. Plan and profile maps were drawn for each feature and test unit. All features were photographed and documented. Artifacts and field documentation are stored at JMUARC.
Three 2½-ft-sq test units and six machine-dug trenches were excavated within this block (Figure 10). The test units were excavated along the western edge of the block to study the soil stratigraphy and to recover artifacts. The six trenches were placed in sections of the block where documentary evidence indicated that cultural features, including the stockade wall and locomotive turnaround of the USMRR, might occur. The three test units, supplemented by auger testing, revealed that fill zones extended at least 6 ft below ground surface. Consequently, excavation was stopped and mechanical trenching was initiated.
Trench I was placed in the western third of the block to search for a section of the USMRR stockade wall (Figure 10). The trench was 40 ft long, 5 ft wide and varied between 3½ and 7½ ft deep. The trench was placed parallel to the street and immediately south of the sidewalk. A wooden box culvert was located approximately 3½ ft below ground surface (Figure 11). The feature extended the entire length of the trench.
Trench II was placed on the southwest corner of the Duke and Henry Street intersection to search for a building identified during the document search. The trench was 25 ft long, 5 ft wide and 3½ ft deep. A series of twentieth-century fill deposits associated with the railroad occurred throughout the trench, but no cultural features were encountered. This trench was not excavated into artifact-free subsoil because, for safety reasons, city transportation officials would not allow the trench to be left open over night.
Trench III was placed along Henry Street in the southeastern section of the right-of-way to search for remains of a locomotive turnaround associated with the USMRR. The trench was 15 ft long, 5 ft wide and 6½ ft deep. A cobblestone floor was located beneath the asphalt surface, and railroad-related fill deposits occurred below the cobblestone floor. At a depth of approximately 6 ft, the walls of the
Figure 10. Base map of the 1100 block along the south side of Duke Street (Route 236).
ROUTE 236, 1100 BLOCK
TRENCH 1 22.5N65W
BOX CULVERT
PLAN AND PROFILE
plan view
south profile
- spike
- wood
- black (10YR2/1) sandy clay
- yellowish brown (10YR5/6) very fine sandy clay
- yellowish brown (10YR5/6) fine sandy clay
Figure 11. Plan and profile views of the box culvert on the 1100 block.
trench became unstable and began collapsing; trenching was halted when crew members could not safely enter the trench.
Trench IV was also placed along Henry Street in the southeast section of the right-of-way in an effort to locate the locomotive turnaround. The trench was 30 ft long, 5 ft wide and 10\(\frac{1}{2}\) ft deep. A cobblestone floor and railroad fill deposits identical to those in Trench III were encountered. This trench was more stable than trench III, although at a depth of 9 ft, the trench walls began to collapse. As with trench III, excavation was halted for safety reasons.
Trench V was placed in the western third of the block to search for a section of the stockade wall. The trench was 15 ft long, 5 ft wide and 6\(\frac{1}{2}\) ft deep. The fill deposits encountered were identical to those in trench I. No cultural features were encountered in this trench, and the trench was excavated into sterile subsoil.
Trench VI was placed in the southeastern section of the block to search for the locomotive turnaround. The trench was approximately 50 ft long, 25 ft wide and up to 19\(\frac{1}{2}\) ft deep. Due to its extreme depth, the trench had to be stepped back to keep the walls from collapsing. A series of fill deposits associated with the railroad were encountered, as well as several underlying deposits that did not appear to be related to railroad construction. The only evidence of the turnaround was the remains of two beams that may have been part of the trestle supports (Plate 3). Artifact-free subsoil was reached at a depth of approximately 17 ft.
Stratigraphy
The soil stratigraphy of the 1100 block is illustrated on Figure 13, using Trench VI as an example. The entire area was typified by large quantities of railroad associated fill layers used to raise and level the landform.
All of the trenches revealed evidence of numerous episodes of filling and development. Two factors contributed to the need for substantial amounts of fill. This area was originally bisected by a small unnamed stream (Figure 5; Anonymous [185-]); maps drawn prior to
Plate 3. Beams excavated at the location of the locomotive turnaround (1100 block, Duke Street, Alexandria, Virginia).
the 1850s illustrate a springhead located adjacent to Duke and Henry streets. The area has been raised with 10-15 ft of fill since the mid-nineteenth century. During the initial rail construction (1848-1852), fill deposits were used to bury the streambed, creating a level landform. During the Civil War, filling continued to raise the landform in preparation for the construction of an engine house and turnaround for locomotives.
Layers 1-3 represent filling that occurred between the 1920s and the 1970s, including an asphalt surface, a cobblestone floor and an underlying sand fill (Figure 12). The cobblestone layer appears to represent a prepared driveway or loading area for the railroad. Artifacts recovered included plastic, bottle caps, whiteware, ironstone and aluminum foil.
Below the first three fill layers are two layers that date to the second half of the nineteenth century. Artifacts recovered include ironstone and undecorated whiteware. These fills are probably the result of railroad development during or immediately following the Civil War. Layer 5 contained two wooden beams which appear to have been part of the turnaround structure. It is probable that the turnaround was removed and the entire area leveled.
Layers 6-12 appear to be fills which were deposited during the first half of the nineteenth century as part of the initial filling of the stream (Figure 12). These soils are wet, compact clays with moderate sand content. The use of clay fill would have been desirable since much of the natural soil in this area is loose sand.
Layers 13-15 are artifact-free subsoils. Since Layer 13 contained charcoal fragments, excavation continued until artifact-free soils were reached.
**1200 Block**
The evaluation of this block included the placement of 11 machine-excavated trenches and one hand-excavated test unit (Figure 13). Documentary information guided the placement of trenches; a historic map of the area illustrates the location of buildings associated with the USMRR
Figure 12. Stratigraphic profile from trench VI on the 1100 block, with soil color (Munsell Color 1975) and texture descriptions.
Figure 13. Base map of the 1200 block along the south side of Duke Street (Route 236), showing the USMRR site (444AX105).
(Figure 7). Trenches I-VIII were excavated in an effort to locate a building site identified during the document search. After the site was located, Trenches IX-XI were excavated to further examine the site and to determine its eligibility for nomination to the National Register. Test unit 15N120N was excavated to further expose the site.
Trench I was placed at the edge of a present-day parking lot to examine the northeast wall of the USMRR mess hall. The trench was 14 ft long, 8 ft wide and 7½ ft deep. A wooden culvert was located in the northern end of this trench. The culvert feature was mapped and photographed. During the nineteenth century this area bordered the turnpike. Subsequent road construction has severely disturbed the culvert.
Trench II was placed to locate the southern foundation wall of the USMRR complex. The trench was 35 ft long, 5 ft wide and 4-6 ft deep. A post stain was located in this trench.
Trench III, oriented parallel to Duke Street, was placed in an area where several USMRR buildings joined. This trench was 35 ft long, 5 ft wide and 4¼ ft deep. One post stain was located in this trench.
Trench IV, placed perpendicular to Duke Street, was designed to provide a profile of the original roadbed of Duke Street and the front portion of the USMRR complex. The trench was 15 ft long, 7-10 ft wide and 4 ft deep. Several amorphous stains were identified in the northern end of this trench.
Trench V, parallel to Duke Street, was placed to examine a section of Duke Street and to locate structural remains associated with the USMRR complex. The trench was 35 ft long, 8-12 ft wide and 2-4 ft deep. Eight post stains and two indeterminate features were identified in this trench.
Trench VI was placed to search for the southern and western foundation walls of the USMRR structure complex. This trench was 60 ft long, 5-8 ft wide and 3 ft deep. Two post stains were located in the trench.
Trench VII, perpendicular to Duke Street, was situated where the western wall of the USMRR building complex had been identified on a
historic map. The trench was 15 ft long, 8 ft wide and 2 ft deep. One indeterminate stain was identified in this trench.
Trench VIII was placed to search for a continuation of the post pattern identified in Trenches II and VI. The trench was 12 ft long, 5 ft wide and 5 ft deep. The middle of the trench contained a late twentieth-century stain associated with a backfilled chain-link fence post (T. J. Fannon, personal communication 1988).
Trench IX was placed to locate the front of the USMRR building complex. This hand-excavated trench measured 2½ x 5 ft. A post stain was identified which verified the boundary of the building complex.
Trench X, placed parallel to Duke Street, evaluated the degree of preservation of the eastern wall of the USMRR structure complex. The trench was 15 ft long, 10 ft wide and 7 ft deep. No preserved portions of the Civil War building complex were identified, although several indeterminate stains associated with late nineteenth- and early twentieth-century railroad development were found. Railroad-related construction had destroyed all evidence of the Civil War features.
Trench XI was placed to search for the back wall of the USMRR complex. The trench was 10 ft long, 6 ft wide and 5 ft deep. This trench contained soil strata associated with late nineteenth-century railroad development. One feature was identified in this trench.
Stratigraphy
The soil stratigraphy varied across the 1200 block. A number of localized disturbances associated with various land uses during the past two centuries resulted in the diverse stratigraphic profiles. Three different stratigraphic sequences were identified across the site. Trench I typifies the stratigraphy at the eastern edge of the block (Figure 14). Trench II represents the area between grid transects 10E and 80E (Figure 15). Trench VI represents the western half of the site (Figure 16). In each case, the trench discussed illustrates the degree of disturbance in a specific portion of the block. The first layer identified in all trenches was either asphalt or gravel and will not be presented in the specific discussions.
Figure 14. Stratigraphic profile from trench I on the 1200 block.
44AX105
USMRR
ROUTE 236 1200 BLOCK
TRENCH II
SOUTH WALL PROFILE
LEGEND
asphalt
brownish yellow (10YR6/6) silty clay mottled with black (10YR2/1) cinder
black (10YR2/1) fine sand with small pebbles
yellowish brown (10YR5/6) clay mottled with decomposed brick
yellowish brown (10YR5/4) very fine silt
yellowish brown (10YR5/8) clay
Figure 15. Stratigraphic profile from trench II on the 1200 block.
44AX105
USMRR
ROUTE 236 1200 BLOCK
TRENCH VI
15N120W
WEST WALL PROFILE
LEGEND
- dark olive gray (5Y3/2) with gravel
- yellowish brown 10YR3/6) medium sand with pebbles mottled with yellowish brown (10YR5/8) medium sand
- black (5Y2.5/1) clayey sand
- olive gray (5Y4/2) fine sand and clay
- strong brown (7.5YR5/8) medium sandy clay
Figure 16. Stratigraphic profile from trench VI on the 1200 block.
In trench I, layers 1-3 represent railroad fills dating to the early twentieth century (Figure 14). These layers contained black soils mottled with slag, cinder, coal, sand and gravel. These fill layers appeared to have been used to raise and level the ground surface and to create a new base upon which to build. A wide variety of artifacts, including whiteware, glass, ironstone, plastic, railroad spikes and soda bottles and bottle tops, were recovered from each of the fill layers.
Layer 4 contained compressed brick rubble. The brick was badly decomposed and had apparently been deposited to provide a solid base for subsequent fill deposits. No artifacts were recovered from this layer.
Layers 5, 6, 7 and 8 represent clays similar to those identified across the eastern half of the site. These soils layers are a fill sequence, and recovered artifacts date from the late eighteenth to mid-nineteenth century. Layer 8 was artifact free.
In trench II, layers 1 and 2 are associated with railroad fills of cinder, slag and coal which date from the late nineteenth century through the mid-twentieth century (Figure 15). Layer 1 appears to represent a base for the construction of the Fannon Oil Company complex, while layer 2 represents a base constructed for the railroad bed during the late nineteenth century. Between the 1870s and the 1920s, two rail lines crossed the eastern edge of the block and turned north following Fayette Street; the plan view of this trench illustrates where one of the lines bisected the block.
Layer 3 represents a fill deposited immediately following the removal of the USMRR complex. This deposit contained only a few late nineteenth-century artifacts; more importantly, this fill overlies the post stains of a Civil War period structure. The presence of this fill indicates that the railroad company covered the earlier occupation floor to create a new base for construction. Stains associated with railroad ties of a rail spur were identified in this layer.
Layer 4 is associated with the first 60+ years of the nineteenth century. The post stains from the Civil War structure, as well as numerous late eighteenth- to early nineteenth-century artifacts, were recovered from this layer. The post stain identified in this layer continued into layer 5 (artifact-free subsoil).
Trench VI contained only 1\(\frac{1}{4}\) ft of fill (Figure 16). Layers 1 and 2 consist of gravel and the underlying clay and pebble base. Layer 3 was the ground surface during the late nineteenth through the early twentieth century. This layer contained whitewares, machine-made glass and wire nail and is probably associated with the railroad yard.
Based on the dating of recovered artifacts, layer 4 represents an early to mid-nineteenth-century occupation of the site. This fill may represent the soil deposition which occurred during the construction and occupation of domestic dwellings and the USMRR complex. Posts stains associated with the military occupation were identified in this layer (Figure 13).
Layer 5 represents artifact-free subsoil. The post stains located in layer 4 intruded into this layer; however, no artifacts were identified in the subsoil.
**1300 Block**
This block was evaluated in two separate sections due to limited access. Trench I was excavated in the eastern half of the block where documentary evidence indicated the location of the north wall of a nineteenth-century building (Figure 17). Trench I was 40 ft long, 15 ft wide and 5 ft deep. The concrete surface was removed, and the excavation and auger testing of the trench revealed no artifacts or cultural features.
In the western half of the block, Trench II bisected an area associated with the Soldier’s Rest and a late nineteenth-century structure (Figure 17). Trench II was 50 ft long, 5 ft wide and 3-7 ft deep. The stratigraphy was identical to that encountered in Trench I. No artifacts or cultural features were identified.
**Stratigraphy**
The soil composition was similar in both trenches (Figure 18). A series of artifact-free sands and clays were encountered under the cement/asphalt surface. These deposits are part of the Pre-Brandywine
Figure 17. Base map of the 1300 block along the south side of Duke Street (Route 236).
ROUTE 236 1300 BLOCK
TRENCH I
SOUTH WALL PROFILE
LEGEND
- black (10YR2/1) medium sand
- yellowish brown (10YR5/6) sandy clay mottled with brownish yellow (10YR6/6) light sand
- light gray (10YR7/1) fine sand mottled with light gray (10YR7/2) light sand
- light gray (10YR7/2) clayey silt
- pale brown (10YR6/3) fine sand
- yellowish brown (10YR5/8) medium sand mottled with light gray to gray (10YR6/1) clayish silt
- very pale brown (10YR7/4) very fine sand
- light brownish gray (10YR6/2) very fine silt
Figure 18. Stratigraphic profile from trench I on the 1300 block.
(Patuxent Sand) formations identified around Alexandria and are described in the soils section of this report. Several minor deposits were also identified.
Prior to the construction of a gasoline station in the 1950s, the area was bulldozed to level the landscape. The gas storage tanks, lines and pumps associated with the station are located either within or immediately adjacent to the right-of-way.
**1400 Block**
Three trenches were excavated to evaluate the remains of the Soldier's Rest (Figure 19). The trenches were placed in areas where documentation suggested the placement of buildings (Figure 8). Trench I was placed in the area where the guardhouse had been located; trenches II and III were placed in the vicinity of the dormitory.
Trench I was 20 ft long and 5 ft wide. This trench was excavated through artifact-free sandy soils to a final depth of 7½ ft. Neither artifacts nor cultural features were found.
Trenches II and III were initially excavated to a depth of 1 ft where a shallow cultural deposit was encountered. Several amorphous stains were mapped and the deposit was excavated. Numerous artifacts were recovered from these two trenches and will be presented later. Five post stains, all of recent origin, were identified. Trench III was backfilled, and excavation of Trench II continued to a depth of 8 ft. Five-ft-deep auger tests were placed in the base of the trench to insure that subsoil had been reached.
**Stratigraphy**
The three trenches contained similar soils. The first layer of soil had been severely disturbed and contained a diverse artifact assemblage including pearlwares, creamwares, whitewares, soda bottle glass and automotive parts. Beneath the disturbed soil zone are artifact-free sands and clays associated with the natural stratigraphy.
1400 BLOCK
SITE MAP
DUKE STREET
TRENCH I 15N120W
TRENCH III 15N20W
TRENCH II @ 0,0
sidewalk
RIGHT-OF-WAY
BRICK BUILDING
LEGEND
- trench
@ utility hole
----- right-of-way
. grid point
30 20 10 0 20 40 FEET
Figure 19. Base map of the 1400 block along the south side of Duke Street (Route 236).
During the initial testing of this area, four machine-dug trenches were placed in an attempt to locate the remains of buildings associated with the 1700, 1702 and 1706 Duke Street addresses (Figure 20). These buildings were identified during the documentary portion of the investigation. Three of the four trenches exposed portions of brick foundations of building #1 (1700/1702 Duke Street) and building #2 (1706 Duke Street).
After the brick features were identified, eight additional trenches were excavated across the site (Figure 20). An effort was made to expose only the surface of the cultural features; excavation of these features was purposely limited to Phase II level evaluation to minimize destruction of potentially significant deposits.
Trenches I, II, V and VII were placed in an effort to locate features associated with the occupation of 1700/1702 Duke Street. The brick foundation of a building was located in trenches I, II and V (Figure 20). A yard area containing nineteenth- and twentieth-century cultural deposits was exposed in Trench VII.
Trenches III, IV, VI, and VIII through XII were excavated in the western half of the site to locate the remains of buildings or features associated with the 1704 and 1706 Duke Street addresses. The abundance of trenches needed to test the block was largely due to the number of utility lines that crossed this area. The placement of utility lines caused localized disturbance of the foundation on the 1706 Duke Street lot. Whenever utility line fills were exposed, trenching was halted to insure safety. Several small sections of building #2 were identified; however, a number of other sections of the structure had been destroyed by utility line placement.
Trenches III, VI, VIII and IX exposed a number of fill sequences associated with the utility lines. No evidence of structural features was found in any of the trenches. The remnants of an artifact-bearing deposit (layer 4) were found in sections of trench III and trench IX.
Trench I trended north-south and was 20 ft long, 5 ft wide and 3 ft deep. A brick foundation measuring 9 in. wide was located in the base
Figure 20. Base map of the 1700 block along the south side of Duke Street (Route 236), showing the Bontz site (44AX103).
of the trench. This foundation is part of building #1 located at the 1700/1702 Duke Street address.
Trench II was 20 ft long, 5 ft wide and 3\(\frac{1}{4}\) ft deep. After layer 4 was exposed across the trench, a 5-ft-sq unit was excavated into this cultural layer. A section of brick foundation associated with building #1 was exposed in the test unit.
Trench III was 20 ft long, 5 ft wide and 3 ft deep. The western half of the trench intersected two utility lines, and a small cultural deposit was exposed in the eastern half of the trench. Due to the disturbance by the utilities, no further testing was conducted in this trench.
Trench IV was 15 ft long, 5 ft wide and 3\(\frac{1}{4}\) ft deep. The north and south sections of this trench contained utility line disturbance. A section of brick foundation (building #2) was located in the center of the trench.
Trench V was oriented east-west, perpendicular and adjacent to trench I. The trench was 19 ft long, 5 ft wide and 2\(\frac{1}{4}\) ft deep. Layer 4 was exposed across the trench. One 5-ft-sq test unit was excavated at the eastern edge of the trench. The excavation of this unit exposed the surface of a foundation wall of building #1 (Plate 4).
Trench VI was 20 ft long, 5 ft wide and 2\(\frac{1}{4}\) ft deep. Three fill layers crossed the trench. Due to the extent of disturbance in this trench, testing was halted.
Trench VII was located 40 ft south of trench II and measured 40 ft long, 5 ft wide and from 2\(\frac{1}{4}\)-4\(\frac{1}{2}\) ft deep. Layer 4 was exposed across the base of this trench, except in two 5-ft sections where utility lines passed through the trench. One 5-ft-sq unit was excavated through layer 4 in the base of this trench. Excavation of this unit revealed a disturbed cultural deposit.
Trench VIII was placed perpendicular to Duke Street in an attempt to locate the west wall of building #2. The trench was 20 ft long, 5 ft wide and 2\(\frac{1}{4}\) ft deep. The three utility fill layers identified in the trench had disturbed the cultural deposit. Trenching was stopped once the utility fills were exposed.
Plate 4. Foundation wall of building #1 (1700 block, Duke Street, Alexandria, Virginia).
Trench IX was 20 ft long, 5-7 ft wide and up to 5½ ft deep. A portion of the cultural deposit and a utility line were revealed in this trench. The eastern half of the trench was excavated through the cultural deposit in an attempt to reach subsoil. Due to the proximity of the sidewalk and the depth of the trench, excavation was halted for safety reasons. In the southwestern portion of the trench, a section of brick wall was exposed.
Trench X was located adjacent to trench IX and was excavated in an effort to examine a section of brick foundation that had been exposed in the south wall of trench IX. This trench was 10 ft long and 3½ ft deep. The exposed foundation formed corners approximately 6 ft apart. A utility line intruded the foundation.
Trench XI was 25 ft long, 5 ft wide and from 3-7½ ft deep. This trench was excavated into artifact-free subsoil. A storm sewer drain was located in the eastern third of the trench; the cultural deposit (layer 4) and a small section of the brick foundation of building #2 were identified in the western half of the trench.
Trench XII was placed adjacent to trench XI to search for other sections of the foundation of building #2. The trench was 10 ft long, 5 ft wide and 3 ft deep. The west foundation wall of building #2 was located in the base of this trench.
Stratigraphy
An overburden of 2-5 ft of fill had been deposited across the block since the 1950s to create a base on which to build a shopping center and parking lot. This modern deposition has protected the site; however, the utility lines which transect the site have disturbed sections of the cultural deposit.
Trench XI typifies the site's stratigraphy (Figure 21). Layer 1 is a recently deposited fill which covers layer 2 (asphalt parking lot) and was used to create a median strip between the parking lot, Duke Street and Holland Lane. After the 1958 demolition of buildings on the block, the asphalt parking lot was built for the small shopping center that is located 75 ft south of the site. Layer 3 is a fill which was deposited
44AX103
BONTZ SITE
TRENCH XI
NORTH WALL PROFILE
LEGEND
- dark yellowish brown (10YR4/4) sandy soil with few pebbles
- dark brown (10YR3/3) asphalt parking lot remnants
- strong brown 7.5YR5/8) clay fill mottled with grayish brown (2.5YR5/2) clay
- black (10YR2/1) loose sandy clay
- yellowish brown 10YR5/8) clay
- strong brown (7.5YR4/6) fine sandy clay subsoil
Figure 21. Stratigraphic profile from trench XI on the 1700 block.
following the razing of the block in 1958 to level the area before the shopping center was built.
Layer 4 represents the preserved cultural deposit at the site. This deposit varies considerably across the site, containing artifacts dating from the eighteenth to mid-twentieth century. This layer ranged in depth from 3 in. to 1\(\frac{1}{4}\) ft near Duke Street and increased in depth in the backyard area (Trench VII) to over 2\(\frac{1}{4}\) ft.
Layers 5 and 6 are subsoils. A few brick fragments were noted on the surface of level 5, probably due to soil compaction. Layer 6 had the sandy texture typical of the subsoil encountered along the 1300 and 1400 blocks.
In trench VII, a 5-ft-sq test unit was excavated into the cultural deposit (layer 4) to determine the depth of this zone and to recover a representative sample of artifacts from the yard area behind building #1. Layer 4 contains six distinct lenses. The presence of these lenses suggests a preserved and stratified cultural deposit.
Layer 4A - very dark gray (10YR3/1) silty loam charcoal. Only twentieth-century artifacts were recovered from this lens.
Layer 4B - a black (10YR2/1) silty loam, with a high coal content. Artifacts in this lens date from the nineteenth and twentieth centuries.
Layer 4C - dark yellowish brown (10YR4/6) silty clay.
Layer 4D - black (10YR2/1) silty loam mottled with dark yellowish brown (10YR3/6) clayey loam. This lens contained a mixture of nineteenth- and twentieth-century artifacts.
Layer 4E - white (10YR8/1) compressed oyster shell deposit.
Layer 4F - dark yellowish brown (10YR3/6) clayey loam with charcoal and early to mid-nineteenth-century artifacts.
ARTIFACT PRESENTATION
The archeological evaluation of the 1100, 1200, 1400 and 1700 blocks produced 10,064 artifacts from manually excavated test units and mechanically dug trenches (no artifacts were recovered from the 1300 block). The archeological investigation evaluated the remains of a locomotive turnaround (1100 block), a wooden drain culvert (1100 block),
a possible nineteenth-century residence (1200 block), a Civil War military railroad Commissary building (1200 block), two early nineteenth- through mid-twentieth-century residential properties (1700 block) and several random post stains and post molds.
The recovered artifact assemblage includes a variety of items from the many fill deposits which cover the original landscape and represents many episodes of land usage and urban development. These artifacts were examined to determine the approximate dates at which the landscape was altered on each city block.
All artifacts recovered during the Phase II archeological investigation were field cataloged, and washed, labelled, inventoried, and analyzed at the JMUARC laboratory. The artifact assemblage was analyzed using the following criteria: (1) type of activity, (2) function, (3) material, (4) type of ware, and (5) discernable characteristics. Functional categories include the following: ammunition, architectural, environmental, food/dietary, household, personal, and transportation. The artifact assemblage was further separated by testing method and provenience.
The assemblage contains items dating from the early nineteenth through mid-twentieth century. Since the bulk of artifacts were recovered from fill deposits, interpretations of site age, function, or association were not feasible. The archeological testing resulted in the identification and cursory evaluation of features; further evaluation will be carried out during the Phase III investigation. The analysis of associated artifacts provided at least some information on feature age and function. Detailed artifact analysis data are on file at the JMUARC.
**Ceramics**
The ceramic assemblage was classified by functional type, decorative style, and material, based on South's (1977) classification system. Ceramics were further analyzed by paste color and texture, and type of glaze (Noel Hume 1969; Brown 1982). The ceramic assemblage includes fragments of earthenware, ironstone, porcelain, and stoneware vessels.
Earthenwares were divided into refined and coarse wares, based on paste porosity. The refined and coarse wares in the assemblage represent a variety of regional and national styles, including creamware, pearlware, earthenware, redware, Rockingham/Bennington and yellow ware.
The coarse earthenware assemblage includes redware and Staffordshire ware ceramic sherds. Red coarsewares and black-glazed redwares were produced locally from the mid-seventeenth century (Brown 1982:21). Staffordshire has a mottled buff paste with a clear glaze and dates from ca. 1675 to 1775 (Brown 1982:15). A regional variation of redware, the Jackfield type, is characterized by a glossy black glaze atop a red earthenware paste and was manufactured from ca. 1745 to 1790 (Brown 1982:22). A second regional variation is represented by Shaw ware, a dense, purplish black ceramic with a brown slip glaze on the exterior and a white slip on the interior, which was produced from 1733 to 1750 (Noel Hume 1985:118-119).
Stoneware is characterized by a hard-fired, nonporous paste (Brown 1982:9). The stoneware assemblage includes white salt-glazed, Bristol glaze, unglazed black basalt, and American stoneware (Brown 1982:11, Greer 1981:210).
Porcelains are characterized by a vitreous paste which is pale gray to white; they are represented in the assemblage by both hard-paste and soft-paste sherds of Chinese and English origin. Hard-paste porcelains suggest a Chinese origin. English bone china is a variation of porcelain which does not have the characteristic bluish caste of Chinese porcelain and is more translucent (Brown 1982:8-9, Miller 1980). Porcellaneous is an opaque, very dense hard-paste ceramic ware that became popular after 1888 (Worthy 1982:337).
Pipes
Twenty-seven pipe bowl and stem fragments were recovered during the archeological investigation, including a variety of kaolin, earthenware, and stoneware pipes fragments. The pipes date from the early nineteenth century to the early twentieth century.
The glass assemblage was divided into six functional categories: tableware, container, architectural, lighting, indeterminate, and heat-altered sherds burnt beyond recognition. In addition, the glass analysis recorded attributes such as mold seams, types of finish, maker's marks, trademarks and embossed lettering on glass fragments.
Tableware was subdivided into several type/style categories such as tumbler, stemmed ware, stopper, dish/bowl, salt cellar, and cruet/coaster. Container glass includes beer/ale/stout, food/household, inkwell, medicine/pharmaceutical, milk, soda/mineral water, wine/champagne, whiskey, liquor, cosmetic/perfume bottles and jars. Window glass was included in the structural/architectural category. Lighting glassware is included within the household furnishings artifact group.
Metal
A total of 1,012 metal artifacts were recovered during the archeological investigation--111 from the 1100 block, 202 from the 1200 block, 7 from the 1400 block and 692 from the 1700 block. The majority of metal artifacts were corroded beyond recognition. The bulk of the assemblage was recovered from the various fill deposits associated with each block. A representative sample of artifacts was collected from each fill deposit. In addition, metal artifacts were recovered from several features and one test unit on the 1700 block.
The metal assemblage contains copper, cast-iron, lead, tin, and steel artifacts. These artifacts were categorized by type, material, and function. Functional categories in the assemblage include architectural (nails), container, hardware, household, personal, transportation and indeterminate. Metal artifacts date from the early nineteenth through the mid-twentieth century.
Marbles
Thirteen marbles were recovered during the investigation. Two glass and two ceramic marbles were recovered from the 1200 block; two glass and seven ceramic marbles were found at the 1700 block.
Buttons
The button assemblage includes fragments of bone, shell, and metal buttons which were popular until the mid-nineteenth century, milk glass buttons produced after ca. 1860, and plastic buttons which were introduced in the 1830s (Olsen 1963:551-554, Hull 1981:208).
Twenty buttons were recovered during the investigation. Three buttons (1 bone, 1 brass, 1 glass) were recovered from the 1100 block. Three buttons (1 bone, 1 brass, 1 glass) were recovered from the 1200 block. Fourteen buttons were recovered from the 1700 block where trench I contained one glass, two ceramic, two metal, and two shell buttons, trench V contained one shell button and trench VII contained three plastic, two milk glass, and one glass button.
Artifact Analysis by Block
1100 Block
Refined earthenwares are the most common type in the ceramic assemblage recovered from the 1100 block (93 of 157 sherds, 59%). Coarse earthenwares are the least common, represented by only six sherds (4%). The remaining sherds include porcelain (8, 5%), stoneware (48, 31%), and indeterminate (2, 1%) types.
Whiteware is the most common refined earthenware (40, 43% of the refined earthenwares), followed by ironstone (38, 41%), pearlware (14, 15%), and Rockingham/Bennington (1, 1%). Seventy-four of the 93 refined earthenware sherds (80%) are undecorated, seven sherds are transfer printed, four sherds are hand painted, two sherds are edge decorated, one sherd is dipped, and one sherd is decorated with
decalcomania. Pearlware sherds from the 1100 block are printed, painted, edge decorated, dipped, or undecorated and date from 1779 to 1830 (Brown 1982:5-6). Whiteware sherds are printed or undecorated and date from 1830 to 1860 (Brown 1982:6).
The assemblage also includes coarse earthenware, porcelain and stoneware sherds. Coarse earthenwares are represented by five red coarseware sherds and one indeterminate sherd. Porcelain wares include six hard-paste sherds and two Oriental porcelain sherds. The stoneware assemblage contains two Jackfield sherds, 43 American stoneware sherds, and three indeterminate stoneware sherds.
The following types of glass fragments were recovered from the 1100 block: 371 container glass fragments and 6 complete or nearly complete containers (75% of the sample), 2 table glass fragments and 1 nearly whole tumbler (0.5%), 63 window glass fragments (12%), 5 mirror glass fragments (1%), 4 lighting glass fragments (1%), and 52 fragments of an unidentifiable type (10%), 1 of which had been heat altered. Eleven insulator glass fragments were also recovered from the 1100 block. The glass assemblage for the 1100 block dates from the mid-nineteenth through the twentieth century.
The 111 metal artifacts recovered from the 1100 block were primarily associated with railroad activities. Slightly more than 50% (56) of these artifacts were identified as nails, including 7% (4) machine-cut nails, 25% (14) wire nails, and 68% (38) unidentifiable nails. The remainder of the metal assemblage includes a Budweiser beer can which dates to the mid-twentieth century and two railroad spikes that date from the early nineteenth through the mid-twentieth century. The remaining artifacts include bolts and nuts associated with the documented 140-year railroad occupation.
**1200 Block**
The 791-sherd ceramic assemblage from the 1200 block (the USMRR site) consists of the following: 54 (7% of the total) porcelain sherds, 59 (7%) stoneware sherds, 37 (5%) coarse earthenware sherds, and 641 (81%) refined earthenware sherds.
The porcelain group is composed of 4 bone china sherds, 16 Oriental porcelain sherds, 22 hard-paste porcelain sherds, and 12 porcellaneous sherds. The stoneware group includes one white salt-glazed sherd, 55 American stoneware sherds, two Bristol glaze stoneware sherds, and one other/unknown stoneware sherd. The coarse earthenware group includes six black-glazed redware sherds, two slipware sherds, 22 red coarseware sherds, and seven other/unknown coarse earthenware sherds.
Refined earthenwares include 159 (20% of the refined earthenwares) creamware sherds, 135 (17%) pearlware sherds, 292 (37%) whiteware sherds, 44 (6%) ironstone sherds, 4 yellow ware sherds, 1 Rockingham/Bennington sherd, and 6 indeterminate sherds. Of the refined earthenware sherds, 561 (88%) are undecorated, 18 are transfer printed, 24 are hand painted, 19 are edge decorated, 6 are hand dipped, and 2 are decorated with decalcomania. Pearlware sherds are printed, painted, edge decorated, dipped, or undecorated and date from 1780 to 1830 (Brown 1982:5-6). The whiteware sherds have decorations similar to those on the pearlware sherds and date from the early nineteenth through the early twentieth century (Brown 1982:6).
The glass assemblage from the 1200 block includes 460 container glass fragments and 5 complete or nearly complete containers (41%), 13 table glass fragments, 1 dish/bowl fragment, 1 glass stopper (1%), 264 window glass fragments (23%), 9 lighting glass fragments (1%), and 379 indeterminate fragments (34%). Sixty-one insulator glass fragments were also recovered. The glass assemblage dates from the mid-nineteenth through the mid-twentieth century.
The 202 metal artifacts recovered from the 1200 block were primarily associated with the USMRR complex. Nails make up 67% (136) of the total metal artifacts, with 0.7% (1) handwrought nail, 6.6% (9) machine-cut nails, 7.4% (10) wire nails, and 86% unidentifiable nails. The remaining 66 metal artifacts (33%) are a variety of hardware items.
**1400 Block**
The ceramic assemblage from the 1400 block includes one (3.3%) hard-paste porcelain sherd, one (3.3%) American stoneware sherd, four
(13.3%) coarse earthenware sherds, and 24 (80%) refined earthenware sherds. The coarse earthenwares includes three red coarseware sherds and one indeterminate sherd. The refined earthenwares include two creamware sherds, six pearlware sherds, 13 whiteware sherds, one ironstone sherd, one redware sherd, and one indeterminate sherd.
Glass recovered from the 1400 block includes 12 container fragments (75% of the sample) and four fragments of an unidentifiable type (25%).
One metal artifact, a modern spark plug, was recovered from a fill deposit associated with the construction of a modern office complex during the late 1970s.
**1700 Block**
The 784-sherd ceramic assemblage from the 1700 block includes 79 (10.1%) porcelain sherds, 44 (5.6%) stoneware sherds, 18 (2.3%) coarse earthenware sherds, and 643 (82%) refined earthenware sherds.
The porcelain assemblage includes 13 bone china, 1 Oriental, 57 hard-paste, and 8 indeterminate sherds. Stonewares include one black basalt, two Jackfield type, 37 American type, two Shaw ware, and two other/unknown sherds. The coarse earthenware group includes four black-glazed redware sherds, nine red coarseware sherds, one Staffordshire mottled sherd, and four other/unknown sherds.
The refined earthenware assemblage includes 24 (4%) creamware, 193 (30%) pearlware, 349 (54%) whiteware, 64 (10%) ironstone, two unknown refined earthenware with glaze detached, three refined redware, six yellow ware, and two Rockingham/Bennington sherds. Of the whiteware sherds, 59% are undecorated. The remainder of the whiteware assemblage includes transfer-printed, hand-painted, edge-decorated, dipped, sponged, decalcomania, and indeterminate sherds. The whitewares date from the early nineteenth through the early twentieth century. The pearlware sherds are transfer printed, hand painted, edge decorated, dipped, or undecorated, and date from 1780 to 1830.
The glass assemblage contains 1,793 container fragments (81% of the sample), 17 table glass fragments and 6 tumbler fragments (1%), 208 window glass fragments (9%), 2 mirror glass fragments, 42 lighting glass
fragments (2%), and 158 fragments of an unidentifiable type (8%), 135 of which were heat altered. The glass assemblage also includes a large amount of conglomerate glass. The glass assemblage dates from the early nineteenth through the mid-twentieth century.
The 692 metal artifacts recovered from the 1700 block date from the 1820s to present. Nails make up 82.5% (571) of the total and include 12.4% (71) machine-cut nails, 14% (80) wire nails, and 73.6% (420) unidentifiable nails. The assemblage also includes a Gunther Premium Dry beer can, a metal Johnson's Wax top, a car cigarette lighter and a cup hook, all of which date to the mid-twentieth century.
CONCLUSIONS
The right-of-way for the proposed widening of Duke Street (Route 236) between Henry and Elizabeth streets (1100 to 1900 blocks) in Alexandria, Virginia, encompasses a small portion of a 6,000-acre tract of land that was originally patented to John Howsing during the early to mid-eighteenth century. The 6,000-acre tract was subdivided and changed hands several times from the mid-eighteenth to early nineteenth century.
In 1749, the city of Alexandria was established as an inland port along the Potomac River. By the beginning of the nineteenth century the town extended as far west as Henry Street, which marks the beginning of the project area. The land encompassing the project area was on the periphery of Alexandria until its annexation into the city in the early twentieth century.
The land within the right-of-way on either side of Hooff Run was owned by two local entrepreneurs. During the middle to late eighteenth century, the land on the east side of Hooff Run included John Wise's Spring Garden Farm, and the land located west of the creek included John West's acreage. In 1796, the two sections of land were subdivided into ½-acre lots and sold as residential and commercial properties.
In 1848, the O&ARR railroad complex was established on the south side of Duke Street in the 1100 and 1200 blocks. In 1861, Federal troops occupied Alexandria and immediately established a 12-block USMRR complex atop the conscribed O&ARR property. The USMRR complex served as
a major supply depot and transportation link to the northern theater of conflict. A 10-ft-high palisade wall was built around the entire railroad complex, with bastions placed at strategic vantage points. After the war the Union army dismantled all military buildings associated with the complex. The property reverted back to the O&ARR and its subsequent owners and served as a viable transportation network through the mid-nineteenth century when the facility was abandoned.
In 1796, the village of West End was established on either side of the Little River Turnpike (Duke Street) between Hooff Run and the first turnpike tollgate near Shooters Hill. Construction of the turnpike was completed by 1815, and the turnpike served as a major east-west transportation route from the farms and markets in the interior to Alexandria's port facilities on the Potomac. The village of West End served as an independent industrial, commercial and residential suburb on the periphery of Alexandria until it was annexed in 1915.
This archeological report documents several cultural features and archeological sites within the proposed project corridor. The cultural resources recorded during the block by block evaluation include several features with limited contextual integrity and two potentially significant archeological sites (the United States Military Railroad Complex, 44AX105, and the Bontz site, 44AX103), which represent long-term commercial or residential occupations.
**Locomotive Turnaround (1100 Block)**
This feature is associated with the mid-nineteenth-century railroad complex. Documentary information indicates that the base of the feature was approximately 10 ft below grade and measured 70 ft in diameter. Documentary information suggests that a brick wall surrounded the wooden turnaround. During archeological testing, two beams from the trestle were recovered (Plate 3). These beams were attached by one large bolt; the smaller beam was set at a $45^\circ$ angle to the larger beam. The larger beam measured 13 in. sq by 14 ft long. The smaller beam measured 8 in. sq by 3 ft long. Four wooden pegs were inserted into the larger beam behind the point where the two beams were attached.
The documented structure was apparently razed immediately following the Civil War. The two beams were located in a mixed fill deposit.
**Wooden Drain Culvert (1100 Block)**
The wooded culvert represents a drain associated with either the Little River Turnpike or the USMRR complex. The 30-ft-long feature was observed at the base of trench I, which was placed parallel to Duke Street. A 5-ft-sq test unit was placed across the feature to examine its construction. The culvert was built with 1x8-in. wooden side boards nailed to a wooden base to form a long, U-shaped drainage system. The culvert was apparently left open since no evidence of a top board was found (Figure 11). The nails were machine cut and date from the early to late nineteenth century. Artifacts recovered from the fill adjacent to the feature include ironstone, whiteware, yellow ware, Rockingham ware, hard-paste porcelain and numerous indeterminate glass fragments. The assemblage dates from the mid to late nineteenth century.
**Possible Early Nineteenth-Century Residence (1200 Block)**
A post stain measuring approximately 19 x 23 in. across was identified on the block and may represent the only remains of an early nineteenth-century residence that was documented during the archival search. Artifacts associated with this feature include two creamware sherds and one pearlware sherd.
An irregular depression was identified which contained fragments of brick, ceramics and oyster shell. The ceramics include creamware, pearlware and coarse earthenware sherds. This feature may be associated with the documented early nineteenth-century occupation of this block.
**Commissary Department Buildings (1200 Block)**
The USMRR complex included a commissary department which occupied the entire 1200 block. Documentary information indicates that the complex included a bakery, a kitchen, a mess hall, a barn, a stable and
several other unidentified buildings. A review of military maps suggests that four of the buildings (the bakery, mess hall, barn and one unnamed building) were located in or near the proposed right-of-way.
Archeological testing identified a series of eight post stains in the approximate location where the north and south walls of the commissary buildings were expected. A military map of the USMRR complex was superimposed atop the base map and illustrates the placement of the post stains in relation to the location of the buildings (Figure 13).
All but one of the post stains were rectangular, measuring approximately $19\frac{1}{4} \times 22$ in. across and ranging from 4-19 in. deep. Post molds within the post stains measured 6-8 in. in diameter. One larger post stain measured $38 \times 55$ in. across and was 24 in. deep.
A small depression was identified which contained creamware, pearlware, whiteware and a small cast-iron pot. The function of the feature is unknown.
**Late Eighteenth- to Early Nineteenth-Century Residences (1700 Block)**
Documentary research identified two late eighteenth- to early nineteenth-century buildings near the southwest corner of the intersection of Duke and Holland streets in the village of West End. Archeological testing identified the brick foundations of two buildings. Documentary information indicates that the easternmost structure (building #1) was a frame house, while the westernmost structure (building #2) was brick.
Portions of the west, south and central foundation walls of building #1 were identified during the excavation. Documentary information suggests that the building measured $25 \times 30$ ft, with an addition measuring $15 \times 20$ ft centered along the south wall of the original building. A map drawn in 1845 illustrates a square house (Ewing 1845), while Hopkins' 1879 map shows a structure with an addition (Figure 6).
The brick west foundation wall, identified in trenches I and V, was a 9-in.-wide stretcher course (Plate 4). A small section of brick laid in a soldier course was observed near the southwest corner of the
foundation. This section of bricks may represent a repair of the foundation wall.
The south foundation wall of the addition was identified in a 5-ft-sq test unit placed in the bottom of trench II. The wall measured 9 in. wide, with stretcher course construction. Another 5-ft-sq test unit was excavated at the bottom of trench V to expose the intersection of the south foundation wall of the main building with the east foundation wall of the addition.
The westernmost structure (building #2) extends to the south out of the right-of-way. The dimensions of the entire structure were not determined during the investigation. The placement of several utility lines has disturbed sections of the brick foundation.
The south foundation wall of building #2 was exposed in a 3-ft section of trench IV (Figure 20). The 9-in.-wide foundation wall was built with stretcher course construction. The foundation wall apparently extended to the east and had been disturbed by utility line placement.
A porch or cellar entrance was identified in trenches IX and X (Figure 20). The feature was excavated to a depth of 2 ft below the top of the foundation. The wall was built using American common bond construction. The top four courses were a single brick wide and had apparently been added to the underlying courses which were 9 in. wide. The foundation wall extended to the south but had been disturbed by the placement of a utility line.
A 4-ft-long section of bricks, identified in trench XI, was part of the south foundation wall of an addition to the main residence (Figure 20). The section was only a single brick deep and was laid in a soldier course.
A 10-ft-long section of the west foundation wall of the addition was exposed in trench XII (Figure 20). Only a single layer of bricks remained, laid in a soldier course. A small gap between the west and south foundation walls had apparently been created when the building was razed in 1958.
The Phase II significance evaluation along the proposed Duke Street (Route 236) corridor, between Henry and Elizabeth streets (1100-1900 blocks), was initiated to identify, document, and nominate potentially significant cultural resources to the National Register of Historic Places. The sites were evaluated to assess their potential for yielding significant information toward the understanding of local, state or regional history. Cultural resources are considered eligible for nomination to the National Register of Historic Places if they are determined significant in the areas of American history, architecture, archeology, engineering or culture (U. S. Department of the Interior, National Park Service [USDI, NPS] 1982:1). Sites are considered significant if they meet one or more of the four basic guidelines established by the National Register Division. Significant sites are those that possess integrity of location, design, setting, material, workmanship, feeling, and association, and (A) are associated with events that have made a significant contribution to the broad pattern of our history; or (B) are associated with the lives of persons significant in our past; or (C) embody the distinctive characteristics of a type, period, or method of construction, or represent the works of a master, or possess high artistic values, or represent a significant and distinguishable entity whose components may lack individual distinction; or (D) have yielded or may be likely to yield information important in prehistory or history (USDI, NPS 1982:17-33).
The five documented blocks along the Route 236 corridor were assessed under Criterion D. The evaluation process was based on (1) the integrity of the subsurface cultural features, (2) context (i.e. age, spatial distribution and function), and (3) content (pertinent documentary information regarding cultural deposits at individual sites).
The archeological investigation revealed that the cultural features on the 1100, 1300 and 1400 blocks do not possess the necessary contextual integrity to meet the evaluation criteria. These three blocks contain few examples of intact cultural features associated with
the documented early to mid-nineteenth-century occupation. The archeological evaluation revealed that urban development has severely disturbed the cultural deposits in these three blocks.
The original landscape has been altered by several cut and fill episodes in the area's 150-year built history. Archeological and documentary evidence indicates that these three blocks have had 3-5 ft of the original landform removed in some areas and approximately 20 ft of fill deposited in other areas. Therefore, archeological remains cannot be definitely associated with specific periods of occupation. In addition, cultural features associated with the documented early nineteenth-century occupation were not identified during the investigation.
Since the Phase II archeological and documentary investigation identified no significant cultural resources in the 1100, 1300 and 1400 blocks, and since sufficient documentation was provided by the evaluation, JMUARC recommends that, following a review by the VDHL, no further evaluation of the 1100, 1300 and 1400 blocks be undertaken. The proposed highway construction can proceed as scheduled without direct impact to the cultural resources data base.
The cultural features associated with the 1200 and 1700 blocks are considered potentially significant and eligible for nomination to the National Register of Historic Places. The USMRR site (44AX105) and the Bontz site (44AX103) were evaluated under Criterion D standards and should yield information important to local history.
The USMRR complex was a large Civil War period depot on the western periphery of Alexandria. Activities at the complex had a direct impact on the outcome of the war and the economy of Alexandria during the conflict. The Union army built a large, 12-block fortified installation around the conscripted O&ARR complex. The railroad fortification contained a roundhouse, train sheds, supply buildings and a large commissary complex. The depot was a staging area for troops and supplies awaiting transport to campaigns in Virginia. The surrounding area was a service center for the Union army. The town of Alexandria became a hub of activity. Several hospitals, campsites, a Confederate prison, and a Soldier's Rest were established in the vicinity.
The USMRR site provides an opportunity to investigate the remains of a significant military railroad installation. The cultural deposit at the USMRR site (44AX105) meets the evaluation criteria for content, context and integrity. The identification of intact cultural features and an occupation floor indicates that the site can provide significant information concerning the physical remains of the military fortification and associated buildings.
The site should yield important information concerning the Civil War occupation of the area. Comparable archeological sites are few; the impact of nineteenth-century urban development around the Commonwealth has diminished the available cultural resources data base. In addition, modern urban development within Alexandria and the vicinity has extensively impacted the remaining 11 blocks of the railroad complex.
Therefore, JMUARC recommends that, following a review by the VDHL, this potentially significant archeological site undergo further evaluation. The site should provide information concerning transportation networks, the spatial distribution of building, the local economic environment, and land use patterns during the mid-nineteenth century. Further archeological testing on the 1200 block should also investigate the documented pre-Civil War occupations; documentary research revealed evidence of several earlier occupations, including a brickyard industry and residential properties constructed by William Hartshorne in the early nineteenth century.
The Bontz site (44AX103) is located on the southwest corner of the intersection of Duke and Holland streets. The site is located in an area which was known as the village of West End until it was annexed by Alexandria in 1915. The village served as a residential, commercial and industrial suburb on the western periphery of the city. The growth of West End was directly influenced by the development of the Little River Turnpike.
The Bontz site contains the remains of two early to mid-nineteenth-century residential properties. It provides an opportunity to research the partially intact remains of two early, potentially significant residences in the village of West End. The cultural deposit at the
Bontz site meets the evaluation criteria for content, context and integrity.
Further evaluation of the cultural features at the Bontz site should provide information of local and regional significance. Previously compiled archeological and documentary information concerning the village of West End is limited. Investigation of the Bontz site should provide new insight into a largely undocumented, peripheral service community of Alexandria. Presently, the western periphery of Alexandria, including West End, is undergoing further urban development and is in danger of losing potentially significant cultural resources.
Therefore, JMUARC recommends that, following a review by the VDHL, further evaluation of this potentially significant archeological site be undertaken. The site should provide information concerning transportation networks, spatial distribution patterns, the local economic environment, the social status of occupants and land use patterns during the mid-nineteenth century. Further archeological research in the area can provide information for comparative studies with similar sites within Alexandria and other peripheral communities in the region. Further documentary research should provide a statewide and regional context for the development of West End, as well as site-specific information on the Bontz site.
APPENDIX A
INITIAL OWNERSHIP, DATES OF SALE AND IMPROVEMENTS TO WEST END LOTS
APPENDIX A
INITIAL OWNERSHIP, DATES OF SALE AND IMPROVEMENTS
TO WEST END LOTS*
*Lot numbers in parentheses correspond to lot numbers on Figure A:1; lot numbers in brackets represent numbers given to John West's original ¼-acre subdivision lots.
(1) William Lyles
(2) Ludwell Lee, 1795
(3) William Simpson, 1794; dwelling by 1796 - Catt's Tavern; east half sold to John Simpson, 1799; 2 houses by 1823
(4) Philip Richard Fendall and Charles Lee, 1787
a. Jacob Heineman, 1793; dwelling and slaughter house by 1796; a brick dwelling on western border by 1821
b. John Longden, 1793; brick dwelling by ca. 1796; slave prison complex; Joseph Bruin, 1844 to Civil War
c. Richard Weightman, 1795; divided 1819, east half - Butts and Cawood, merchants, probable store; west half - Betzold and Diez, 1823-1856, probable business
d. John White; Betzold and Diez, 1818, buildings by 1818
e. Lee heirs, 1867; blacksmith shop by 1878
f. Lee heirs, 1867
(5) Lawrence Hooff, 1792
(6) Jacob Heineman, 1803; pasture and stables by 1825
(7) Josiah Williams, 1794
(8) Hanson Thomas, 1797; stable by 1851
(9) Andrew Rounsaville, 1802
(10) Giles Baker, 1796, brick dwelling ca. 1796
b. Moses Kenny, 1801, frame dwelling by 1817
(11) Matthew Robinson, 1797, house by 1798
(12) Thomas Richards, 1797; John Limerick, 1797, house by 1807
a. Prèsley Jacobs, 1798, house ca. 1799
(13) [3, 4, 13, 14] Richard Hewitt, 1796; Frederick Trydal, 1806, house by 1834
a. Eliabeth Lyles, 1834, house by 1834
b. John Gadsby, 1805, house or tavern ca. 1805
(14) [5, 12] William Hoye, 1796
(15) [6, 11] Thomas White, 1796; Henry Zimmerman, frame house by 1819
(16) [7, 10] Charles Jones 1796; Bartholomew Rotchford, 1824, barn by 1850
(17) [8, 9] Patrick Byrne, 1796; Charles Jones, 1797; coach making 1797-1799
a. John Simpson, 1798, two-story frame house before 1798, store by 1870
b & c. Strauss and Klein, 1838, brewery 1838-1892
(18) Gilbert Simpson, 1801
(19-21) Boundaries unclear - Joseph Fagan, 1795; Henry Zimmerman, 1801
Beale Fowler, 1800, several houses and a slaughter house built ca. 1810
(22) Hugh West to Nicholas Hingston, 1800
(23) Hugh West to William Yeaton, 1800
(24) Bartholomew Rotchford, by 1850
(25) [17] Charles Jones, 1796
(26) [25] Thomas White, 1796
(27) [26] Patrick Byrne, 1796
(28) [19, 27] Matthew Robinson, 1796
(29) [20, 28] Matthew Robinson, 1797
(30) Allen Davis, 1797
(31) [21, 22, 29, 30] Matthew Robinson, 1796, tenements by 1829, gone by 1879
(32) John Bowling, 1797, house by 1879
(33) John Zimmerman
(34) Simon Thomas, 1797; Henry Hursey, 1798, house by 1826
(35) James Tyler, 1804
(36) James Cloud, 1820s
(37) Bartholomew Rotchford, 1828, 1829
PROPERTY OWNERSHIP
IN THE VILLAGE OF WEST END
Figure A:1. Map showing the initial subdivision of lots in the village of West End.
BIBLIOGRAPHY
Abdill, George
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Anonymous
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WEST END OF ALEXANDRIA.
Scale 400 feet to an in
BUSINESS NOTICE
Chas Arnold
House Painting of all descriptions
Near Falls Ch.Station.
Hopkin's
1877 |
Navigating clinical trials and supply chain disruptions during the COVID-19 pandemic
What life sciences companies need to know
April 14, 2020
Agenda
How teams can maintain clinical trial continuity through various remote/virtual or centralized solutions
Supply chain disruption and strategies organizations can adopt to ensure trial participants have uninterrupted access to study drug
The future state of clinical affairs and the key considerations companies should make now to adapt to the new normal
Agenda
How teams can maintain clinical trial continuity through various remote/virtual or centralized solutions
Supply chain disruption and strategies organizations can adopt to ensure trial participants have uninterrupted access to study drug
The future state of clinical affairs and the key considerations companies should make now to adapt to the new normal
Clinical trials
Key considerations to determine what is required to conduct clinical research during a pandemic.
What are the short and long term implications? Are you prepared for a new way of engaging patients?
How is the industry responding to COVID-19
- Widespread concern
- Significant delays
- Suspending enrollment
- Continuing some trials on a study to study basis
- Trying to identify best paths forward
Should you continue a trial if there’s evidence of a reasonable benefit?
- Assess risk/benefit of coming to the hospital vs. not getting care
- Assess likelihood of benefit in continuing research
- Determine viability of remote and/or decentralized options
Regulatory guidance documents are flexible
- Patient safety
- Consideration of decentralized/virtual trials
- Changes to existing protocols
Continuing trials will require new rules of engagement
- Patients first
- Shift in priorities from individuals to protecting the community
- Keep people out of hospitals (elective surgeries cancelled)
- Minimize exposure to virus
- Free up health care personnel for clinical duties
- Is this the “new normal”
Guiding framework for determining whether to continue a clinical trial
COMPREHENSIVE APPROACH
Obsession with patient safety
- No simple answers
- Risk will vary across:
- Studies
- Locations
- Sites
- Integrity of supply chain
- Record protocol deviations and get to know your IRB chairs!
Protocol changes and the IRB
Informed consent
Decentralized/Virtual trials
Shipping study product
Guiding framework for determining whether to continue a clinical trial
**COMPREHENSIVE APPROACH**
- **Obsession with patient safety**
- No simple answers
- Risk will vary across:
- Studies
- Locations
- Sites
- Integrity of supply chain
- Record protocol deviations and get to know your IRB chairs!
- **Protocol changes and the IRB**
- Changes to previously approved research:
- Visits
- Onsite to telemedicine
- Lab collection
- Administration of study product
- Other changes that impact safety or integrity
- **Informed consent**
- **Decentralized/Virtual trials**
- **Shipping study product**
Guiding framework for determining whether to continue a clinical trial
**COMPREHENSIVE APPROACH**
- **Obsession with patient safety**
- No simple answers
- Risk will vary across:
- Studies
- Locations
- Sites
- Integrity of supply chain
- Record protocol deviations and get to know your IRB chairs!
- **Protocol changes and the IRB**
- Changes to previously approved research:
- Visits
- Onsite to telemedicine
- Lab collection
- Administration of study product
- Other changes that impact safety or integrity
- **Informed consent**
- Re-consent is required if change impacts participation
- New information
- Revised consent
- Addendum
- Memo
- Orally
- Least burdensome approach
- **Decentralized/Virtual trials**
- **Shipping study product**
Guiding framework for determining whether to continue a clinical trial
**COMPREHENSIVE APPROACH**
- **Obsession with patient safety**
- No simple answers
- Risk will vary across:
- Studies
- Locations
- Sites
- Integrity of supply chain
- Record protocol deviations and get to know your IRB chairs!
- **Protocol changes and the IRB**
- Changes to previously approved research:
- Visits
- Onsite to telemedicine
- Lab collection
- Administration of study product
- Other changes that impact safety or integrity
- **Informed consent**
- Re-consent is required if change impacts participation
- New information
- Revised consent
- Addendum
- Memo
- Orally
- Least burdensome approach
- **Decentralized/Virtual trials**
- What can be done remotely?
- Logistics (privacy, data security, etc.)
- Regulatory considerations
- Scientific considerations
- **Shipping study product**
Guiding framework for determining whether to continue a clinical trial
**COMPREHENSIVE APPROACH**
- **Obsession with patient safety**
- No simple answers
- Risk will vary across:
- Studies
- Locations
- Sites
- Integrity of supply chain
- Record protocol deviations and get to know your IRB chairs!
- **Protocol changes and the IRB**
- Changes to previously approved research:
- Visits
- Onsite to telemedicine
- Lab collection
- Administration of study product
- Other changes that impact safety or integrity
- **Informed consent**
- Re-consent is required if change impacts participation
- New information
- Revised consent
- Addendum
- Memo
- Orally
- Least burdensome approach
- **Decentralized/Virtual trials**
- What can be done remotely?
- Logistics (privacy, data security, etc.)
- Regulatory considerations
- Scientific considerations
- **Shipping study product**
- U.S. to home
- E.U. to pharmacy
- Depends on compound
- Understand federal and state restrictions
Agenda
How teams can maintain clinical trial continuity through various remote/virtual or centralized solutions
Supply chain disruption and strategies organizations can adopt to ensure trial participants have uninterrupted access to study drug
The future state of clinical affairs and the key considerations companies should make now to adapt to the new normal
Healthcare supply chain issues – General
- Healthcare supply chains have continually shrunk inventory stores
- Pharmaceuticals: 195-250 days of stock outside of China
- PPE: 55-75 days of stock outside of China
- Medical supplies: 70-110 days of stock outside of China
- Production volume is dependent on demand forecasts
- Critical pieces of downstream supply chain information are unknown and voluntarily reported
- Raw material suppliers, third-party and contract manufacturers, sterilizers, etc.
- Restricts supply chain visibility and creates risk
- Reliance on offshore manufacturing disrupts medical supply in periods of high demand
- Most of the global top 10 medical device companies have their manufacturing centers in China
- 80% of pharmaceutical active ingredients are imported from China
- China, South Korea, India and Taiwan are blocking exports of medical supplies*
Current supply impacts – COVID-19
- By mid-February 2020, global demand for safety gear for providers was 100 times higher than normal, with a four to six month backlog.
- Raw material shortages restrict production of medical devices, regardless of factory operating capacity.
- Intervention by the U.S. government:
- Department of Homeland Security established a procurement team to support and streamline acquisitions.
- The Federal Emergency Management Agency (FEMA) and Department of Health and Human Services (HHS) created the Supply Chain Stabilization Task Force to help close the supply/demand gap for key response priorities.
Key known shortages:
- COVID-19 test kits
- Medical gloves
- Respirators
- Integrated circuits
- Thermometers
- Aluminum
Long-term supply chain impacts – COVID-19
1. Need for increased geographic diversity of manufacturers
- Though it may lead to price increases, manufacturing in various locations can mitigate the possibility of disruptions.
- Future regulations may push medical and pharmaceutical manufacturers back to the U.S.
2. Stockpiling of essential items can reduce the impact of supply chain disruptions
- This creates shelf-life challenges, and will likely require legislation to be implemented.
3. Reporting requirements for medical device manufacturers
- Medical device manufacturers are not required to inform the Food and Drug Administration (FDA) when they become aware of a situation that could lead to shortage or supply chain disruptions.
- Manufacturers are not required to respond to FDA inquiries on device availability.
COVID-19 impact on clinical trials
**Planning**
- Supply chain stability is not guaranteed
- Entire trial needs to be planned and materials allocated to mitigate risks
- Creative delivery methods need to be considered for successful trials
**Regulatory**
- Review of regulatory requirements around clinical trials
- Review of accepted norms
- Early engagement with regulatory bodies to discuss changes of having participants receive products
**Execution**
- Increased inventory carrying costs associated with clinical trials
- Relationship establishment to facilitate alternative approaches
- Alternative delivery value chains (see continuum slide)
Potential continuum of clinical trials methodology post-coronavirus
CONCLUSION: Future trials are likely to be a hybrid of the above methods and be highly variable depending on trial specifics.
Agenda
How teams can maintain clinical trial continuity through various remote/virtual or centralized solutions
Supply chain disruption and strategies organizations can adopt to ensure trial participants have uninterrupted access to study drug
The future state of clinical affairs and the key considerations companies should make now to adapt to the new normal
COVID-19 will cause permanent disruption to commercial models
Life Sciences will be the global steward leading the world economy through this crisis and the ensuing recession. Constraints on how the industry engages with physicians and health-systems will endure well beyond the current crisis. The markets will not change, however, accessing them will be more difficult.
- Commercial teams will need to define alternative means to provide product and disease education.
- Consideration will also need to be given to the role of field-based sales representatives and medical and scientific liaisons.
- As commercial engagement rapidly transitions to virtual, the human capital will be dramatically different.
Engagement with HCPs and HCOs
Restricted access to prescribers and hospitals will accelerate changes to the commercial model and engagement strategy.
**Disease and product education**
- Assess markets to identify virtual disease and product education opportunities
- Develop content that can be delivered via virtual meetings
- Shift focus to primary care physicians who may be seeing more acute patients as specialists will be more difficult to reach
**Product sampling**
- Engage sample management vendor to implement procedures for direct sampling
- Establish portal for HCP sample requests and diligence
- Determine how to retain the direct access to target HCPs sampling historically provided
**HCO engagement**
- KAM feedback on HCO impact and needs
- Identify passive product and disease education opportunities
- Interaction at the institutional level more important as HCPs work through non-COVID backlog
Accelerating trends already taking hold in the market
The rapid societal changes ushered in by the COVID-19 pandemic in many ways accelerate structural transformations already changing the way industry engages with and supports the healthcare delivery system.
- Rise of telemedicine increases the potential patient population seen by a HCP, creating the potential for greater specialty segmentation and opportunity to engage with more focused KOLs.
- Greater emphasis on patient support networks to provide ongoing guidance to vulnerable patients, especially if there are delays in vaccine development.
- Residual anxiety will close off traditional commercial access points and increase the value HEOR and formulary adoption.
Disclosure
The information provided here is of a general nature and is not intended to address the specific circumstances of any individual or entity. In specific circumstances, the services of a professional should be sought.
Baker Tilly Virchow Krause, LLP trading as Baker Tilly is a member of the global network of Baker Tilly International Ltd., the members of which are separate and independent legal entities. © 2020 Baker Tilly Virchow Krause, LLP. |
Burning Phases Separation by Application of Clustering Algorithm to Hybrid Rocket Combustion Data
By Anna PETRAROLO,¹) Alexander RUETTGERS,²) and Mario KOBALD¹)
¹) German Aerospace Center (DLR), Institute of Space Propulsion, Propellants Department, 74239 Hardthausen, Germany
²) German Aerospace Center (DLR), Simulation and Software Technology, High-Performance Computing Department, 51147 Cologne, Germany
K-means is a clustering algorithm that allows the classification of data into specific groups or clusters. Data points belonging to the same cluster are more similar (same properties and/or features) to each other than those in other groups. In this study, K-means++ clustering, an improved variant of the K-means clustering, was applied to hybrid rocket combustion data, in order to get insights into the complex flow phenomena. Hybrid rocket propulsion is a promising technology for many applications, because it allows for cost reductions, still being able to deliver similar performance as solid and liquid propulsion. However, the complex fluid dynamic and combustion phenomena taking place in the hybrid rocket combustion chamber are not fully understood yet and still a matter of ongoing research. In the last years, many combustion tests with different paraffin-based fuels were performed at the German Aerospace Center (DLR) with an optically accessible combustion chamber. For gaining a better insight into the combustion process, the tests were captured with a high-speed video camera. This led to a huge amount of data images for each test, which needed to be analysed in detail. In the framework of this study, the combustion data set was clustered with a K-means++ algorithm. From the results it is possible to observe that different clusters, corresponding to different combustion phases, were identified by the algorithm. A dependency of the combustion flame behaviour on the oxidizer mass flow and fuel composition was also found.
Key Words: Hybrid Rocket Combustion, K-means algorithm, Clustering, Optical Investigations
Nomenclature
\[
\begin{align*}
C &= c_k & \text{cluster, [-]} \\
J &= \text{squared error, [-]} \\
K &= \text{number of clusters, [-]} \\
X &= x_i & \text{set of data points, [-]} \\
d &= \text{problem dimension, [-]} \\
n &= \text{dimension of the set of data points, [-]} \\
\alpha_k &= \text{weight factor, [-]} \\
\mu_k &= \text{mean of cluster } c_k \text{ (centroid), [-]}
\end{align*}
\]
1. Introduction
Hybrid rocket engines have several advantages compared to classical solid or liquid rockets. Due to the fact that the propellants are stored in two different states of matter, hybrid motors are safer than solid motors. This also contributes to reduce the total costs of the engine. Moreover, they are characterized by controllable thrust, including shut off and restart capability. With respect to liquid engines, they are mechanically simpler and, consequently, cheaper. Finally, their performance are in between those of solid and liquid engines. However, due to the diffusion limited combustion process typical for this kind of engines (the propellants are not pre-mixed, but they need to gasify and mix with each other before being able to react), hybrid systems using conventional polymeric fuels are characterized by poor regression rate performance (resulting in low thrust level). In order to overcome this problem, the so-called liquefying hybrid rocket fuels, such as paraffin-based ones, can be used. These fast burning fuels are characterized by low viscosity and surface tension and they experience a different combustion mechanism with respect to conventional polymeric fuels. During the combustion, instead of pyrolysing, they form a thin liquid layer on the fuel surface, which becomes unstable due to the high-speed gas flow in the fuel port. The liquid layer instabilities produce, in turn, droplets that entrain in the gas flow, thus working like a spray injection along the length of the motor. This causes an increase in the fuel burning area and, consequently, an increase in the regression rate of the fuel grain. Unfortunately, the entrainment phenomenon in hybrid rocket combustion process is still a matter of ongoing research and not yet fully understood.
For a better understanding of the experiments, the combustion process has been captured with a high-speed video camera that is able to capture 10 000 frames per second. This produces a huge amount of data, which needs to be analyzed in detail. Therefore, it is important to group the images into subsets such that the essential flow structures and their length in time can be identified. In each combustion test, at least three different flow phases are expected, which correspond to the ignition phase, the steady combustion state and the extinction of the flame. Furthermore, turbulent or other irregular structures might exist in the dataset. Even if these turbulent structures only exist within a short period of time, they might strongly affect the overall combustion behaviour. Therefore, a clustering of the dataset is required, which is able to group the data into separate flow phases and furthermore to detect strongly irregular combustion phenomena.
In this work, K-means++, an improved variant of K-means clustering, using the Euclidean metric is applied to the combustion data. Since the number of clusters \( K \) is not known in advance, a detailed analysis has been performed to estimate \( K \) in each experiment. As a result, it is shown that there is not a single optimal choice for \( K \) in our dataset but that for each
experiment several values should be considered. This results can be generalized to the clustering of experimental datasets in other areas of fluid dynamics. The analysis gives detailed insights into the combustion process and allows to identify optimal experimental configurations for future experiments.
2. Data Clustering
The goal of data clustering is to discover the natural grouping of a set of objects. Practically, given a representation of $n$ objects, the clustering algorithm finds $K$ groups based on a measure of similarity such that the similarities between objects in the same group are high, while the similarities between objects in different groups are low.\textsuperscript{5} Of course, there is not a unique notion of similarity. The clusters can differ in terms of their shape, size and density. The presence of noise in the data makes the detection of clusters even more difficult. In fact, an ideal cluster is composed of a set of points that is compact and isolated. In reality, a cluster is a subjective entity that is in the eye of the beholder and whose significance and interpretation requires domain knowledge. It is also important to underline there is no best clustering algorithm. Each algorithm imposes a structure on the data either explicitly or implicitly. When there is a good match between the model and the data, good partitions are obtained. Since the structure of the data is not known a priori, it is important to try different approaches to determine an appropriate algorithm for the data to analyze.\textsuperscript{5} Clustering algorithms can be generally divided into two groups:
- \textit{hierarchical}, which recursively find nested clusters either in agglomerative mode or in divisive mode;
- \textit{partitional}, which find all the clusters simultaneously as a partition of the data and do not impose a hierarchical structure.
The most well-known and simplest partitional algorithm is K-means. Let $X = x_i, i = 1, ..., n$, be the set of $n$ dimensional points to be clustered into a set of $K$ clusters, $C = c_k, k = 1, ..., K$. K-means algorithm finds a partition such that the squared error between the empirical mean of a cluster and the points in the cluster is minimized. Let $\mu_k$ be the mean of cluster $c_k$. The squared error between $\mu_k$ and the points in cluster $c_k$ is defined as:
$$J(c_k) = \sum_{x_i \in c_k} \|x_i - \mu_k\|^2$$ (1)
The goal of K-means is to minimize the sum of the squared error over all K clusters,
$$J(C) = \sum_{k=1}^{K} \sum_{x_i \in C_k} \|x_i - \mu_k\|^2$$ (2)
The minimization of this objective function leads only to a local minimum, even though there is a large probability that K-means could converge to the global optimum when clusters are well separated.\textsuperscript{11} K-means starts with an initial partition with $K$ clusters and assigns patterns to clusters so as to reduce the squared error. Since the squared error always decreases with an increase in the number of clusters $K$ (with $J(C) = 0$ when $K = n$), it can be minimized only for a fixed number of clusters.\textsuperscript{11}
The combustion dataset is clustered with a K-means++ algorithm\textsuperscript{2} that bases on the classical K-means algorithm.\textsuperscript{11,12} K-means++ and K-means only differ in the initialization of the cluster centroids. In contrast to K-means, K-means++ reduces the probability that the algorithm terminates with local optimal findings for min($J$) as final output. This is achieved by using an improved seeding algorithm. K-means++ takes only the first centroid from a uniform random distribution. Then, all further cluster centroids are taken randomly from a weighted probability distribution that scales with the squared distance to the closest centroids that have already been chosen (see Arthur and Vassilvitskii\textsuperscript{2} for a more detailed description). In average, this leads to a more homogeneous distribution of the initial centroids. Furthermore, it can be shown that the objective function $J$ of the initial centroids chosen by K-means++ differs from the objective function of the optimal clustering only by a factor of $O(\log K)$ in expectation. Nevertheless, all experiments in Section 4, are clustered with ten independent runs of K-means++ to avoid obtaining local optimal solutions.
Next, we motivate the choice of a K-means type clustering for our specific problem. Since each observation $x_i \in \mathbb{R}^d$ corresponds to a $d$-pixel grayscale image represented by integer values, the dimensionality $d$ of the problem is high. Nevertheless, the Euclidean metric is widely used to quantify the difference of two images. It is known from the literature that the Euclidean metric is prone to the so-called “Curse of dimensionality” for high-dimensional data, cf. Steinbach et al.\textsuperscript{13} This can be a severe problem for density-based clustering such as DBSCAN\textsuperscript{4} or OPTICS\textsuperscript{1} in which an $\epsilon$-neighbourhood has to be specified, since a close to optimal choice for $\epsilon$ can be difficult in practice. To avoid this problem, a K-means type clustering has been chosen, in which the number of clusters $K$ instead of the parameter $\epsilon$ has to be predefined. For our specific application, this input quantity can be roughly estimated from background knowledge in combustion theory, whereas a parameter such as $\epsilon$ cannot. Nevertheless, since the number of clusters in the combustion dataset is not known in advance, a detailed analysis to find $K$ is necessary. This article follows a twofold approach to determine $K$.
First, different values for $K$ are clustered in a range from one up to ten. Using the different results for the minimized objective function, a function $f(K)$ is built to estimate an optimal choice of $K$. In the following, an evaluation function $f(K)$ according to Pham et al.\textsuperscript{16} is used. Using this approach, the objective function is
$$f(K) = \begin{cases}
1 & \text{if } K = 1 \\
\frac{J(K)}{\alpha_K J(K-1)} & \text{if } J(K-1) \neq 0, \forall K > 1 \\
1 & \text{if } J(K-1) = 0 \forall K > 1
\end{cases}$$ (3)
$$\alpha_K = \begin{cases}
1 - \frac{3}{4d} & \text{if } K = 2 \text{ and } d > 1 \\
\alpha_{K-1} + \frac{1-\alpha_{K-1}}{6} & \text{if } K > 2 \text{ and } d > 1
\end{cases}$$ (4)
where $J(K)$ is the optimal solution of the objective function for $K$ clusters, $d$ is the number of dimensions and $\alpha_K$ is a weight factor. The weight factor $\alpha_K$ is used to reduce the effect of the problem dimension. It converges to 1 in the limit $d \to \infty$. Therefore, in the high-dimensional application that is considered here $f(K) \approx J(K)/J(K-1)$ for all $K > 1$ and $f(K) = 1$
According to Pham et al., \( f(K) \) represents the ratio between real distortion and estimated distortion. The output of \( f(K) \) is close to 1 when the data distribution is uniform. Values of \( f(K) \) smaller than 1 reflect that the data distribution is more concentrated. As a result, a small value of \( f(K) \) is an indicator for a choice of \( K \) that gives well-defined clusters.
Second, even though the problem dimension is high, the centroids \( \mu_k \) can still be visualized and give information on the mean combustion in the corresponding clusters \( c_k \). Therefore, it is essential to give a physical interpretation of the phenomena that are shown in each cluster center. Then, the optimal number of clusters depends on the leading question. If only the main flow phases of the combustion are relevant, \( K \) can be chosen comparatively low. On the other hand, if short-time turbulent structures are relevant, \( K \) has to be chosen larger. The second approach therefore leads to an ambiguity for \( K \) but ensures that the results are relevant in practice.
3. Combustion Tests
The combustion tests were performed at the German Aerospace Center (DLR), Institute of Space Propulsion in Lampoldshausen, at the test complex M11. An already existing modular combustion chamber, used in the past to investigate the combustion behavior of solid fuel ramjets, was adjusted and used for the test campaigns at atmospheric pressure. A side view of the whole combustion chamber set-up is shown in Fig. 1. The oxidizer main flow is entering the combustion chamber from the left, after having passed two flow straighteners. The mass flow rate is adjusted by a flow control valve and it is measured with a Coriolis flow meter. A high frequency static pressure sensor is mounted in the combustion chamber. Ignition is done via an oxygen/hydrogen torch igniter from the bottom of the chamber. A test sequence, reported in Table 1, is programmed before the test and is run automatically by the test bench control system. More details about the test bench and test settings are given in Kobald et al. and Petrarolo et al.
In the framework of this research, all tests were done at atmospheric pressure and with an oxidizer mass flow ranging from 10 to 120 g/s. Combustion tests were performed using a single-slab paraffin-based fuel with a 20° forward facing ramp angle (see Fig. 2), in combination with gaseous oxygen. Two different fuel compositions were analyzed in this study: pure paraffin 6805 from the manufacturer Sasol Wax and the same paraffin with 5% mass addition of a commonly available polymer. Burning time was 3 seconds for each test. For video data acquisition a Photron Fastcam SA 1.1 high speed video camera was used with a maximum resolution of 1024x1024 pixel. The frame rate, resolution and shutter time of the camera were adjusted for each test, according to the test conditions and position of the camera. A test was also done using a CH* chemiluminescence imaging technique, with a band-pass filter centered around 431 nm placed in front of the camera. The excited CH* molecules emit photons around this wavelength, when they relax back to a lower energy state. Since high CH* concentration exists only in the main reaction zone, the resulting images provide a good indication of the instantaneous flame sheet location and topology.
In this study, five combustion tests have been analyzed. The test matrix is presented in Table 2.
| Test no. | Fuel | \( m_{O_2} [g/s] \) | CH* filter |
|---------|-----------------------|----------------------|------------|
| 234 | 6805+5% polymer | 100 | - |
| 203 | 6805+5% polymer | 50 | - |
| 243 | 6805+5% polymer | 10 | - |
| 253 | 6805 | 50 | - |
| 284 | 6805 | 50 | ✓ |
4. Results and Discussion
This section is subdivided into two parts. First, the output of the clustering algorithm is analyzed to determine the number of relevant clusters in the dataset. Second, a physical interpretation of the different clusters and their centroids is given and the results are connected to the experiments.
4.1. Analysis of the number of clusters
The experiments listed in Table 2 have been clustered with a K-means++ algorithm and different input values for $K$ up to ten. Furthermore, all runs of the algorithm with all values for $K$ have been repeated ten times to avoid obtaining local optimal minimum solutions for $J$. In all cases, the relative differences in $\min(J)$ in the different runs was below 0.5% and the obtained clusters were almost identical. Therefore, this indicates that the clustering results are optimal with respect to the Euclidean distance norm.
The algorithm was implemented vectorized in Matlab and was executed sequentially on a workstation with 128 GB main memory. A complete clustering of a single experiment with an image data size of about 8 GB integer values required about 1.5 days on the workstation. Since the combustion data was converted from integer to floating point numbers to allow a computation of the cluster centroids (arithmetic mean of all images in the cluster), the main memory requirement of the program was in the order of 60 GB. Furthermore, it is noted that the complexity of K-means type clustering increases linearly with $K$, which restricts the maximum value for $K$ in practice.
As explained in Section 2., we first determine $K$ for each experiment. For this purpose, Fig. 3 visualizes $f(K)$ as defined in Equations (3) and (4) for all experiments. In the region of $K$ that is considered, $f(K)$ always has its global minimum at $K = 2$. This indicates that there are two main structures in the combustion on the coarse scale: an ignition phase and a much longer steady combustion process. But, as known from the combustion theory, more structures can be found on a short-time scale. Furthermore, we note that $f(K = 2) \approx 0.8$ for experiment 284 but $f(K = 2) \approx 0.6$ for the experiments 203 and 253. This already indicates that more short-time phenomena can be found in experiment 284 compared to the remaining experiments. Moreover, $f(K)$ of test 284 has a local minimum for $K = 7$. Later on, it is shown that a short-time turbulence is resolved with $K = 7$ and the results will be interpreted in Subsection 4.2.. The outcome of $f(K)$ in Fig. 3 for the experiments 203, 234, 243 and 253 are not conclusive in the first place. In all cases, values for $K$ in the range $2, \ldots, 6$ can be justified. For larger values $K > 6$, further short-time structures might exist even if $f(K) \approx 1$ but the computational effort increases strongly and results cannot be achieved within a reasonable amount of time.
Since the dataset consists of images from a high-speed video camera, it is interesting to analyze the correlation between the clusters and the points in time of the corresponding images. This correlation is shown in Fig. 4 for all five combustion experiments, each with individual choices for $K$. As a first result, the K-means++ algorithm has identified structures that are connected in time and therefore can be interpreted as a separate flow phase. For a better illustration of the output, the clusters have been ordered in time such that the first cluster represents images from the first flow phase and analogously for all other clusters. Furthermore, the different scatter plots in Fig. 4 have been slightly shifted in vertical position. The reason for this shift in $y$-direction is to avoid an overlap of the different experiments. Again, it is noted that the clusters for experiment 284 differ from the remaining experiments. More precisely, cluster 6 in experiment 284 is a long-time flow phase that consists of 16980 of the 30000 images or, equivalently, exists for about 1.7 seconds in time. In the other experiments, the long-time phase has a length of about 1.2 seconds in time. Moreover, an extinction phase for about $t > 3.2$ seconds is resolved in all experiments. Since this phase only exists for a short period in time, it is allocated to the initial clusters $C_1$, $C_2$ and $C_3$. It is expected that the extinction phase can be separated into its own cluster for much larger choices of $K$.
Figure 4 lists 6 separate clusters for the experiments 234, 243, 253 and 5 clusters for experiment 203. These choices will be justified in the following. According to Fig. 3, it was concluded that $K \leq 6$. In practice, a value of $K$ that is too small has the effect that relevant flow phases are not resolved. On the other hand, if $K$ is too large the only potential drawback is that identical flow phases are separated in two clusters. But, as the separated structures are connected in time, see Fig. 4, this situation
can be identified. As a result, a comparatively large value $K = 6$ has been chosen for the experiments 234, 243 and 253 except for $K = 5$ for experiment 203. In experiment 203, the effect that an identical flow phase is separated into two clusters already occurs for $K = 6$. As an example, this effect is visualized in Fig. 5 for the clusters with $K = 5$ and $K = 7$ in experiment 203. It is obvious that the clusters $C_6$ and $C_7$ for $K = 7$ belong to the same period in time and therefore represent the same flow phase. This effect is also visible for $K = 6$ but less pronounced. As a result, experiment 203 is analyzed with $K = 5$ clusters in Section 4.2..
### 4.2. Analysis of the combustion
As already said in Section 3., five combustion tests have been analyzed in the framework of this study (see Table 2). The results obtained give many insights into the hybrid combustion process and allow to separate the different burning phases.
First of all, it is interesting to have a look at test 284. This combustion video was realized with a band-pass filter centered around 431 nm placed in front of the high-speed camera. It is generally recognized (see Devriendt et al.\textsuperscript{6}) and Schefer\textsuperscript{17}) that the primary species contributing to flame luminescence are the electronically excited species CH*, C2* and OH*. All three species show a close correspondence across the main reaction zone and are thus equally suitable as markers for the flame zone location. In particular, the concentrations of CH* increase rapidly to a maximum within the flame and then decay rapidly downstream of the reaction zone.\textsuperscript{17} Therefore, the CH* images of test 284 give a good representation of the main flame location. Fig. 6 shows the centroids belonging to the 7 clusters separated by the algorithm. A centroid of a cluster is an average image coming from all the frames belonging to that cluster. The first cluster goes from t=+0.2 until t=+0.33 seconds and it represents the initial ignition phase. In fact, until t=+0.3 seconds the valve of the torch igniter is open (see Table 1) and the gases coming from the hydrogen/oxygen combustion enter the combustion chamber from the bottom head of the fuel slab. They start gasify the fuel, which, in turn, initiates burning with the oxygen entering the chamber. Since the ignition is coming from the bottom of the combustion chamber, the first area that starts to gasify and to burn is exactly the fuel step, as it can be seen in the image of centroid 1 in Fig. 6. Clusters 2, 3 and 4 are representing the different phases of the fuel ignition transient and are going from t=+0.33 until around t=+1.23 seconds. Cluster 2 is starting directly after the closing of the ignition valves, thus no combustion gases are coming from the igniter any more and the fuel slab starts to burn without any energy addition from the outside. This is the start of a self-sustained combustion. At this point, the oxygen mass flow is not yet settled down ($\dot{m}_{O_2} < 10 \ g/s$), but it is still increasing; therefore, there is still no steady-state. As the fuel slab starts to burn, different phases can be observed in these 3 clusters: at the beginning (cluster 2) the fuel slab is burning just in the front, then, as the time goes on (and the oxygen mass flow increases $\dot{m}_{O_2} < 25 \ g/s$), it starts to burn in the middle (cluster 3) and, finally, in cluster 4 ($\dot{m}_{O_2}$ reaches 40 $g/s$), almost the whole surface is burning. It is also possible to notice that, in cluster 4, the brightness of the flame already starts going down. This means that the temperature in the combustion chamber is already quite high and a quasi steady-state flame is appearing. This could seem strange, but it is important to remember that the CH* radicals are more likely to appear at the beginning of the combustion process, when the temperature is not yet too high. Later, they are further reacting (the most likely reaction is: $CH^* + O_2 = CO + OH^*$) and, therefore, their concentration decreases while the OH* concentration increases. So, it is more likely that the brighter burning regions are seen at the beginning of the combustion (clusters 2,3,4), while during the steady-state phase (clusters 5 and 6), the concentration of the CH* decreases and so does also the flame brightness (see Fig. 7). Clusters 5 and 6 also show a more or less constant flame thickness on the whole fuel slab length. In the time window of these two clusters (between t=+1.23 and t=+3.18 seconds), the oxidizer mass flow is more or less steady (it increases from 45 to 50 $g/s$), the temperature reaches the maximum flame temperature and the flame is well settled down on the fuel slab surface. This situation does not change until the closing of the oxygen main valve and the opening of the nitrogen purge at t=+3.18 seconds, when cluster 7 starts. This last phase represents the combustion extinction phase. According to the test sequence, at t=+3 seconds, the oxygen main valve
closes and the nitrogen purge starts. In the video, it is possible to see that the nitrogen purge comes at around $t=+3.08$ until $t=+3.1$ seconds. At $t=+3.18$ seconds the flame is completely extinguished. This causes, in turn, a drop in the chamber pressure, which practically causes a suction of still-burning paraffin gases from the rear part of the fuel slab. In the video it is clearly visible that these reacting gases are coming from the back and they are travelling until the fuel slab head (see Fig. 7). So, cluster 7 represents the flame extinguish phase, where the remaining paraffin gases are still burning with the rest of the oxygen available in the combustion chamber. As it can be noticed from Fig. 4, only clusters 1 (first ignition transient), 6 (steady state) and 7 (extinction) are well separated. Clusters 2, 3, 4 and 5 contain elements that could also belong to other clusters (they are slightly overlapped on each other). This happens because the transition between the ignition transient and the steady state phase is not well defined. The flow dynamics and, consequently, the flame brightness change slowly and gradually and it is not really possible to define when one phase is finished and when a new one starts. Thus, these four clusters represent the transition between the ignition and the steady state phases. On the other hand, the transition between the steady state and the extinction phase is well defined because it begins exactly when the nitrogen purge starts (at $t=+3$ seconds).
For what concerns the test without the filter, they present more or less the same phases. The first 3 clusters (between $t=+0.5–0.7$ and $t=+1.45–1.65$ seconds, depending on the test) represent the ignition transient of the fuel slab (note that the first visible flame, which corresponds to the first self-sustained flame, is only visible starting at $t=+0.3–0.4$ seconds). The first cluster represents the initial flame, which is not yet developed over the whole fuel slab length. Actually, only in test 243, there is a brighter visible area in front of the fuel slab (see Fig. 8). It seems like a recirculation zone where most likely the paraffin gases are entrained in a kind of vortex (probably caused by the step) and start burning with the oxidizer. Then, the vortex becomes bigger (cluster 2) and more paraffin gases get entrained in the recirculation area, until the whole fuel slab burns (cluster 3). It is possible to note that in test 243 there is always a small recirculation area directly after the step, which is not burning. The oxidizer is not able to reach that area because it burns completely before and so no combustion is occurring there. It is also observed that the higher the oxidizer mass flow, the faster the ignition phase. In tests 203, 234 and 253 (see, respectively, Fig. 9, 10, 11), the flame is already developed on the whole fuel surface in cluster 2, while, in test 243 ($\dot{m}_{O_X} = 10 \ g/s$), it appears only in cluster 3 (see Fig. 8). This is due to the faster dynamics of the convection and diffusion processes, which allow a faster burning process (more turbulence, faster heat exchange, higher regression rate). Cluster 4 (between $t=+1.45–1.6$ and $t=+1.86–2.2$ seconds) represents the transition between the ignition and the steady-state, while cluster 5 (between $t=+1.86–2.2$ and $t=+3.18$ seconds) identifies the steady-state. This is easily recognizable as the longer phase, where the oxidizer mass flow has settled down to its steady state value. Only in test 253, the steady-state is divided into two smaller clusters (cluster 5 and 6). This is due to the presence of a reflection on the window (visible on the left side of the image), which changes the average brightness of the frames that are then recognized as a new cluster by the algorithm. Since the flame in these two clusters is identical, it is possible to merge them and consider them as one. As it can be noticed from Figures 8, 9, 10, 11, in all the tests there is not a big difference between clusters 4 and 5. This is again due to the fact that there is no clear distinction between the end of the ignition phase and the beginning of the steady-state. Moreover, in test 234 ($\dot{m}_{O_X} = 100 \ g/s$) and 203 ($\dot{m}_{O_X} = 50 \ g/s$), the steady-state flame is not so flat like in test 243 ($\dot{m}_{O_X} = 10 \ g/s$). This trend was
already observed during other test campaigns (see Petrarolo et al.\textsuperscript{14}), where it was showed that the flame height depends on the fuel formulation (fuel viscosity) and oxidizer mass flow. In particular, for the lower viscosity fuel (pure paraffin 6805), the flame height decreases with increasing oxidizer mass flow. On the other hand, the flame height of the fuel with the higher viscosity (6805+5%polymer) increases with increasing oxidizer mass flow. The explanation for this trend could be found in the balance between the vaporization and the entrainment regression rate, which contribute to the final total regression rate in liquefying hybrid rocket fuels. The combination of fuel viscosity and oxidizer mass flow decides which of the two regression rates plays a more important role. For the lower viscosity fuel, the droplets entrainment at high oxidizer mass flows dominates direct gasification. This brings to an important increase in the regression rate and a decrease in the liquid layer thickness (see Karabeyoglu et al.\textsuperscript{7}). Consequently, also the flame height tends to decrease. On the other hand, for the higher viscosFig. 9. Visualization of the five centroids in experiment 203.
Fig. 10. Visualization of the six centroids in experiment 234.
In cryogenic fuel (which is the case of the tests analyzed in this study), even at high oxidizer mass flows, the vaporization regression rate plays still an important role with respect to the entrainment mass transfer. This means that the evaporation blowing of the gaseous phase mass transfer from the fuel surface is still pretty high. This pushes the flame sheet further away from the liquid layer and, consequently, increases the flame height. Additionally, the steady-state flame seems to be a bit more detached from the fuel surface in test 243. This is probably also due to the different oxidizer mass flow rate. At higher mass flow rates (tests 234, 203, 253), the dynamic pressure exerted by the gas flow on the flame is higher and so the flame gets pushed towards the fuel surface. Moreover, the blowing effect from the
As it can be observed, the big differences between the tests with and without the filter are the transients. In fact, the initial ignition phase, when the ignition valve is still open (between $t=+0.2$ and $t=+0.33–0.35$ seconds), is not visible in the test without the filter (nothing is visible in the video of tests 243 before $t=+0.35$ seconds). The brightness of the combustion gases of the torch igniter is too weak to be visible without the filter. Thus, the first visible flame is that of the fuel slab itself when it starts burning. Also the extinction phase in the tests without the filter is different from that of test 284. This is, of course, also due to the filter that allows us to see only the CH* emissions.
5. Conclusion
K-means++ clustering was applied to the hybrid combustion dataset. To the best of our knowledge, this is the first application of image clustering in the specific application of hybrid rocket combustion. The analysis revealed several interesting short-time phenomena in the dataset and clearly indicate the potential of unsupervised learning techniques for the structuring of large datasets. This results could be also generalized to the clustering of experimental datasets in other areas of fluid dynamics.
In the future, a parallel implementation of the algorithm on the HPDA-cluster operated at DLR Simulation and Software Technology might remove the restrictions that were necessary to obtain results for such a large dataset within a reasonable amount of time, e.g. the limited amount of up to $K = 10$ clusters that was investigated. Larger values for $K$ might resolve further short-time structures and give further insights into the complex combustion process. Different clustering algorithms will be also investigated and compared, in order to identify the appropriate algorithm to analyze the data at hand.
Acknowledgments
This research was carried out under the project *Antriebstechnologien und Komponenten für Trägersysteme* (ATEK) by the German Aerospace Center (DLR). The support of the M11 and the propellants department is greatly acknowledged.
References
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Clark County Heritage Register Nomination Form
This form is for use in nominating or requesting determinations for individual properties and districts. See instructions in *How to Complete the National Register of Historic Places Registration Form* (National Register Bulletin 16A) [http://www.nps.gov/history/nr/publications/bulletins/nrb16a/](http://www.nps.gov/history/nr/publications/bulletins/nrb16a/). Complete each item by marking "x" in the appropriate box or by entering the information requested. This form is similar but not exact to the National Register of Historic Places nomination form. Some sections of the National Register form were not applicable to the local register therefore were not included. When using the National Register Bulletin 16A to fill out the form, look for the section names for information on completing the specific section. If any item does not apply to the property being documented, enter "N/A" for "not applicable." For functions, architectural classification, materials, and areas of significance, enter only categories and subcategories from the instructions. Place additional entries and narrative items on continuation sheets. Use a typewriter, word processor, or computer, to complete all items.
1. Name of Property
Historic name Salvation Army Building
Other names/site number
2. Location
street & number 311 W Evergreen Blvd
city or town Vancouver
State Washington code WA county Clark code 11 zip code 98660
3. Classification
| Ownership of Property | Category of Property | Number of Resources within Property |
|-----------------------|----------------------|------------------------------------|
| X private | X building(s) | 1 buildings |
| public-local | district | sites |
| public-State | site | structures |
| public-Federal | structure | objects |
| | object | |
Name of related multiple property listing: (Enter "N/A" if property is not part of a multiple property listing.)
Number of contributing resources previously listed in the Clark County Heritage Register
4. Owner Consent for Nomination, Designation and Listing
I (we) consent to the nomination, and designation of the above property on the Clark County Heritage Register. I (we) also certify that I am/we are the legal owner(s) of the above property.
[Signature]
Dean Dunn
04/15/2015
Owner signature Date
Owner signature Date
5. Functions or Use
Historic Functions
(Enter categories from instructions)
SOCIAL\CIVIC
RELIGION\RELIGIOUS FACILITY
Current Functions
(Enter categories from instructions)
SOCIAL\CIVIC
RELIGION\RELIGIOUS FACILITY
COMMERCIAL\TRADE\PROFESSIONAL
6. Description
Architectural Classification
(Enter categories from instructions)
Mid-Century Commercial 1952
2-story One Part Block
74' (Wide North) X 80' (Long West) X 52' (Wide South)
Irregular Footprint
Materials
(Enter categories from instructions)
foundation 4" Finished Concrete-Poured
walls 6" Concrete Blk with 4" Roman Brick
other Redwood accents
Narrative Description
(Describe the historic and current condition of the property.)
See Attached Continuation Sheets
SIGNIFICANCE STATEMENT
SALVATION ARMY
On Sunday, September 21, 1952, the new Salvation Army Corps Office and Chapel Building was opened to the public. It is located at the corner of 10th St. (now Evergreen Blvd) and Daniels St. The weather was unseasonably warm and the crowd at the afternoon ceremony stood in 90 degree heat while listening to music and speeches before entering the chapel to hear Commissioner Claude E. Bates, Territorial Commander for the Central Territory, give the dedicatory address.
The two story brick building was designed by Day Hilborn and built by Larry O. Collins to house the Corps meeting room, youth activity room and executive offices as well as the chapel/auditorium. The auditorium seated 150 and was lit by the latest indirect lighting and decorated in popular colors of the day. The cost was approximately $50,000.
Money for the new building was raised through the sale of another property at 301 E. 7th Street and a ‘building fund drive’ launched in August of 1951. According to Captain Ben C. Pollgreen, local commanding officer, the drive’s goal was $13,000. Pollgreen explained that the building was to be the “first Salvation Army center located in Vancouver with a complete program of service to the community.” The building at 301 E. 7th Street was occupied during World War I and used primarily as a barracks for servicemen stationed in Vancouver. He also pointed out that the fund was separate from community chest funds and paid for the building and equipment while chest funds were for operations.
The Salvation Army in Vancouver dates back to 1890. Their first location was at the corner 5th and Main (the new 101 Building is being built there and will include a mural inside recalling the Salvation Army’s presence there). A Captain said, “the Salvation Army is still holding the fort in this city and some of their street
battles are as noisy as a tom convention. How these people can inspire good ideas with the mode they have chosen is a conundrum to the average individual."
According to a report in July, 1951, the Salvation Army aided 1,014 persons over the past twelve months in some phase of service. In addition to aiding transients, the army carried on an extensive religious and rehabilitation program for children, youth and adults who are permanent residents of the community. 1950 data showed the army held 312 gatherings for youths with 5,251 attendees. The classes included religious instruction, correspondence courses, singing, instrumental lessons craft and recreational programs.
On the day of the ceremony, the Portland Citadel Band entertained in the open air, Captain W. J. Mahy, who had recently arrived in Vancouver to take over the administration of the local agency, was given the key to the building by builder, Larry O. Collins. Solist Mrs. Marian Fruit, accompanied by Wesley Hall played in the chapel.
The evening before the dedication ceremony, members of the Salvation Army advisory board and their wives hosted a public reception marking the opening of the new building. Citizens were invited to get their first view of the spectacular property while enjoying refreshments and socializing with supporters, staff and others who helped in the manifestation of the building.
The reception was organized by it's chairperson, Mrs. Spencer Biddle. She was assisted by Mrs. Day Hilborn, Mrs. Harry Diamond, Mrs. Fred Chitty, Mrs. Roger Camp, Mrs, W. J. Yunker, Mrs. John Powell, Mrs. John Farrell, Mrs. Jack Propstra, Mrs. Ned Blythe, Mrs. Foster Borchgrevink, Mrs. Leslie Frewing, Mrs. Sue Atwood, Mrs. Austin McCoy and Mrs. Louis Schaefer.
The Columbian Newspaper dedicated a large amount of space to the event and businesses wishing the Salvation Army well bought advertising in the September 19th paper. The ads were purchased by Hoyt Plumbing, Garon Co., Vancouver Sheet Metal Works, the masonry contractor, P. D. Parker, Oliphant Electric, Larry O. Collins; the general contractor, and R & R Excavating, J. J. Kramer Plasterers, and hardwood floor installer, Don. B Smith.
DAY WALTER HILBORN
“No single person in the history of southwest Washington has had a greater impact on the physical built environment than architect Day Hilborn. His projects span a 40-year period and define many of the cultural institutions of the city.”
- Michael Houser, State Architectural Historian - Oct. 2011
Day Walter Hilborn was born in Brow City, Michigan on February 1, 1897. He grew up in Ford’s Prairie outside of Centralia, WA where he graduated from high school in 1916. The next stop was Washington State University in Pullman; shortly after his enrollment he was drafted into the Army.
In 1917, Hilborn was shipped out to France to serve in WWI. Throughout the war, Hilborn communicated with family back home. He would send postcards of local buildings, houses and architecture as well as watercolors and pencil sketches. Hilborn returned home having reached the rank of 2nd Lieutenant.
Without hesitation, he returned to school, set on becoming an artist. Eventually he changed his major from art to architecture and engineering. His principle design theory focusing in the Beaux Arts tradition.
Hilborn rigorously applied himself at school and three years later graduated with a degree in architectural engineering. He returned to Centralia but did not start his career immediately. Instead he worked in real estate and property loans. In 1930, Vancouver became home and his position was construction superintendent for local architect, Richard V. Gough.
Together Gough & Hilborn began receiving commissions right away. Their work included a number of projects of various types. One of the largest projects was the four-story Arts Building at 11th and Main. You can see the Beaux Arts influenced style of Hilborn’s. Other commissions were awarded, including the Columbian Building and Storm King Ice Cream Store at Evergreen Blvd and Broadway.
When Gough retired, Hilborn was 33 years old. At the time, the city was growing quickly. It was reported by the Columbian newspaper that the first six months of 1928 brought in over one-million dollars in building permits. The local directory showed two architects and over 30 contractors. Hilborn was in a perfect position to launch his career.
By the 1930s, Hilborn began exploring new modes of architectural design, keeping with architectural fashions of the day. Many of his buildings exhibit both architectural details and design forms of the Art Deco style.
The CC Store (1932) in Vancouver and the Stoller Building in Camas are Deco examples. Others included a remodel for real estate developer Ed Hunter as well as a delightful cararra glass and aluminum storefront for the Sprouce-Ritz Co.
World War II was a time of growth for Vancouver. The Kaiser Shipyards needed many workers and more housing, schools and support buildings. Hilborn was very active in meeting all those needs. At the end of the war soldiers returned home and many folks stayed in town. The population went from 18,778 in 1941 to 41,664 in 1950.
Throughout the nation, a shift to new building materials, cleaner lines, and mass production was taking place. Despite his formal Beaux Arts training and preference for period revival details, Hilborn kept up with times. His projects during this time show a strong understanding of modern design principles.
His first modern post war building was the Gateway building for Al Erdman. The $70,000 building is an early example statewide of the International style and housed the Fuller Paint Company on the first floor and a variety of offices on the 2nd floor.
In December 1949, Hilborn was commissioned by Lt. Commissioner Claude E. Bates and Lt. Col. G.W. Johnstone of the Salvation Army to design the organization’s new building at 311 West 10th Street (now Evergreen Blvd). After one and a half years, he submitted a plan that encompassed a strict interpretation of traditional building form.
At the time of the Salvation Army build, Hilborn had already been honored and celebrated for his vision and engineering skills. Michael Houser noted, “The dedication ceremony of the Kiggins Theater in 1933 was a gala event filled with music, speeches, a relay race, a march by school children, flag raising ceremony, and short a circus. The Kiggins Theater was hailed in the local press as a “design masterpiece”, every detail of the building, from the elaborate marquee, and stylized Art Deco sandblasted sculptural relief’s on the exterior to the lobby snack bar, and vanity stands in the women’s rest room.
The Clark County Courthouse design includes a bas-relief sculpture above the front entry door of two rugged explorers clad in buckskins and an Indian with a canoe. The life size figures were originally cast in concrete. The sculpture designed by Hilborn, also became the county seal and is used on the Flag of Clark County.
Hilborn’s participation was indicative of his community involvement. He was well know and respected by everyone in town for many reasons. Besides being a member of Salvation Army and its advisory board, he was chairman of the committee organized for revising the Clark County building code, served on the
Vancouver Board of Equalization, and for a long time on the Vancouver Board of Appeals. He was also asked to serve on the restoration committee for the rebuilding of Fort Vancouver, belonged to the First Methodist Church, was a member of the, BPOE, the Navy League, the American Legion, Royal Oaks Country Club and the Society of Professional Engineers. He was active socially; performing with a barbershop quartet on KVAN radio station, in singing contests in both Washington and Oregon and for pure fun.
Day Walter Hilborn passed away in Vancouver on November 8, 1971 at the age of 74.
Much of the research for this portion provide by Michael Houser, State Architectural Historian - Oct. 2011 DAY W. HILBORN
The building is located within the Esther Short Neighborhood and Vancouver’s downtown core. The area has its beginnings in the 1840’s Donation Land Claim of Amos and Esther Short. Main Street, the major commercial thoroughfare, was a former trail turned military road and was part of the old U.S. Highway 99 route.
7. Statement of Significance
Applicable Clark County Heritage Register Criteria
- **X 1** It is associated with events that have made a significant contribution to the broad patterns of national, state, or local history.
- **X 2** It embodies the distinctive architectural characteristics of a type, period, style, or method of design or construction, or represents a significant and distinguishable entity whose components may lack individual distinction.
- **X 3** It is an outstanding work of a designer, builder, or Architect who has made a substantial contribution to their field.
- **4** It exemplifies or reflects special elements of the county's history.
- **X 5** It is associated with the lives of persons significant in national, state, or local history.
- **6** It has yielded or may be likely to yield important Archaeological information related to history or prehistory.
- **7** It is an historic building or cultural resource removed from its original location but which is significant for architectural value, or association with an historic person or event, or prehistory.
- **8** It is a birthplace of grave of a prehistoric or historical Figure of outstanding importance and is the only surviving structure or site associated with that person.
- **9** It is a cemetery or burial site which derives its primary significance from age, from distinctive design features, or from association with historic events, or cultural patterns.
- **10** It is a reconstructed building that has been executed in a historically accurate manner on the original site.
- **11** It is a creative and unique example of folk architecture and design created by persons not formally trained in the architectural or design professions, and which does not fit into formal architectural or historical categories.
Areas of Significance (Enter categories from instructions)
Charitable
First Salvation Army Building Built Exclusively For Army Service Purposes in Vancouver and Clark County
Period of Significance
1952
Significant Dates
1952
Significant Person (Complete if Criterion 2 is marked above)
Day Hilborn
Lt. Commissioner Benjamin Pollgreen
Cultural Affiliation
Salvation Army
Architect/Builder
Day Hilborn - Architect
Larry O. Collins - Builder
Narrative Statement of Significance (Explain the significance of the property.)
See Attached Continuation Sheets
The new Salvation Army Corps building located was 311 West 10th St. (now Evergreen Blvd) was built in 1952 in the Mid-Century Commercial style for the exclusive use of the Salvation Army. The two-story unreinforced masonry building is rectangular in plan, stands on a poured concrete foundation and has a flat roof with parapet. The walls are clad in 4" roman brick which give the structure extra horizontal thrust. Redwood is used as trim and accent for the window frames and along the roofline. The original plan is intact. There are slight alterations to the original cladding and moderate alterations to the original windows and door openings.
The footprint consists of three specific structures joined together on the exterior by uniform design style and motifs. The first structure is northern facing, it is a single-story and un-excavated. It joins together with two-story rectangular structure that includes a full basement; it in-turn connects to a third structure at the south end, it is split-level with a full daylight basement. The first and third structures have separate entrances. The second can be accessed via the others. The more visible front and side elevations have two and three 1" x 8" redwood boards running the entire perimeter of the roofline as accent trim. These same boards, cut to the width of the windows, are stacks atop one another to create separation between the upper and lower windows. At the back of the building, the window treatment is not used; the universal brick pattern is visible.
The interior footprint of the three structures have elevation changes throughout. The one-story structure is designed as offices and entryway to the second structure. A pair of stairways lead up to a foyer that accesses an auditorium and a separate cry room and down to a large recreation and dining hall. At the rear of the second building's auditorium level, a 21' opening allows access to the third structure; it has a curtain that partitions the two. The lower level connection is by way of double doors. Three stairs lead up from the dining hall to the classroom area.
The chapel/auditorium is elevated 4' above street level and is accessed via stairs leading up to a foyer from the lobby. The chapel ceiling height was 12 feet and the space was outfitted with the latest in-direct lighting. The band room was behind the chancel and lectern, it could be closed off by drawing a 21 foot curtain. The chancel was fitted with built-in wooden lectern, altar rails and grills.
There were three seating sections, one in the center consisting of six chairs per row and a section on either side separated by aisles. One-hundred fifty could be seated in custom wooden auditorium style chairs.
The Sunday School facilities, located in the southern basement included the Home League room with a large, modern kitchen and adjoining classrooms. The waiting room, bookkeeping and welfare offices and access to stairwells were located in the first structure on 10th Street.
The basement floors are 4” concrete throughout. The ceiling height of the southern portion of the basement is 8’4”. This area was used as classrooms, storage and Home League meetings.
The northern basement was known as the recreation and dining hall. The room measures 53 feet long by 28 feet long. There are no columns or posts. Four daylight windows; one eastern exposed, three western, measuring 43 inches high by 86 inches wide allow for much daylight. Above each of these windows are similar ones on the first floor allowing daylight into the chapel. They measure 100 inches high by 86 inches wide. The upper and lower windows are separated by six(6) one inch by eight inch redwood boards the same width of the windows.
The front of the building has a three (3) column by three (3) row window, 128 inches high by 80 inches wide window. The pattern and color of panes can be seen in drawing below.
This window showered diffused colored light into the foyer. Outside, was a planter box built with roman brick and displaying the Salvation Army plaque. Around the building are similar windows that varied in sizes but matched the overall style.
Throughout the building; in the auditorium, offices, common areas and band room, stylish lighting; featuring 200 w concentric ring, silver bowl lamps were used.
The building is a remarkably intact example of a two-story Mid-Century commercial structure with wonderful exterior integrity, built by the preeminent architect of our time and area. The building’s original roman brick and redwood are in fine condition. The windows, window frame and doors are intact except for minor glass replacements due to damage. Lighting fixtures have been replaced inside and out and the landscaping has changed from its original minimalistic design. The current owner is going to replace the decorative glass to its original scheme and enhance the landscape to allow for greater visibility of the corner lot building.
8. Major Bibliographical Research
Bibliography
(Cite the books, articles, and other sources used in preparing this form.)
See Attached Documents List
Previous documentation on file (CCHR):
___ Preliminary determination of individual listing has been requested
___ Previously listed in the Clark County Heritage Register
___ Previously determined eligible by the Clark County Heritage Register
___ Recorded by Clark County Cultural Resources Inventory Survey #__________
Primary location of additional data:
___ State Historic Preservation Office
___ Other State agency
___ Federal agency
___ Local government
___ University
___ Other
Name of repository: __________
9. Geographical Data
Acreage of Property: Less than One Acre.
UTM References
(Place additional UTM References on a continuation sheet.)
| Zone | Easting | Northing |
|------|---------|----------|
| 1 | 10 | 5 |
| | 25 | 369 |
| | 50 | 52 |
| | 842 | |
| Zone | Easting | Northing |
|------|---------|----------|
| 2 | 10 | 5 |
| | 25 | 361 |
| | 50 | 52 |
| | 811 | |
Verbal Boundary Description
(Describe the boundaries of the property.)
The nominated property is located in downtown Vancouver, WA and is legally described as #70 of E1/2 of short claim and #244 of E1/2 of short claim 104A.
Boundary Justification
(Explain why the boundaries were selected.)
The nominated property encompasses the entire urban tax lot occupied by the Salvation Army Building.
10. Form Prepared By
name/title Mark Dodd
organization
street & number 106 W 9th Street
city or town Vancouver
date Mar 15, 2015
telephone 360-607-7946
state WA
zip code 98660
Additional Documentation
Submit the following items with the completed form:
Continuation Sheets Attached
Maps
A USGS map (7.5 or 15 minute series) indicating the property's location.
A Sketch map for historic districts and properties having large acreage or numerous resources.
Photographs
Representative photographs of the property. **Attached**
Additional items
(Check with the CCHPC Staff)
Property Owner
name W. Dean Irvin\Owner
street & number 114 E. 6th Street
city or town Vancouver
telephone 360-737-8929
state WA
zip code 98660
4b. CLARK COUNTY HISTORIC PRESERVATION STAFF RECOMMENDATION
In my opinion, the property meets / does not meet the Clark County Heritage Register criteria.
(See continuation sheet.)
Signature of commenting staff
Date
4c. CLARK COUNTY HISTORIC PRESERVATION COMMISSION RECOMMENDATION / DECISION
IN THE OPINION OF THE CLARK COUNTY HISTORIC PRESERVATION COMMISSION, THE PROPERTY MEETS / DOES NOT MEET THE CLARK COUNTY HERITAGE REGISTER CRITERIA. (See continuation sheet.)
CHAIRPERSON,
Clark County Historic Preservation Commission
Date
Salvation Army Building
311 West Evergreen Blvd
List of Documents
• CCHP Nomination Form (5 pages)
• Current Photo Sheets of Property (25 pics) (Exterior and Interior)
• City of Vancouver LUP Application (2 pages)
• Clark County Property Information (1 pages)
• Clark County Township Map (1 pages)
• Sanborn Maps 1928-49 (2 pages)
• Photo of Property Exterior 1952 (Columbian) (1 page)
• Photo of Property Interior 1952 (Columbian) (1 page)
• Photo of Lt. Commissioner Bates and wife SA Archives Western Division (1 page)
• SA Blueprints provided by Hilborn 1951 (12 pages)
• American Institute of Architects Application June 7 1939 HILLBORN (5 pages)
• Photos of Day Hilborn with CLARK CO COURTHOUSE MODEL (1 page)
• Newspaper Morning Oregonian Nov 11 1971 HILLBORN OBIT (1 page)
• Newspaper Columbian Aug 1 1951 FUND DRIVE (1 page)
• Newspaper Morning Oregonian Aug 3 1952 COMM CHEST (1 page)
• Newspaper Columbian July 31 1951 DRAWING OF BUILDING (1 page)
• Newspaper Columbian Dec 18 1951 PHOTO OF POLLGREEN (1 page)
• Newspaper Columbian Sept 17 1952 SOCIETY PAGE (1 page)
• Newspaper Columbian Sept 19 1952 OPENING (3 pages)
• Newspaper Columbian Sept 19 1952 ADS (3 pages)
• Newspaper Columbian Sept 19 1952 PHOTO OF MAHY(1 page)
• Newspaper Sunday Oregonian Sept 21 1952 SA NEW HOME (1 page)
• Polk Directory Salvation Army listing, 1911 (1 page)
• Annual Maintenance Cards 1953 (Mrs Spencer Biddle)(11 cards) (3 pages)
• Excerpt from Book, Culture Chronicles, the Spiritual History of Clark County, Washington 2008 by Mark R. Pelletiern
VFG
Vancouver First Gospel Church
VFG
Vancouver Full Gospel Church
311 W Evergreen Blvd, Lynden 98264
Traditional Karate
Southwest Washington
Shorinji Karate Club
360-798-3852
www.pjkarate.com
Sunday Morning - 11:00am
Sunday Evening - 6:00pm
Monday Prayer - 7:00pm
Tuesday Taekwondo - 7:00pm
(360) 694-5236
The exterior of the church building is made of red brick and has large windows. There is a green awning over the entrance. The building is surrounded by trees and bushes.
VFG
Vancouver Family Group
The building is a two-story, brick structure with a flat roof. The exterior walls are painted in a combination of red and green colors. There are several windows on each floor, and the building has a sign that reads "Blind Athletes." The building appears to be in good condition and is located in an urban area.
ELWOOD WILES
1913
The Fellowship Hall is available for use by members and friends of the church. It can be reserved for meetings, classes, and other events. The hall is equipped with a sound system, a projection screen, and a whiteboard. The room can accommodate up to 100 people.
## Planning Permit Application
**LAND USE PRELIMINARY APPLICATION (LUP)**
415 W 6th ST ~ Vancouver, WA 98660
PO Box 1995 ~ Vancouver, WA 98668
Phone (360) 487-7800
www.cityofvancouver.us
### Type Of Work
- [ ] Type I
- [ ] Type II
- [x] Type III
- [ ] Type IV
- [ ] Tree Removal Only **
### Use Type
(Check One Box Only)
- [ ] Single Family
- [x] Commercial
- [ ] Multi-Family
- [ ] Industrial
- [ ] Residential
- [ ] Duplex
- [ ] Wireless Communications Facility (new) please see VMC 20.890
### Process Type
- [x] Standard
- [ ] Streamline
### Project Site Information And Location
- **Project site address:** 311 W Evergreen Blvd
- **Suite/bldg./apt #:**
- **Project name:** Salvation Army Building
- **Tax Assessor Serial Number:** 46320000
- **Nearest intersection if no site address:**
### Description Of Project
Clark County Heritage Registration
### Property Owner
| Name | Dean W Irvin |
|---------------|--------------|
| Address | 114 E 6th St |
| City/State/Zip| Vancouver, WA 98660 |
| Phone | 360 737 8929 |
| E-mail | email@example.com |
### Applicant
| Name | Same As Above |
|---------------|---------------|
| Address | |
| City/State/Zip| |
| Phone | |
| E-mail (required): | |
### Contact
| Name | Mark Dodd |
|---------------|-----------|
| Address | 106 W 9th St |
| City/State/Zip| Vancouver, WA 98660 |
| Phone | 360 607 7946 |
| E-mail (required): | firstname.lastname@example.org |
### Additional Information
#### Special Review type:
(if applicable)
- [ ] Tenant Improvement
- [x] Other
- [ ] Unoccupied Commercial/Utility Structure
#### Plan Approval Type:
(if applicable)
- [ ] Conceptual
- [ ] Detailed
- [ ] Hybrid
#### Sewage Disposal:
- [ ] Septic
- [x] Public
#### Water Source:
- [ ] Private Well
- [x] Public
#### # of Units:
#### # of Proposed Lots:
#### # of Acres:
#### Size:
- [ ] Up to 25 acres
- [ ] Over 25 acres
#### Impervious Area sf:
#### Sq Ft:
- Ground Floor:
- Upper Floor:
### Notice
I/we understand that per VMC 20.210.090 (Review for Counter Complete Status), if it is determined that the application is not complete, the City shall immediately reject and return the application.
I/we agree that City of Vancouver staff may enter upon the subject property at any reasonable time to consider the merits of the application, to take photographs and to post public notices.
### Required Signatures
- **Applicant signature:**
- Dean Irvin
- Date: 4/25/15
- **Print name:** Dean Irvin
- **Property Owner signature:**
- Dean Irvin
- Date: 4/25/15
- **Print name:** Dean Irwin
**These application sub-types must be submitted as a separate LUP application.**
# APPLICATION SUB TYPES
Please check all applicable boxes and enter information where necessary.
- **Archaeological Predetermination** (fill out supplemental application)
- Land Extensive
- Non-Residential
- Commercial Pad
- Unoccupied Com/Utility Structure
- **Boundary Line Adjustment**
- # of lots to be reviewed:
- **Comprehensive Plan Amendment**
- **Conditional Use Permit**
- Type of Use:
- Civil Review required? Yes No
- **Covenant Release**
- **Critical Areas Permit** (fill out supplemental application)
- Minor Exception
- Reasonable Use
- Area Types:
- Fish & Wildlife
- Frequency Flooded
- Geological Hazard
- Wetlands
- **Design Review** (contact case manager for submittal requirements)
- Vancouver Central Park
- Downtown
- Exterior Modification Only
- **Development Agreement** (see VMC 20.250 for requirements)
- Initial Agreement
- Modification
- Extension
- **Engineering Variance Request** Road Modification (see supplemental checklist)
- Administrative
- Design Major
- Technical / Minor
- **Historic Preservation** (contact case manager for submittal requirements)
- Historic Type:
- Major Modification
- Place Property on Registry
- Special Valuation
- Register Type:
- State
- Local
- National
- **Human Services Siting Request** (fill out supplemental application)
- **Joint Use Parking Agreement** (see VMC 20.945.030 for requirements)
- **Legal Lot Determination**
- # of lots to be reviewed:
- **Master Plan Public Facilities**
- **Modification**
- Modification Type:
- Conditional Use
- Minor
- Major
- Mixed Use Master Plan
- Public Facilities Master Plan
- Planned Unit Development
- Post Decision Review Type:
- Planning
- Planning and Engineering
- **Planned Unit Development / Master Plan**
- Commercial
- Mixed
- Residential
- **Preliminary Land Division**
- Plat Alteration? Yes No
- **Preliminary Site Plan Review**
- Commercial Pad
- Land Extensive
- Non-Residential
- Residential
- Unoccupied Comm'l/Utility Structure
- **Request Type:**
- Conditional Use
- Variance Request
- Substantial Development
- **Shoreline Designation:**
- Aquatic
- Natural
- High Intensity
- Medium Intensity
- Urban Conservancy
- **Similar Use Determination** *(see VMC 20.160.030 for requirements)*
- **Exemption Type:**
- Shoreline Permit
- Critical Area Permit
- **Exemptions Requested:** (Critical Areas only)
- Fish & Wildlife
- Wetlands
- Geological Hazard
- Frequently Flooded
- **State Environmental Policy (SEPA)** (fill out supplemental application)
- **Use Type:**
- Single Family
- Other
- **SEPA Type:**
- Grading
- Non-Projects
- Other
- Site Plan Rev (RES)
- Land-division or PUD
- **Temporary Use Type:**
- Commercial/Industrial
- Unforeseen Emergency
- Seasonal or Special Event
- Model Home
- Temp Sales Office
- **Temporary Use** *(see VMC 20.885 for requirements)*
- **Tree Plan** (see VMC 20.770.050 for requirements)
- **Variance**
- Total # of Variance Requests:
- **Zoning Certification** *(see FAQ document for additional information)*
- **Zoning Verification** *(see FAQ document for additional information)*
| Zoning Change | Change Type | With Comp Plan Change? |
|---------------|-------------|------------------------|
| | Map Change | Yes |
| | Code Change | No |
Proposed Zoning:
**These application sub-types must be submitted as a separate LUP application. They may not be bundled with other sub-types.**
**Property Identification Number:** 46320000
**Property Type:** Real
**Property Status:** Active
**Tax Status:** Regular
**Site Address:** 311 W EVERGREEN BLVD, VANCOUVER, 98660
**Abbreviated Legal Description:** #70 OF E1/2 OF SHORT CLAIM
---
### Property Contract Buyer
IRVIN WILLIAM DEAN & COURTNEY SUSAN E (C/B)
More Owner Info...
---
### Administrative Data
| Zoning Designation | Codes... CX |
|--------------------|-------------|
| Zoning Overlay(s) | Building Lines 20,630 |
| | Blank Walls 20,630 |
| | Rain Protection 20,630 |
| | Transit Overlay Tier One 20,550 |
| | Central City Plan District 20,265 |
| | Floor Area Ratio 1:1 20,550 |
| | Noise Impact Overlay District 20,520 |
| | Max Bldg Height (100-200) 20,630 |
| | Structural Parking 20,630 |
| | Limited Surface Parking 20,630 |
| Comprehensive Plan | COM |
| Comp. Plan Overlay(s) | none |
| Census Tract | 424.00 |
| Jurisdiction | Vancouver |
| Fire District | Vancouver Fire |
| Park District | District 1 |
| School District | Vancouver |
| Elementary | Hough |
| Middle School | Discovery |
| High School | Hudsons Bay |
| Sewer District | Vancouver |
| Water District | Vancouver |
| Neighborhood | Esther Short |
| Section-Township-Range | NW 1/4, S27, T2N, R1E |
| Urban Growth Area | Vancouver |
| C-Tran Benefit Area | Yes |
| School Impact Fee | Vancouver |
| Transportation Impact Fee | Vancouver |
| Transportation Analysis Zone | 5 |
---
### Land Data
| Clark County Road Atlas | page 8 |
|-------------------------|-------|
| Approximate Area Info...| 10,890 sq. ft. |
| | 0.25 acres |
| Subdivision | WEST VANCOUVER |
| | SE1/4 NE1/4 |
| Survey | 008055 023034 |
---
### Sales History
| Sale Date | 11/16/2012 |
|-------------|------------|
| Document Type | SASSGN |
| Excise Number | 602157 |
| Document Number | 4912646 |
| Sale Amount | $0.00 |
| Sale Date | 11/10/2006 |
|-------------|------------|
| Document Type | CONT |
| Excise Number | 602157 |
| Document Number | |
| Sale Amount | $800,000.00 |
---
### Assessment Data
#### 2014 Values for 2015 Taxes
**Market Value as of January 1, 2014**
| Land Value | $209,088.00 |
|------------|-------------|
| Building Value | $275,784.00 |
| Total Property | $484,872.00 |
**Taxable Value**
Total $484,872.00
#### 2013 Values for 2014 Taxes
**Market Value as of January 1, 2013**
| Land Value | $209,088.00 |
|------------|-------------|
| Building Value | $275,784.00 |
| Total Property | $484,872.00 |
**Taxable Value**
Total $275,852.00
---
### General
| Re-valuation Cycle | 2 |
|-------------------|---|
| Assessor Neighborhood | 9680 |
---
CC GIS
SA Prop
DATA SHEET
| Section | Township | Range | Quarter | Description |
|---------|----------|-------|---------|-------------|
| 27 | T2N | R1E | NW | NW Qtr of Section 27 T2N R1E WM |
**Clark County Geographic Information System**
**CC Township Map**
**SF Located in □**
SANBORN MAP
1928-49
WIDE
W. 10TH ST.
DANIELS
COLUMBIA
W. 9TH ST.
Sanborn Map
1928-49
Cly
DEDICATE BUILDING SUNDAY—This building, new home of the Salvation Army Corps, will be the center of much activity Sunday afternoon when Army and city officials and the general public gather to attend dedication services. The $50,000 two-story brick structure is located at the corner of 10th and Daniels. (Vanity Fair-Columbian photo).
AUDITORIUM SEATS 150—The Auditorium of the new Salvation Army Corps' building at 10th and Daniels is decorated in the popular decorating colors of today. The room which seats some 150 people is lighted by the latest indirect lighting. The auditorium and building will be open to the public Sunday afternoon. (Vanity Fair Columbian photo).
LT.-COMMISSIONER
CLAUDE E. BATES
*HISTORICAL COMMANDER
MRS. LT.-COMMISSIONER
CLAUDE E. BATES
SA Archives
Western Division
SA Blueprints (12)
Hillman 1902
WEST TENTH STREET
FIRST FLOOR PLAN
SALVATION A
EAST ELEVATION
SCALE: 1/8" = 1'-0"
SOUTH ELEVATION
SCALE: 1/8" = 1'-0"
EAST ELEVATION
SCALE: 1/8" = 1'
SOUTH ELEVATION
SCALE: 1/8" = 1'
SECTION B-B
SECTION A-A
DOOR SCHEDULE
| Door | Size | Type |
|------|---------------|------------|
| A | 36" x 80" | Steel |
| B | 36" x 72" | Steel |
| C | 36" x 84" | Steel |
| D | 36" x 96" | Steel |
| E | 36" x 108" | Steel |
| F | 36" x 120" | Steel |
| G | 36" x 132" | Steel |
DETAIL 1-STORY DOOR & OVERLANCE
WALL SECTION - 2-STORY PORTION
SECTION - TYPICAL DOOR & WINDOW AND DETAIL SECTION AT DETAIL OF WALL - 1-STORY
REFLECTED SOFFIT SHOWING PLYWOOD
SALVATION ARMY CORPS BLDG.
ARCHITECT: CLIFFORD E. BATES
IN COL. G.W. JANSSEN, COMMANDER
CAPT. WM. C. CHAPMAN, COEN. O.
DAY W. HILBORN, ARCH. VANCOUVER, WASH.
BOILER PIPING DIAGRAM
NO SCALE
NOTE: ALL ROUNDOUTS TO CONVECTORS ARE 12" DIAMETER AND PROVIDE 3/4" SIGHT ON EACH CONVECTOR.
EQUIPMENT SCHEDULE
BOILER: CAL-BRED HOT WATER, 28800 H.W.
OIL BURNER: TEPH, 1/4 HP DIESEL BURNER
CIRCULATING PUMP: #1: 5 GPM @ 6 HD 3/4" UP
#2: 18 GPM @ 6 HD 3/4" UP
CIRCULATING PUMP: #3: 18 GPM @ 6 HD 3/4" UP
VENTILATING UNIT: 25% CAPACITY @ 3/4" HD 45° TO 130°F
VALVE: MANUAL DAMPERS
2X4" DUCTS
OIL STORAGE TANK: 67% GAL 3' FILL, 1/4" VENT
RETURN TO BOILER
RETURN TO BOILER
GROUND FLOOR PLAN
SCALE: 1/8"=1'-0"
SALVATION ARMY CORPS BLDG.
LT. R. DANIELS - VANCOUVER BAR WASHINGTON
LT. COL. W. M. JORDANSTONE, DIV. COMMANDER
CAPT. BEN C. McLEAREN, CORPS Q.
DAY W. HILLEBORN, ARCH VANCOUVER, WASH.
GROUND FLOOR PLAN
Scale 1" = 1'-0"
FIREPLACE ROOM — No Scale
SAVATION ARMY CORDS BLD
1000 E. 10TH AVE., VANCOUVER, B.C.
LT COL. W. J. JOHNSON, DUC COMMANDING
LT COL. C. W. HILLBROOK, C.D. & S.A. VANCOUVER WASH
Dated: 1953
Hebbula Sheet 11
UNDER authority to elect members, as vested in me by The Board of Directors of The American Institute of Architects; by resolution of The Executive Committee adopted at its meeting on December 10-13, 1934; and in accord with the attached report of The Board of Examiners, I hereby declare
Day W. Hilborn
elected a corporate member of The American Institute of Architects and assigned to membership in the Washington State Chapter, effective June 7, 1939.
Chas. J. L. Secretary
APPLICATION FOR MEMBERSHIP
RECORD OF THE SECRETARY OF THE INSTITUTE
A. Name of applicant Day W. Hilborn
B. Address of applicant 222 Central Building, Vancouver, Washington
C. Applicant proposed by Roi L. Morin and Margaret Goodin Fritsch
D. Application received with check for $25.00 on March 21, 1939
E. Application returned for correction
F. Application in due order on March 21, 1939
G. Notices sent to chapter executive committee:
(a) Form S11, reasonable time ending on April 24, 1939, on March 24, 1939
(b) Form S12, 30 day extension ending on May 24, 1939, on April 24, 1939
H. Acknowledgments to applicant, proposers, and chapter on March 24, 1939
I. Certified resolution of chapter executive committee recommending admission received on May 5, 1939
J. No report from chapter executive committee on
K. Application sent to The Board of Examiners on June 6, 1939
L. The Board of Examiners reported on application on June 6, 1939
M. Applicant was admitted on June 7, 1939
N. Notice and certificate to applicant and notice of assignment to chapter and letter to proposers on June 9, 1939
O. Notice of denial of application to chapter and applicant and $ returned to applicant on
P. Questionnaire: re, Registration in Washington sent Mar. 24, 1939 Rec'd 4/8/39 " " " Oregon " Mar. 24, 1939 " 4/10/39
(a)
Hilborn - AIA Application 1939 (5 pages)
A member, by virtue of his membership in The Institute, becomes a member of the chapter of The Institute within the territory of which he resides or has his place of business, as he elects, but he pays an admission fee to The Institute only. The admission fee to membership in The Institute normally is twenty-five dollars. (For 1936 this fee was reduced to five dollars.)
A member pays annual dues both to The Institute and to the chapter. The annual dues to The Institute normally are twenty-five dollars (for 1936 Institute dues were reduced to twenty dollars) and those to the chapter are fixed in its by-laws.
Normally the period between the time of filing an application and the time it is acted on by The Board of The Institute is four months. The period will be longer if the application must be returned to the applicant for corrections or if additional exhibits of the applicant's work are required by The Board of Examiners.
If an application is denied, the amount prepaid by the applicant for annual dues and for admission fee, less five dollars for examination fee, will be returned to him.
An applicant whose application has been denied without prejudice may reapply for admission to membership a year or more after the date of The Secretary's notice to him of his non-admission.
I, the undersigned, do hereby apply for corporate membership in The American Institute of Architects.
1. My full name is Day W. Hilborn
2. I am a natural citizen of the United States
3. My legal residence is in the City of Vancouver County of Clarke State of Washington
4. My address in The Institute records will be office address Street 222 Central Building City Vancouver State Washington
5. I am engaged in the profession of architecture as a practicing architect
6. I desire to be a member of the Oregon (UNASSIGNED) Chapter.
7. I declare that I have read the by-laws, the rules and regulations, and the Standards of Practice of The American Institute of Architects, and the by-laws and rules and regulations of the chapter of which I desire to become a member, and that I understand the duties, responsibilities and obligations thereunder of a member of The Institute, and I do hereby expressly agree and declare that, if admitted to membership, I will to the best of my ability abide by and comply with such by-laws, rules, and regulations, and will abide by and uphold said Standards of Practice and conduct my practice of the profession accordingly. I am financially able to undertake all pecuniary obligations of a member to The Institute and to the chapter.
8. I filed the duplicate of this application with the secretary of the chapter above named and attach his receipt therefor.
9. I enclose my check for $25.00, for admission fee and the current annual dues. It is my understanding that if for any reason you do not admit me to membership, all of said amount will be returned to me, except five dollars which you will retain as an examination fee.
Date 9/18/1938
Day W. Hilborn
Sign full name in ink
10. Date of birth February 1, 1897
Place of birth Brown City, Michigan
11. I am registered or licensed to practice architecture as follows:
States: Oregon
Registration or license numbers: 272
Washington
TL 212
EDUCATION
12. I attended the following schools:
(a) High School
City: Centralia
State: Washington
Graduation year: 1916
(b) Private School
None
(c) College or University
Washington State College
for 3 years.
Graduation Year: None
(d) College or University
University of Washington
for 1 quarter
Graduation Year: None
(e) Post-graduate at
None
for years.
13. I held the following named scholarships:
(a) None
(b) None
14. I have traveled in the following countries:
in Canada
1935
in Mexico
1916
in France & Spain
1917-1919
PROFESSIONAL TRAINING
15. I list below, in chronological order, the periods of my training as draftsman, the names and addresses of my principal employers, and my classification as draftsman while employed by each:
| Classification | From | To | Name of Employer | City |
|----------------|------|------|------------------|------|
| | | | | |
I have not been employed as draftsman in any office. I was associated for 5 years as partner with R. V. Gough, Architect, licensed State of Washington, with offices in Centralia, Washington, and have been in private practice for 9 years since that time.
PROFESSIONAL PRACTICE
16. I list below, in chronological order, the periods during which and the states in which I have practiced architecture as an individual or as a member of a firm or corporation:
| State | From | To | Name of Firm or Corporation |
|-----------|------|------|-----------------------------|
| Washington| 1925 | 1930 | Gough & Hilborn |
| Washington| 1930 | 1938 | |
17. I have taught architecture or the arts and sciences allied therewith as follows:
| State | From | To | Name of School or College | My Title |
|-------|------|------|----------------------------|----------|
| None | | | | |
18. In my capacity of architect, I have held the public offices listed below:
| Title of Office | City and State | From | To |
|-----------------|----------------|------|----|
| None | | | |
19. I list below and attach photographs of two or more of the buildings or other works of which I am the author.
| Name of Work | City | State |
|-----------------------|--------|-----------|
| Centralia State Armory| Centalia | Washington |
| Kiggins Theatre Building | Vancouver | Washington |
| Leverich Park Stadium | Vancouver | Washington |
Exhibits required.
MEMBERSHIP IN NON-ARCHITECTURAL ORGANIZATIONS
20. I am a member of civic or semi-public organizations listed below:
| Name of Organization | City | State |
|-----------------------------|--------|-----------|
| American Legion | Vancouver | Washington |
| Chamber of Commerce | Vancouver | Washington |
| Lions Club | Vancouver | Washington |
21. I have held offices in non-architectural organizations as follows:
| Office | Name of Organization | Year |
|---------------|----------------------|------|
| Finance Office| American Legion | 1926 |
22. I have written the following papers relating to architecture and the arts and sciences allied therewith:
| Title | Publication | Year |
|-------|-------------|------|
| None | | |
DAY W. HILBORN, who designed and supervised construction of the county's new capitol. Three years of his life are built into its rugged walls.
Figure 33: Architect – Day Walter Hilborn. Photograph and caption from Dedication Booklet
From Clark Co Submission to NHR.
HILBORN — Nov. 8, Dav W., late of 3715 Clark St., Vancouver, Wn; age 74, was an architect and lived in Vancouver, past 44 years. Member of First United Methodist church; Society of Professional Engineers in Washington and Oregon; member of American Institute of Architects; Royal Oaks Country Club; Smith Reynolds Post No. 14; husband of Dorothy J.; father of Dav W. Hilborn Jr. and Salli Ann Hilborn, both of San Francisco, Sue Janet Clark of San Rafael, Cali; brother of Dr. E.J. Hilborn of Menlo Park, Cal; Burton Hilborn, Pasadena, Cal.; Mrs. Hubert S. Miller, Dallas, Texas; Mrs. Ruth Cellers, San Mateo, Cal. Funeral services 11 am Thursday, Nov. 11, at the First United Methodist church, 33rd & Main St., Vancouver. FUNERAL CHAPEL in charge of Arrangements. Memorial contributions may be made to Memorial fund of the church.
JOHNSON — Nov. R. Fathel A. of
Fund Drive Opens Here For Building
Salvation Army Sets $13,000 Goal to Fill Cost of New Chapel
The Salvation Army's drive to raise funds for the erection of their first home in Vancouver begins today and will continue through August 14. Campaign goal has been set at $13,000 which represents the last part of the cost of the $40,000 three-level building.
Contributions to the drive can be made by addressing all checks and money to the Salvation Army building fund, post office box 245, Vancouver, Wash.
The new building will be located at the corner of Tenth and Daniels streets according to Captain John C. Pollgreen, local S. A. commanding officer. It will house offices, classrooms, a chapel and recreation space and will have a brick exterior.
Offers Complete Program
Pollgreen explained that this building will be the first army center to be located in Vancouver with a complete program of service to the community. The Salvation Army owned the building now occupied at the American Legion at 301 E. Seventh st. during World War I but used it primarily as a barracks for servicemen stationed here.
It is also pointed out that this drive is completely separate from the community chest campaign in the fall from which the army receives operational funds. The project also has received the endorsement of local chest officials who stated that the community chest funds do not cover such items as new buildings.
Service Revealed
An idea of the service which the organization renders to the community and area as a whole can be gained from the annual report made to the community chest this month. According to the report 1,768 persons were aided during the past year through some phase of the army's service.
In addition to aiding transients the army carried on an extensive religious and rehabilitation program for children, youth and adults who are permanent residents of the community, Pollgreen declared.
Attendance at youth meetings held by the organization here in 1950 numbered some 5,231 persons at 312 gatherings. Youth meetings include classes in religious instruction, correspondence courses, singing, instrumental lessons, craft and recreational programs.
Chest Leader Starts Early
Plans Launched In Vancouver
VANCOUVER, Wash., Aug. 2 (Special) — Although Vancouver's 1952 Community Chest drive is scheduled to start September 25, organization groundwork already is well under way.
This year's drive, managed by Huge Platt, campaign director, is called "Operation Can-Do." Many workers have been assigned and an informational magazine, "Johnny Red Feather," is mailed frequently to the workers and others to steam up preliminary activities.
Assignments by Platt so far include: Task force commander, Freeman Keller; industrial division, Ed Sensenbrenner; financial, Bob Cox; organizations, Fern Hayes; public employes, Alva Rodenbaugh; public services, Tom Burgess; retail petroleum, Kenny Kowarsh; furniture and appliances, Morris Fendrich; utilities and communications, Capt. Wilfred J. Mahy, Salvation army; graphic arts, Tom Bussey.
Agencies that will share the drive's proceeds are Boy Scouts, Camp Fire Girls, Girl Scouts, Clark county guidance clinic, Salvation army, Vancouver Recreation association, Washington Children's home, YWCA, UDF and Heart association. Sum sought, $110,065.52, for period of 15 months.
NEW SALVATION ARMY HOME—Inaugurated here this week was a drive to raise $13,000 to complete a building fund for a new building for the Salvation Army. The campaign runs for two weeks.
Columbus July 31, 1951
Blueprint Rendering
SALVATION ARMY GETS GOOSE — Lucy, the army and air force's traveling goose, is scheduled to end her days come Christmas when she becomes the fare of a local needy family of 12 persons. She has been in the care of various main stations of the Northern Recruiting District for the past few months but military officials decided she had had enough of traveling so Major Max Weaver (on the left) presents it to Captain Ben Pollgreen for some needy family.
(Vanity Fair-Columbian photo)
Columb-12n Dec 18, 1951 SALV Goose
Public Reception to Mark Opening of New Salvation Army Building Saturday
Members of the Salvation Army advisory board and their wives will be hosts at a public reception marking the opening of the new Salvation Army Building on Saturday evening. Citizens are invited to get a first view of the new building which is located at 10th and Daniels Streets.
Reception hours at which refreshments will be served Saturday are between 7 and 9 p.m.
The reception chairman, Mrs. Spencer Biddle, will be assisted by Mrs. Day Hilborn, Mrs. Harry Diamond, Mrs. Fred Chitty, Mrs. Roger Camp, Mrs. W. J. Yunker, Mrs. John Power, Mrs. James Farrell, Mrs. Jack Propstra, Mrs. Ned Blythe, Mrs. Foster Borchgrevink, Mrs. Leslie Frewing, Mrs. Sue Atwood, Mrs. Austin McCoy and Mrs. Louis Schaefer.
Dedication services for the new Salvation Army building will be held on Sunday, September 21. The Portland Citadel Band will entertain with a half hour open air program in front of the building at 2:15 p.m. Keys of the building will then be turned over to Commissioner Claude E. Bates before the dedication program which will be held inside the building. Soloist for the occasion will be Mrs. Marian Fruitt, accompanied by Wesley Hall. The public is cordially invited to attend.
Window Given Methodist Church By Youth Group
A simulated stained glass window made by the Intermediate Methodist Youth Fellowship was dedicated in the morning service Sunday at the First Methodist Church.
David Zaske, president of the group, made the presentation, and the Rev. Olin Graham accepted in behalf of the church and offered the dedicatory prayer.
Mrs. John Bussey, one of the counselors for the group, drew the pattern for the window. The Intermediates under the direction of Mr. and Mrs. George Sage, also counselors, and Mrs. Bussey put
Malik Votes True to Form
UNITED NATIONS, N. Y. (AP) — Russia's J. A. Malik yesterday cast three more vetoes to block the admission of three Indochinese countries—Viet Nam, Laos and Cambodia—to the United Nations.
Opening Set For Sunday
(See also Page 1)
Vancouver's new Salvation Army Building at 10th and Daniels will be opened to the public for the first time on Sunday afternoon at a public dedication ceremony. Commissioner Claude E. Bates, San Francisco, will officiate at the ceremony and deliver the keynote address at the dedication program.
The two-story brick building which will house the Corps' indoor rooms with activity rooms and executive offices has just been completed. Work on the $50,000 project began March 1. Larry Collins, Vancouver, was the contractor for the building which is being built by the City of Vancouver, was the architect. Money for the new building was raised through the sale of the
DEDICATE BUILDING SUNDAY—This building, new home of the to attend dedication services. The $50,000 two-story brick structure Salvation Army Corps. will be the center of much activity Sunday is located at the corner of 10th and Daniels. (Vanity Fair-Columbian afternoon when Army and city officials and the general public gather; photo).
Columbia
Sept 19, 1952
Set to open (1)
AUDITORIUM SEATS 150—The Auditorium of the new Salvation Army Corps' building at 10th and Daniels is decorated in the popular decorating colors of today. The room which seats some 150 people is lighted by the latest indirect lighting. The auditorium and building will be open to the public Sunday afternoon. (Vanity Fair Columbian photo).
Opening Set For Sunday
Continued from Page 1
Army's building at 301 E. 7th St., now occupied by Smith Reynolds Post of the American Legion and through a building fund drive early this year.
Capt. and Mrs. W. J. Mahy, officers in charge of the local organization, will also play a prominent part in the dedication program. They arrived here recently from Seattle to take over the Army work.
The dedication ceremony will be preceded by a brief band concert by the Portland Salvation Army Band. They are scheduled to begin playing at 2:30 with the dedication set for 2:45.
Collins, the contractor, will turn over the keys to the building to Commissioner Bates at 2:45, officially opening the structure. The dedication program will be held inside the auditorium following the turning over of the keys.
An open house and reception will follow the program. All the events planned in conjunction with the dedication are open to the public.
BEST WISHES for continued success in your new location.
PLUMBING BY:
HOYT PLUMBING
1600 West 39th
Phone 3-3751
CONGRATULATIONS! May your new home give you much satisfaction.
HEATING BY:
GARON CO.
915 West 12th
Dial 3-2546
OUR REGARDS, Salvation Army, on a splendid accomplishment.
ROOFING & SHEET METAL WORK BY:
Vancouver Sheet Metal Works
710 West 8th St.
Phone 3-9441
Our Compliments to the SALVATION ARMY, on attaining a Long-sought dream.
MASONRY BY:
P. D. PARKER
—MASONRY CONTRACTOR—
318 East 17th
Dial 3-6342
Wishing the Salvation Army Corps Much happiness in their new location.
ELECTRICAL WORK BY:
OLIPHANT ELECTRIC
107 East 15th
Dial 3-4051
Columbia Sept 19, 1952
Congrats PDS (1)
OUR SINCERE CONGRATULATIONS
to the SALVATION ARMY
for the accomplishment of their fine new home
General Contract and Painting by
LARRY O. COLLINS
GENERAL CONTRACTOR
1½ Miles North of Vancouver
on Pacific Highway
Phone 3-4739
WARM REGARDS, Salvation Army,
on a Job Well Done!
EXCAVATION BY:
R & R Excavating Contractors
4007 Clark
Dial 3-7488
We Salute the Corps,
and offer best wishes.
PLASTER BY:
J. J. KAMMER
Rt. 7, Box 942
Phone 4-1351
SALUTATIONS, Salvation Army...
and Best Wishes for an even bigger, better future.
FLOORING BY:
DON B. SMITH
—HARDWOOD FLOORS—
Highway 99 & Hylen Rd., Hazel Dell • Ph. 3-3568
Columbus
Sept 19 1952
Congrats AD (3)
TAKE OVER NEW BUILDING—Captain and Mrs. W. J. Mahy, who arrived here recently to take over the administration of the Salvation Army will receive the key to the Army's new home at 10th and Daniels St. at dedication ceremonies Sunday afternoon.
Navy Sees Its Own Into
WASHINGTON—Sees in "planes" and "low-level" problem that arose in Korea.
That cost gives effective for obsolescent planes has thought a needed serious ter.
But the making John H. missiles. about "t warfare"
Navy Navy's cat" fighted Sept. Carrier Box can be
Salvationists In New Home
Army to Dedicate Building Sunday
VANCOUVER, Wash., Sept. 20 (Special) — The Salvation Army will dedicate its new $50,000 building, 10th and Daniels streets, Sunday at 2:45 p.m., Capt. and Mrs. W.J. Mahy announced Saturday.
The new brick building consists of offices, chapel, assembly and is modernly equipped.
Mrs. Joe Atwood, chairman of the board; Mayor Ralph E. Carter, Police Chief Harry Diamond and other local Army supporters will assist Territorial Commissioner Claude E. Bates and Lt. Col. George W. Johnstone in the dedication services. Music will be by the Portland Salvation Army band.
Funds of the Army were augmented by Vancouver people to finance the building, equipment and landscaping.
The above new $50,000 home of Salvation Army in Vancouver, Wash., will be dedicated Sunday.
LOCAL SOJOURNERS TO HEAR SENIOR INSTRUCTOR FOR OREGON NATIONAL GUARD
Col. Marcel G. Crombez, senior instructor for the Oregon chapter of Sojourners Monday, will speak at a hotel. Colonel Crombez will speak on his recent 15 months' combat experience in Korea. The Sojourners are a Masonic organization of military officers.
Salmela Chas L (Irene A) h3709 Fourth Plain av
apt 8 (Camas)
—Ida hsekprr aide State Sch for the Deaf r2901 E 7th
4th av apt 8 (Camas)
Salmon Amos (Emma B) h2805 E 19th
—Richd B (Ann L) millwkr Columbia River Paper Mill h5906 E 3d
Salon of Charm (Mrs H I Wilde) reducing salon 113 E 26th
Salsbury Donald A h5708 Old Pacific Hwy
Salsman Amelia J Mrs h212 Hall (Washougal)
Salt Robt E (Irene L) custdn wkr County Hosp h1210 S Columbia Ridge dr
Salter Clarence B (Ellen M) driver h1210 E 33d
—Dorothy tehr Pub Sch r3600 Columbia.
Saltwick Arnold O (Thecla M) h1904 E 8th
Salvagno Eug C (Cath H) chainmn County Eng Dept r RD2 box 758
—Jas car insp dress f rdu rux 213 (Olcinaus)
Salvation Army Wilf J Mahy capt in charge 315 W 10th
Army thrift store Mrs B F Johns mor used genl mdse 111 W 6th
Salvato Clyde J (Angelina R) USCG h6620 E 9th
Salzer Sophia M clrk Northern Permanente Foundation h6517 Riverside dr
Sammoen Cora E clrk Pac Tel & Teleg r2501 Rossiter la.
—Emma O Mrs h2501 Rossiter la.
Sample Clyde L (Mabel L) elev opr CZCorp h136 NW 12th av (Camas)
—Marvin (Blanche E) emp CZCorp h136 NW 12th av (Camas)
In consideration of the gifts of others, I hereby contribute to THE SALVATION ARMY ANNUAL MAINTENANCE FUND for the ensuing year the sum of
| TOTAL SUBSCRIBED | PAID NOW | BALANCE |
|------------------|----------|---------|
| DOLLARS | CENTS | |
payable as follows:
**Subscriber's Signature**
MAKE CHECKS PAYABLE TO THE SALVATION ARMY
---
In consideration of the gifts of others, I hereby contribute to THE SALVATION ARMY ANNUAL MAINTENANCE FUND for the ensuing year the sum of
| TOTAL SUBSCRIBED | PAID NOW | BALANCE |
|------------------|----------|---------|
| DOLLARS | CENTS | |
payable as follows:
**Subscriber's Signature**
MAKE CHECKS PAYABLE TO THE SALVATION ARMY
---
In consideration of the gifts of others, I hereby contribute to THE SALVATION ARMY ANNUAL MAINTENANCE FUND for the ensuing year the sum of
| TOTAL SUBSCRIBED | PAID NOW | BALANCE |
|------------------|----------|---------|
| DOLLARS | CENTS | |
payable as follows:
**Subscriber's Signature**
MAKE CHECKS PAYABLE TO THE SALVATION ARMY
---
In consideration of the gifts of others, I hereby contribute to THE SALVATION ARMY ANNUAL MAINTENANCE FUND for the ensuing year the sum of
| TOTAL SUBSCRIBED | PAID NOW | BALANCE |
|------------------|----------|---------|
| DOLLARS | CENTS | |
payable as follows:
**Subscriber's Signature**
MAKE CHECKS PAYABLE TO THE SALVATION ARMY
---
Annual Maintenance Fund
Chads (Page 1 of 3)
1953 (Found in Building)
In consideration of the gifts of others, I hereby contribute to THE SALVATION ARMY ANNUAL MAINTENANCE FUND for the ensuing year the sum of $______ per month for 12 months or $______ per quarter payable as follows:
| TOTAL SUBSCRIBED | PAID NOW | BALANCE |
|------------------|----------|---------|
| DOLLARS | CENTS | DOLLARS | CENTS |
MAKE CHECKS PAYABLE TO THE SALVATION ARMY
---
In consideration of the gifts of others, I hereby contribute to THE SALVATION ARMY ANNUAL MAINTENANCE FUND for the ensuing year the sum of $______ per month for 12 months or $______ per quarter payable as follows:
| TOTAL SUBSCRIBED | PAID NOW | BALANCE |
|------------------|----------|---------|
| DOLLARS | CENTS | DOLLARS | CENTS |
MAKE CHECKS PAYABLE TO THE SALVATION ARMY
---
In consideration of the gifts of others, I hereby contribute to THE SALVATION ARMY ANNUAL MAINTENANCE FUND for the ensuing year the sum of $______ per month for 12 months or $______ per quarter payable as follows:
| TOTAL SUBSCRIBED | PAID NOW | BALANCE |
|------------------|----------|---------|
| DOLLARS | CENTS | DOLLARS | CENTS |
MAKE CHECKS PAYABLE TO THE SALVATION ARMY
11/29/1890: The regular Salvation Army work in Vancouver began on the corner of 5th and Main by two officers. The Army’s Capt. Benjamin Pollgreen spoke for some local residents, “the Salvation Army is still holding the fort in this city and some of their street battles are as noisy as a tom convention. How these people can inspire good ideas with the mode they have chosen is a conundrum to the average individual.”
Later in 1890, the Salvation Army started street-corner services. The weekly Independent reported on 1/28/1891, “about 60 converts have been made, among whom are many of Uncle Sam’s army. Last night there was not even standing room in their barracks, while on the outside people were standing upon window ledges, saw-horses, ladders and boxes in their eagerness to see what was going on.” 1
---
1 The Spiritual History of Clark County, pg 116 |
shall be subject to the following conditions, limitations, stipulations, restrictions and covenants, regardless of whether same are subsequently included in deeds or conveyances made hereafter, and accordingly, DEVELOPER does hereby adopt, establish and impose upon all of the said property, the servitudes and restrictions applicable thereto, as set forth herein, all of which are established for the purpose of creating a general and uniform plan for the development of the subject property, and enhancing and protecting the value, desirability and attractiveness of the said property, for DEVELOPER, and for all future owner or owners of all or any part thereof, to-wit:
(1) The name of the subdivision is and shall be COUNTRY OAKS ESTATES;
(2) Developer has and does hereby dedicate to the public forever, the public use forever as streets and road, as shown on the attached plat. Developer also dedicates the drainage and utility easements shown on the said plat;
(3) There is hereby created a servitude upon, over and under all of the property in the subject subdivision, pursuant to the said utility easements and servitudes as shown on the plat and map thereof, together with ingress and egress thereto and therefrom for the purpose of installing, replacing, repairing and maintaining said utilities, which utilities shall include, but not be limited to, water, sewerage, telephone, cable, electricity, natural gas and all other appurtenances relating thereto. By virtue of this servitude, it shall be expressly permissible for utility companies and other entities supplying service in connection therewith, to install and maintain the aforesaid utility services over and across and under the property within the said servitudes, from time to time as may be necessary for providing such utility services to any homeowner or lot owner within the said subdivision, all in accordance with the applicable requirements of the Lincoln Parish Police Jury. The surface or any such servitude areas may be used by the property owner affected thereby, for the purpose of planting shrubbery, lawns or flowers. However, the utility companies furnishing such services shall have the right to remove or trim all trees, shrubs or other obstructions situated within the said utility servitudes shown on the aforementioned plat and map. Neither the DEVELOPER nor any supplier of any utility or service using any servitude area shall be liable to any owner for any damages done by them or by their respective agents, employees, servants or assigns, to any such lawns, shrubbery, trees, flowers or other property of the owner located within the servitude area as a result of any activity relating to the construction, maintenance, installation, removal, repair or other operations of any facility in such servitude area;
(4) For drainage purposes, the grades and low elevations as left by the DEVELOPER shall be considered as the natural drainage for the subdivision and no lot owner may interfere with the natural drainage thereof in any manner whatsoever;
(5) All of the lots in the subject subdivision shall be used for residential purposes only. No dwelling shall be erected, altered, placed nor permitted to be constructed nor to remain on any lot other than one (1) detached single-family dwelling, not to exceed two (2) stories in height. One garage or carport must be constructed in connection with each residential dwelling, sufficient to house at least two (2) motor vehicles. No lot shall be used for commercial, industrial or manufacturing purposes whatsoever;
(6) The heated/cooled floor area of the main structure, exclusive of all exterior storage, garages, porches and carports, whether attached or detached, shall be
not less than 1800 square feet for any residence. Any residence constructed in the subdivision shall be constructed such that at least 80 percent of the exterior walls will be of brick, stucco or other hard-surface durable material. No vinyl siding shall be allowed with the exception of the eves and soffits. The minimum roof pitch for the main roof of all residences and accessory buildings shall have a vertical rise of at least 8 inches for each 12 horizontal inches. Samples of all exterior materials and colors shall be submitted to the Architectural Control Committee for its approval, prior to the commencement of construction;
(7) No residential structure shall be constructed nor placed upon any lot in the said subdivision other than a "stick-built" residential structure, and such appurtenant living structures as are permitted herein. There shall be no prefabricated, factory manufactured nor modular houses nor component parts hereof, placed upon any lot in the subdivision. All construction shall be of new materials and shall be permanently attached to the subject property. Likewise, no mobile homes nor temporary homes of any kind or nature shall be placed on any property in the subject subdivision. Residential Structures shall include the main living structure, outdoor patios/kitchens, pool houses, "in-law" suites and other similar structures commonly built attached or adjacent to the main living structure;
(8) No structure, whether residential or otherwise, may be constructed or erected on the subject property until the construction plans and specifications, together with a site plan, showing the location thereof, have been submitted to and approved in writing, by Developer, with regard to quality of workmanship and materials, harmony of external design with existing structures, and as to location with respect to topography and finish grade elevation. This provision shall apply to any out-buildings whether attached or detached. Developer may designate a representative to act for it. In the event of the death or resignation of any member of Developer, the remaining members of Developer shall have full authority to designate a successor. The approval or disapproval of Developer as required hereinabove shall be in writing and directed to the party requesting same, at the address to be furnished by the requesting party. In the event the Developer or its designated representative fails to approve or disapprove said plans and specifications within thirty (30) days after they have been submitted to Developer, or, in any event, if no suit to enjoin the construction has been commenced prior to the completion thereof, approval will not be required and this covenant shall be deemed to have been fully complied with. After Developer has sold all lots within the Subdivision, a majority of the lot owners shall have the authority to appoint a successor to developer for approval of any construction. In the event the lot owners shall fail to appoint such, a majority of the lot owners shall be required for this approval. Each lot shall be entitled to one (1) vote;
(9) Developer shall approve any additional structures in the same way as approval for the construction of a residence. With the exception of any residential or appurtenant structures, Not more than two (2) additional structures may be erected, constructed and/or maintained on a lot in the subdivision. It is expressly provided that such additional structures must be located behind the primary residence. Said structures must be constructed from all new attractive and durable materials and should resemble or compliment the architectural style of the residence placed on said lot. Said structures shall be maintained in good repair. The structures may be constructed of tin, aluminum or other such similar sheet metal, as long as the look thereof shall be complimentary to the residential structure. Siding, shingles, windows and other operational hardware shall resemble or compliment the primary residence. Once construction of a building on a lot has commenced, the construction thereof must be diligently pursued and completed within a reasonable time;
(10) Once construction of a new residence on a lot has commenced, the construction thereof must be diligently pursued and completed within a reasonable time;
(11) A residence shall not be constructed on less than one (1) numbered lot in the subject subdivision,
(12) No residence may be located on any lot nearer than seventy-five feet (75’) to the “front” lot line, on which a street is situated, nor nearer than ten feet (10’) from any “side” lot line, nor nearer than twenty-five feet (25’) from any “back” lot line. The term “back” lot line, refers to that portion of the lot opposite the “front” lot line. Developer must approve the placement of any residence or other structure any owner desires to place upon any lot and shall have the ability to modify this restriction if deemed appropriate;
(13) Developer must approve any fences, prior to the construction thereof, with regard to the composition, placement and appearance. Any fences installed in the subject subdivision shall be of attractive and durable materials, and may not be constructed of the following or similar materials without Developer approval, to-wit: barbed wire; “hog wire” or any other type of field fencing, poultry wire or any other similar type of wire. No fence shall be located nearer the “front” line of any lot than the minimum set-back line referred to immediately hereinabove, nor shall it be constructed closer than a projection of the front of any residence. Any wire or field fences which may be approved by Developer may not be constructed nearer than ten feet (10’) to any lot line without written approval of the adjacent lot owner. In addition, no vegetation may be planted or grown on any lot, which would obstruct sight lines adjacent to the public streets or roads;
(14) A driveway shall be constructed upon each lot, from the residence to the public road or street adjacent thereto, and all such driveways shall be constructed of concrete or asphalt pavement;
(15) No antenna, aerial or other communication device shall be permitted on the front of any residence. One (1) antenna, aerial or other similar device will be allowed for non-commercial purposes, on the rear of the lot, and such antenna, aerial or other similar device shall not be raised to a height greater than the highest point of the roof of any such residence. Such antenna shall not be visible from the road.
(16) Swimming pools shall only be installed behind the residence situated on any lot.
(17) No structure of a temporary character whatsoever, including, but not limited to, trailer, mobile home, tent, shack, barn or other buildings shall be located nor used on the hereinabove described property, or any parcel thereof, at any time, either temporarily or permanently;
(18) Lot owners shall attempt to minimize trees which shall be removed from any lot. Trees may be removed for construction of a residence or other structure or for pasture preparation.
(19) Trucks with tonage in excess of a one-ton conventional pickup truck shall not be permitted to park on the streets or driveways of the subject subdivision overnight, and no vehicle of any size which normally transports inflammatory or explosive cargo may be kept in the subject subdivision at any time. No cattle trailers or any other commercial trailers of any kind or type shall be parked in the streets or driveways of the subject subdivision at any time. Any
large vehicles such as RV'S, trailers or boats shall only be parked out of sight from the street for any extended period of time;
(20) No noxious or offensive activity shall be carried on upon any lot, nor shall anything be done thereon which may be or may become an annoyance or nuisance generally to the other property owners in the subject subdivision.
(21) No sign of any kind shall be displayed to the public view on any lot except one (1) sign of not more than five (5) square feet advertising the property for sale or rent, or signs used by a builder or architect to advertise the property during the construction and sale thereof;
(22) No lot shall be used or maintained as a dumping ground for rubbish. Trash, garbage or other waste shall not be kept except in sanitary containers. No trash can or container used for storing trash shall be kept or stored where it can be seen from the road. No trash, garbage nor rubbish shall be left to accumulate to the public view on any lot, other than the placing of such trash, in proper containers, for pickup by said private service;
(23) No animals, livestock or poultry of any kind or nature shall be raised, bred, or kept on any lot, which are maintained for commercial purposes. It is expressly provided that no lot owner nor resident of the subdivision shall maintain any pets or animals which become a nuisance or annoyance to other neighbors and lot owners in the subdivision. Any animals other than traditional household pets shall be kept out of sight from the street and shall be confined within a fenced area. It is expressly provided that traditional “farm” animals shall not be kept in any quantity that will cause an annoyance or nuisance to other lot owners, nor in a quantity that is unsuitable for the size of the area within which they are confined. In the event that such “farm animals” are kept on any lot, the owner thereof shall take care to prevent odors or insects from becoming an annoyance or nuisance to other lot owners within the subdivision;
(24) No oil, drilling, oil development operations, oil refining, quarrying or other mining operations, for any minerals of any kind or nature, shall be permitted upon or in any lot, nor shall oil wells, gas wells, tanks, tunnels, mineral excavations nor shafts be permitted upon or in any lot;
(25) No individual water-supply shall be permitted on any part of the hereinabove described property. Sewerage systems shall be constructed and equipped in accordance with the requirements, standards and recommendations of the State of Louisiana. Such systems must be approved in writing by the appropriate State health authority before same can be constructed,
(26) The size and grade of culverts used for driveways on the hereinabove described property, and any other pipes placed in roadside ditches, shall be approved by Lincoln Parish before same may be installed;
(27) The exterior of all residential dwellings in the subject subdivision and other permitted buildings, shall be maintained and kept in good repair, which shall include painting and/or staining, as may be applicable. Any substantial damage occurring to any residential dwelling or other permitted building in the subdivision, for whatever cause, shall be promptly repaired. All lots should be landscaped in an attractive manner.;
(28) No hunting, shooting or killing of birds, squirrels or other game animals of any kind or nature shall be allowed nor permitted within the subject subdivision;
(29) All mailboxes and mailbox posts must be approved by Developer.
(30) These covenants and restrictions shall run with the land, and shall bind, inure to the benefit of and be enforceable by the owner of any lot, their respective
legal representatives, heirs, successors and assigns, for a term of twenty-five (25) years from this date, after which time said covenants shall be automatically extended for successive periods of ten (10) years each. These covenants and restrictions may be amended at any time by an instrument signed by not less than the owners of sixty (60%) percent of all of the residential lots in the subject subdivision;
(31) Enforcement of these covenants shall be by an injunction or other proceedings against any person or persons, firms or corporations violating or attempting to violate any covenant contained herein, which proceeding shall or may be either to restrain said violation and/or to recover damages as may be elected by the person or persons bringing said action.
(32) Invalidation of any one (1) or more of these covenants by Judgment of any lawful Court shall not adversely affect the remaining covenants, which shall remain in full force and effect as written; and
(33) Developer may require lot owners to pay a monthly landscape maintenance fee to Developer or its designee for the maintenance of common areas.
IN WITNESS WHEREOF, this Act has been signed by COUNTRY OAKS, L.L.C., on the day, month and year herein first above written, in the presence of the undersigned Notary Public and the undersigned legal and competent witnesses, after due reading of the whole.
WITNESSES:
Heather Talley
Printed Witness Name: Heather Talley
Joan Couch
Printed Witness Name: Joan Couch
COUNTRY OAKS, L.L.C.
BY: Klayton C. Allen
Klayton C. Allen, Manager
BY: Donald J. Allen
Donald J. Allen, Manager
NOTARY PUBLIC
RYAN MADSEN - NOTARY ID NO. 987
PUBLIC
LINCOLN PARISH, LA. |
SESSION WEEKLY
A Non-Partisan Publication of the Minnesota House of Representatives • March 24, 1995 • Volume 12, Number 12
MAR 24 1995
THEIR FIGHT CONTINUES
THEY'RE MAKING CUTS?? ARE OUR DISABILITIES NOT ENOUGH?
Week at a glance
Pass the farm — Transferring farms from one generation to the next is often a thorny issue that most farm families inevitably face. And this session, a bill is moving through the House to provide $191,000 to help set up a statewide Passing on the Farm Center to counsel families. ................................................................. Page 4
Nature calls — Portable toilets would be required on nearly all construction job sites, under a bill moving through the House. No construction, remodeling, or demolition project could begin unless "sanitary rest room facilities" are provided for workers "within a reasonable distance" from the building site. ........................................ Page 4
Year-round schools — Students can learn more and school districts can save money by keeping school open all year, according to one expert who supported a House bill that would give schools financial incentives to operate on a schedule that does not include the traditional summer vacation. .................................................. Page 5
Protecting police horses — You may still be able to look a gift horse in the mouth, but don't try punching him. A bill approved by the House Judiciary Committee would make it a crime to assault or harm a police horse. ........................................ Page 5
Better shipwrecks and gardens — A total of $100,000 would be authorized to study shipwrecks in Minnesota lakes and rivers, $150,000 to conduct workshops on landscaping with native Minnesota plants, and $575,000 to study toxic mercury emissions in Minnesota's air and lakes, under a legislative commission bill. ...Page 9
Semester system — Classes at Minnesota's state universities, community colleges, and technical colleges would last one semester rather than one quarter of the academic year, under a bill heard by the House Higher Education Finance Division. ........................................................................ Page 13
Workers' compensation reform — A House committee is considering seven bills that all promise to reform Minnesota's workers' compensation system which many have argued is much too costly. ................................................................ Page 14
Creative budgeting — Finding creative ways to do more with less will be the key to solving problems the Legislature faces, says first-term lawmaker Rep. Bill Haas. "You've got to run government like you run a household or a business. . . . If you're short on money, you cut back and find new ways to accomplish what you have to get done." ........................................................................ Page 17
OK, I'll run — First-term lawmaker Rep. Tom Hackbarth had no intention of becoming a member of the Minnesota House of Representatives. He tried to recruit a conservative Independent-Republican challenger to face-off against a liberal DFLer. When no candidate could be found, Hackbarth took up the cause. .............. Page 18
INSIDE
Highlights ........................................................................................................... 3
Feature: New members: Haas, Hackbarth .................................................... 17,18
Bill Introductions (HF1441 - HF1654) ............................................................. 19
Committee Schedule (March 27 - 31) ............................................................. 25
On the cover: Jennifer Ring of Mahtomedi holds her six-year-old daughter, Kayla, who has epilepsy, during a rally in the Capitol rotunda March 22. Dozens of Minnesotans came to protest Gov. Arne Carlson's plan to reduce home-based care for the disabled.
— photo by Tom Olmscheid
‘I just want to live at home’ . . .
Some 300 protest home care cuts for disabled
Jenna Johnson was number 10 on a list of some 145 people waiting to speak to a group of Minnesota lawmakers March 22 about proposed budget cuts.
She isn’t a lobbyist, doesn’t keep a cellular phone in her pocket, and doesn’t carry a leather brief case. Her uncluttered message, however, appeared to hit home.
“I just want to live at home,” said the quiet 12-year-old from St. Paul.
Jenna was one of about 300 people who journeyed to the State Capitol March 22 to persuade lawmakers not to agree to Gov. Arne Carlson’s proposed $11.5 million in cuts to home care programs for the disabled.
Like many, Jenna, who has cerebral palsy, was in a wheelchair, but others had guide dogs and some were on ventilators.
Even after three hours of testimony, members of the House Health and Human Services Finance Division only got to number 23 on the list of 145 people who wanted to testify. But legislators and those who didn’t get a chance to testify broke into small groups after the hearing to hear more individual stories.
Later in the day, a subgroup of those attending tried to demand an audience with the governor but were ordered out of his office and cited.
Carlson’s budget proposes to cut money from two programs that help people who are disabled remain at home instead of in an institution. Specifically, he would cut a program that provides personal care attendants for the disabled and another that allows the families of children with disabilities to buy into a state medical care plan.
Some government officials maintain some people misuse the personal care attendants and other state medical services. They maintain Minnesotans are paying for “baby-sitting services.”
A memo from the Department of Human Services states that personal care services “can cost less than nursing facility costs.” However, in some instances, Medical Assistance pays more for personal care services than it does for nursing home care.
When all the cuts are added up, it is estimated that 2,030 kids and 150 adults would be cut off. Another 1,700 could lose their benefits if the Department of Human Services fails to obtain federal permission for 1,700 more waiver slots to allow them to continue their benefits. Advocates warn that the federal government’s rush to cut the budget means less money for social service programs. So, more waivers are not guaranteed.
But Tom Moss, director of long-term care for the Department of Human Services, said his office has been in regular contact with federal officials and “we’re going to get the waivers.”
Currently, the state pays about $94 million each biennium for 5,300 people who receive help from a personal care attendant in their home. The attendants help with such things as feeding, bathing, travel to and from work, and changing catheter bags.
Another popular program slated for cuts allows families with children who are disabled the option to pay into the state’s Medical Assistance (MA) plan for their long-term health coverage while still keeping their jobs and homes. The coverage allows them to continue with their child’s therapy as well as pay for medicine, medical supplies, and personal care attendants.
Under current MA guidelines, most people have to impoverish themselves — quit their jobs to meet low-income requirements and sell their homes — before they can qualify for help.
The program, known as TEFRA, serves 3,900 children and costs the state about $36 million every two years. Currently, parents in the program pay back the state about $650,000 every two years, Moss said.
Advocates argue the program is not a freebie. First, parents must
Six-year-old Matthew Fink rested his head as his mother, Cheryl, of Eagan, testified before the House Health and Human Services Finance Committee for the continued funding of home-based care for the disabled.
pay into the Medical Assistance plan. Second, they are required to keep their own private insurance for themselves and their children to pay for regular doctors' visits and other medical costs.
Julie Beckett, an Iowa woman whose daughter Katie inspired then-President Ronald Reagan to initiate the TEFRA option to states, traveled to St. Paul to encourage lawmakers not to cut the program.
In 1981, Reagan met Katie, then 3 years old, in a hospital. Now 17, Katie still suffers from post viral encephalitis, is on a ventilator, and requires ongoing medical care.
The program is a "fiscally feasible way of taking care of people at home." She noted that nursing home care would be more costly in many cases.
"If people like you knew us . . . you'd know we save the government a substantial amount of money," Beckett said.
Mike Ehrlichmann of Minneapolis and a consultant on the federal American with Disabilities Act, said that many facing cutbacks fear the loss of freedom to eat, go to work, and stay in their own homes.
If they're not free to live in their own homes, they end up in an institution, which would cost the state even more money, said Ehrlichmann.
"You're asking a great many people to face that choice . . . Please don't let this budget proposal prevail. It is too expensive," Ehrlichmann said.
— K. Darcy Hanzlik
AGRICULTURE
Passing on the farm
When David Reynolds' father died unexpectedly several years ago, his mother was left with the family's 700-acre farm near Redwood Falls, Minn.
But left unresolved was just how the farm would get transferred to David and the next generation — an often thorny issue that most farm families inevitably face.
Luckily for Reynolds, however, southwestern Minnesota is home to a farm task force whose goal is to assist families and others who are in the process of transferring the farm from one generation to the next.
"It was an opportunity to meet all at once," said Reynolds, referring to the numerous people involved in such transactions. "These people are seeking information."
On March 20, the House Agriculture Committee approved a bill that would provide $191,000 in funding for the project over the next two years.
The measure, sponsored by Rep. Roger Cooper (DFL-Bird Island), would establish "The Passing on the Farm Center" at the Southwest Technical College in Granite Falls, Minn.
The center would expand the existing project so it is statewide in scope and bring it under the state's umbrella. In the past, the project received funding from the Southwestern Minnesota Initiative Fund, Sisters of Notre Dame, and several other organizations and was limited to southwestern Minnesota.
The project employs the "study circle" concept of getting between five and 20 people together to discuss the various issues involved with such a farm transfer, ranging from tax and retirement planning to how to plan for a situation where a farming son or daughter gets divorced.
"The more times a group meets, the more they'll open up," said Cindy Wittwer, a registered nurse from Redwood Falls, Minn., who has participated in the project.
She said that too often people focus on the "technical parts" of such transfers while they "don't pay attention to the human parts."
Several members, however, questioned the wisdom of creating another state government program during a time of budget cutbacks.
"I just wonder if we need another project?" said Rep. Howard Swenson (IR-Nicollet), a lifelong dairy farmer who is in the process of transferring the family farm to his son. "I think there's resources out there now that people can go to."
And Rep. Marv Dauner (DFL-Hawley) questioned why farmers should have a specific program to deal with these issues when a hardware store owner or pharmacist doesn't.
HF614 now moves to the Environment and Natural Resources Finance Committee for further review.
BUILDINGS
Nature calls
Portable toilets would be required on nearly all construction job sites, under a bill considered by the Business Regulation Division of the Commerce, Tourism and Consumer Affairs Committee March 20.
No construction, remodeling, or demolition project could begin unless "sanitary rest room facilities" are provided for workers "within a reasonable distance" from the building site.
The measure, sponsored by Rep. Edwina Garcia (DFL-Richfield), specifies that one toilet would be provided for every 20 employees. No facilities would have to be provided for "mobile crews" moving to different job sites "on a daily or hourly basis."
Also, the bill would not apply to remote sites "where temporary rest room facilities are unavailable."
Garcia said that the proposal would promote good sanitation and the prevention of communicable diseases.
George Bentley, representing the Minnesota Portable Restroom Operators, told lawmakers that portable toilets are available for workers on relatively few single family home construction sites.
Beside the boon to public health, providing portable toilets at work sites would save employers money by decreasing workers' break times, according to Bentley.
The federal Occupational Safety and Health Administration (OSHA) requires the one-toilet-to-20-workers ratio specified in the bill. But Bentley noted that OSHA does not have enough building inspectors in Minnesota to "enforce this on a consistent basis."
Bentley said that Eden Prairie has adopted a similar ordinance and has experienced no problems with it.
The unfunded biffy bill had its detractors. Joan Archer of the Builders Association of Minnesota termed the proposal "too prescriptive and detailed." She said it would punish building contractors and hold up construction projects.
"I would be required to ensure that there's enough toilet paper on the construction site," objected Ron Nienaber, building official for the city of Maple Grove. "I have more important things to do."
HF1318 was laid over and will be considered at a later date.
More support for kids
A bill to give the state more tools to garner the hundreds of millions that are owed to Minnesota kids in failed child support payments won approval from the House Judiciary Committee March 22.
As of July 1994, Minnesota kids were owed $551 million in delinquent support payments.
The proposal includes a "pay it or park it" provision which would suspend the driver's license of anyone owing at least $1,000 in delinquent child support. Such parents would be notified that they have 90 days to work out a payment plan with the county or the court. Failure to do so would result in a suspended driver's license. (The debtor may request a hearing on the matter.)
The provision of HF966 is modeled after a current Maine law which has generated $21 million in collections since its 1992 inception. It cost the state $70,000 to implement the program. Only 39 drivers' licenses have been suspended.
Bill sponsor Rep. Matt Entenza (DFL-St. Paul) called the Maine program a successful deterrent. He said the goal is to collect money, and to "make sure individuals are not unfairly treated."
Estimates from the Department of Human Services (DHS) place administrative costs for the program at about $70,000 annually. By fiscal year 1999, when the program would be fully operational, DHS conservatively estimates the program will account for an additional $30 million in child support collected.
Other provisions of the bill would:
- establish a centralized state child support collections unit within the DHS in 1997. All payments made to local agencies would be forwarded to DHS;
- delay, until Jan. 1, 1997, the publishing of names of those delinquent in their support payments. When the program resumes, those on public assistance, or have filed for bankruptcy, or have a pending court case concerning what they owe in delinquent support, would not see their names in print. The changes follow the recent erroneous publication of the names of several people in newspapers statewide; and
- freeze the accrual of interest on back child support owed if the parent makes timely payments for 36 consecutive months. This is designed to aid parents who at one time owed a lot in back child support but were unable to pay; by freezing the interest on that large unpaid balance, it is hoped that parents who resume paying can catch up and pay off the debt's principal. (This provision was previously contained in HF348, sponsored by Rep. Tony Kinkel (DFL-Park Rapids), which was incorporated into HF966.)
HF966 now moves to the Health and Human Services Committee for further consideration. (See March 10, 1995, Session Weekly, page 5.)
Protecting police horses
You may still be able to look a gift horse in the mouth, but don't try punching him.
A bill approved by the House Judiciary Committee March 22 would make it a crime to assault or harm a police horse.
The horses are "an extension of the police officer" and should be protected under the law, said Lt. Shirleen Hoffman, mounted patrol leader of the Minneapolis Police Department.
The city of Minneapolis launched its mounted patrol program on Nov. 3, 1994. Its four horses patrol mainly the downtown Minneapolis area along Hennepin and Nicollet avenues, but they're used for special events as well, Hoffman said.
The patrol also has been called to monitor protests and disperse unruly crowds, and that's where some trouble has arisen.
Last November, a full bottle of pop was thrown at a horse in Minneapolis. In a separate incident, a horse's tail was pulled. The horse whirled and knocked down two bystanders.
The horse abuse went unpunished because no state law could be applied.
"We need to do something before somebody really gets hurt," Hoffman said.
HF1399 carries a penalty of up to five years in prison and a $10,000 fine for killing a police horse. Lesser penalties also would apply, depending on the injuries sustained by the horse, the officer riding the horse, or anyone standing nearby.
Under current law, police dogs are protected and have been since 1987. It is a gross misdemeanor to intentionally cause substantial bodily harm to a police dog, and a felony to kill a police dog. The latter carries a penalty of up to two years in prison and a $4,000 fine.
The city of Duluth also has a two-horse mounted patrol and St. Paul is expected to begin one shortly. A St. Paul police sergeant is already certified as a mounted officer, having trained with the Minneapolis officers last fall.
HF1399 now moves to the House floor.
Year-round schools
Students can learn more and school districts can save money by keeping school open throughout the year, according to Dr. Charles Ballinger, executive director of the National Association for Year-Round Education.
Testifying before the House Education Committee March 23, Ballinger supported a bill (HF1323) that would give schools financial incentives to operate on a schedule that does not include the traditional summer vacation.
"It is very difficult to justify the current schedule because of summer (academic) loss and the lack of full use of public facilities," Ballinger said.
Year-round school does not mean students attend classes 365 days a year.
Rather students are divided into groups or tracks — often four — that rotate. While three tracks are attending classes, one is off on vacation. That frees up space to avoid classroom overcrowding.
A common schedule involves attending class 45 school days in a row and then taking
15 school days off. Some school districts offer a semblance of a summer vacation by allowing all tracks to take three weeks off together in July.
More than 2,200 schools in the nation already use some kind of year-round schedule, according to Ballinger. That affects about 1.6 million students.
The students benefit because they are able to perform better in classes when they don't have a lengthy interruption every summer, Ballinger said. And school districts save because the more efficient use of school buildings can prevent the need for additional facilities, he added.
The bill, sponsored by Rep. Alice Hausman (DFL-St. Paul), would allow districts to use a year-round calendar and provide additional funding for those that do.
The bill was referred to the K-12 Education Finance Division and is expected to come up for debate again this session.
"Don't criminalize the parents . . . make them come to school with the child, or start some parenting classes," said Rep. Jim Rhodes (IR-St. Louis Park).
Bill sponsor Rep. Jim Farrell (DFL-St. Paul) said he didn't anticipate that parents would be thrown in jail, but that the penalty would serve as an incentive to get kids in school.
Other provisions in the bill target the truants, including a provision to allow courts to deny or revoke a driver's license until the truant turns 18 years old.
The proposal also would create a series of programs to better address the growing truancy problem.
Three community-based truancy service centers would be established to coordinate intervention efforts, and two school attendance review boards would be responsible for matching students with appropriate community services. Each review board would be composed of school officials, parents, school counselors, law enforcement officials, individuals from community agencies, and a probation officer.
Two county attorney truancy mediation programs also would be established to resolve truancy matters outside of juvenile court.
No price tag has been attached to the proposal as yet. Funding negotiations will take place in the Judiciary Finance Committee.
Students expelled from school for assault could be refused transfer to another district under the bill, and districts would be able to keep students who are released from the criminal justice system out of the general school population for a limited time.
"I'm a firm believer in the notion that children who are afraid cannot learn," said bill sponsor Rep. Charlie Weaver (IR-Anoka). "That's what this bill is to address."
Susan Butler, director of special education in the Anoka-Hennepin School District, supported the bill.
Districts are put in a bind when students who are incarcerated for crimes involving physical and sexual violence return to school upon their release, Butler said.
"We are being asked to place these children back in a public school setting," she said.
Under the bill, students released from incarceration could be placed in an alternative instruction program, away from the general school population, for up to one year.
The bill would narrow the state's emotional and behavior disorders (EBD) criteria to the federal standard. The change would reduce the "over-labeling" of EBD children, Weaver said.
Minnesota has "gone off the charts" with a 225 percent increase in the number EBD students during the past 10 years, Weaver said. And he said the identification of such students has become "a convenient way to get rid of kids" who act up.
HF453 now goes to the House floor.
Protect kids, halt truancy
All people hired to work at a Minnesota school — public or private — would face a criminal background check, under a bill approved March 20 by the House Judiciary Committee.
The provision, which previously applied only to public schools, is included in a comprehensive school safety and anti-truancy proposal (HF610) now headed to the House Judiciary Finance Committee.
(See Feb. 24, 1995, Session Weekly, page 5; March 3, 1995, Session Weekly, page 7; and March 10, 1995, Session Weekly, page 6)
More extensive criminal background checks also were added to the bill.
Under an amendment sponsored by Rep Doug Swenson (IR-Forest Lake), anyone who has lived in Minnesota for less than 10 years would face a national criminal background check. Criminal records from all states where an applicant has lived for the 10 years prior to moving to Minnesota also would be checked, as would welfare agency records, to see if any child maltreatment claim has been substantiated against the applicant.
The bill still contains criminal sanctions for parents who fail to make a good faith effort to exercise "reasonable care, supervision, protection and control" over their children. The same misdemeanor penalty — up to 90 days in jail and a $700 fine — would apply if parents fail to make sure their kids are in school.
Not all agree that parents should be punished.
Making schools safe
School districts would have new ways to protect students from their most dangerous peers under a bill approved March 21 by the House Education Committee.
Three-year-old Zachery DeCosse got a hug from Big Bird March 21 in the Great Hall of the Capitol. Sesame Street characters were on hand to help promote the educational importance of public television.
Training for interpreters
An interpreter is more than someone who knows two languages and can act as a go-between for people who don't speak the same language.
"Interpreting is an extremely difficult task and goes well beyond speaking two languages," Bruce Downing, a professor at the University of Minnesota, told members of the House Higher Education Finance Division March 20.
The division heard a bill sponsored by Rep. Karen Clark (DFL-Mpls) that would form an advisory committee to determine how best to start a training program to certify interpreters and translators. Certification training would begin in September 1998 under **HF678**.
Interpreting means acting as a go-between for people carrying on an oral conversation in separate languages. Translation refers to written work, Clark said.
The committee did not act on the bill because the cost to carry out such a program has not yet been determined. Members may take up the bill at a future meeting.
In Minnesota, many Asian immigrants rely on untrained interpreters to help them with everything from visiting the doctor to buying car insurance, said Maria Nguyen, a member of the Asian Women's Task Force, which aids Asian women immigrants.
Because the interpreters are untrained and are sometimes friends and relatives of the non-English speaking person, the actual interpretation can be sketchy. Especially if the subject matter is full of medical jargon or legal terms, said Sy Vang, who serves as an advocate for battered Asian women.
When she sits in on court hearings, she sometimes hears incorrect interpretation no one catches.
"The interpreter can't find the words to fit the legalese and the judge doesn't know that," Vang told division members. "Many times I had to interrupt because I wasn't happy with the interpreting."
Interpreters need to learn the jargon of a specialty field such as medicine or law. They need to learn communication skills and to learn the ethics of interpretation, Downing said.
He teaches an interpreter training program through the university extension program.
"It's just a small attempt to meet some of the desperate need. Interpreting is one of the most undeveloped fields that exists. In Europe these programs are taught on the graduate school level," he said.
The advisory committee **HF678** would determine how best to enact a certification program. Under one option, students would successfully complete a number of community college classes and earn an associate of arts degree, Clark said.
Studying domestic violence
Five young people from Black Hawk Middle School in Eagan visited the House March 22 — fully prepared to share the results of their study on domestic violence.
Rep. Mary Murphy (DFL-Hermantown), chair of the House Judiciary Finance Committee, was among those who witnessed the students' well-rehearsed presentation, complete with overhead transparencies.
The students' research project began in January under the direction of their social studies teacher, Scott Moser.
Their choice of topic was prompted by media coverage of the O.J. Simpson trial and talk show discussions of spousal abuse. Their sources included newspaper articles and interviews with prosecutors, police officers, and domestic abuse specialists.
The students reported that over one million women each year receive medical attention because of battering.
They were concerned about overcrowding in women's shelters and why abuse victims didn't just leave the situation.
One student said that, "Domestic abuse has a profound effect on children, who witness 87 percent of domestic abuse incidents."
Another said that "judges spend an average of 10 minutes on each domestic abuse case."
Murphy, herself a social studies teacher, questioned the students on the feasibility of their recommendation to impose tougher sentences on people convicted of battering and suggested that they talk to some state district court judges.
The presentation was made by students Jason Cox, Christen Johnson, Tom Kolinski, Amber Paukner, and Shane Stevenson.
ELECTIONS
Special elections by mail
Special elections called to fill a vacated state legislative seat would take place through the mail or at the same time as the state primary or general election, under a bill approved March 16 by the House Elections Division.
Under the bill (**HF220**), county auditors would mail ballots to every registered voter in a district with a vacant legislative seat — but only if the election is held while the Legislature is in session.
When the Legislature is not in session, the election would take place at the November general election or, if there is no November election or the vacancy occurs after that election, by mail.
A special primary — if necessary — would be held through the mail or at the time of the regular primary.
"I'm thinking that convenience and custom will increase turnout," said Rep. Mindy Greiling (DFL-Roseville), who sponsors the bill. "This bill is in keeping with trying to keep uniform election days and to get people to turn out to vote."
The bill would also give the governor 49 days — instead of the 28 called for in current law — in which to set the special election date after a vacancy occurs, said Joe Mansky, director of the Elections Division of the Office of the Secretary of State.
The bill may increase the cost of holding a special election, Mansky said, because the postage required to mail ballots to each registered voter may total more than the cost of opening polls for one day.
But when elections have been conducted through the mail the number of people voting has sharply increased, Mansky said.
In 1987, the Legislature gave townships the authority to conduct elections by mail.
In 1991, the Legislature gave Ramsey, Kittson counties the authority to conduct local elections by mail on an experimental basis, but neither county has used that authority.
In that same year, the Legislature also gave all counties the authority to conduct absentee voting by mail without qualification. The boards in five Minnesota counties — Anoka, Becker, Hennepin, Pope and Ramsey — agreed to do it.
And in 1993, cities outside the metropolitan area with fewer than 400 registered voters were given the authority to vote by mail in state, county and local elections.
If the bill is approved by the Legislature...
and signed by the governor, voters in special elections would receive ballots 20 to 14 days before election and would have until 8 p.m. election day to return them.
They could mail their ballots or return them in person to their county auditor's office, Mansky said.
**Political contributions**
Political parties and campaign committees who use the state's political contribution refund program would be barred from using contributions to lobby, under a bill approved by a House panel March 16.
The political contribution refund program is only to be used to fund an individual candidate's campaign, said bill sponsor Rep. Roger Cooper (DFL-Bird Island).
Under the program, created by the Legislature in 1990, an individual can give up to $50 to a candidate or party, obtain a receipt for the donation, complete a form from the Department of Revenue, and get the cash back from the state. Married couples can contribute up to $100 and get it back.
Cooper told members of the House General Legislation, Veterans Affairs and Elections Committee's Elections Division he received a fund raising letter from a committee of a major political party. It told recipients that their financial contribution would help the organization lobby to make changes to the MinnesotaCare health plan.
It also encouraged donors to take advantage of the political contribution refund program.
Such use of the program is currently legal, but not what the program was intended for, supporters said.
Some DFL lawmakers also have criticized Gov. Arne Carlson's campaign organization for using the political contribution refund program, since the group is now lobbying the Legislature on behalf of the governor's programs.
Carlson's tax bill (HF630) calls for the elimination of the refund program, which costs the state $4.7 million per two-year spending cycle.
The bill (HF1106) would require political parties that use the program to file a statement with the Ethical Practices Board saying the contributions are not used to lobby or influence legislation.
The House General Legislation, Veterans Affairs and Elections Committee will hear the bill next.
**Holding two elected offices**
Soil and water conservation district supervisors in small towns would be allowed to hold a second elective office under a bill approved by a House panel March 16.
According to a 1973 opinion from the Office of the Attorney General, the soil and water supervisor office is incompatible with other elective town offices, such as mayor, town supervisor, or city council member, because the conservation district is charged with land planning and with distributing state and local funds for individual landowners. Those activities may have an effect on the city or town, according to the ruling.
But in smaller Minnesota towns and cities, it is common practice for soil and water conservation district supervisors to also hold a second elected office, said Rep. Gene Pelowski (DFL-Winona) who sponsors HF450.
"Our understanding is that in rural areas, it's hard to find anybody to run for anything," Pelowski said.
The bill would declare the widespread practice legal for officers in Minnesota towns with fewer than 2,500 people. The supervisor must refrain from voting on issues that affect the town and the soil and water conservation district.
Current law allows school board members to serve on town boards, said Joe Mansky, director of the Elections Division of the Office of the Secretary of State.
The bill now heads to the House General Legislation, Veterans Affairs and Elections Committee.
**Easing wetland restrictions**
Legislation that would give counties more flexibility in developing wetlands was approved by House Environment and Natural Resources Committee March 22.
The "compromise bill" (HF787), which would amend the 1991 Wetlands Conservation Act, was developed over five months in meetings of the Wetlands Heritage Advisory Committee, according to the bill's sponsor, Rep. Willard Munger (DFL-Duluth). The panel contains members representing agricultural, educational, environmental, and land development interests.
The measure would allow local governments to adopt their own "comprehensive wetland protection and management plan" in lieu of the rules adopted by the Board of Water and Soil Resources (BWSR), which currently oversees the law. Many local officials have complained those rules are too strict and make land development too costly.
Under the bill, BWSR would still have to approve — and could reject — a county plan, a move applauded by the Minnesota Wetlands Conservation Coalition, which is composed of nine environmental groups.
A separate wetlands bill (HF622) approved by the Agriculture Committee March 15, also would allow counties to develop their own wetland management plans. However, it did not require BWSR approval of those plans. (See March 17, 1995, Session Weekly, page 3.)
HF787 also would ease current wetland replacement mandates that have caused five northern Minnesota counties to refuse to comply with the 1991 Wetlands Conservation Act.
The law now tells local governments that wetlands drained for roads, housing, or other development must be replaced — if not in another section of the county then somewhere in the state.
The bill says that in counties which have 80 percent of the wetlands that existed when Europeans first arrived in Minnesota — or presettlement wetlands — the minimum size of a wetland requiring replacement would be raised to 7,500 square feet, up from 400 square feet. (The same language is contained in HF622.)
Other changes to the current wetland replacement requirements were made to the bill.
An amendment sponsored by Rep. Doug Peterson (DFL-Madison) would exempt the Lincoln-Pipestone Rural Water System from having to file a wetland replacement plan.
Peterson explained that the system's waterfield is located in a "calcaceous fen" — a type of wetland where water percolates through calcium rock. Operation, future construction and maintenance of the water system serving 4,000 people would be allowed as long as it was "done in an environmentally sustainable manner," under the bill.
Under current law, such a fen cannot be altered or degraded.
A successful amendment offered by Rep. Virgil Johnson (R-Caledonia) would ease the replacement requirements involving "public transportation projects." Under current law, those responsible for such projects must replace twice the area of wetlands that are disturbed. Under the amendment, these projects would replace drained wetlands on a one-for-one basis.
HF622, sponsored by Rep. Jim Tunheim (DFL-Kennedy), is now pending before the Environment and Natural Resources ComBetter shipwrecks and gardens
The state would spend $100,000 to study shipwrecks in Minnesota and $150,000 to conduct workshops on landscaping with native Minnesota plants under a bill considered by the Environment and Natural Resources Finance Committee March 22.
The $33 million Legislative Commission on Minnesota Resources' (LCMR) bill contains money for 86 environmental and recreational projects.
HF213 will become part of an omnibus environmental spending bill that will be completed later this legislative session.
Money raised through a portion of the state's cigarette tax and lottery earnings finance the projects selected by the LCMR. The commission solicits projects through mailings to 3,300 state agencies, local units of government, citizens groups, and through a series of natural resource forums across the state.
LCMR chair Rep. Phyllis Kahn (DFL-Mpls) said that the commission provides worthy projects with an "avenue to the state budget that doesn't exist otherwise."
One proposal, which prompted lawmaker debate would give $100,000 to the Minnesota Historical Society to survey "shipwrecks in Minnesota inland lakes and rivers," and organize a conference in Duluth on "underwater cultural resources."
Kahn explained that shipwrecks in "fresh, clear water" stay well-preserved for a long time. She added that some Great Lakes states have promoted shipwrecks as a tourist attraction.
Two previous LCMR grants have funded studies of shipwrecks in Lake Superior, according to Scott Anfinson, an archaeologist with the historical society. He said the society will publish a book on Lake Superior shipwrecks next year.
Some other LCMR proposals include:
- $4.5 million to the Metropolitan Council to improve its regional park system;
- $3.7 million to the Department of Natural Resources (DNR) to upgrade state park facilities;
- $575,000 to the Minnesota Pollution Control Agency to determine the sources of toxic mercury emissions in Minnesota's air and how much is ending up in the state's lakes;
- $150,000 to the Neighborhood Energy Consortium in St. Paul to conduct workshops on landscaping with native Minnesota plants in the Twin Cities metropolitan area;
- $2.3 million to the DNR for four Reinvest in Minnesota (RIM) projects to acquire land to improve streams and wildlife habitat;
- $900,000 to the DNR for the ninth and tenth years of a 24-year project studying the "ecology of rare plants, animals, and natural communities" in Minnesota counties;
- $650,000 to the DNR for data collection to evaluate experimental fishing regulations;
- $600,000 to the DNR to construct boat ramps and fishing piers and improve shoreline access; and
- $680,000 for an expansion of the University of Minnesota Landscape Arboretum and development of a wetland restoration demonstration project.
The LCMR is composed of eight representatives and eight senators.
Bigger state parks
Several state parks would have their legal boundaries expanded, under a bill given final approval March 22 by the House. The vote was 127-2.
The bill (HF479) would allow parcels of land to be added to Forestville, Gooseberry Falls, and William O'Brien state parks. (See March 3, 1995, Session Weekly, page 8)
In addition, the bill would correct a legal oversight to reclassify John A. Latsch State Park. The land was once a state park, but, for reasons unknown, it inadvertently became classified as a wayside rest area.
A bill is usually introduced each session to modify state park boundaries. In some cases, landowners express a desire that their land become part of a park. In others, state forest land is added to a park.
Although the proposal would expand the legal boundaries of the state parks, future legislation would need to be approved to authorize the sale of state bonds to pay for acquiring private land to add to the parks.
The bill, sponsored by Rep. Tom Bakk (DFL-Cook), also would allow vehicles without state park permits to enter Gooseberry Falls State Park and park in a new highway rest area that lies within the park. Parking no longer would be allowed along the highway.
The bill now heads to the Senate.
GAMBLING
Honoring state compacts
Marge Anderson, chief executive of the Mille Lacs Band of Ojibwe Indians, urged lawmakers to honor the gaming compacts now in effect between the state and the 11 Minnesota tribes.
Anderson, testifying March 17 before the Gambling Division of the House Governmental Operations Committee, opposed a resolution urging Congress to put a closing date on the 22 compacts now in existence between the state and the tribes.
The compacts have no expiration date. Sponsor Rep. Phyllis Kahn (DFL-Mpls) said the resolution (HF1084) would be an early step in an effort to bring all the parties to the table to discuss some of the issues that have arisen since the compacts were signed.
Anderson said the compacts were "not a gift" but instead were the result of "tough negotiations between sovereign powers."
She said the expiration of the compacts would threaten the tribes' only source of revenue for economic development.
"Indian gaming was not created to help the state government out of the financial mess they have gotten themselves into," Anderson said.
Audrey Kohnen, of the Prairie Island Mdewakanton Dakota Community, said the
resolution is another chapter in a history where only the issues have changed.
"One thing has always stayed the same," she said. "Indians have always kept their word, and your governments have not."
The division took no action on the resolution and is expected to debate it at a later date.
**GOVERNMENT**
**Unforeseen expenses**
A $3.3 million proposal to cover unforeseen expenses incurred by several state departments and programs during fiscal year 1995 was given final approval by the House March 20. The vote was 127-2.
Under the bill, the Office of the Attorney General would get $790,000 to pay for expert witnesses the state hired for the 1994 federal court case involving the Mille Lacs Band of Ojibwe's disputed treaty rights.
Also, the state Board of Public Defense would receive $1.5 million to handle increased caseloads resulting from juvenile criminal laws enacted by the 1994 Legislature.
With the current backlog of cases clogging the courts, public defenders have told lawmakers on several occasions this year that they need more staff. The governor vetoed a $2.65 million appropriation for public defenders contained in the 1994 juvenile crime bill.
(See Feb. 24, 1995, *Session Weekly*, page 7)
Rep. John Dorn (DFL-Mankato) offered a successful amendment to provide $245,000 to the Department of Health for "programs to deal with the meningitis outbreak in Minnesota."
The total medical bill to prevent the spread of meningitis in Mankato has risen to sightly more than $1 million, according to Aggie Leitheiser, assistant director for disease prevention and control in the Department of Health.
She said that $245,000 would pay for the first round of immunizations given to high school students, staff, and their families. The additional cost comes from immunizations given to everyone 29 years of age and under who were vaccinated after a Mankato State University student contracted the disease. Leitheiser said that 31,000 residents have been immunized and given antibiotics.
The deficiency bill also would provide:
- $500,000 to the Department of Veterans Affairs for the emergency financial and medical needs of veterans;
- $200,000 to the Board of Architecture, Engineering, Land Surveying and Landscape Architecture and Interior Design to pay outside attorneys in response to a complaint and a lawsuit. Pam Smith, the board's executive secretary, said that half the request was for a complaint that was recently settled through mediation, so a large portion of the money would not be needed;
- $30,000 to the Department of Public Safety to match federal funds for flood relief; and
- $77,000 to the Minnesota Racing Commission to regulate pari-mutuel horse racing.
As passed by the House, the bill (HF355/SF 335*), sponsored by Rep. Jim Girard (IR-Lynd), spends $1.1 million more than the Senate version. The Senate proposal, passed March 6 on a 62-0 vote, does not include money for Indian treaty litigation and several other items funded by the House.
A conference committee will soon be appointed to negotiate a compromise.
**Improving debt collection**
A bill to give the state more power to collect overdue debts owed to state agencies won approval from the House Judiciary Committee March 22.
But members voted to remove a penalty surcharge that bill sponsor Rep. Howard Orenstein (DFL-St. Paul) wanted deadbeat debtors to pay.
"What you're doing here is asking Minnesota taxpayers to bear the burden of those who have taken us this far [in forcing the state to collect the debt] and still refuse to pay," Orenstein said.
The penalty — of up to 25 percent of the debt — would have been added to an existing bad debt, such as a student loan, back taxes, or a fee, to pay for the cost of the collection. But the amount of the penalty was criticized as "arbitrary" by some members.
Rep. Tom Pugh (DFL-So. St. Paul), who sponsored the amendment to delete the penalty, said it amounted to "interfering with a prior contract" which included no such penalty provision when it was signed.
Another provision in the bill would allow the state to seize or reduce an individual's tax refund check or other state payment to pay any debt owed the state. (Public assistance checks would not be seized.)
Current law only allows for such deductions for back taxes or child support payments owed the state.
The state would notify the person whose funds would be taken, and the individual would have 30 days to request a hearing to dispute the matter.
Under HF625, wages also could be garnished until a debt is paid off, as long as there are no other creditors garnishing the wages.
Currently, the state and other creditors can garnish a person's wages for up to 70 days. Debtors who prove that they need more money for necessities such as shelter, food, and work transportation, could reduce a garnishment.
As of Sept. 30, 1994, the state was owed $641 million to the general fund and $587 million to other state accounts, according to the Minnesota Collection Enterprise (MCE). The MCE was established by the 1994 Legislature to coordinate a statewide effort on bill collections.
(See March 17, 1995, *Session Weekly*, page 6)
The bill now moves to the Governmental Operations Committee's State Government Finance Division.
**Government contracts cut**
A bill to cut the state's use of private contracts and consultants by 10 percent during the 1996-1997 biennium won approval from the House Governmental Operations Committee's State Government Finance Division March 21.
The bill calls on the state's 20 main agencies to cut 10 percent off the *aggregate* amount they spent on consultants in fiscal years 1994-1995. They could not make the cuts from grant money or federal funds. Instead, they must cut from the dollars allocated to them by the state.
The measure, sponsored by Rep. Joe Opatz (DFL-St. Cloud), is expected to be incorporated in the division's omnibus bill.
Under the bill, the governor would decide which agencies would face contract cuts. Some could increase their use of consultants as long as others decreased enough for an overall reduction of 10 percent.
The bill (HF123) also would apply to the House of Representatives, the Senate, the Legislative Coordinating Commission, and the Metropolitan Council. Each would be required to cut 10 percent in their consultant spending.
There are exemptions in the bill, such as contracts for highway construction and maintenance; consultants hired by a Minnesota state college or university to teach public or private organizations, agencies, or businesses; and consultants used to help with pension plans.
Opatz said the bill is designed to save money and force state agencies, the Legislature, and the Metropolitan Council to really
look at whether a specific project warrants the hiring of a consultant or whether a current state employee could do the job.
For that reason, the bill now exempts contracts between state agencies, trying to encourage more agencies to look to each other to help with special projects.
Part of the bill would require agencies to seek prior approval before hiring a consultant for a contract exceeding $5,000. The agency must determine that no current state employee, including employees outside its own agency, could do the job. The agency must also certify that it has publicized the contract.
(See Jan. 27, 1995, *Session Weekly*, page 8; Feb. 17, 1995, *Session Weekly*, page 7; and Mar. 10, 1995, *Session Weekly*, page 9)
**Government innovation**
One specially selected state agency could change its hiring practices and some state employees could earn bonuses for finding ways to save money and time at work, under a bill approved by the Ways and Means Committee’s Government Efficiency and Oversight Division March 17.
The bill, (HF976) sponsored by Rep. Howard Orenstein (DFL-St. Paul), sets up what he calls “pilot projects” for selected state agencies.
Under the bill, the governor would be able to select one state agency to carry one pilot project throughout the next biennium. That agency would not have to keep the names of 20 people on an “eligibility list” from which new hires are culled — a practice that some have argued is cumbersome and inefficient.
State agencies must keep those eligibility lists by law. Potential employees are ranked on the list according to whether they had recently been laid off from the agency, their scores on agency examinations, past employment, and other factors. Names must remain on the list for at least six months.
The selected agency would hire based on merit rather than rank, Orenstein said.
Some state agency personnel staff say doing away with the eligibility list may open up the hiring process, he added.
The selected agency must update the Legislature in October of 1996 and 1997 on how the project is progressing.
A second part of the bill would allow employees in the Department of Employee Relations to be rewarded for suggesting ways the department could operate more effectively.
Groups of employees are also eligible for the award, though managers are not eligible.
The employees must identify a substantial cost-saving measure to receive the minimum $500 and maximum $2,500 award.
That money would come from an account set up with money saved through efficiencies suggested by DOER employees.
Each employee could only receive the award once.
The third part of HF976 deals with procurement — the process through which state agencies contract for goods and services.
Orenstein said this part of the bill would remove rules and procedures that cause unnecessary inefficiencies in the purchasing system.
Again, the governor will select one state agency. The Department of Administration would not have to approve contracts that the designated agency signs, as is now the practice with all state agencies.
The selected agency would have to plan its method of submitting bids and awarding contracts and must ensure that method prevents conflict of interest between agency employees and bidders.
The select agency would also report to the Legislature in October 1996 and 1997 on the pilot project’s progress.
The bill also would allow a state agency to apply to the State Board of Government Innovation and Cooperation for a waiver from a rule or policy that deals with the state personnel, procurement or accounting system.
**Term limit bill stalls**
A proposal to limit terms of office for legislators, constitutional officers, and members of Congress received its first hearing before a House committee March 23. But the term limits bill won’t be moving forward — at least for now.
Members of the Elections Division of the House General Legislation, Veterans Affairs and Elections Committee rejected HF7 by a 5-5 vote.
Rep. Tim Pawlenty (IR-Eagan), who sponsored the bill, said he has tried to bring the issue before House members since 1993.
The bill calls for a proposed amendment to the Minnesota Constitution on the 1996 ballot, giving voters the option to approve term limits.
State legislators would have been limited to 10 years in office. Representatives serve two-year terms and senators four-year terms. But because legislative districts are reapportioned every 10 years, state senators serve a two-year term each decade.
The bill also would have restricted the governor, lieutenant governor, secretary of state, state treasurer, attorney general, and state auditor from seeking more than two terms in office.
Also, Minnesota members of Congress could not hold office for more than 12 years, under the bill.
Twenty-two states have term limit laws, Pawlenty said.
A case before the U.S. Supreme Court questions a portion of the Arkansas law which sets terms for Arkansas’ congressional delegation. The court is expected to rule on whether a state can limit federal elective terms.
“Term limits increase competition because there will be an open seat up for election now and again,” Pawlenty said. “It will decrease the power of special interest groups because the groups can’t cultivate long-term relationships.”
The bill would have applied to current office holders as well as newly elected ones.
Rep. Mindy Greiling (DFL-Roseville) voted against the measure, calling it a “simplistic solution” to voters’ seeming disenchantment with government.
Tom J. Stillday, spiritual elder of the Red Lake Band of Chippewa Indians, held the ceremonial pipe and eagle staff while posing in the Retiring Room behind the House chamber. He and other band members joined in a pipe ceremony to open the March 22 House floor session. The ceremony, which is never photographed, was the first ever held in the House chamber.
Better metro planning
A bill to coordinate planning and development across the Twin Cities metropolitan region was given final approval by the House March 22. The vote was 79-50.
Under HF833, cities, counties, and towns within the seven-county metropolitan area must review and update their comprehensive plans by December 1998. Each would then have to repeat the process every 10 years. (The final plans are then submitted to the Metropolitan Council.)
A comprehensive plan serves as a development and spending blueprint for a local government. A plan could include a section stating how the government’s planned land use and its urban services, such as sewer service, would affect adjoining communities.
The bill, sponsored by Rep. Dee Long (DFL-Mpls), would not allow local governments to adopt zoning ordinances which conflict with their comprehensive plans.
The zoning guide laid out in the plans, however, could be amended.
Currently, if a government’s zoning ordinance differs from the zoning guide laid out in the comprehensive plan, zoning officials follow the ordinance.
HF833 now heads to the Senate.
Redrawing county boundaries
A bill to study whether some of Minnesota’s 87 counties could be consolidated won approval from the House Governmental Operations Committee’s State Government Finance Division March 21.
Rep. Phyllis Kahn (DFL-Mpls) is sponsoring the bill (HF130) that calls on the Board of Government Innovation and Cooperation to study whether it is feasible to consolidate counties and their services. It suggests looking at all sorts of options, including but not limited to organizing Minnesota counties in a fashion similar to the state’s 10 judicial districts.
Under the bill, the board would have to report its findings to the Legislature by Jan. 1, 1997. The 18-month study is expected to cost $20,000 and be incorporated into the division’s omnibus bill, which is now being put together.
Some counties have declined in population and the state needs to start thinking about county problems in a more unified way to better offer services and administer state programs, Kahn has said.
She proposed a similar idea in 1991, but she called on the Office of the State Auditor to study the idea.
Back in Minnesota’s territorial days, Minnesota had just nine counties, some of which stretched to the Missouri River in what are now the Dakotas.
In testimony earlier this session, Jim Gelbmann, executive director of the Board of Government Innovation and Cooperation, indicated that two sets of Minnesota counties in different parts of the state were discussing the possibility of merging.
One potential hitch with the bill is Gov. Arne Carlson’s desire to eliminate the Board of Government Innovation and Cooperation. The board was created in 1993 and awards grants to local governments that want to work together to share resources and offer better customer service.
The board—in the interest of government efficiency—also has the power to waive certain rules placed on local governments. (See Feb. 3, 1995, Session Weekly, page 8)
International council
A 12-member council would be created to advise the Legislature on international issues under a bill approved by the House International Trade and Economic Development Committee.
HF993, sponsored by Rep. Mike Jaros (DFL-Duluth), would create the Minnesota International Council.
The council would be required to make annual recommendations to the Legislature on ways to improve the state’s efforts to attract foreign tourists, to improve cultural awareness and understanding, and to compete in the international market.
“We have to get state government involved in international issues,” Jaros said.
The council would be comprised of three members from each chamber of the Legislature, three representatives of the executive branch, and three citizen volunteers.
Jaros’ bill is similar to legislation he introduced earlier this session that called for the establishment of a state office for international affairs. The office would have handled a range of tasks, including those assigned to the council under HF993. The difference between the two bills is that the proposal for the council would require no new funding. (See Feb. 24, 1995, Session Weekly, page 8)
HF993 now goes to the House Governmental Operations Committee.
Met Council pay slashed
Significant cuts in the pay to the chair and members of the Metropolitan Council won final approval from the House March 23.
During debate on a bill (HF585/SF281*) to make technical changes to a law regarding the council, Rep. Dick Pellow (IR-New Brighton) offered an amendment to cut the officials’ pay.
The amendment, passed on a 106-20 vote, will reduce the Met Council chair’s pay for the second time in as many years.
Last year, the chair’s annual salary was reduced from $67,000 to $52,500. But the 16 other council members had their pay increased to $20,000 annually rather than the $50 per day payments they had received. The per diem payments amounted to about $5,740 per year. The changes took effect Jan. 1, 1995.
Pellow’s amendment will cut the chair’s salary to $29,657, the amount state legislators are now paid, and reduce the rest of the members’ pay to $6,000 annually.
House members also approved an amendment by Rep. Kevin Knight (IR-Bloomington) that removed the cost of bus driver uniforms from the list of approved capital expenditures by the Met Council. Without the amendment, $750,000 could have been spent to buy new uniforms for the more than 1,000 Metropolitan Council Transit Operations (formerly MTC) bus drivers, Knight said.
With the House amendments now attached, the bill must go back to the Senate for its approval.
Doctors convicted of crimes
Minnesota doctors convicted of felonies “reasonably related to the practice of patient care” would have their licenses automatically suspended under a bill given final approval by the House March 20. The vote was 123-0.
The bill, sponsored by Rep. Steve Kelley (DFL-Hopkins), also would apply to physician’s assistants, physical therapists, or other health professionals licensed by the state Board of Medical Practice.
Under the bill, license suspension would be automatic following a felony conviction, and a doctor or other health professional would have to request a hearing to get back his or her license. For reinstatement, the individual would have to demonstrate that he or she has been rehabilitated by “clear and convincing evidence.”
Under current law, the board has the authority to suspend a doctor’s license, but a hearing is held first. The board can suspend a license without a hearing in some circumstances, but the burden is then on the board to set up a hearing seeking a final determination.
Kelley's bill would shift the burden to the health professional, who must seek a hearing and prove the suspension should not be made permanent.
Under a successful amendment added to the measure on the Senate floor by Sen. Gene Merriam (DFL-Coon Rapids), a doctor convicted of a felony-level criminal sexual conduct offense would have his or her medical license automatically — and permanently — revoked.
Another provision in the bill would allow the medical board to suspend or revoke the license of a doctor or health professional who fails to repay a state or federal student loan.
Sen. Pat Piper (DFL-Austin) sponsored the legislation in the Senate.
**HF231**, passed by the Senate March 9 on a 63-0 vote, now goes to the governor for his consideration.
(See Feb. 10, 1995, *Session Weekly*, page 9; and Feb. 17, 1995, *Session Weekly*, page 7)
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**HIGHER EDUCATION**
**Semester system established**
Classes at Minnesota's state universities, community colleges, and technical colleges would last one semester rather than one quarter of the academic year, under a bill heard March 22 by the House Higher Education Finance Division.
The Higher Education Board, which will coordinate those college systems when they merge in July, would have until fall 1998 to begin a semester school year.
Rep. Tony Kinkel (DFL-Park Rapids), who sponsors **HF899**, said switching from a four-quarter school year to a two-semester year with a summer program would save the schools money. Students would have to register only twice during the academic year instead of three times. Financial aid also would be distributed only twice, which saves time and money, Kinkel said.
Also, 80 percent of colleges and universities nationwide use a semester school year, he said. Next fall, Southwest State University and Moorhead State University will begin holding a semester class schedule.
Division members did not act on the bill. They may include it in an omnibus higher education finance bill.
**HF899** also includes the following provisions:
- All schools in the soon-to-be-combined state university, technical college, and community college system would begin classes on the same fall date.
If all system classes start at the same time, students could more easily transfer between schools, he added.
Jennifer Swanson, president of the Inver Hills Community College, told division members she'll graduate next fall but won't be able to transfer to Bemidji State University until winter quarter. University fall classes begin before her community college summer classes end.
The University of Minnesota would be exempt from that provision and from the semester provision because the Legislature has no authority to mandate changes, Kinkel said. The university predates the state's constitution.
- The state would stop subsidizing tuition costs after a student has earned 48 more credits than is needed for a degree in his or her major.
Currently, the state pays 60 percent of a Minnesota student's education costs for up to 180 credit hours. Student tuition pays the remaining 40 percent.
That provision would be effective for the upcoming school year, but would not apply to students already enrolled, Kinkel said. Also, "refresher" courses which students who return to school after a long absence or under-prepared students must take — such as those in reading and math — would not count toward the 48-hour requirement.
The 48 credit hours roughly equals one full academic year, Kinkel said.
- Campus administrators who aren't part of a union would have to teach a regularly scheduled course or act as an academic advisor in addition to their administrative duties.
The provision would allow for more contact between administrators and students, Kinkel said.
- The state university campus in Akita, Japan, would have two years to bring state funding of its Minnesota students in line with state funding of students on Minnesota public campuses.
Currently, the state pays about $17,000 to subsidize the education of each Minnesota student in Akita. For students studying in Minnesota, the state subsidy amount is about $3,500.
The state university system operates the campus in Akita, Japan, with the local Akita government. About 40 Minnesota students attend the school. They do not pay out-of-state tuition.
The State University System and the Higher Education Coordinating Board, which oversees the system, would formulate a plan by September to reduce Akita campus costs and to increase enrollment under the bill.
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**HOUSING**
**Met Council and housing**
Two bills to encourage affordable housing in the seven-county metropolitan area and encourage suburbs to build their fair share of low-income housing passed the Housing Committee March 21.
The two bills passed on party line 8-7 votes and will now travel to the House Local Government and Metropolitan Affairs Committee.
Both bills look to the Metropolitan Council for guidance.
**HF1114**, sponsored by Rep. Matt Entenza (DFL-St. Paul), would place into Minnesota law the Metropolitan Council's *Regional Blueprint*, a 1994 report that examined how to
create a "vital and livable Twin Cities metropolitan area."
Among other items, the report focused on how to strengthen regional economic growth, preserve the environment, invest in distressed areas, and expand housing options for poor families, the elderly, and young families.
In the area of housing, it suggests the Metropolitan Council will work with all communities in the seven-county area to establish housing goals for all income levels and stages of life. The council will further look at how well a community is meeting its housing goals and building affordable housing when deciding which infrastructure projects to help fund in the metropolitan area.
In 1997, the council plans to evaluate how much affordable housing has been created and, if necessary, seek help from the Legislature to encourage more.
**HF1258**, sponsored by Rep. Alice Hausman (DFL-St. Paul), would require cities in the seven-county area to adopt housing plans and require the Metropolitan Council to review and approve them. Under current law, the council may review housing plans that accompany a city's local comprehensive growth plan.
Hausman's bill would give the Metropolitan Council more regulatory authority. If the council doesn't like a city's housing plan or feels it doesn't create enough affordable housing, it may require the city to fix its plan before any building can occur. If a city fails to adopt a housing plan, or fix one as directed by the council, the council may take civil action against the city in court.
The Metropolitan Council opposes both bills.
Jim Solem, regional administrator with the council, told the Housing Committee March 21 that both bills are unnecessary.
He asked committee members to let the council try on its own with the *Regional Blueprint* to encourage more affordable and low-income housing before the Legislature steps in.
If the council isn't making progress, it will come back in 1997 to ask the Legislature for help.
Solem said the Hausman bill in particular creates an adversarial role between the Metropolitan Council and local governments. Right now, he said, local governments are cooperating with the council to work on their housing situations.
But Frank Hornstein of the Alliance for Metropolitan Stability, a coalition of 14 non-profit community groups in the metro area, sees no fault with the Entenza bill.
"We simply can't wait until 1997.... There is an urgency" to create more affordable housing now, he said.
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**INSURANCE**
**Insurance quotas ban**
Independent insurance agents would no longer be required to meet quotas for the sale of certain kinds of insurance, under a bill on its way to the House floor.
The bill (**HF751**), sponsored by Rep. Greg Davids (R-Preston), was approved March 22 by the House Financial Institutions and Insurance Committee.
Independent agents often represent as many as 30 separate insurance companies, Davids said. Some of those companies link the agent's right to sell homeowner, automobile, and other policies — which are easier to sell — to quotas on the sale of life and health policies. The latter types of insurance are more difficult to sell but provide a better profit.
The problem, Davids said, is that independent agents can find it impossible to meet all of the quotas demanded by companies they represent.
Agents who do not meet the quotas can be dropped by the companies. And that hurts consumers by limiting the insurance options available to them, Davids said.
The bill would not apply to agents directly employed by a single company or those who sell for only one company.
Rep. David Tomassoni (DFL-Chisholm) unsuccessfully offered an amendment that would have extended the quota ban to all insurance agents, as long as they had been selling for a company for at least four years.
Any quota on life and health insurance sales is troubling because they can force agents to "inappropriately" sell policies, Tomassoni said.
But Davids said the amendment presented a "major shift in state policy" that could seriously impact the relationship between non-independent agents and their company.
---
**LABOR**
**Workers' compensation reform**
A House committee is considering several bills that all promise to reform Minnesota's workers' compensation system which many have argued is much too costly.
Seven bills offering some form of workers' compensation reform were discussed during the March 20 meeting of the House Labor-Management Relations Committee.
Rep. Kevin Goodno (R-Moorhead), who is sponsoring one of the reform bills (**HF921**), said fixing the state's workers' compensation system ranks with welfare reform among legislative priorities this year.
Employers pay workers' compensation insurance to help when workers injure themselves on the job. But the rates Minnesota companies pay are too high and cause too many companies to move to states with lower rates, according to some lawmakers.
"The majority of legislators would agree that we do have a problem with our competitiveness with neighboring states," Goodno said. "I have heard some people comment that we don't have a problem, but I don't think those comments are realistic."
Minnesota employers pay more for workers' compensation insurance than the national average and more than employers in Wisconsin and other neighboring states, according to the Minnesota Department of Labor and Industry.
A study by the city of Moorhead shows employers there pay significantly more than those just across the Red River in North Dakota.
For example, a North Dakota employer would pay $845 a year in workers' compensation premiums for an electrician making $25,000 annually. The same electrician would cost a Minnesota employer $2,264 a year — nearly three times as much, according to the study.
Numbers like that have many lawmakers believing workers' compensation costs are driving businesses out of Minnesota and keeping new ones from coming in.
"The pressure is being shown to the committee that there's going to have to be something done," said Rep. Jeff Bertram (DFL-Paynesville), who introduced a reform bill (**HF69**) on behalf of sponsor Rep. Becky Kelso (DFL-Shakopee). "I think the fact that there's seven bills shows that."
Bertram said Kelso's bill offers the simplest approach to workers' compensation reform but at the same time addresses all of the important issues. The bill would regulate workers' compensation insurance and limit some forms of payment to injured workers.
Rep. Jim Girard (R-Lynd) is sponsoring a bill (**HF391**) that would scrap the state's current insurance and benefits system and replace it with Wisconsin's.
Goodno's bill, along with a bill (**HF18**) sponsored by Rep. Hilda Bettermann (IR-Brandon), and another (**HF1436**) by Rep. Wayne Simoneau (DFL-Fridley), would
tighten many restrictions on who receives benefits and how much they receive.
Rep. Ted Winter (DFL-Fulda) is sponsoring two bills related to workers' comp reform. **HF642** would regulate insurance rates and put new limits on just how long injured workers can receive several types of benefits, and **HF1324** would expand the ability of employers to form groups for mutual self-insurance.
Goodno said he expects one bill to emerge from the pack that will incorporate many key ingredients from the other bills.
The committee is expected to begin hearing public testimony on the reform proposals March 24.
### Trapped between floors
A bill approved by a House panel would require that all work on a passenger or freight elevator be done by a state licensed elevator mechanic. (See Feb. 17, 1995, *Session Weekly*, page 10)
The measure received a hearing before the House Commerce, Tourism and Consumer Affairs Committee March 21. Several lawmakers acknowledged that they had been trapped in malfunctioning elevators in the State Office Building, where most legislators' offices are located.
"We all know some of the problems we've had with our own elevators," commented the bill's sponsor, Rep. Phil Carruthers (DFL-Brooklyn Center). These elevator malfunctions "seem to be a daily occurrence," he said. Carruthers said the proposal would not fix Capitol area elevators, but would "move us forward to greater public safety in terms of elevators."
The bill would require that a person complete the National Elevator Industry Education Program and hold an elevator constructor license issued by the state Board of Electricity before receiving state licensure. A licensed elevator mechanic could supervise up to two helpers.
Additionally, the bill would require that a licensed person or company obtain a state permit before installing, altering, or removing an elevator.
Current law requires only that a person apply for a permit before work is started. Altering or removing an elevator — a potentially dangerous procedure that requires specialized knowledge — does not require a permit.
Carruthers noted that the bill would require that permit fees be appropriated to the Department of Administration. Currently, the fees go into the state treasury and are not dedicated for any purpose. This change would allow the hiring of more state elevator inspectors. The department's Building Codes and Standards Division employs only one full-time elevator inspector and has one position to fill.
**HF398** now moves to the Governmental Operations Committee's State Government Finance Division.
### LOCAL GOVERNMENT
#### Hot goods sold legally
Electronic equipment, tools, lawn mowers, and other items recovered by the Minneapolis Police Department could be sold in a special Minneapolis retail shop, under a bill that won final passage from the House March 15. The vote was 120-0.
**HF859**, sponsored by Rep. Karen Clark (DFL-Mpls), would allow the police department to dispose of thousands of the unclaimed items it handles every year.
Clark's bill would allow the police and south Minneapolis to build on the success of a bicycle business that began in 1992 with the help of the police.
That year police began working with the community to teach young people bicycle repair, business management, and other skills by setting up a non-profit store — The Phantom Bike Shop — for the sale of "recycled" bicycles. The store receives damaged bikes the police cannot auction off, fixes them up, and sells them.
Clark's bill would set up another non-profit similarly run store for secondhand goods called The CITY STORE. The police department could not provide items such as clothing, fine jewelry, or firearms to the store.
The police department would benefit by gaining a percentage of the sale price on the items sold at the store and clearing out storage space, Clark said.
The department's Property and Evidence Unit handles more than 18,000 items such as lawn mowers, snow blowers, and stereos every year, according to Clark. The department also picks up and processes more than 3,000 bicycles annually.
Despite police efforts, many of the items are never reunited with their rightful owners, Clark said. Her bill would allow merchandise not claimed within 60 days to be sold at auction, as is the current practice, or by sale through a non-profit store such as The CITY STORE.
**HF859** is now pending in the Senate.
### TAXES
#### Tightening TIFs
Cities would not be as free to offer property tax breaks for businesses, under several bills discussed in the House Taxes Committee's Property Tax and Tax Increment Financing Division March 21.
The major thrust of the bills (**HF147**, **HF824**, and **HF1354**) is to limit the way different cities sometimes compete with one another to lure businesses to either move or expand in their towns through the creation of tax increment financing (TIF) districts.
And two of the bills also would provide school districts, which comprise the bulk of the average property owner's tax bill, some say in whether such tax breaks should be offered.
Under Minnesota law, cities can offer tax breaks to companies to help create jobs in their communities. In exchange for creating jobs, a city can agree to forego property taxes on a business for a set number of years.
By some estimates, the state loses approximately $260 million per year in property taxes through these tax increment financing district arrangements.
At the division hearing March 21, several officials representing counties, businesses, and taxpayer groups criticized the TIF districts while city representatives praised them.
Joe Harris, a Dakota County commissioner and president of the Metropolitan Inter-County Association, (MICa) questioned why a Target Greatland store in Apple Valley and a McDonald's truckstop in Lakeville needed a TIF district to build.
Since Dakota County has been the fastest-growing county over the past 15 years, he said there was a good chance those facilities would have been built anyway. (MICa is composed of 10 larger, urbanized counties, including Anoka, Blue Earth, Dakota, Olmsted, Rice, St. Louis, Scott, Stearns, and Winona counties.)
He estimated the county's loss of property tax revenue to TIF districts at $5 million.
"Fifteen years ago, only about six-tenths of 1 percent of all value in Dakota County was captured by tax increment districts," he said. "This year, that total is over 4 percent. This is an increase of several hundred percent — in a county that grew rapidly over this period — and it shows no sign of slowing down."
Although cities do lose a portion of their state aid when they agree to give a business tax breaks, the issue is of particular concern to counties and schools districts because they can lose tax money, too.
For every dollar collected in property taxes in 1994, the cities got 15 cents; the counties, 28 cents; the school districts, 45 cents; and the remainder went to townships and special taxing districts, on average.
Dan Salomone, executive director of the Minnesota Taxpayers Association, said Minnesota would be better served if it focused on improving the overall business climate rather than allowing Minnesota cities to compete with one another for jobs.
But officials from the city of Roseville and the city of Cottonwood in southwestern Minnesota defended the TIF program and urged lawmakers not to make changes in the existing program.
"In the past 10 years, we have been able to generate $145 million in new market value, create 3,400 new jobs, and add $90 million of annual new payroll in our community," said John Goedeke, mayor pro tem of Roseville.
Greg Isaacson, the city of Cottonwood's clerk administrator, said his city has helped create 150 new jobs through tax increment projects in 1988 and 1994.
"These are pretty big numbers for a town of 1,000 people," he said.
Without those TIF projects, many of those jobs could have been lost to South Dakota, Iowa, or Colorado, he said.
All three bills were laid over and are now under consideration to be included in the omnibus tax bill.
**TIF bills at a glance**
Here's a quick look at some of the major provisions in three bills that were discussed by the Taxes Committee's Property Tax and Tax Increment Financing Division March 21:
**HF147 (Ozment)**
- Would limit the use of tax increment financing (TIF) districts to cases where a business is considering a move out of state. Under current law, a TIF district can be used to prevent moves to another community.
- Would require a city to show that the use of TIF would increase the taxable market value of a site over what would have occurred without TIF.
- Would require school districts to approve TIF use for a housing district or any other type of district that will create 10 or more additional housing units.
- Would require that more details about TIF districts be disclosed in legal sections of newspapers. Under current law, the disclosure doesn't have to be published if the city files an annual report with the state auditor.
- Would require the recipient of TIF benefits to pay the city back, on a pro-rated basis, in certain cases where the property is sold or transferred. If the property is sold or transferred within five years, the recipient would have to pay 100 percent of the benefit back to the city. The repayment rate would drop to 20 percent at eight years, with nothing owed if the sale or transfer occurs after nine years.
- Would shift the enforcement of the TIF law to the Office of the State Auditor from the Department of Revenue.
- Would direct the Metropolitan Council to study the effect of TIF on land use patterns in the Twin Cities metropolitan area and report back to the Legislature by Feb. 1, 1996.
**HF824 (Rest)**
- Would prohibit the creation of a new tax increment finance (TIF) district unless the TIF plan has been approved by the school board of the school district in which the TIF district is located.
**HF1354 (Abrams)**
- Would require the state auditor to approve of a new tax increment financing (TIF) district before it could be created. The auditor could disapprove of the plan if he or she believes the plan is not in the best interests of the state.
Source: House Research Department
The state would help pay for the second phase of a study to evaluate a high-speed train link that could cut the drive time from the Twin Cities to Chicago to two hours and 15 minutes.
The bill (HF729) would spend $630,000 provided that Wisconsin and the federal government pitch in. Some $500,000 would be spent on the study, and the remaining $130,000 would go to the Department of Transportation to oversee it.
The legislation passed during the 1994 session, but Wisconsin failed to come up with its share, so the study was postponed.
Bill sponsor Rep. Don Frerichs (IR-Rochester) said that this year the Wisconsin Legislature is expected to appropriate $500,000 which, along with the Minnesota money, should trigger a $1 million federal match. The cost of the two-year study is $2 million.
The Transportation Finance Division of St. Paul to Chicago, but it is unclear what other cities would be included in the link. Frerichs said he believes Rochester should be one and possibly Milwaukee.
In terms of train technology, there are three options: a 125 mph Amtrak upgrade, a 185 mph high-speed train, or a 300 mph Super Speed train.
The 300 mph train would make it to Chicago in about two hours and 15 minutes. The slowest option would take about four hours.
Frerichs said although a completed link would cost about $5.5 billion for the 300 mph option, it would be very competitive with air travel.
But at least one member raised concerns about the cost. Rep. Karen Clark (DFL-Mpls) said she would rather see the money go toward local transportation and transit needs such as improving access to Metro Mobility.
The committee is expected to vote on the bill at a later date.
**Proof of certification**
Hunters who have passed a Department of Natural Resources' firearms safety course could have that noted on their driver's licenses under a bill approved by the House Transportation and Transit Committee March 16.
The bill (HF878), sponsored by Rep. Steve Dehler (IR-St. Joseph), would allow those who have successfully completed the course to request a line on the back of their driver's license noting the certification.
Hunters must show proof they passed a firearms safety course to register for big game hunting licenses in many states, though not in Minnesota, Dehler said.
So when Minnesota hunters wish to buy such a license in another state, the marked driver's license would serve as that proof, he said.
"Unless it's on their license, the only thing they would have to show is a little certificate from when they were 15 or 16," Dehler said.
Many hunters take the class when they begin hunting as teenagers, he added.
More than 975,000 Minnesotans have completed the course, Dehler said.
Katherine Burke Moore, director of the Driver and Vehicle Services Division of the Minnesota Department of Public Safety, said the cost to update computers to include the firearm's notation on a license would be about $60,300.
The House Economic Development, Infrastructure and Regulation Finance Committee will hear the bill next.
New members . . .
Haas looks to find ‘creative ways to do more with less’
The school children’s chalk sketches of ancient cave drawings and colorful paper designs that adorn the walls of Rep. Bill Haas’ office attest to the first-term member’s value of creativity.
But while Haas readily concedes his limits as an artist, he said creativity is central to his approach to politics.
In a state where government “has gotten out of control,” Haas said, finding creative ways to do more with less will be the key to solving problems the Legislature faces.
“You’ve got to run government like you run a household or a business,” he said. “If you’re short on money, you cut back and find new ways to accomplish what you have to get done.”
Haas won election to the District 48A seat in 1994 by defeating Rep. Brian Bergson (DFL-Osseo) in a rematch of the 1992 race.
The Champlin resident owns an employee benefits brokerage and consulting company and likes to spend much of his free time outdoors.
He enjoys hunting, hiking in the woods, and downhill and water skiing. Haas also is an avid fresh water and salt water angler who finds tying flies to be a creative outlet.
He and his wife, Joenie, have two children: Rishia, 21, and Graham, 18.
Haas comes to the Legislature with strong roots in local government. He served on the Parks and Recreation Commission in Champlin for eight years before being elected mayor of the north metropolitan area city in 1984. He also has served on the District 11 Boundary Committee and as president of the North Metro Mayors Development Association.
He said his involvement in local government and decision to seek state office are the result of a basic philosophy that guides his actions in life.
The usually bare walls of the State Office Building were enlivened by the works of first- through fourth-graders from Oxbow Creek Elementary School in Champlin. They decorated the walls both outside and inside the office of Rep. Bill Haas in whose district the school is located.
“I made a promise to myself a long time ago that if I saw something that needed to be changed, I would do what I could to change it,” he said.
During his eight years as mayor of Champlin, Haas put that promise to the test on more than a few tough issues. He was a leader in successful efforts to improve the city’s housing stock and to ensure commercial growth in Champlin best fit its needs now and in the future.
“We turned that whole city around,” he said.
Throughout his time as mayor, Haas worked to alert members of the community to the issues at hand and to include their opinions in the process of finding solutions.
“The biggest thing we did for the community was to bring the voice of the people back into city government,” he said. “The one thing I believe in most is government by the people because they’re the ones [who] elected me and they’re the ones I represent.”
As a legislator, Haas aims to make state government more accessible to his constituents. He plans to use their input and “a common sense approach” to make “effective change.”
He campaigned on an agenda calling for welfare reform, tougher criminal penalties, cuts in government, and reductions in the state’s health care costs.
Haas also wants to put more control in the hands of local governments by doing away with unfunded state mandates, and to reduce the regulatory and tax burdens on Minnesota businesses.
“The way we ran government yesterday, we cannot do today and tomorrow,” he said. “We have to make changes. That’s what I was elected to do.”
— Nick Healy
District 48A
Population: 33,322
Distribution: 100 percent urban
County: Hennepin
Largest city: Brooklyn Park (portion)
Location: north metro
Unemployment rate: 3.19 percent
Residents living below poverty level: 2.73 percent
1992 presidential election results:
Bush/Quayle ........................................... 32.64 percent
Clinton/Gore ........................................... 39.03 percent
Perot/Stockdale ....................................... 27.62 percent
Other: .................................................. 0.71 percent
New members...
Looking to volunteer, Hackbarth lands a House seat
Rep. Tom Hackbarth (IR-Cedar) had no intention of becoming a member of the Minnesota House of Representatives.
When he learned that a liberal DFLer intended to run for an open seat created by the 1992 redistricting plan, Hackbarth set out to recruit a conservative Independent-Republican as a challenger.
He planned "to be the very best volunteer that anybody ever had." But when "it came down to the wire," no candidate could be found. Hackbarth himself took up the cause.
"That's how I got started — not really intending to run for state representative at all," he recalls.
His 1992 campaign was unsuccessful, but in a 1994 rematch, he unseated Kathleen Sekhon.
Hackbarth promises to heed what he sees as the voters' message from the 1994 election: "downsize government, don't raise any taxes." He intends to "look at all areas of government" to make spending cuts.
He comes from a family of blue collar workers and currently belongs to a union. But in the past he was a business owner. The experiences allow him to "see both sides of the fence" in labor-management issues.
"I'm pretty sympathetic to some labor issues that maybe some of the more conservative Republicans in our caucus are not," he said.
Hunting and fishing issues are high on Hackbarth's legislative agenda. As a member of the Environment and Natural Resources Committee, he'll have a voice in such issues. Like many of his constituents in northern Anoka County, he is an avid angler and hunter. The nine-point buck's head mounted on his office wall attests to his hunting skill.
The controversial treaty rights dispute between Minnesota and the Mille Lacs Band of Ojibwe still concerns Hackbarth. A proposed settlement of the band's hunting and fishing rights under the 1837 treaty failed to gain passage in the 1993 Legislature.
Although the Mille Lacs Band recently won federal court recognition of their continuing treaty rights, Hackbarth thinks that American Indian bands in the state "should be on an equal basis with the rest of us" with regard to hunting and fishing options.
"Maybe they should have to buy a license like everyone else," he suggests. Hackbarth acknowledges that Indian treaty rights are a federal issue — something that the Legislature cannot do much about — but he supports continuing efforts by the state to litigate treaty rights cases involving the Mille Lacs Band and other Indian bands in the state.
On a separate fishing issue, Hackbarth recently authored a bill to guarantee that fishing contest participants actually receive the prizes that they win. The bill (HF384) won approval from the Environment and Natural Resource Committee and awaits consideration on the House floor.
The idea for the bill came after Hackbarth read a newspaper story about a fishing contest on Medicine Lake last year. Anglers paid a $35 entry fee for the contest in hopes of winning big cash prizes and merchandise. But when all the fish were weighed and measured, the promoter reneged on awarding any prizes.
Concerned that fishing contest fundraisers by "little church groups and the Boy Scouts" could be harmed by the actions of disreputable promoters, Hackbarth proposes that a fishing contest promoter offering more than $25,000 in prizes furnish the Department of Natural Resources (DNR) commissioner with a bond, insurance policy, or cash deposit equal to the total prize money.
Although the Legislature is known for its punishing schedule, Hackbarth said he used to work the evening shift before he became a lawmaker — in the parts department at Brookdale Ford. Nowadays, he is actually seeing more of his family.
Hackbarth and his wife, Mary, have three children — Jeff, 21; Gina, 19; and Tommy, 3.
While he had some doubts early this session on the ability of House members to work together, Hackbarth is beginning to find "a lot more cooperation amongst everyone," both within the IR caucus and between IRs and DFLers.
"I think we're getting along just great," he concludes. "I'm really surprised how everything is going very, very well."
— Mordecai Specktor
District 50A
Population: 32,806
Distribution: 100 percent urban
County: Anoka
Largest city: Ham Lake
Location: north metro
Unemployment rate: 5.13 percent
Residents living below poverty level: 3.47 percent
1992 presidential election results:
Bush/Govyle ........................................... 29.56 percent
Clinton/Gore ........................................... 38.25 percent
Perot/Stockdale ....................................... 31.27 percent
Other: .................................................. 0.92 percent
### Bill Introductions
**Monday, March 20**
**HF1441—Solberg (DFL)**
*Environment & Natural Resources*
Tax-forfeited land sale notice requirements modified, and leasing and county road use provisions modified.
**HF1442—Greenfield (DFL)**
*Health & Human Services*
Chemical dependency counselor and hearing instrument dispenser licensure required, and penalties provided.
**HF1443—Kalis (DFL)**
*Transportation & Transit*
Motor carrier state law deregulation and conformance with federal law provided, and money appropriated.
**HF1444—Milbert (DFL)**
*Environment & Natural Resources*
Game and fish license and permit form prescribed.
**HF1445—Kelley (DFL)**
*Judiciary*
Bureau of Criminal Apprehension public data internet availability required, grants provided, and money appropriated.
**HF1446—Dawkins (DFL)**
*Education*
Youth community service participant postservice benefit fund encumbrance provided.
**HF1447—Jennings (DFL)**
*Economic Development, Infrastructure & Regulation Finance*
North West Company Fur Post Interpretive Center appropriated money.
**HF1448—Kelley (DFL)**
*Regulated Industries & Energy*
Public utility disconnections during cold weather regulated.
**HF1449—Pugh (DFL)**
*Governmental Operations*
Amateur Sports Commission ice arena authority increased, bond use authorized, sales tax exemption provided, and money appropriated.
**HF1450—Bishop (IR)**
*Health & Human Services*
Living will form to include provisions for organ donations.
**HF1451—Kelley (DFL)**
*Education*
Metropolitan area wide area school transportation service pilot project established, and money appropriated.
**HF1452—Olson, E. (DFL)**
*Governmental Operations*
Amateur Sports Commission ice arena authority increased, bond use authorized, sales tax exemption provided, and money appropriated.
**HF1453—Onnen (IR)**
*Health & Human Services*
Long-term care community services and personal care service coverage provided.
**HF1454—Seagren (IR)**
*Financial Institutions & Insurance*
Automobile insurance minimum property damage liability coverage increase provided.
**HF1455—Dehler (IR)**
*Labor-Management Relations*
Workers' compensation benefits and procedures modified, and penalties provided.
**HF1456—Carruthers (DFL)**
*Commerce, Tourism & Consumer Affairs*
Accountancy Board license renewal schedule staggered.
**HF1457—Olson, E. (DFL)**
*Environment & Natural Resources*
Becker County state land sale by natural resources commissioner authorized.
**HF1458—Paulsen (IR)**
*Health & Human Services*
General Assistance Medical Care recipient reimbursement provided for video teleconferencing medical device used to measure vital signs.
**HF1459—Mulder (IR)**
*Health & Human Services*
Woman's right to know act adopted, and money appropriated.
**HF1460—Greiling (DFL)**
*Local Government & Metropolitan Affairs*
City budget report date modified, and budget publication requirements eliminated.
**HF1461—Kahn (DFL)**
*Ways & Means*
Bond issuance authorized to fund a judgment against the state, and state and national banks required to purchase bonds.
**HF1462—Mariani (DFL)**
*Governmental Operations*
Public official relative hiring restricted.
**HF1463—Leighton (DFL)**
*Judiciary*
Motor vehicle warranty action limitations clarified.
**HF1464—Orenstein (DFL)**
*Taxes*
This Old House Law; property tax valuation exclusion for certain improvements extended.
**HF1465—Dauner (DFL)**
*Education*
West central educational cooperative service unit asbestos sampling and management plan revision provided, and money appropriated.
**HF1466—Bettermann (IR)**
*Education*
Service fee levy provided for school districts operating a technical college.
**HF1467—Delmont (DFL)**
*Commerce, Tourism & Consumer Affairs*
Building code and zoning state laws provisions modified and clarified.
**HF1468—Sviggum (IR)**
*Governmental Operations*
Governor authorized to declare an inability to discharge duties of the office.
**HF1469—Bradley (IR)**
*Commerce, Tourism & Consumer Affairs*
Elevator safety provisions modified, administrative and enforcement responsibilities changed, and penalties imposed.
**HF1470—Garcia (DFL)**
*Governmental Operations*
Lawful gambling proceeds use limits removed for payment of property taxes and assessments.
**HF1471—Sviggum (IR)**
*Education*
Independent School District No. 531, Byron, fund transfer authorized.
**HF1472—Bakk (DFL)**
*Commerce, Tourism & Consumer Affairs*
St. Louis County authorized to issue an on-sale intoxicating malt liquor license.
**HF1473—McGuire (DFL)**
*Judiciary*
Government data classification provisions modified, financial assistance data classification proprovided, and information policy training program established.
**HF1474—Greenfield (DFL)**
*Health & Human Services*
Long-term care service demonstration project waiver requests required.
**HF1475—McElroy (IR)**
*Housing*
Affordable neighborhood housing design and development initiative established, and money appropriated.
**HF1476—Murphy (DFL)**
*Judiciary Finance*
Department of Corrections juvenile out-of-home placement study grant developed, and money appropriated.
**HF1477—Milbert (DFL)**
*Health & Human Services*
Opticians licensed by Department of Health, and rulemaking required.
**HF1478—Oiremba (DFL)**
*Agriculture*
Agriculture commissioner notification of farming operation rule changes required.
**HF1479—Long (DFL)**
*Environment & Natural Resources*
Environmental improvement pilot program established, voluntary investigation and cleanup program provisions modified, penalties modified, and recognition program established.
**HF1480—Sviggum (IR)**
*Education*
Independent School District No. 763, Medford, authorized to deposit land sale proceeds into general fund.
**HF1481—Wenzel (DFL)**
*Education*
Independent School District No. 486, Swanville, fund transfer authorized.
**HF1482—Tomassoni (DFL)**
*Governmental Operations*
Video lottery terminal operation authorized, education trust fund established, and penalties prescribed.
**HF1483—Rukavina (DFL)**
*Environment & Natural Resources Finance*
Recreational vehicle and watercraft registration fee increase provided.
**HF1484—Bettermann (IR)**
*Local Government & Metropolitan Affairs*
Municipal annexation utility acquisition limitation provided.
**HF1485—Mariani (DFL)**
*Transportation & Transit*
Protective agent security guards permitted to perform certain traffic control duties.
**HF1486—Abrams (IR)**
*Regulated Industries & Energy*
Public Utilities Commission role and composition modified.
**HF1487—Dehler (IR)**
*Education*
School districts receiving debt service equalization aid provided maximum effort tax rate calculation modification.
**HF1488—Trimble (DFL)**
*Environment & Natural Resources Finance*
Eagle Creek in Scott County acquisition and protection provided, bonds issued, and money appropriated.
**HF1489—Winter (DFL)**
*Taxes*
Fertilization and chemical application equipment sales and use tax exemption provided.
**HF1490—Jefferson (DFL)**
*General Legislation, Veterans Affairs & Elections*
Dangerous dog definition modified, license restriction provided, civil fine established for dangerous dog offenses, and other penalties imposed.
**HF1491—Greenfield (DFL)**
*Health & Human Services*
Tuberculosis related services covered by medical assistance.
**HF1492—Wejman (DFL)**
*Housing*
Housing development fund revenue use and deposit provisions modified, income tax mortgage interest provisions modified, and money appropriated.
**HF1493—Workman (IR)**
*Health & Human Services*
Woman’s right to know act adopted, and money appropriated.
**HF1494—Dawkins (DFL)**
*Local Government & Metropolitan Affairs*
Government Innovation and Cooperation Board fund distribution approval provided.
**HF1495—Ness (IR)**
*Commerce, Tourism & Consumer Affairs*
Hutchinson authorized to impose certain sales, liquor, and food taxes.
**HF1496—Orenstein (DFL)**
*Judiciary*
Peace Officer Standards and Training (POST) Board membership modified, training requirements modified, and money appropriated.
**HF1497—Simoneau (DFL)**
*Education*
Children, families, and learning department created, Department of Education abolished, and money appropriated.
**HF1498—Lynch (IR)**
*Local Government & Metropolitan Affairs*
County library and human service activity maintenance of effort requirements eliminated.
**HF1499—Solberg (DFL)**
*Judiciary*
Unlawful acts against senior citizens, disabled, or vulnerable persons prohibited, and statute of limitations suspended on actions brought by vulnerable persons.
**HF1500—Pelowski (DFL)**
*Governmental Operations*
On-line lottery game computer equipment and connection placement required.
**HF1501—Jefferson (DFL)**
*Health & Human Services*
Martin Luther King nonviolent institutional child development pilot project established, and money appropriated.
**HF1502—Tuma (IR)**
*Education*
American Indian education block grant program established, and money appropriated.
**HF1503—Finseth (IR)**
*Education*
Independent School District No. 561, Goodridge, capital health and safety revenue use authorized for portable classroom purchase.
**HF1504—Tuma (IR)**
*Local Government & Metropolitan Affairs*
Northfield tax increment financing district duration extended.
**HF1505—Kahn (DFL)**
*Governmental Operations*
Early retirement incentives provided for employees of the state university, community college, and technical college systems, and the Higher Education Board.
**HF1506—Murphy (DFL)**
*Education*
Fond du Lac Community College appropriated money for material and equipment acquisition.
**HF1507—Murphy (DFL)**
*Education*
Fond du Lac Community College appropriated money for residential facility planning, and bonds issued.
**HF1508—Dehler (IR)**
*Judiciary*
Firearms; right to keep and bear arms not abridged and constitutional amendment proposed.
**HF1509—Wenzel (DFL)**
*Judiciary*
Arson; penalty increase provided for arson crimes committed to conceal evidence of other criminal activity.
| Bill Number | Sponsor | Committee | Description |
|------------|---------------|----------------------------|-----------------------------------------------------------------------------|
| HF1510 | Wenzel (DFL) | Agriculture | Used farm machinery sales tax exemption extended permanently, and farm cost study required. |
| HF1511 | Lourey (DFL) | Agriculture | Federal milk marketing order legal action provided continued funding, and money appropriated. |
| HF1512 | Dawkins (DFL) | Taxes | Mortgage interest included in taxable income, and mortgage interest credit provided. |
| HF1513 | Rostberg (IR) | Judiciary | Forfeited bail proceeds disposition provided. |
| HF1514 | Mariani (DFL) | Economic Development, Infrastructure & Regulation Finance | Community Resources Program appropriated money. |
| HF1515 | Bettermann (IR) | Education | Community and technical college faculty transfers provided. |
| HF1516 | Greenfield (DFL) | Health & Human Services | Human services covered health service provisions expanded. |
| HF1517 | Lourey (DFL) | Health & Human Services | Carlton County Moose Lake family service center appropriated money. |
| HF1518 | Jennings (DFL) | Commerce, Tourism & Consumer Affairs | Minnesota ski safety act of 1995 adopted. |
| HF1519 | Orenstein (DFL) | Judiciary | Peace officer applicant training and education requirements modified. |
| HF1520 | Frerichs (IR) | Judiciary | Dentists, dental hygienists, and dental assistants granted access to data regarding complaints, mercury amalgam use informed consent required, and certain professional sanctions prohibited. |
| HF1521 | Wenzel (DFL) | Environment & Natural Resources | Landfill cleanup fund solid waste assessments remitted by state for return to counties. |
| HF1522 | Delmont (DFL) | Health & Human Services | Human service provider billing prompt payment required. |
| HF1523 | Dawkins (DFL) | Taxes | Tax expenditure budget incidence analysis required in certain instances. |
| HF1524 | Weicman (DFL) | Governmental Operations | State employees provided opportunity to submit suggestions to improve government efficiency and effectiveness. |
| HF1525 | Murphy (DFL) | Health & Human Services | Child abuse prevention parent self-help and support statewide organization appropriated money. |
| HF1526 | Tomassoni (DFL) | Commerce, Tourism & Consumer Affairs | Motor vehicle service contracts and mechanical breakdown insurance regulated. |
| HF1527 | Hausman (DFL) | Environment & Natural Resources | Environmental Quality Board name and duties changed, and Minnesota sustainable development roundtable established. |
| HF1528 | Skoglund (DFL) | Judiciary | Stun Guns/Tasers; Electronic incapacitation devices operated by means of carbon dioxide propellants possession, use, and sale prohibited. |
| HF1529 | Kahn (DFL) | Judiciary | Paternity standards established for certain children conceived by artificial insemination after the death of the father. |
| HF1530 | Mariani (DFL) | Education | High School Graduation Incentives Program and private alternative program revenue determination modified. |
| HF1531 | Leighton (DFL) | Transportation & Transit | Interstate Highway No. 90 bicycle lane established. |
| HF1532 | Dehler (IR) | Governmental Operations | Property value reduction as a result of government action civil cause of action provided, and attorney general required to review proposed rules relating to taking property. |
| HF1533 | Murphy (DFL) | Education | Fond du Lac Community College appropriated money for American Indian student residential facility planning. |
| HF1534 | Pugh (DFL) | Financial Institutions & Insurance | Automobile insurance economic loss benefits to include in-home nursing care compensation. |
| HF1535 | Worke (IR) | Judiciary | Cooperative parenting and mandatory mediation provided when joint custody is sought. |
| HF1536 | Worke (IR) | Judiciary | Child support obligation imposed on both parents, and child support obligation formulas established. |
| HF1537 | Wenzel (DFL) | Commerce, Tourism & Consumer Affairs | Petroleum Tank Release Cleanup Program modified. |
| HF1538 | Orenstein (DFL) | Judiciary | Civil action fault questions and effect provisions modified. |
| HF1539 | Ness (IR) | Environment & Natural Resources | Meeker county tax-forfeited land sale authorized. |
| HF1540 | Jefferson (DFL) | Governmental Operations | Minneapolis Teachers Retirement Fund Association member authorized service credit purchase for service outside of the state. |
| HF1541 | Hugoson (IR) | Education | Independent School District No. 458, Truman, fund transfer authorized. |
| HF1542 | Orenstein (DFL) | Ways & Means | State agency periodic report requirement eliminated. |
| HF1543 | Winter (DFL) | Environment & Natural Resources | Wetland management and protection provisions modified. |
| HF1544 | Skoglund (DFL) | Judiciary Finance | Nonfelony Enforcement Advisory Committee duties expanded, and money appropriated. |
| HF1545 | Kelley (DFL) | Taxes | Omnibus property tax bill modifying property tax classification, tax refunds, local government aid, municipal service charges, state aid, education cooperation, and court administration finance, and money appropriated. |
| HF1546 | Munger (DFL) | Environment & Natural Resources | Environmental cleanup cost reimbursement provided to potentially responsible persons related to oil re-refinery operation. |
| HF1547 | Girard (IR) | Ways & Means | State expenditure long-range plan development |
provided, budget reserve account created, and budget reserve and cash flow account balance use restricted.
**HF1548—Mariani (DFL)**
**Taxes**
Airport intermediate land detachment from cities and school districts provided.
**HF1549—Workman (IR)**
**Transportation & Transit**
Transit program operation by metropolitan communities expanded, transit fund availability provisions modified, reserve accounts established, and language clarified.
**HF1550—Winter (DFL)**
**Environment & Natural Resources**
Environmental Response and Liability Act provisions modified.
**HF1551—Knight (IR)**
**Governmental Operations**
Rules; obsolete administrative rules repealed for various departments and agencies and internal references modified.
**HF1552—Abrams (IR)**
**Environment & Natural Resources**
Environmental and natural resources reorganization act of 1995 adopted.
**HF1553—Kelley (DFL)**
**Local Government & Metropolitan Affairs**
Hennepin County medical examiner's office provisions modified.
**HF1554—Leppik (IR)**
**General Legislation, Veterans Affairs & Elections**
School board candidate residency requirement established.
**HF1555—Van Engen (IR)**
**Health & Human Services**
Nursing home placement level of care established, alternative care funds allowed for certain individuals, demonstration projects established, and federal waivers requested.
**HF1556—Milbert (DFL)**
**Governmental Operations**
Revisor's bill correcting erroneous, ambiguous, and omitted text and obsolete references; eliminating certain redundant, conflicting, and superseded provisions; and making miscellaneous technical corrections to statutes and other laws.
**HF1557—Pugh (DFL)**
**Judiciary**
Protective agents providing armored car services allowed to apply for permits to carry pistols.
**HF1558—McGuire (DFL)**
**Judiciary Finance**
Violence prevention councils provided grants, and money appropriated.
**HF1559—Carruthers (DFL)**
**Economic Development, Infrastructure & Regulation Finance**
Multifamily blighted rental property removal grants provided, and money appropriated.
**HF1560—Leighton (DFL)**
**Governmental Operations**
Austin Fire Department Relief Association spouse survivor coverage language clarified.
**HF1561—Greenfield (DFL)**
**Taxes**
Cigarette and tobacco product tax increase provided, and revenue dedication provided to the health care access fund.
**HF1562—Milbert (DFL)**
**Taxes**
Corporate franchise tax modification provided for sales factor for leases of certain mobile equipment.
**HF1563—Mohnau (IR)**
**Local Government & Metropolitan Affairs**
Metropolitan Council member appointment provisions modified.
**HF1564—Holsten (IR)**
**Governmental Operations**
Lawful purpose expenditure local authority provisions modified.
**HF1565—Hausman (DFL)**
**International Trade & Economic Development**
Civic and convention center benefit assessment required.
**HF1566—Long (DFL)**
**Local Government & Metropolitan Affairs**
Minneapolis authorized to establish special service districts.
**HF1567—Long (DFL)**
**Financial Institutions & Insurance**
Public fund deposit and investment regulated.
**HF1568—Erhardt (IR)**
**Financial Institutions & Insurance**
Homeowner and automobile insurance zip code rating prohibited.
**HF1569—Mulder (IR)**
**Taxes**
Rock county aggregate removal tax imposed.
**HF1570—Pawlenty (IR)**
**Governmental Operations**
Public employees provided opportunity to submit suggestions to improve government efficiency and effectiveness, program established by administration commissioner, and money appropriated.
**HF1571—Otremba (DFL)**
**Health & Human Services**
Community services directory created by Children, Youth, and Families Consortium of the University of Minnesota, and money appropriated.
**HF1572—Onnen (IR)**
**Agriculture**
Small family farm incubator services program established, and money appropriated.
**HF1573—Kelley (DFL)**
**Financial Institutions & Insurance**
Omnibus financial institution regulatory bill.
**HF1574—Kelley (DFL)**
**Local Government & Metropolitan Affairs**
Hopkins tax increment financing district modified.
**HF1575—Orenstein (DFL)**
**Local Government & Metropolitan Affairs**
Independent School District No. 625, St. Paul, city civil service bureau contracting requirements eliminated.
**HF1576—Anderson, I. (DFL)**
**Education**
Post-secondary enrollment options replacement aid provided, and money appropriated.
**HF1577—Ness (IR)**
**Health & Human Services**
SIDS; Sudden Infant Death Center provided grant, and money appropriated.
**HF1578—Goodno (IR)**
**Environment & Natural Resources**
Wastewater Infrastructure Funding Program to include basic grants to municipalities.
**HF1579—Workman (IR)**
**Commerce, Tourism & Consumer Affairs**
Health, social referral, and buying clubs regulated, and unlicensed child care services notice requirement established.
**HF1580—Smith (IR)**
**Financial Institutions & Insurance**
Governmental unit supplemental pension plan qualified insurance company selection restrictions modified.
**HF1581—Kraus (IR)**
**Judiciary**
Pension plan division limitation provided upon dissolution of marriage.
**HF1582—Rukavina (DFL)**
**Environment & Natural Resources**
St. Louis County tax-forfeited land sale authorized.
HF1583—Lourey (DFL)
Health & Human Services
Contracted foster care service contract rate provisions modified.
HF1584—Lourey (DFL)
Health & Human Services
Community Alternative Care Program study and Medical Assistance Waiver Program effects on medically fragile children study required by Department of Human Services.
HF1585—McGuire (DFL)
Health & Human Services
Child and adolescent sexual health institute intervention services expanded, and money appropriated.
HF1586—McGuire (DFL)
Transportation & Transit
Motor vehicle registration suspension provided for interest transfer violations, and certificate of title provisions modified.
HF1587—Harder (IR)
Agriculture
Ethanol and wet and anhydrous alcohol producer payments modified, and money appropriated.
HF1588—Greenfield (DFL)
Health & Human Services
Omnibus human services appropriation bill.
HF1589—Munger (DFL)
Environment & Natural Resources
Peat harvesting studied and money appropriated.
HF1590—Pawlenty (IR)
Governmental Operations
Minors under the age of 21 prohibited from engaging in various gambling activities.
HF1591—Kraus (IR)
Education
Technical college purchase by municipalities, counties, or school districts authorized.
HF1592—Paulsen (IR)
Judiciary
Plea bargaining prohibited when defendant is charged with committing a dangerous felony with a firearm and subject to mandatory minimum sentencing law, and exceptions provided.
HF1593—Workman (IR)
Judiciary
Firearms; right to keep and bear arms not abridged and constitutional amendment proposed.
HF1594—Rest (DFL)
Local Government & Metropolitan Affairs
Crystal and Fridley housing replacement pilot projects established.
HF1595—Rostberg (IR)
Education
Cambridge Community College Center granted full campus status and money appropriated.
HF1596—Ness (IR)
Health & Human Services
MinnesotaCare; regulated all-payer option repealed.
HF1597—Carruthers (DFL)
International Trade & Economic Development
Multijurisdictional collaborative reinvestment program established in Hennepin County, and money appropriated.
HF1598—Davids (IR)
Education
School boards authorized to conduct referenda to fund extracurricular activities.
HF1599—Swenson, D. (IR)
Education
General education formula allowance increased, class size reduction program local control expanded, staff development reserved revenue use restricted, transportation inflation factors restored, and debt service equalization aid modified.
HF1600—Jennings (DFL)
Education
Independent School District No. 139, Rush City, fund transfer authorized.
HF1601—Kalis (DFL)
Education
Debt service equalization eligibility provisions modified.
HF1602—Greenfield (DFL)
Health & Human Services
Mobile health care providers defined and regulated.
HF1603—Greenfield (DFL)
Health & Human Services
Hospital and nursing home reimbursement rate adjustment indices modified.
HF1604—Paulsen (IR)
Governmental Operations
Eden Prairie Volunteer Firefighters Relief Association service pension vesting requirement reduction provided.
Thursday, March 23
HF1605—Larsen (IR)
Education
Independent school district Nos. 622, North St. Paul-Maplewood-Oakdale, 833, South Washington county, and 834, Stillwater, provided additional joint elementary facility operation authority, and money appropriated.
HF1606—Munger (DFL)
Transportation & Transit
Special critical habitat motor vehicle license plates established, and money appropriated.
HF1607—Lourey (DFL)
Health & Human Services
Marriage license fee increased and provisional fee waiver provided, marriage and family counseling health care coverage provided, and marriage dissolution counseling order authority provided.
HF1608—Entenza (DFL)
Education
Interagency services provided for children with disabilities, education and human services report required, training program established for persons who work with disabled children, and money appropriated.
HF1609—McCollum (DFL)
Labor-Management Relations
Employee mandatory overtime work hours prohibited.
HF1610—Clark (DFL)
Health & Human Services
Indian Child Welfare Defense Corporation provided compliance grants, and money appropriated.
HF1611—Dawkins (DFL)
Taxes
Government Innovation and Cooperation Board authorized to conduct aid distribution council pilot project, and money appropriated.
HF1612—Winter (DFL)
Regulated Industries & Energy
Farm-generated wind energy production facility rate policies established.
HF1613—Weaver (IR)
Judiciary
Omnibus juvenile crime prevention bill, and money appropriated.
HF1614—Rest (DFL)
Capital Investment
Public bond issuance conditions and requirements provided, unfunded pension liability obligation use procedures specified, indoor ice arena bond use authorized, and city tax anticipation certificate issuance required.
HF1615—Ozment (IR)
Environment & Natural Resources
Pollution Control Agency automobile salvage yard environmental assessment continuance provided, automotive mercury recycling incentives provided, and money appropriated.
HF1616—Milbert (DFL)
Taxes
Low and moderate housing construction project materials exempted from sales and use taxes.
HF1617—Pugh (DFL)
Financial Institutions & Insurance
Reinsurance intermediaries regulation and fund investment provided.
HF1618—Johnson, V. (IR)
Agriculture
Agriculture best management practices and clean water partnership loan programs modified.
HF1619—Long (DFL)
Taxes
This Old House Law; valuation exclusion provided for improvements to certain property.
HF1620—Trimble (DFL)
Environment & Natural Resources
Native vegetation planting promoted, and money appropriated.
HF1621—Clark (DFL)
Governmental Operations
Minneapolis health insurance subsidy expanded to include eligible retiring teachers.
HF1622—Swenson, D. (IR)
Governmental Operations
Lottery advertising prohibited.
HF1623—Wenzel (DFL)
Governmental Operations
Legislative session timing, length, schedule, and calendar studied, and commission created.
HF1624—Weaver (IR)
Judiciary
Paternity action time limits modified.
HF1625—Weaver (IR)
Judiciary
County sheriffs required to be licensed as peace officers prior to taking office.
HF1626—Bishop (IR)
Governmental Operations
Public fund investment in certain assets prohibited.
HF1627—Van Dellen (IR)
Local Government & Metropolitan Affairs
Metropolitan revitalization fund established to provide funding for housing and urban development, and money appropriated.
HF1628—Frerichs (IR)
Transportation & Transit
Motor carriers deregulated, and fees and penalties provided.
HF1629—Johnson, V. (IR)
Environment & Natural Resources
Forest resources council and regional forest resource committee creation provided, and forest resource management effort coordination provided.
HF1630—Finseth (IR)
Environment & Natural Resources
Water use permit application or inspection fee refund provided when permits are not granted.
HF1631—McGuire (DFL)
Judiciary
Pistol and semiautomatic military-style assault weapon license requirement provided.
HF1632—Orfield (DFL)
Taxes
Business property tax notices to include statement regarding state subsidies.
HF1633—Lourej (DFL)
Economic Development, Infrastructure & Regulation Finance
Employment support services for persons with mental illness funding increased, and money appropriated.
HF1634—Mulder (IR)
Taxes
Wind energy conversion systems provided tax liability in lieu of property taxes.
HF1635—Molnau (IR)
Taxes
Motor vehicle purchase price modification provided for sales tax purposes.
HF1636—Carruthers (DFL)
Taxes
Senior citizen's property tax deferral program established, and money appropriated.
HF1637—McGuire (DFL)
Judiciary
Custodial parent child residence relocation to another state procedures established.
HF1638—Kalis (DFL)
Economic Development, Infrastructure & Regulation Finance
Kee Theatre in Kiester restoration funding provided, and money appropriated.
HF1639—Kalis (DFL)
Economic Development, Infrastructure & Regulation Finance
FarmAmerica in Waseca County provided a grant, and money appropriated.
HF1640—Smith (IR)
Environment & Natural Resources
Lake Minnetonka seawall construction without a permit authorized.
HF1641—Macklin (IR)
Local Government & Metropolitan Affairs
Counties, cities, and towns required to codify and print ordinances, resolutions and rules, and supply copies to county law libraries.
HF1642—Winter (DFL)
Agriculture
Wholesale dairy product supplier trade practice restricted.
HF1643—McGuire (DFL)
Judiciary Finance
Sexual assault program grants provided to Department of Corrections commissioner, and money appropriated.
HF1644—McGuire (DFL)
Judiciary
Emergency 911 call recording use authorized for training purposes.
HF1645—Olson, M. (IR)
Commerce, Tourism & Consumer Affairs
Wood types specified for exterior construction applications.
HF1646—Hugoson (IR)
Local Government & Metropolitan Affairs
Fairmont tax increment financing district exempted from state aid offset.
HF1647—Pugh (DFL)
Judiciary
Social Security Act claim record copy charge prohibited.
HF1648—Pugh (DFL)
Judiciary
Uniform correction or clarification of defamation act adopted.
HF1649—Entenza (DFL)
Commerce, Tourism & Consumer Affairs
Real estate brokers and salespersons regulated, and real property radon testing disclosure required.
HF1650—Hausman (DFL)
Environment & Natural Resources
St. Paul district heating waste wood cogeneration facility biomass mandate satisfaction provided.
HF1651—Anderson, I. (DFL)
Commerce, Tourism & Consumer Affairs
Canada; border water angling restriction challenge funding provided, and money appropriated.
HF1652—Trimble (DFL)
Capital Investment
Public property acquired with bond funds lease and disposition provisions modified.
HF1653—Dawkins (DFL)
Taxes
Revenue recapture debt collection notification provided annually.
HF1654—McGuire (DFL)
Health & Human Services
Minor's mental health services consent provisions modified.
Committee Schedule
Schedule is subject to change. For information updates, call House Calls at (612) 296-9283. All meetings are open to the public.
MONDAY, March 27
8 a.m.
ECONOMIC DEVELOPMENT, INFRASTRUCTURE & REGULATION FINANCE
300N State Office Building
Chr. Rep. Jim Rice
Agenda: Minnesota Association of Rehabilitation Facilities. Minnesota Association of Centers for Independent Living.
Health & Human Services Finance Division/HEALTH & HUMAN SERVICES
10 State Office Building
Chr. Rep. Lee Greenfield
Agenda: Budget overview of FY 1996-97. Veterans Home. Council on Disability. Ombudsman for Mental Health and Mental Retardation. Ombudsperson for Families.
Property Tax &
Tax Increment Financing Division/TAXES
200 State Office Building
Chr. Rep. Ted Winter
Agenda: HF606 (Solberg) Nashwauk area ambulance district local approval requirements modified.
HF712 (Luther) Brooklyn Park rental tax equity pilot project established, and money appropriated.
HF1182 (Dawkins) Rental equity tax program established in Minneapolis, St. Paul, Duluth, and certain other cities.
HF561 (Knight) Property tax proposal truth in taxation notice mailing date changed.
HF1398 (Winter) Wind energy conversion system property tax recovery provided through rate modification.
HF955 (Dehler) Morrison County bond issuance authorized for fairgrounds improvements, and referendum required.
University of Minnesota Finance Division/EDUCATION
300S State Office Building
Chr. Rep. Becky Kelso
Agenda: To be announced.
8:30 a.m.
ENVIRONMENT &
NATURAL RESOURCES FINANCE
Basement Hearing Room
State Office Building
Chr. Rep. Chuck Brown
Agenda: HF2 (Johnson, A.) Motor vehicle emission inspection requirement waived for vehicles less than five years old.
HF563 (Tunheim) Beaver Damage Control Joint Powers Board appropriated money.
HF456 (Hasskamp) Cuyuna Country State Recreation Area appropriated money for operation and maintenance.
10 a.m.
AGRICULTURE
200 State Office Building
Chr. Rep. Steve Wenzel
Agenda: HF918 (Winter) Agricultural commodity supply management, orderly marketing, administration, and enforcement provided, minimum prices established for dairy and grain products, and money appropriated.
JUDICIARY
Basement Hearing Room
State Office Building
Chr. Rep. Wes Skoglund
Agenda: HF176 (Skoglund) Criminal sexual conduct crimes statute of limitations lengthened.
HF177 (Skoglund) Patterned sexual offender sentencing law scope expanded; and sentencing law training required for judges, prosecutors, peace officers, and sex offender assessors.
HF178 (Skoglund) Sex offender registration law expanded, and registration law violation penalty increased.
HF633 (Skoglund) Indecent exposure in the presence of a child under the age of 16 penalties increased.
HF911 (Skoglund) DNA crime evidence analysis statute of limitations provisions modified.
HF272 (Lynch) Interference with privacy crime to include intrusion on occupants of hotel sleeping rooms and tanning booths.
HF181 (Bishop) Sex offender release notification required; registered sex offender information release authorized; and HIV testing of convicted offenders law clarified.
REGULATED INDUSTRIES & ENERGY
10 State Office Building
Chr. Rep. Steve Trimble
Agenda: HF1333 (Kelley) Electric and gas utility intervenor compensation regulated.
HF1356 (Kelley, Anderson, I.) Telephone company local exchange service territory sales regulated.
HF620 (Olson, E.) Telephone company alternative regulation provided for limited periods, local exchange service competition promoted, and technical provisions modified.
State Government Finance Division/
GOVERNMENTAL OPERATIONS
400S State Office Building
Chr. Rep. Tom Rukavina
Agenda: Budget review for Twin Cities Cable. HF139 (Pawlenty) Tenth Amendment; federal government mandate reporting and analysis required.
HF1328 (Dehler) Intermediate care facility procedures modified, cost-effective service study established, vendor overpayment recovery provisions modified, nursing facility provisions modified, and day training and habilitation vendor payments modified.
12:30 p.m.
Business Regulation Division/
COMMERCE, TOURISM &
CONSUMER AFFAIRS
500N State Office Building
Chr. Rep. Loren Jennings
Agenda: HF1467 (Delmont) Building code and zoning state laws provisions modified and clarified.
HF1472 (Bakk) St. Louis County authorized to issue an on-sale intoxicating malt liquor license.
HF1316 (Jennings) Distilled spirits fill standards regulated.
HF1318 (Garcia) Temporary restroom facilities provided at certain construction and engineering project sites.
HF1645 (Olson, M.) Relating to the building code; exterior decks; construction regulation. Other bills may be added.
GENERAL LEGISLATION,
VETERANS AFFAIRS & ELECTIONS
300N State Office Building
Chr. Rep. Tom Osthoff
Agenda: HF172 (Hackbarth) Veterans homes board of directors expense allowance authorized.
HF532 (McCullom) Persian Gulf War veteran bonus payments permitted and constitutional amendment proposed.
HF220 (Greiling) Special and primary elections conducted by mail in certain instances.
HF450 (Pelowski) Soil and water conservation
district supervisors authorized to hold certain city or town offices.
HF1106 (Cooper) Lobbying prohibited by campaign committees or political party committees that issue refund receipt forms.
HF1001 (Rukavina) Women in Military Service Memorial at Arlington National Cemetery contribution appropriation provided.
HF1045 (Marko) Vietnam veterans claims assistance provided, and money appropriated.
HF853 (Brown) National Guard and Department of Military Affairs weapons prohibition exemption provided.
HF698 (McCollum) Veterans Homes Board duties modified, and Silver Bay Veterans Home Dementia Unit expansion provided.
HF1396 (Johnson, V.) Dog, cat, and livestock sales regulated, Animal Health Board duties modified, and penalties provided.
HF1440 (Johnson, V.) Animal Cruelty Prevention Law clarified and modified, and penalties imposed.
Any bills not heard at the 12:30 p.m. meeting will be carried over to the 6:30 p.m. meeting.
**LABOR-MANAGEMENT RELATIONS**
200 State Office Building
Chr. Rep. Bob Johnson
**Agenda:** Presentation of bills. Votes will be taken on the following:
HF18 (Betteermann) Workers' compensation benefits and procedures modified, and penalties provided.
HF69 (Kelso) Workers' compensation insurance regulation and benefits modified, and money appropriated.
HF391 (Girard) Workers' compensation benefits and procedures modified, and penalties provided.
HF642 (Winter) Workers' compensation insurance regulation and benefits modified, and money appropriated.
HF921 (Goodno) Workers' compensation benefits and procedures modified, and penalties provided.
HF1324 (Winter) Mutual employer self-insurance group creation and operation regulated.
HF1436 (Simoneau) Workers' compensation procedures and benefits modified, attorney fee calculation changed, and agreements permitted.
HF401 (Rukavina) Minimum wage increased and adjustment provided based on the consumer price index.
HF1145 (Perlt) Reemployment insurance provisions modified.
HF1221 (Rest) Public employment labor relations provisions modified.
HF1372 (McGuire) Labor education women and minorities advancement grant program established.
HF1437 (Goodno) Food processing industry employee recruitment disclosure required, and penalties provided.
HF1386 (Bakk) Loggers targeted industry fund sunset repealed.
(The committee will continue meeting after Session in room 200 State Office Building.)
**2:15 p.m.**
**RULES & LEGISLATIVE ADMINISTRATION**
118 State Capitol
Chr. Rep. Phil Carruthers
**Agenda:** Special Orders.
**2:30 p.m.**
The House meets in Session.
(Session will be televised on Metro Cable Channel 6.)
One-half hour after Session
**ETHICS**
500N State Office Building
Chr. Rep. Edgar Olson
**Agenda:** HF856 (Bishop) Ethical Practices Board public official gift enforcement authority extended, advisory opinions classified as public data, civil penalties provided, gift ban exceptions authorized and clarified, and money appropriated.
**4 p.m.**
**Higher Education Finance Division/EDUCATION**
300S State Office Building
Chr. Rep. Tony Kinkel
**Agenda:** HF412 (Bertram) Community colleges, state universities, and technical colleges required to use construction plans prepared through the Department of Administration.
HF1170 (Kelley) Post-secondary learning needs statewide consortium established, open learning institution studied, and money appropriated.
HF665 (Pawlenty) Campus closure and reorganization commission established, and money appropriated.
**TUESDAY, March 28**
8 a.m.
**EDUCATION**
200 State Office Building
Chr. Rep. Lyndon Carlson
**Agenda:** HFXXX (Hasskamp) Pledge of Allegiance authorized.
HF444 (Van Dellen) Student disciplinary sanctions related to speech limited, and civil cause of action provided.
HF1435 (Pelowski) High School League tournament admissions exempted from sales tax.
HF920 (Mariani) American Indian tribal history, government, and culture included in staff development and teacher preparation curriculum, and graduation rule to include an understanding of American Indians.
HF1312 (Mariani) Americans of Mexican origin education act adopted.
Other bills may be added.
**HEALTH & HUMAN SERVICES**
10 State Office Building
Chr. Rep. Bob Anderson
**Agenda:** HF966 (Entenza) Child support and enforcement provisions modified, and money appropriated.
HF1516 (Greenfield) Human services covered health service provisions expanded.
HF724 (Kelley) Social worker home care provider, nursing home, and hospital licensure requirements modified.
HF743 (Solberg) Nursing home swing bed provisions modified.
HF1136 (Clark) Marijuana and Tetrahydrocannabinols prescription by physicians allowed for medical treatment.
HF1210 (Greenfield) Home care service provider registration required for elderly service providers.
HF1243 (Greenfield) Prescription drug purchasing authority created, senior citizen drug purchasing benefit program established, and money appropriated.
HF1363 (Pelowski) Drug dispensing regulations modified to allow dispensing of drugs prescribed by a doctor licensed in a state bordering Minnesota.
HF1603 (Greenfield) Hospital and nursing home reimbursement rate adjustment indices modified.
Other bills may be added.
**JUDICIARY FINANCE**
500N State Office Building
Chr. Rep. Mary Murphy
**Agenda:** Agency budget presentations. Department of Corrections: management services, institutions. Public testimony, if time allows. If agenda is not completed, it will be continued in the evening at an announced time.
**Transportation Finance Division/ECONOMIC DEVELOPMENT, INFRASTRUCTURE & REGULATION FINANCE**
500S State Office Building
Chr. Rep. Bernie Lieder
**Agenda:** HF971 (Tunheim) Manufacturer motor vehicle test license plate issuance authorized.
HF575 (Erhardt) Motor vehicle transfer notification by buyer required within ten days of purchase, and fees and penalties imposed.
HF729 (Ferichs) High speed rail corridor through Minnesota, Wisconsin, and Illinois feasibility studied by Department of Transportation commissioner, and money appropriated. Presentation of Metropolitan Council's Transportation Policy Plan Amendment.
8:30 a.m.
ENVIRONMENT & NATURAL RESOURCES FINANCE
Basement Hearing Room
State Office Building
Chr. Rep. Chuck Brown
Agenda: HF723 (Balk) Youthful deer hunter license established, doe taking authority expanded, pelting fee increased, and family hunting license eliminated.
HF368 (Munger) Soil and water conservation districts provided annual fund allocation.
10 a.m.
Financial Aid and Tuition Policy Working Group/Joint Higher Education Finance Division and University of Minnesota Finance Division/EDUCATION
300S State Office Building
Chrs. Reps. Tony Kinkel, Becky Kelso
Agenda: Continued discussion of previous agenda items.
GOVERNMENTAL OPERATIONS
Basement Hearing Room
State Office Building
Chr. Rep. Phyllis Kahn
Agenda: Any bills not completed on March 23 and March 24.
HF1093 (Lynch) Telecommunication Access for Communication-Impaired Persons Board (TACIP) eliminated, and duties transferred to the Department of Public Service and Department of Human Services.
HF976 (Orenstein) Human resources, gainsharing, and procurement pilot projects established to improve state agency efficiency and effectiveness.
HF398 (Carruthers) Elevator mechanic registration and regulation required, and money appropriated.
HF983 (Loureay) Emergency medical services advisory council, maternal aid child health advisory task force, and state community health advisory committee reinstatement provided.
HF100 (Huntley) Morris authorized to enlarge an existing tax increment financing district.
HF1037 (Huntley) Department of Health commissioner public pool rules enforcement and fee provisions modified, and penalties provided.
HF1462 (Mariani) Public official relative hiring restricted.
HF1156 (Long) Metropolitan livable communities advisory board and fund established, and Metropolitan Mosquito Control Commission and district provisions modified.
HF626 (Hausman) Environmental education council established, state plan for environmental education development required, and money appropriated.
HF581 (Johnson, V.) Forest resources council and forest resources research advisory committee established to coordinate forest resource management, use, and development.
HF1096 (Milbert) Wild animal and plant emergency protection rule adoption authority granted to Department of Natural Resources commissioner.
HF1524 (Wejman) State employees provided opportunity to submit suggestions to improve government efficiency and effectiveness.
HF1468 (Stvigum) Governor authorized to declare an inability to discharge duties of the office.
Bills recommended by the Legislative Commission on Pensions & Retirement, the Gambling Division, and other standing committees under Rule 5.10.
Sales & Income Tax Division/TAXES
200 State Office Building
Chr. Rep. Bob Milbert
Agenda: HF730 (Winter) Cigarette tax accelerated payment requirement eliminated, and cigarette tax overage offset time period extended.
HF1321 (Loureay) Cigarette and tobacco product tax rate increase provided, and proceeds provided for Tobacco Prevention and Control Program.
12:30 p.m.
COMMERCE, TOURISM & CONSUMER AFFAIRS
10 State Office Building
Chr. Rep. John Sarma
Agenda: HF586 (Bertram) Impound lots authorized to sell and dispose of unauthorized, abandoned, and junk vehicles.
HF1537 (Wenzel) Petroleum Tank Release Cleanup Program modified.
HF1185 (Smith) Uniform Commercial Code revised Article 8 enacted regulating investment securities.
HF1469 (Bradley) Elevator safety provisions modified, administrative and enforcement responsibilities changed, and penalties imposed. Other bills may be added.
LOCAL GOVERNMENT & METROPOLITAN AFFAIRS
200 State Office Building
Chr. Rep. Dee Long
Agenda: HF1269 (Long) Contaminated site cleanup loan program established within Metropolitan Council, and money appropriated.
HF1627 (Van Dellen) Metropolitan anti-poverty plan.
HF1406 (McGuire) Roseville special service district creation authorized, and hazardous substance subdistrict provided aid offset exemption.
2:30 p.m.
Government Efficiency & Oversight Division/WAYS & MEANS
500S State Office Building
Chr. Rep. Howard Orenstein
Agenda: To be announced.
LABOR-MANAGEMENT RELATIONS
10 State Office Building
Chr. Rep. Bob Johnson
Agenda: Continuation of March 27 meeting.
4:30 p.m.
FINANCIAL INSTITUTIONS & INSURANCE
Basement Hearing Room
State Office Building
Chr. Rep. Wayne Simoneau
Agenda: HF1184 (Jennings) Omnibus financial institutions technical corrections bill.
HF68 (Simoneau) Group life insurance policy proceeds alternative payment methods required.
Subcommittee on Data Practices/JUDICIARY
Basement Hearing Room
State Office Building
Chr. Rep. Mary Jo McGuire
Agenda: HF1102 (Jefferson) Transitional housing services recipient identity data classified as private.
HF1473 (McGuire) Government data classification provisions modified, financial assistance data classification provided, and information policy training program established.
HF1366 (McGuire) Human rights charging party case file access provided.
HF584 (Goodno) Department of Human Rights data classification provisions modified.
HF1326 (Skoglund) Booking photograph release and classification provided.
HFXXXX (Skoglund) Drivers records pertaining to alcohol related offenses.
HFXXXX (Pugh) Domestic assault; criminal history records.
HF992 (Pugh) Computer matching agreement requirement sunset eliminated.
HF86 (Lynch) Child abuse reporting record retention requirements modified, and data classification provided.
HF393 (Leighton) Occupational safety and health investigation data access provisions modified.
Other bills to be announced.
6 p.m.
EDUCATION
200 State Office Building
Chr. Rep. Lyndon Carlson
Agenda: Bills carried over from morning agenda.
TRANSPORTATION & TRANSIT
10 State Office Building
Chr. Rep. Jim Tunheim
Agenda: HF471 (Greenfield) Seat belt violations; peace officers authorized to stop drivers and issue citations for seat belt violations without first observing a moving violation.
HF1171 (Holsten) Amateur radio station license vehicle special license plate appearance modified.
HF1174 (Marko) Special transportation service providers regulated by Department of Transportation commissioner, data classified, and fees and penalties provided.
HF1341 (Osthoff) Turn on red arrow traffic signal allowed under certain conditions, residential area speed limits regulated, work zone speed limit violation fine disposition provided, and technical corrections provided.
HF1485 (Mariami) Protective agent security guards permitted to perform certain traffic control duties.
HF561 (Knight) Property tax proposal truth in taxation notice mailing date changed.
HF959 (Murphy) Property tax value increase prohibited for homesteads owned by persons 65 years of age or older with certain income requirements.
HF846 (Erhardt) Senior citizen's property tax deferral program established, and money appropriated.
Agenda: The committee will meet from 10 a.m. - noon, and again after session. Any bill not completed at March 27 meeting.
HF980 (Skoglund) Manslaughter in the first degree definition modified.
HF981 (Skoglund) Manslaughter in the first degree reasonable person standard clarified, and murder in the first degree acts clarified.
HF772 (Farrell) Protected witness name changes classified as private data.
HF826 (Pugh) Probationer detention by peace officers authorized based on an order from the chief executive officer of a community corrections agency.
HF1241 (Luther) Prostitution profits benefit limitation provided.
HF786 (Weaver) Theft statute definition of value modified.
HF785 (Weaver) Burglary in the first degree scope expanded.
HF784 (Weaver) Controlled substance offense penalty application clarified, drivers' license photograph use authorized in theft investigations, criminal record expungement precluded in diversion cases, victim restitution provided, and fine imposed.
HF900 (Broecker) Disabled parking certificate holders allowed to make names and addresses private.
HF1137 (Wagenius) Public nuisance violation grounds and procedures modified, and resolution meetings provided.
HF1360 (Skoglund) Peace Officer Standards and Training Board (POST) conduct standards review required, conduct model policy development required, and money appropriated.
HF1496 (Orenstein) Peace Officer Standards and Training (POST) Board membership modified, training requirements modified, and money appropriated.
Other bills to be announced.
8:30 a.m.
ENVIRONMENT &
NATURAL RESOURCES FINANCE
Basement Hearing Room
State Office Building
Chr. Rep. Chuck Brown
Agenda: To be announced.
10 a.m.
ENVIRONMENT &
NATURAL RESOURCES
200 State Office Building
Chr. Rep. Willard Munger
Agenda: HF1307 (Ostrom) Ice fishing houses identified by owners driver's license numbers.
HF1276 (Trimble) Aquatic plant harvesting permit fee limits removed.
HF1589 (Munger) Peat harvesting studied and money appropriated.
HF1413 (Wagenius) Mercury emissions consumer information act of 1995 adopted.
Other bills may be added.
FINANCIAL INSTITUTIONS &
INSURANCE
10 State Office Building
Chr. Rep. Wayne Simoneau
Agenda: HF1130 (Simoneau) MinnesotaCare waiting period eliminated, comprehensive health association benefits modified, and enrollment freeze date changed.
HF422 (Osskopp) Comprehensive Health Insurance Association lifetime benefit limit increased.
HF168 (Luther) Homeowner insurance nonrenewal based on claim amounts and not number of claims.
HF877 (Simoneau) Automobile insurance premium reduction provided for vehicles utilizing antitheft alarms or devices.
HF1308 (McCullum) Rental vehicle automobile insurance rate provisions modified.
HF623 (Tomassom) Life insurance policy replacement information disclosure requirements established, and form provided.
HF781 (Abrams) Health maintenance organization regulatory authority transferred to Department of Commerce.
JUDICIARY
Basement Hearing Room
State Office Building
Chr. Rep. Wes Skoglund
State Government Finance Division/
GOVERNMENTAL OPERATIONS
400S State Office Building
Chr. Rep. Tom Rukavina
Agenda: Skeleton bill committee procedures.
HF138 (Kahn) Gambling department created; Racing Commission, Gambling Control Board, and State Lottery Board abolished and duties transferred.
House of Representatives budget review (tentative).
12:30 p.m.
COMMERCE, TOURISM &
CONSUMER AFFAIRS
200 State Office Building
Chr. Rep. John Sarna
Agenda: HF809 (Entenza) Charitable organizations regulated and money appropriated.
HF990 (Entenza) Disabled and handicapped assistive device warranties provided.
HF1052 (Entenza) Federal Lien Registration
Act provisions modified.
Bills not heard on Tuesday.
HF1048 (Entenza) Videotape distribution, sale, and rental regulated, and captioning for deaf or hearing-impaired persons required.
HF1456 (Carruthers) Accountancy Board license renewal schedule staggered.
HF1526 (Tomassoni) Motor vehicle service contracts and mechanical breakdown insurance regulated.
HF1091 (Entenza) Transient merchant sales of baby food and health related items regulated, and penalties provided.
HF1371 (Opatz) Investment securities order flow direction payment disclosure required. Other bills may be added.
INTERNATIONAL TRADE & ECONOMIC DEVELOPMENT
500S State Office Building
Chr. Rep. Mike Jaros
Agenda: HF1117 (Long) Tourism office to devote 20 percent of budget to international tourism development.
HF1229 (Osthoff) Job Skills Partnership Board in St. Paul appropriated money.
HF1408 (Carruthers) North Metro Business Development Commission appropriated money for business retention and development activities.
HF1565 (Hausman) Civic and convention center benefit assessment required.
HF1597 (Carruthers) Multijurisdictional collaborative reinvestment program established in Hennepin County, and money appropriated. Additional bills may be added. If necessary, we will meet immediately after session in 300S State Office Building to complete agenda.
TRANSPORTATION & TRANSIT
10 State Office Building
Chr. Rep. Jim Tunheim
Agenda: HF1402 (Seagren) Original license plate issuance provided for certain motor vehicles.
HF1261 (Kinkel) Single strand barriers prohibited across roads, driveways, and trails, and penalty imposed.
HF1056 (Garcia) Senior citizen driver's license and identification cards to contain transit symbol, employer payroll transit program tax imposed, and public transit route and schedule change planning and consultation required.
HF1549 (Workman) Transit program operation by metropolitan communities expanded, transit fund availability provisions modified, reserve accounts established, and language clarified. More bills may be added.
The House meets in Session.
After Session
COMMERCE, TOURISM & CONSUMER AFFAIRS
10 State Office Building
Chr. Rep. John Sarna
Agenda: Continuation of 12:30 p.m. agenda.
WAYS & MEANS
5 State Office Building
Chr. Rep. Loren Solberg
Agenda: To be announced.
University of Minnesota Finance Division/EDUCATION
300S State Office Building
Chr. Rep. Becky Kelso
Agenda: To be announced.
LOCAL GOVERNMENT & METROPOLITAN AFFAIRS
200 State Office Building
Chr. Rep. Dee Long
Agenda: HF1039 (Milbert) Dakota County administrator assigned county board clerk duties.
HF1291 (Anderson, B.) Sherburne County ditch conveyance to Elk River provided.
HF1378 (Garcia) Minneapolis city engineer granted city parking and traffic authority.
HF1406 (McGuire) Roseville special service district creation authorized, and hazardous substance subdistrict provided aid offset exemption.
HF1460 (Greiling) City budget report date modified, and budget publication requirements eliminated.
HF1494 (Dawkins) Government Innovation and Cooperation Board fund distribution approval provided.
HF1553 (Kelley) Hennepin County medical examiner's office provisions modified.
HF609 (Orfield) Metropolitan Council made an elective body and provided public campaign financing, and penalties imposed.
HF779 (Orfield) Conservation easement assessment benefit determination, zoning and planning, Metropolitan Council land use decisions, and metropolitan agricultural preserves provisions clarified. Other bills may be added.
GENERAL LEGISLATION,
VETERANS AFFAIRS & ELECTIONS
300N State Office Building
Chr. Rep. Tom Osthoff
Agenda: To be announced.
THURSDAY, March 30
ECONOMIC DEVELOPMENT,
INFRASTRUCTURE &
REGULATION FINANCE
300N State Office Building
Chr. Rep. Jim Rice
Agenda: To be announced.
EDUCATION
200 State Office Building
Chr. Rep. Lyndon Carlson
Agenda: HF1429 (Tomassoni) Athletic participation authorized for students enrolled in non-resident districts.
HF1240 (Kinkel) Students allowed to participate in extracurricular activities of other schools. HF1079 (Ostrom) Junior and senior high school talented student needs assessment conducted, and money appropriated. Other bills may be added.
JUDICIARY FINANCE
500N State Office Building
Chr. Rep. Mary Murphy
Agenda: Agency budget presentations. Department of Corrections: community services. Public testimony. If the agenda is not completed, it will be continued in the evening at an announced time.
MinnesotaCare Finance Division/
HEALTH & HUMAN SERVICES
10 State Office Building
Chr. Rep. Roger Cooper
Agenda: To be announced.
ENVIRONMENT &
NATURAL RESOURCES FINANCE
Basement Hearing Room
State Office Building
Chr. Rep. Chuck Brown
Agenda: To be announced.
Sales & Income Tax Division/TAXES
200 State Office Building
Chr. Rep. Bob Milbert
Agenda: HF1512 (Dawkins) Mortgage interest included in taxable income, and mortgage interest credit provided.
HF1523 (Dawkins) Tax expenditure budget incidence analysis required in certain instances.
HF1495 (Ness) Hutchinson authorized to impose certain sales, liquor, and food taxes.
HF1380 (Rest) Income tax bond exemption eliminated.
GOVERNMENTAL OPERATIONS
Basement Hearing Room
State Office Building
Chr. Rep. Phyllis Kahn
Agenda: Continuation of March 28 agenda.
HEALTH & HUMAN SERVICES
10 State Office Building
Chr. Rep. Bob Anderson
Agenda: HF1313 (Davids) Omnibus mortuary science regulation bill.
HF1442 (Greenfield) Chemical dependency counselor and hearing instrument dispenser licensure required, and penalties provided. Other bills may be added.
12:30 p.m.
CAPITAL INVESTMENT
500N State Office Building
Chr. Rep. Henry Kalis
Agenda: HF504 (McCullom) Park, recreation area, and natural and scenic area grants provided to school districts and municipalities.
SF188 (Samuelson); HF146 (Hasskamp) Brainerd Technical College appropriation use authorized for athletic facility relocation.
HF443 (Dempsey) Bond issuance provided for acquisition and betterment of public land and buildings, and money appropriated.
COMMERCE, TOURISM &
CONSUMER AFFAIRS
10 State Office Building
Chr. Rep. John Sarna
Agenda: HF1651 (Anderson, I.) Relating to game and fish; voiding certain action of the commissioner of natural resources in the border water angling dispute.
HF1292 (Van Dellen) Residential contractor licensure requirement provisions modified for contractors licensed by St. Paul or Minneapolis.
HF1318 (Garcia) Temporary restroom facilities provided at certain construction and engineering project sites.
Other bills may be added.
Elections Division/
GENERAL LEGISLATION,
VETERANS AFFAIRS & ELECTIONS
300N State Office Building
Chr. Rep. Richard Jefferson
Agenda: To be announced.
LOCAL GOVERNMENT &
METROPOLITAN AFFAIRS
200 State Office Building
Chr. Rep. Dee Long
Agenda: HF1567 (Long) Multijurisdictional collaborative reinvestment program established in Hennepin County, and money appropriated.
HF1315 (McCullom) North St. Paul tax increment financing district time limit extension provided.
HF1574 (Kelley) Hopkins tax increment financing district modified.
HF1594 (Rest) Crystal and Fridley housing replacement pilot projects established. Other bills may be added.
2:15 p.m.
RULES &
LEGISLATIVE ADMINISTRATION
118 State Capitol
Chr. Rep. Phil Carruthers
Agenda: Special Orders.
2:30 p.m.
The House meets in Session.
(Session will be televised on Metro Cable Channel 6.)
Immediately after Session
FINANCIAL INSTITUTIONS &
INSURANCE
5 State Office Building
Chr. Rep. Wayne Simoneau
Agenda: Referral from Labor-Management Relations Committee on workers' compensation.
After Session
HEALTH & HUMAN SERVICES
10 State Office Building
Chr. Rep. Bob Anderson
Agenda: To be announced.
One half hour after Session
Government Efficiency &
Oversight Division/WAYS & MEANS
500S State Office Building
Chr. Rep. Howard Orenstein
Agenda: To be announced.
6 p.m. or 2 hours after Session
(whichever is earlier)
EDUCATION
200 State Office Building
Chr. Rep. Lyndon Carlson
Agenda: Continuation of bills not heard at morning meeting.
FRIDAY, March 31
8 a.m.
Health & Human Services Finance Division/
HEALTH & HUMAN SERVICES
10 State Office Building
Chr. Rep. Lee Greenfield
Agenda: Testimony by the Department of Health, Veterans Home, Council on Disabilities, Ombudsman for Mental Health and Mental Retardation, Ombudsman for Families and the Department of Human Services.
Higher Education Finance Division/
EDUCATION
Basement Hearing Room
State Office Building
Chr. Rep. Tony Kinkel
Agenda: HF1379 (Murphy) Fond du Lac Community College appropriated money.
HF1506 (Murphy) Fond du Lac Community College appropriated money for material and equipment acquisition.
HF1507 (Murphy) Fond du Lac Community College appropriated money for residential facility planning, and bonds issued.
Transportation Finance Division/
ECONOMIC DEVELOPMENT,
INFRASTRUCTURE &
REGULATION FINANCE
500S State Office Building
Chr. Rep. Bernie Lieder
Agenda: HF797 (Carruthers) License fee refund required by Department of Public Safety if drivers' licenses, permits, or identification cards are not issued within six weeks from application.
10 a.m.
Environment &
NATURAL RESOURCES
200 State Office Building
Chr. Rep. Willard Munger
Agenda: HF1236 (Schumacher) Sand Dunes State Forest shooting area established, and money appropriated.
HF1279 (Rest) State park handicapped access trail plan required.
HF1191 (Carlson) Trout and salmon stamp required to possess trout or salmon taken by angling.
HF1340 (Bakk) Deer archery, firearm, and muzzle-loading firearm license established.
HF1280 (Milbert) Game and fish provisions modified, all-terrain vehicle definition modified, game and fish license revocation provided, special permit issuance provisions modified, one-day fishing licenses provided, migratory game bird provisions modified.
HF850 (Munger) Water pollution inflow and infiltration revolving fund created, and Department of Trade and Economic Development and
Pollution Control Agency rule adoption required.
HF1063 (Huntley) Duluth storm water infiltration and inflow prevention demonstration project authorized.
HF403 (Otremba) Todd County tax forfeited land sale authorized.
HF316 (Bakk) Cook County; tax-forfeited land sale authorized to Grand Portage band of Chippewa.
HF345 (Cooper) Kandiyohi County; tax-forfeited land sale authorized.
HF468 (Anderson, I.) Koochiching County tax forfeited land sale authorized.
HF806 (Macklin) Scott County authorized to purchase trust fund land from Department of Natural Resources.
HF913 (Davids) Preston tax-forfeited land sale authorized.
HF1111 (Rostberg) Isanti County Lake Francis tax-forfeited land sale authorized.
HF1149 (McElroy) Noise abatement provided along freeways and expressways.
Government Efficiency & Oversight Division/WAYS & MEANS
500S State Office Building
Chr. Rep. Howard Orenstein
Agenda: To be announced.
GOVERNMENTAL OPERATIONS
Basement Hearing Room
State Office Building
Chr. Rep. Phyllis Kahn
Agenda: Continuation of March 30 agenda.
JUDICIARY
5 State Office Building
Chr. Rep. Wes Skoglund
Agenda: This meeting will last all day and evening. Any bill not completed at March 29 meeting.
HF1309 (Pugh) Civil action proceedings in forma pauperis modified, action dismissal provided for false allegations of poverty, and hearings and fees provided.
HF1557 (Pugh) Protective agents providing armored car services allowed to apply for permits to carry pistols.
HF1528 (Skoglund) Stun Guns/Tasers; Electronic incapacitation devices operated by means of carbon dioxide propellants possession, use, and sale prohibited.
HF853 (Brown) National guard and Department of Military Affairs weapons prohibition exemption provided.
HF1175 (Molnau) Dangerous weapon criminal code definition modified related to weapon possession in school zones.
HF892 (Tomassoni) School bus safety provisions modified, penalties provided, and money appropriated.
HF506 (Clark) Lead abatement provisions modified and recodified, and money appropriated.
HF1339 (Skoglund) Parolee and probationer transfer interstate compact report required by corrections commissioner.
HF3 (Skoglund) DWI electronic alcohol monitoring test pilot program established, and money appropriated.
HF1418 (Murphy) Crime prevention early intervention demonstration project established.
HF1428 (Murphy) Crime prevention early intervention demonstration project established.
HF987 (Murphy) Criminal arraignment and first court appearance interactive video system use provided.
HF1247 (Pugh) Trial court judgeships increased, and money appropriated.
HF588 (Wejeman) Inmate claims hearings legislative authority expanded.
HF927 (Bishop) Domestic abuse hearing requirement eliminated in certain cases, and notices provided.
HF628 (Bishop) Parental right termination; presumption of refusal or neglect of parental duties created.
Other bills to be announced.
TRANSPORTATION & TRANSIT
10 State Office Building
Chr. Rep. Jim Tunheim
Agenda: To be announced.
3 p.m.
Legislative Commission on Pensions & Retirement
300N State Office Building
Chr. Rep. Richard Jefferson
Agenda: SF863 (Morse); HF995 (Johnson, R.) Police state aid excess aid amounts disposition provided to fund an additional amortization aid program.
SF751 (Riveness) 403(b) tax sheltered annuities; employers must comply with federal law.
SF972 (Morse); HF1080 (Jefferson) Local government official participation limited in Public Employee Retirement Association defined benefit plan.
HF99 (Brown) Public employees prior service credit purchase authorized.
SF1179 (Hottinger); HF1424 (Dorn) Teacher Retirement Association member service credit purchase authorized for time spent on an extended leave of absence.
SF1098 (Bertram); HF1152 (Schumacher) Independent School District No. 51, Foley, employee authorized prior service credit purchase.
HF1427 (Jefferson) Special School District No. 1, Minneapolis, levy authority reallocation provided, and retirement fund provided supplemental contributions.
SF1083 (Morse); HF1505 (Kahn) Early retirement incentives provided for employees of the state university, community college, and technical college systems, and the Higher Education Board.
SF907 (Janezich); HF1044 (Tomassoni) School districts authorized to offer early retirement incentives, and teachers permitted to purchase service credit for teaching service in other states.
HF1540 (Jefferson) Minneapolis Teachers Retirement Fund Association member authorized service credit purchase for service outside of the state.
HF1042 (Dawkins) St. Paul Teachers Retirement Fund Association articles of incorporation and bylaw amendments authorized to provide postretirement adjustments.
SF943 (Sams); HF1336 (Otremba) Teachers Retirement Association annuity reduction provisions waived for certain retired members.
SF130 (Wiener); HF111 (Commers) Eagan Volunteer Firefighter Relief Association lump sum pension payments authorized.
SF797 (Pogemiller); HF970 (Bertram) Public Employees Retirement Association police and fire fund early retirement reduction factors changed.
4 p.m.
AGRICULTURE
200 State Office Building
Chr. Rep. Steve Wenzel
Agenda: To be announced.
The disabled in the U.S. and Minnesota
Nationwide, people with disabilities, in millions, 1991 ........................................... 48.9
as a ratio of all U.S. residents ......................................................................................... 1 in 5
Those with a serious disability nationwide, in millions ............................................. 24.1
Children with disabilities nationwide, in millions .......................................................... 2.9
Nationwide, number of people who have a physical or mental condition that keep them from being able to "work, attend school, or maintain a household," in millions ................................................................................................................................. 9
Mean monthly earnings for a non-disabled person aged 35 to 54 ....................... $2,446
for someone with a severe disability .............................................................................. $1,562
Minnesotans with a disability .......................................................................................... 873,000
with a severe disability .................................................................................................... 430,300
Nationwide, those aged 15 to 64 with a severe disability who have private insurance ................................................................................................................................. 1 in 1.6
Medicaid coverage ........................................................................................................... 1 in 4
no health insurance ........................................................................................................ 1 in 6
Nationwide, those able-bodied who have jobs ............................................................ 4 in 5
those with a "severe functional limitation" who have jobs ........................................ 1 in 4
Percent of Minnesotans with disabilities aged 21 to 64 who are unemployed .... 49
Times that a disabled Minnesotan is more likely to be unemployed when compared to able-bodied Minnesotans aged 21 to 64 ................................................. 9
Number of certified Metro Mobility riders, August 1994 ........................................... 20,000
State funds marked for Metro Mobility, in millions, FY1994-95 .............................. $29.3
budget request, in millions, for FY1996-97 ................................................................. $31.7
Number of rides given, 1993 ......................................................................................... 1,134,000
rides given in 1990, highest year ever ........................................................................ 1,639,722
Disabled Minnesotans currently receiving personal care attendant (PCA) services paid for by Medical Assistance, (average monthly caseload) ............... 5,300
Adults ............................................................................................................................. 3,245
Children .......................................................................................................................... 2,055
Estimated cost to the state, per year, in millions .......................................................... $47
Percent increase in Medical Assistance costs for personal care and private duty nursing services, FY 1991 to FY1994 ................................................................. 192
Additional Minnesotans receiving PCA services under a special 1982 law, (the Tax Equity and Fiscal Responsibility Act, or TEFRA), which allows parents of disabled children to buy into a state health service to help pay for their child's long-term medical care ........................................................................ 1,300
Total number of Minnesotans in the TEFRA program ................................................ 3,900
Cost of TEFRA to the state, per year, in millions .......................................................... $18
Dollars recouped by the state from TEFRA recipients, per year .............................. $325,000
Sources: Metropolitan Center for Independent Living, Department of Human Services, House Research Department.
For more information...
For general information, call:
House Information Office
(612) 296-2146 or
1-800-657-3550
To obtain a copy of a bill, call:
Chief Clerk's Office
(612) 296-2314
To find out about bill introductions or the status of a specific bill, call:
House Index Office
(612) 296-6646
For up-to-date recorded message giving committee meeting times and agendas, call:
House Calls (612) 296-9283
Telecommunications device for the deaf. To ask questions or leave messages, call:
TDD Line (612) 296-9896 or
1-800-657-3550 |
"Meditate upon these things; give thyself wholly to them; that thy profiting may appear unto all"
I Timothy 4:15
Journal of Theology
Church of the Lutheran Confession
VOLUME 11 MARCH 1971 NUMBER 1
ESSAYS
AND ARTICLES
1521-1971: IN COMMEMORATION
OF LUTHER'S STAND AT WORMS.
I.
Four years ago it was the privilege of the present writer to prepare an essay for the general Pastoral Conference of the Church of the Lutheran Confession in commemoration of the 450th anniversary of the Reformation, using the posting of the Ninety-five Theses on the door of the Schlosskirche at Wittenberg as the accepted turning-point, October 31, 1517. This essay, published in the December, 1967, issue of the Journal of Theology, provided a study of one of Luther's writings of 1520, his "Treatise on Good Works." The selection was made because of its immediacy and the direct application of the contents of the treatise to current problems of our own times, presenting as it does the doctrinal foundation of a Christian's concern for society.
Now, during 1971, we are celebrating another 450th anniversary. On April 18, 1521, Martin Luther took his historic stand at the Diet of Worms. He had been asked, on the previous day, to acknowledge certain of his writings and to state clearly and unequivocably whether or not he would retract them. Luther's well-known reply, after he had been granted a day to consider the question, has been long remembered as a treasured part of our Reformation heritage: "Unless I am convinced by the testimony of the Scriptures or by clear reason (for I do not trust either in the pope or in councils alone, since it is well known that they have often erred and contradicted themselves), I am bound by the Scriptures I have quoted, and my conscience is captive to the Word of God. I cannot and I will not retract anything, since it is neither safe nor right to go
against conscience. I cannot do otherwise; here I stand, may God help me. Amen." (LW, Vol. 32, p. 112f.)
Luther's theology had taken rapid strides during the four years since he had voiced his willingness to question through disputation the validity of Rome's doctrine of indulgences. Actually, one would have to go farther back to understand just how rapid those strides were. At the time when Luther received his doctoral degree in theology at Wittenberg in 1512, he had very little knowledge of either Hebrew or Greek. As a matter of fact, he probably did not seriously undertake the study of Greek until 1514, a scant three years before he published his Ninety-five Theses. Schwiebert points out: "In 1516, when Luther began to use Erasmus' Greek New Testament, he was still a novice; but as he matured through 1517 and 1518, his mastery of Greek and Hebrew became more apparent and with it, also, his understanding of the Bible." (Schwiebert, p. 281)* This is not to say that God demands a knowledge of the original languages of the Bible on the part of one to whom the Holy Spirit reveals truth. After all, Luther caught his first glimpse of the glorious doctrine of Justitia Dei, which he described as having opened for him the gates of Paradise, through his studies in the Vulgate sometime between 1513 and 1515.
Luther's advancement was phenomenal also in other areas of theology during this period. In preparing for the Leipzig debate with Eck, in 1519, he wrote a treatise entitled Resolutio Lutheriana super propositione sua decima tertia de potestate papae, (defending the thirteenth and last thesis in his earlier reply to Eck, "The Disputation and Excusation of Brother Martin Luther against the Accusations of Dr. John Eck," May 16, 1519). It is said that this treatise demonstrates the reformer's "amazing capacity to digest materials in a few months, which would have required years for the average scholar." (Schwiebert, page 390). In this bit of writing Luther demonstrated that he was
* "Luther's Works," American Edition; 55 volumes.
* "Luther and his Times," by E. G. Schwiebert.
completely familiar, not only with all documentation of the Roman Church of his day in support of papal primacy, but also with the pertinent passages of Scripture, presenting their true meaning in a truly exegetical-grammatical sense, being faithful to their context, and then also delineating how these passages had been traditionally interpreted from the Church Fathers down to the sixteenth-century Roman propagandists.
One indication of the rapid advancement in the development of Luther's theology is found in the fact that, although almost lost in the confusion of the University of Erfurt's refusal to judge the Leipzig Debate and the Sarbonne's supercilious and bombastic judgment of it, the issue of indulgences, which had originated the conflict, had been decided in Luther's favor by default. Eck spoke in such a conciliatory fashion regarding the abuses of indulgences that Luther later wrote to Spalatin: "On the subject of indulgences we were almost in agreement. If this doctrine had been preached by the indulgence sellers, the name of Martin would today have been unknown and the indulgence commissaries would have died of hunger if the people had been taught not to rely on this wretched system." (Schwiebert, p. 412)
The Leipzig Debate, although announced as a contest between Eck and Carlstadt on the subject of the freedom of the will and grace, was revealed by Eck's advance publication, "Twelve Theses," as being, in reality, a disputation between Eck and Luther on penance, indulgence, good works, purgatory, and papal power. The real struggle in the debate was concerned with the last of these. Eck took the part of the Roman traditionalists and cited the Church fathers to support the view that the papacy was truly the successor of Peter and thus the Vicar of Christ. Luther, on the other hand, had by this time come to realize from his thorough-going studies of church history that councils and popes can and do err, and that the concept of the primacy of the pope was principally the product of the last 400 years. He repeatedly stated that the only safe guide in matters of doctrine is Scripture, and in a masterful way he
demonstrated that the *petra* of Matthew 16:18 is Peter's confession and not Peter, thus giving Eck and all hearers an opportunity to hear Scripture interpreted in the light of Scripture and of the entire Gospel. It became increasingly evident that here was the real arena in which the struggle between Wittenberg and Rome would take place: papal decrees and tradition opposed by Scripture.
From the time of the Leipzig Debate until Luther was summoned to Worms, his pen was never idle. An extremely facile writer, Luther wrote sixteen treatises, more than 400 pages of printed material, in the first six months following the debate, in addition to preparing his lectures for the classroom and preaching on Sundays and festival days in the Town Church and every afternoon in the Augustinian chapel at the cloister in Wittenberg. Consequently, in order to accomplish all this, he was obliged to write very fast and was seldom able to correct his manuscripts or to rewrite them. In spite of these limitations, some of Luther's most important writing was done during this period; for example, his first Commentary on Galatians, his second series of lectures on the Psalms, his short and long Sermons on Usury, sermons on the Ban and on the Eucharist. The above-mentioned *Treatise on Good Works* was published in 1520, and was thought by many to be superior to the three major works of the summer of that same year: the *Address to the German Nobility*, *The Babylonian Captivity of the Church*, and *The Freedom of the Christian*. In late 1520 and early 1521 Luther produced the last of his writings prior to the Diet of Worms, entitled *Defense and Explanation of All the Articles of Dr. Martin Luther* which were Unjustly Condemned by the Roman Bull. These major works, in addition to a few others, comprised the stack of books piled onto a bench in the upper room of the Pfalz in Worms where Luther was to take his stand.
It is, then, a highly significant anniversary which we are now observing 450 years later. We are celebrating the "conscience captive to the Word of God" which will not permit a man of God to retract the truth, even in the face of
extreme personal danger. All thanks and praise be to our merciful God! It is our intention to commemorate Luther's stand at Worms from time to time during this anniversary year, by a consideration of certain of his works written and published in that year, 1521.
The papal bull, *Exsurge Domine*, published on June 15, 1520, did not yet proclaim Luther's excommunication. Rather, its purpose was to expose and condemn forty-one of Luther's propositions which had been presented to the church by that date. Consequently the bull had nothing to say concerning the most recent of Luther's works, those published in the latter half of 1520. As a matter of fact, most of the papal objections are leveled against writings of 1518 and 1519, with only two of the forty-one specific charges referring to earlier writings of 1520, namely article 24, condemning a statement from Luther's sermon on the Ban, and article 41, condemning a portion of his longer sermon on Usury.
It was Luther's opponent at Leipzig, John Eck, who was to a great extent responsible for the pope's objections to Luther's doctrines. He had gone to Rome for the purpose of serving as a Luther expert in the papal attempt to discredit Luther and to carry out steps necessary to put the machinery of excommunication into action. In his methods of debate, Eck had been accused by some as having a vast amount of quotable knowledge in his memory, but as lacking the ability to organize and distill it and to apply it properly. This appears to be a fair criticism of the papal bull as well, for it lists the forty-one statements of Luther in a haphazard fashion, having apparently selected them without regard to context and application. Luther was granted sixty days in which to retract the theses which the bull condemned and was forbidden to write and publish any additional works. The first of Luther's 1521 writings which we shall consider, *Defense and Explanation of All the Articles*, was the reformer's answer to the charges of false doctrine presented by the papal bull. We are using the translation by Dr. Charles
M. Jacobs in the Philadelphia edition of Luther, as revised and published in the American edition of Luther's Works, Volume 32.
In his introduction Luther minces no words as he compares the present state of affairs in the papacy with the situation depicted in Isaiah 19:14; that is, God has given over these "tyrants of Christendom" to their blindness and confusion to such a degree, because of their resistance to His Truth, that they no longer are able to see their error. Indeed, they have gone so far as to neglect even the outward appearance of fairness. For this reason the papal bull has been received with contempt and derision by many.
There are certain introductory charges against Luther that must be dealt with before he can take up the forty-one major statements of his which the papacy had condemned. First, he replied to the charge that he was caustic and impatient, by admitting this to be the case only when led into controversies, "silly arguments about the papacy, indulgences, and similar foolishness;" whereas he maintained that this was not the case in books where he was treating Christian doctrine. He continued to declare that, contrary to his opponents' charge, he had never claimed to have more knowledge than others, nor had he ever sought notoriety in his work. Rather, his enemies had forced him to leave the seclusion of his study. Now that his writings have gained adherents, they charge him with seeking to be a prophet over others. However, even if that were the case, God may have raised him up in their midst, and they were running the risk that they were opposing God in him. For was it not true that God usually raised up prophets from low and humble persons, rather than from among those of high degree? After using the examples from both the Old and New Testaments as evidence of the above assertion, and also to demonstrate that God generally raised only one prophet at a time (and therefore Luther was not disturbed to find himself alone in leadership at his time), he presented the examples of St. Ambrose, St. Jerome and St. Augustine for the same purpose. The real point, however, is that whether or not he is a prophet, he is sure
that the Word of God is with him. "For I have the Scriptures on my side and they have only their own doctrine. This gives me courage, so that the more they despise and persecute me, the less I fear them."
The authors of the bull have adduced the argument that Luther's doctrines are new, and that it should not be thought that so many church authorities can have been wrong for so long a time. Luther demolished this reasoning very easily by remarking that "if length of time were sufficient proof, the Jews would have had the strongest kind of case against Christ on that ground. His doctrine was different from any they had heard for a thousand years. The Gentiles, too, would have been justified in regarding the apostles with contempt, since their ancestors for more than three thousand years held to a different faith." Luther asserted that he was preaching nothing new, but that, rather, the things of Christ had been allowed to perish by the very people who ought to have preserved them, namely the bishops and scholars. Nevertheless, by God's grace, Luther had no doubt that the truth had still been retained in some hearts to this day, even if those hearts were in infants in the cradle. Again, the real point is not: how long one has held to what he believes; rather, the point is: on what is that faith based? The Christians' real treasure is found in Christ and His Word. As Christ allowed His hands, feet and side to be touched so that the disciples might be strengthened in faith, so then Christians are to touch and examine the Scripture for the very same reason. "All other writings are treacherous; they may be spirits in the air (cf. Eph. 2:2) which have no flesh or bone, as Christ had." Luther quoted with approval Augustine's statement in his letter to Jerome: "I have learned to do only those books that are called the holy Scriptures the honor of believing firmly that none of the writers has ever erred. All others I so read as not to hold what they say to be the truth unless they prove it to me by holy Scripture or clear reason." It is in this manner, with Scripture alone as his evidence, that Luther will give answer to the pope's forty-one charges of doctrinal error.
The papal bull's charges of error referred to forty-one statements of Luther in fifteen separate documents. These articles are listed in the decree in helter-skelter fashion, and consequently Luther's response in the book under discussion follows them in the order presented in the decree. After some consideration of whether or not it would be easier to attempt to analyze these articles according to the chronology or, perhaps, according to their source, the present writer has decided to leave them in the order they have. It is reasoned that in this manner, the reader who wishes to refer to the work itself may more readily do so.
The source of the forty-one articles is as follows: From the Ninety-five Theses (1517), numbers 4 and 17; from the Explanation of the Ninety-five Theses (1518), numbers 1, 3, 10, 20, 21, 22, 26, 28, 32, 33, 34, 35, 39 and 40; from the Heidelberg Disputation (1518), number 36; from the Sermon on Indulgence and Grace (1518), number 5; from the Sermon on Repentance (1518), numbers 6, 7, 8, 9, 11, 12 and 14; from the Sermon on the Worthy Preparation of the Heart to Receive the Sacrament of the Eucharist (1518), number 15; from the Sermon on Excommunication (1518), number 23; from Thesis 2 in the Leipzig Debate (1519), number 2; from the Sermon on the Sacrament of Penance (1519), number 13; from the Treatise on the Blessed Sacrament (1519), number 16; from the Disputation of Johann Eck and Martin Luther (1519), numbers 18, 19, 30, 37 and 38; from the Explanation of the Articles Debated at Leipzig (1519), numbers 27, 29 and 31; from the Defense against the Malignant Judgment of Johann Eck (1519), number 25; from the Treatise concerning the Ban (1520), number 24; and, finally, from the Longer Treatise on Usury (1520), number 41.
It is neither necessary or desirable to include here a summary discussion of all of the forty-one articles in this work of Luther. What follows is a representative sampling of those articles regarded as being of more general importance and/or interest. The reader is urged to read the entire treatise.
Article 1: "It is heresy to hold that the sacraments
give grace to all who do not put an obstacle in the way." This statement of Luther, which brought upon him the ire of the Curia, had been made in opposition to the Roman teaching that the holy sacraments give grace to anyone, even if he does not repent his sin and has no intention to do good, and that it is enough that he not place any obstacle in the way, that is, that the individual be without wanton desire to sin. In the face of this teaching, Luther maintained that the worthy reception of the sacrament has two basic requirements, namely, genuine repentance for sin and firm faith within the heart. Without faith, the putting away of the "obstacle" is lost labor.
Article 2: "He who denies that after baptism sin remains in every child tramples upon Christ and St. Paul." On the basis of Rom. 7:7, 18 25; Gal. 5:17; and other passages, Luther contended that "by condemning this article, the bull calls God a liar and blasphemes Him" (I John 1:8). In the covenant of Baptism a beginning is made in us, but because our flesh still clings to us, so long as we live here on earth, believing in His Word, "we are a work that God has begun, but not yet completed; but after death we shall be perfect, a divine work without sin or fault." The Romans do not like to call the evil which remains after Baptism sin; they argue that it is a defect or weakness, rather than sin. Such playing with words cannot be supported by Scripture, particularly in passages such as I John 1:10. The Romans claim that the imperfection or weakness which remains after Baptism can remain a matter under their authority. Luther, however, preferred to conclude his defense with the words of St. Augustine: "Sin is forgiven in baptism; not that it is no longer present, but it is not imputed."
Article 3: "The tinder of original sin, even without actual sin, bars the entrance to the kingdom of heaven." By tinder Luther means the sin which is committed after Baptism. It is called "tinder" because like tinder it is easily set ablaze and can readily destroy. Let no one think that this sin cannot condemn the individual who possesses it just as readily as the inherited sins and guilt
washed away in Baptism. For no one will enter heaven who has not had his sins removed. Luther sarcastically comments that he cannot imagine what other kind of "heaven" the pope may have, where sin does not bar the entrance. "It may be that the pope and his papists want to build themselves a heaven of their own, like those the jugglers build themselves out of linen cloth at the Shrove Tuesday carnival," referring to the cloth canopy over the stage, which was termed "heaven."
Article 4: "A dying man's imperfect love for God brings with it, beyond doubt, great fear. This of itself might be a purgatory and bar the entrance to heaven." This statement is a simple recasting of I John 4:18: "Where fear is, love is not perfect, for perfect love drives out fear." For this reason Luther was at a loss as to the reasons for the papal disapproval of the article, unless it might be that he is leaving the question of purgatory unresolved. Luther at this time believed, for his own part, in the doctrine of a purgatory; but he was careful to state, particularly in his discussion of articles 37 through 40, that Scripture has no proof for the existence of purgatory. Luther preferred to discuss such questions as "scholarly problems," rather than as articles of faith.
Articles 5 through 14 have to do with Luther's statements condemning the false teachings of Rome regarding penance. Most of the articles are from his Sermon on Repentance.
Article 15: "They are greatly in error who, when communing, rely on the fact that they have confessed, or that they are not aware of any mortal sin, and have said their prayers. Such people eat and drink judgment to themselves. But if they believe and trust that in the sacrament they receive grace; this faith alone makes them pure and worthy."
Article 16: "It would be advisable that the church, in a general council, should decree that both kinds be given in the sacrament to the laity; and the Bohemians (adherents of John Huss), who receive both kinds, are neither heretics nor schismatics." In regard to article 15, Luther does not
condemn preparation for communion such as confession and prayers, or the examining of oneself as to sin. But these acts do not provide the one thing needful for an efficacious reception of the sacrament, which only faith can supply. He complains that the papists are always trying to drive man away from faith and into works; "I wish we would be driven away from works and into faith, for the works will surely follow faith, but faith never follows works."
Luther's defense of Article 16 is a masterful presentation of his conviction that Scripture alone provides the basis for doctrine. Luther had come a long way from the Augustinian cloister by this time; he was free of papal decrees in matters of establishing faith. The reader is asked to read the full text of Article 27, in which Luther clearly and unmistakably points out his unshakeable conviction that the pope has no authority to establish articles of faith or even commandments regarding morals and good works.
Articles 17 through 22 concern indulgences. The most significant statement Luther has to make about them here is, perhaps, his confession: "I am most heartily sorry for every good word that I have ever said about them" (indulgences).
Articles 23 and 24 speak of the pope's arrogation to himself of the authority to damn souls by means of the ban, which is really no more his rightful power than is his claimed power to save souls by means of indulgences.
Article 25: "The Roman bishop, the successor of St. Peter, is not by Christ's appointment vicar of Christ over all the churches of the world." Is it not amazing, Luther asked, that since his opponents consider the papacy the most important and most necessary feature in the church, nothing is said openly in the whole Bible about it? The only passages that the papists adduce are Matt. 16:18 ("Thou art Peter . . .") and John 21:15-19 ("Feed my sheep . . ."). Yet these passages, understood and interpreted in the only true and correct way, that is, in the light of their context and of other clear passages, do not support the doctrine of the papacy at all; rather, they contradict it.
Matthew 16:18 declares that the gates of hell shall not prevail against the rock. If the rock is papal power and the building upon it represents submission to papal authority, how can it be explained that much of Christendom (the Greeks, the Bohemians, Africa and the entire Orient) has fallen away from the pope? No, the rock is Peter's confession and therefore Christ Himself! John 21:15-19 clearly shows that Peter is to feed, that is, to tend the sheep of God. The evil spirit has taught the pope that to "tend" means to "preside" or rule over. This tending is to be done in love, as the passage quite evidently reveals that the basis of tending is love for Christ. If the pope claims to be Peter's successor, then let him learn from Peter's example. Scripture shows that the other apostles in Jerusalem sent Peter and John to Samaria to strengthen the Christians there. "If, then, St. Peter was a messenger, subject to the others, why does his successor, or rather his oppressor, the pope, claim to be subject to no one?"
Article 28: "If the pope, together with a large portion of the church, professed a certain opinion, and even though he were not in error, it would nevertheless be neither sin nor heresy to hold a different opinion, especially in matters not necessary to salvation, until such time as a general council approves one opinion and condemns the other." This article is presented in preferment to others which have been omitted from the present discussion, because of two things. First, in his argument Luther uses the difference of opinion on the Immaculate Conception of Mary, held at that time by the Dominicans on one side and the Franciscans on the other, to illustrate that he is speaking only "of things not necessary to salvation" and held so by the pope himself. Luther stated that in his opinion Article 28 only repeated what the papists had declared. However, since it has been made a matter of controversy, Luther now wished to retract the article. "I have said in this article, very foolishly, that we need not believe the pope in regard to unnecessary matters. I should have said, if the pope and his papists assembled in a council are so frivolous and irresponsible as to waste time and money
on unnecessary questions, when it is the business of a council to deal only with the important and necessary affairs of the church, we should not only refuse to obey them, but consider them insane or criminals." And, sarcastically, "But the bull is right when it turns over to the papists and their councils the decision of useless questions. For these mockers of the church ought to be given over by the wrath of God to such a perverse mind that they do not take the necessary things to heart and deal only with unnecessary matters. They deserve no better fate."
Article 36: "Since the fall of Adam, or after actual sin, free will exists only in name, and when it does what it can it commits sin." (We are told in a footnote in the American edition of Luther's Works that the expression "Wenn er thut das seine" -- Latin: "dum facit, quod in se est" -- is a scholastic phrase implying that a Christian can do meritorious works agreeable to God). Luther quotes Moses in Gen. 6:5 and 8:21: "Everything that the heart of man craves and desires is evil at all times." It is, therefore, a profound error to teach that the will is by nature free and can, without grace, perform acts and deeds pleasing to God. Whatever good may stem from man's will is performed in him only through grace; the sophists who teach that after Baptism man is able to perform meritorious works are wrong. "Scripture says of man that he is altogether flesh, and the flesh is most directly opposed to the spirit according to Gal. 5:17. And yet they confuse everything and say that the free will, which is utter flesh, seeks after the spirit." St. Paul declares in Rom. 14:23: "Whatever does not proceed from faith is sin." Luther quotes Augustine: "The free will, without God's grace, can do nothing but sin."
It is of particular interest to us that in this response Luther boldly links the papacy with the Antichrist. He was becoming, during these years, more and more convinced that the Scriptural prophecies regarding the Antichrist found fulfillment in the papacy. He declared: "We ought, therefore, avoid the sophists, and speak clearly and plainly as does Scripture, especially when we speak of God's most
profound design. This error about 'free will' is a special doctrine of Antichrist. Small wonder that it has spread all over the world, for it is written of this Antichrist that he will seduce the whole world. Only few Christians will be saved (II Thess. 2:10). Woe unto him!"
Article 41: "The prelates of the church and the secular princes would do no wrong if they wiped out all the mendicant orders." By his use of the term "wipe out," as Luther went to some length to explain, is not to imply destruction but, rather, removal or surrender of them. Plainly he declared that he wished that there were no mendicant orders, feeling that it is sin and shame to have begging going on in Christendom. "We ought to be ashamed in the sight of God and man that a Christian man goes publicly begging among us. We ought to anticipate men's wants and help the poor so that there would be no need for begging. But this too is one of the Antichrist's tricks. He has established the mendicant orders, for otherwise he would be short of apostles, be too weak against the bishops and pastors, and would not be able to raise his throne above heaven and earth."
We will have more to say on the general subject of orders, when at a later time, D.v., we will discuss another writing of 1521: "The Judgment of Martin Luther on Monastic Vows."
J. Lau
ANNOUNCEMENT
Immanuel Lutheran College, Eau Claire, Wisconsin, will sponsor a Summer Seminar for pastors and teachers, July 5 through 9, 1971. Interested pastors, teachers and others may obtain particulars on course offerings by consulting the Lutheran Spokesman or by corresponding with the Seminar Committee, Immanuel Lutheran College, Eau Claire, Wis. 54701.
PREACHING THE WORD
LENTEN MESSAGES IN HEBREWS
I.
THE TEXT: Hebrews 2:6-10.
Once again Christians have been assembling in their churches, far and wide, to observe in special worship the season of Lent. It is hardly necessary to remind them of the purpose of this observance. We make the Lenten journey annually because it takes us through the scenes of the suffering and death of our Lord Jesus Christ. But let us be clear as to the reason for this regular journey.
Surely it is not made out of ignorance or curiosity, as though we had never been this way before; for the Passion story is familiar ground to most of us since childhood. Perhaps we could explain that we are just following a pious custom of our church; or that we observe Lent because this practice fills our souls with strength and gives us spiritual exercise. But the real reason lies in that inner hunger, the craving which we find so hard to put into words and yet so necessary to satisfy. And we believe that it can be satisfied only with the Lenten message.
There is in the human soul a deep desire for better things than those we now enjoy. It is like the yearning of a slave who knows that he was born to be free, yet must spend his days in bondage. Man looks about at the world in which he lives, where everything that he touches turns out badly for him, where he finds that he is not the master, but a helpless instrument of forces that he cannot control, including his own lusts and desires; and he asks himself: Is this sorry kind of life really what I was intended for? His heart answers: No! So he dreams of better things, and often fills his thoughts with deceitful promises to quiet his
longing. He says: Be patient; in time you will rise to great heights. It will not always be as it now is. Man started as a brute, but he has made great progress. Some day he will be master of a perfect world.
We know how false such hopes are. We cannot accept them. We too have the firm conviction that better things await us; but we know that we shall find and see them in their fulness only along that way which once led to Calvary and beyond. As we come to understand this more fully, we shall also discern from the words of our text
What it is that makes the Lenten journey so inviting; namely:
I. The promise which God's Grace holds out to us.
II. The fact that in the Passion story we have the divine pledge of this promise.
1.
Our text begins with a testimony glorifying the Grace of God toward mankind. The writer of the Epistle to the Hebrews brings forth a notable quotation from the 8th Psalm, a song of David written in praise of the mercy bestowed by God upon the human race. The words of the song as quoted are these:
"What is man, that thou art mindful of him?
or the son of man, that thou visitest him?
Thou madest him a little lower than the angels;
thou crownedst him with glory and honor, and
didst set him over the works of thy hands:
Thou hast put all things in subjection under
his feet."
When we lift up our eyes from this hymn of praise and look at ourselves and the world in which we are living, suffering and dying, we can hardly believe that such a thing could ever have been as David here describes it. And the writer of Hebrews echoes our thoughts; for he says: "But now we see not yet all things put under him." When have we ever known it to be so on earth, that man was only a little lower than the angels? That he was a creature of
glory and honor, in supreme command of all the works of God, great and small except for the angels, who would be held to obey the voice of God alone? When have we seen the human race to be anything other than a creature of vain thoughts and terrible deeds, whom even the beasts fear and who has true control of nothing, not even himself? As long as humanly recorded history goes back, man has been a sorry victim of hate, of war, yes, even of his own brilliant inventions.
But David had a divine record that went much further back than human memory. And we, too, know of what he wrote. It was not always so as we see it today. Lest we forget whence we came, God left us His great report of the days when the world was young and when He placed the father of all people, together with his wife, into the garden of paradise. There the handful of earth which was Adam became the ruler of creation. There God made him glorious and placed into his hands the dominion over all that moves upon the earth. He gave him power to be fruitful and multiply, replenish the earth and subdue it. There was no curse, and sin was not known.
Did David not know, then, that this high and noble station bestowed upon us in our first parents was lost to us? Indeed, of course he knew. The terrible record of man's fall, his inexcusable failure to keep his glorious freedom and happiness, is just as plainly written as the story of his blessings. And it survives in the hearts and minds of all men, living as they must in fear and dread of death, in weakness, suffering and frustration. Cast out from paradise, all was lost to mankind; and in its place a life of slavery to Satan in a ruined world. But David sings of the Grace of God as though it were still with us all. His words are not written as a story of long ago, but of the present and of the future. He speaks of a promise that God is holding out--a promise of paradise regained. "What is man, that Thou ART mindful of him? ...... Thou hast put all things in subjection under his feet." Does this not sound like the Garden of Eden all over again?
Yes, and is not this the great secret yearning that
man carries in his bosom? Is not this why, in their ignorance, men so gladly and blindly believe the scientists who tell them that man is on his way to perfection, even though they can see that the world is on its way to destruction? Ah, the human heart has not entirely forgotten what it once had, what God intended for mankind: Not this miserable existence in woe and heartache and ugly wickedness, but as ruler over all things. Can we hope to be presented again with what Adam and Eve lost? Yes indeed, says our text. Believe it, ye sinners all, despite what you see and feel. God's Grace is not a thing of the past; it is very much with us. The writer to the Hebrews rightly confesses: "But now we see not yet all things put under him." No, there is no sign in this world of paradise returning to man. Certainly we are far from it today, and no amount of boasting of the world can deceive us in this.
Truly, if we look at ourselves, and see what is going on in our own hearts and lives, we can see no possibility of ever coming back to the sinless and perfect peace of the first creation. Where is the promise of a glorious future for us? Nowhere on earth--except right here on the way that takes us through the night in Gethsemane, along the crooked streets of an ancient city and out to a hill called Golgatha. To longing hearts, hearing the strange and wonderful promise of our text, it is indeed an inviting journey; for it is here that we find the divine pledge, the earnest of the promise of God's Grace.
2.
"But now we see not yet all things put under him."
No; but:
"We see Jesus, who was made a little lower than the angels for the suffering of death, crowned with glory and honor; that he by the grace of God should taste death for every man. For it became him, for whom are all things, and by whom are all things, in bringing many sons unto glory, to make the captain of their
salvation perfect through sufferings."
We see Jesus here, along the way of the cross. And as we follow Him, we become conscious of a very strange resemblance. This Jesus bears in Himself a curious likeness, both to the Adam who once was, and to us. We mark Him as He goes His way, with head uplifted and with a great majesty. Here, for the first time since the gate of paradise was closed, is a man who was made a little lower than the angels. He is a perfect man, a man of sinlessness and power, in whose mouth no deceit was ever found and whom no one could convict of sin. We watch Him being tried as an evil-doer and come forth with a spotless record. Here is no sinner; upon Him no curse of Adam rests.
And so He is crowned with glory and honor. How very strange; for now He looks as we do. His glory and honor is a crown of thorns at the moment; it is shame and disgrace and at last the cruelest of cruel deaths. He was a second Adam, and is become like Adam's children. Our beginning we see in Him, the beginning that we forfeited and lost; and our end we see in Him, the end which was all that was left to us--the horror of death and God-forsakenness.
It is a view to make one shudder and turn away. But the voice of God calls us, saying: Look unto Him, and be ye SAVED, O ye ends of the earth. Here is the Captain of your salvation, the mighty Savior who leads you back to the glory that you once had. Certainly He looks like we; for He has taken upon Himself all the shame that was ours, the whole miserable failure and the punishment; to take it away from God's sight, to wipe it out forever in His own body on the Tree, and to put an utter end to it in the glory of His triumphant resurrection. So did He restore the peace of the early creation, bringing man and his God together again.
Nor was this just an experiment, a trial. So it suited God, it befitted Him and pleased Him, to bring many sons back to glory. It was in this way that He has fulfilled the ancient purpose of His will, of which David spoke: "Thou crownedst man with glory and honor, and didst set him over the works of thy hands." This is what is happening to us as we watch on the road to Calvary. Now there is a
new heaven and a new earth awaiting us, in which we shall rule and reign with Christ; and in its time it will be brought.
Meanwhile, this is our living hope and assurance. On earth things look bad, and they ARE bad. Our hearts would fail us for fear of what must come, except that we simply leave our work and toil, our failures and sorrows behind, and follow with believing hearts the Captain of our salvation as he restores us to glory.
II.
THE TEXT: Hebrews 9:27-28.
"Sweet the moments, rich in blessing,
Which before the Cross we spend,
Life and health and peace possessing
From the sinner's dying Friend."
This is indeed true for those who use the moments rightly. Standing before that Cross, man can give himself over to many kinds of feeling, as we may see when we view the various people who watched Jesus Christ die. Some wept with pity for Him; others wept heartbrokenly as His friends. Some got tired of the spectacle and went home. Some got a good deal of entertainment out of it. Some were very uneasy and did not know why. We wonder how many, seeing Jesus' time come, thought of their own end.
There is in one of our beautiful evening hymns a stanza which reads:
"Teach me to live that I may dread
The grave as little as my bed;
Teach me to die that so I may
With joy behold the Judgment Day."
If that prayer is to find fulfillment, it will have to be at the Cross of the Crucified, where our minds and hearts are much present in this season.
"Calvary's mournful mountain climb;
There, adoring at His feet,
Mark that miracle of time,
God's own sacrifice complete.
'It is finished,' hear Him cry:
Learn of Jesus Christ to die."
This, God grant, we shall learn. Our text appeals to us not to let the opportunity pass by. Its words ring out through the rustle and patter of our busy lives like the tolling-hammer of a church bell. "It is appointed unto men once to die." We need not look into our appointment books to verify this; and nobody should need to remind us of its seriousness. But shall we learn of Jesus Christ to die? Let us consider
The Savior's Appointment with Death.
I. How He kept it; and
II. What it teaches us about our own.
1.
Our text has as its chief topic the death of Christ. It sets up a comparison by saying:
"And as it is appointed unto men once to die, but after this the Judgment:
So Christ was once offered to bear the sins of many . . . ."
"So Christ . . . !" This simple, harsh phrase means nothing less than that He went the way of all flesh, of which it is written: "All flesh is as grass, and all the glory of man as the flower of grass. The grass withereth, and the flower thereof falleth away" . . . . "Man that is born of a woman is of few days, and full of trouble. He cometh forth like a flower and is cut down: he fleeth also as a shadow, and continueth not." This is what the people on Calvary saw, and they were not surprised. This Man had been full of trouble all His days. There was weeping in His life, and a fading away. The forces of evil that are in this world, which had begun to gather from afar at His manger-bed, drew ever closer and encircled Him. Soon it was plainly to be seen that He had an appointment with death. One of His most devout disciples, a week before Good
Friday, had taken a jar of precious ointment and anointed Him for His burial, an event of which Jesus Himself had spoken openly. Had He not said to his disciples: "A little while, and ye shall not see me?" Had He not accurately predicted that "the Son of Man shall be betrayed into the hands of men, and they shall kill Him"....?
The day and the hour were set for that appointment; and when it came, there was at first little that marked Him as different from the two others who had their dread and final engagement at the same time. They hung three upon crosses; and you could count on your ten fingers the people that detected even the faintest gleam of the truth with their eyes and ears. To be exact, there was that one malefactor whose heart got caught in the Savior's love; there was the captain who afterward declared: "Surely this was a righteous man;" there were John the Apostle, the mother of the Lord, and a few other women. And to all it seemed to be just what it also was: The death of a man. Overwhelmed by the last enemy, He gave up the ghost. His soul departed; the silver cord was loosed. Here were the soldiers, ready to make certainty more sure. They drove the spear into His side, and found that the heart had ceased to beat.
So much was visible and of public note about Jesus' appointment with death. The world was witness as the dark maw opened and swallowed Him up. But no man saw what followed. Our text says: "It is appointed unto men once to die -- - but after this the judgment." What men so often forget is that there is no great and terrible silence in eternity at the moment after death strikes in time, as there is on earth. The event is followed instantly by God's voice, announcing an eternal verdict upon what has gone before. The great question is answered: What has this life and death been worth? The answer will not at that hour be announced to all the world by God; but the verdict is ready in the instant that death has severed body and soul. We cannot therefore be content to turn away from the Cross now that Jesus is dead. Our hearts will ask: What is now the judgment? Shall the verdict of the Roman court and of evil men be final? Is the sentence confirmed that man has
pronounced? What is God saying about the life and death of Jesus Christ?
When a man has kept his appointment with death, the gates close behind him and the secret is well kept, not to be disclosed to the world until the end of all things is at hand and the nations are gathered before the Throne. But the death on Golgatha was followed by great words being spoken, so loudly and forcefully that the earth shook, rocks were torn apart, and in the house of God at Jerusalem a curtain was rent in two. So mighty is the effect of the divine verdict that graves are opened and the bodies of some of the dead come forth alive. The upheaval is tremendous; and well it might be, for there was never a judgment rendered upon a man as upon this One. Our text reveals it as it issues from heaven itself: He was offered to bear the sins of many, and will return ....! So was the truth of this death revealed. It was caused, not by the sins of one, but of many, yes, of countless multitudes. This Jesus kept an appointment made for Him with that grim enemy who would have preferred that He stay away. For this was one human whom he could not swallow with ease. This was the Son of God, who came to surrender to the power of death bringing with Him, not a little load of the sickness of sin, but all of it, the whole ruin of mankind, with only Himself as victim and sacrifice. He said to death: "Take me, and let these go their way." There was one purpose in His having become man, namely to give Himself as a ransom and atonement for all sin. And so He died. His soul went to the Father's hands; and then the Father spoke: It is done. I now declare all sin atoned; and I shall send my Son again to welcome all sinners to His salvation, to eternal life.
2.
Such is the manner in which Jesus kept His appointment with death and merited the crown of victory. It may be felt that this was a wondrous event so far removed from our own little death that it would be quite out of place to
speak about this here. And of course it is true that we can never compare our death with that of the great God and Savior who gave Himself for us. But that is not the purpose of our text. We are not to compare, but are to think of our death in the light of Jesus' death. Our text says:
"It is appointed unto men once to die . . . . . and unto them that look for Him shall He appear the second time without sin unto salvation."
What does this teach us about our appointment with death? We have it, of course. The date is set, and we can see it coming very clearly if we but have a mind to do so. If anyone should hesitate to face the fact, here are the words: "It is appointed . . . !" That means you and it means me. And let us well understand the peculiar nature of that appointment.
The poet has called death "the bourn from which no traveller returns." And we may well ponder, for our own sake, the heaviness of that word ONCE in the text. It means: Not twice!
It may be thought unnecessary that we should dwell upon that self-evident fact. But if it were self-evident to the human mind, the Lord would hardly have wasted a word on it. As experience shows, men are much unwilling to accept the fact. They tolerate the thought of death and of judgment; but they do not like to have them mentioned so closely together. They would greatly prefer to imagine a goodly span of time between. What for? So that they may not have to expect death as final. There should, they say, be a second chance for us when we see what it is like over yonder. One hears so many conflicting reports about it in this world. One church says so, another so. Some even hold out hope for a reincarnation on this earth. We are all confused. If we discover the truth after we are dead, we ought to have a chance to revise our life before the judgment, somehow. Perhaps we may not return to this world; but out there God ought to have a place for our souls which is neither heaven nor hell, where we can correct our mistakes.
Yet the words of our text stand against the vain
visions of presumptuous sinners. And the words make
the appointment with death of an importance that can hardly
be expressed in speech. How then shall we prepare for it?
The answer lies in what we have just heard. Must we let a
poor thief, yea, a murderer, show us the way? Behold the
malefactor on Calvary. He was not waiting for a second
chance. His death was upon him, and he said: "We receive
the due reward of our deeds!" But he had heard a promise--
the same promise which our text repeats: "Unto them that
look for Him shall He appear the second time without sin
unto salvation." The malefactor looked, in faith, just in
time.
We have more time than he did; not after death, but
now. Look at Him; not as did the Jews, with curiosity or
pity or contempt, but in expectation. Do we see our sins?
Do we trust in the kingdom of a triumphant Savior? Do we
desire to live in it? Then look for Him; and even in the
moment of death our souls shall see Him appear to claim
them and lead them into peace.
E. Schaller
The JOURNAL OF THEOLOGY is published at
Eau Claire, Wisconsin, by authorization of the
Church Of The Lutheran Confession.
Subscriptions: $3.00 per year, $5.50 for 2 years,
payable in advance.
Issues are dated: March, May, July, October,
December.
Editor: Prof. E. Schaller, 513 W. Grover Rd.
Eau Claire, Wisconsin 54701
Editorial Staff: C.M. Gullerud; J. Lau.
Contributing Editors: A. Schulz; Geo. Tiefel.
All correspondence, including subscriptions,
renewals and changes of address, should be
directed to the Editor.
PANORAMA
SIFTING TRUTH FROM MYTH.
Arthur C. Repp, associate editor of Concordia Historical Institute Quarterly, in an editorial in the Nov. 1970 issue of that periodical, makes a number of observations regarding the role of the historian. Of the historian he says: "He recognizes that the church must constantly reappraise its actions to be able to understand itself. The pseudo-historian accepts the present as justifiable and looks to the past to support his viewpoint; the sound historian returns to the past and carefully searches through the data to sift truth from myth."
In this connection the writer proposes certain questions which he says may need to be asked if the facts are to be established. Among the questions he lists the following: "Is there a direct relationship between the influence of the 'Little Norwegian Synod' which according to Theodore Graebner urged Missouri Synod pastors in Minnesota to act as 'God's Minutemen' for the preservation of orthodoxy after the adoption of the 1938 resolutions, and the appearance of 'A Statement'? And if so, does this relationship still exist to a degree in the continuous opposition to fellowship with the American Lutheran Church on the part of some?" (p. 147)
One wonders if the latter question is asked in view of the fact that two of the men who are raising "troublesome questions" in the Missouri Synod today had roots in the "Little Norwegian Synod", known now as the Evangelical Lutheran Synod. The two men are the brothers Preus, Robert and J.A.O., president of the Lutheran Church Missouri Synod. Be that as it may, there is a need to sift truth from myth in connection with the allegations of Dr. Theo. Graebner whose paper forms the background for the questions which Prof. Repp has raised regarding so-called "direct relationship."
Dr. Theo. Graebner's paper, entitled "The Cloak of
the Cleric," is printed in the Feb. 1971 issue of the CHIQ pp. 3-12. To our knowledge this paper, taken from its mimeographed form, has never been published before. It is not stated before which forum it was given. On this one can only speculate, and there is no profit in that. We are sorry that it has now been brought to public attention. For it confronts us with the need of challenging the factualness of allegations that were made in an article which is now published posthumously. To sift truth from myth becomes the task of those who were involved and are still alive to perform the task. It is not an enviable work nor one that is carried out with pleasure. It opens up books which would much better have remained closed for any good that it will accomplish. But we owe it to those who have gone before to set the record straight.
It is quite evident that "The Cloak of the Cleric" was written by one who was smarting under the criticisms directed against his writings particularly in the Lutheran Witness during the years following 1938. Anyone who will take the time to check the files of Lutheran Witness will find that the editor wrote voluminously in defense and counter-defense of the 1938 Articles of Union. It is, of course, also a matter of history that the periodicals of the Norwegian Synod and of the Wisconsin Synod kept their readers current with the facts and informed them of the objections which its leaders and representatives were raising against the proposed basis for union between the Missouri Synod and the American Lutheran Church. This caused some sparks to fly as exception was taken to statements appearing, for instance, in the Lutheran Witness during the late thirties and the forties. Truly, there were clashes at conferences, intersynodical relations committee meetings, and at Synodical Conference meetings. And who is to say that words were not spoken on both sides that were not exactly irenic in tone? Nothing is to be gained now by trying to recapture the atmosphere of meetings attended by men, few of whom are living today to tell the complete story from beginning to end. But when statements are now published which are not factually correct it becomes necessary to do a bit of
sifting especially for the benefit of those who may be tempted to identify allegation with truth.
Regarding the 1938 Union Resolutions of the Missouri Synod, the author of "The Cloak of the Cleric" writes: "These were studied December 1937 by the St. Louis faculty and received its unanimous approval. Session with Thiensville faculty 30 September 1938. Every criticism later urged against the resolutions originated with Wisconsin (records of 30 September meeting). Norwegian Synod men urged Missouri Synod preachers in Minnesota to act as 'God's minute men' for the preservation of orthodoxy. The real faults of the '38 resolutions, the glaring structural defects and the traditionalism of the four points were never referred to." (p. 4.) We categorically deny that every criticism later urged against the '38 resolutions originated with Wisconsin. It is true indeed that the Norwegian Synod and the Wisconsin Synod found themselves in agreement in criticisms that were raised against the union resolutions; but the origin may not be traced to Wisconsin, for each Synod had studied the resolutions independently on the basis of Scripture and came to the same conclusions. The present writer was a member of the South Dakota District of the Missouri Synod in those early days and the criticisms which were there raised could not by any stretch of the imagination be said to have originated with Wisconsin. Later, when Intersynodical Relations Committee meetings were held over a period of a dozen years, the testimony of Wisconsin and Norwegian Synod men was a united one, not because they had consulted together in advance but because they had independently come to the same conclusions. The record will show that the Norwegian Synod already in 1943 passed a resolution pointing not indeed to structural defects nor indeed to traditionalism but to the real faults, the doctrinal defects of the '38 resolutions, and pleaded with the Missouri Synod to rescind its acceptance of them. The Norw. Synod resolution said: "They contain false doctrine, for instance, the statement on justification in the 'Declaration': 'To this end He also purposes to justify those who have come to faith--' (Proceedings p. 222) Cf. II Cor. 5:19; Rom. 5:18;
Rom. 3:28; they do not require full agreement regarding the doctrine of the Church and the Last Things as a prerequisite for Church-fellowship, and thus make room for the false principle that it is not necessary for a church to agree in all matters of doctrine. (Matth. 28:20; I Cor. 1:10)." This did not originate with Wisconsin but received ready acceptance by Wisconsin Synod men.
Dr. Graebner furthermore states in his paper: "That the Wisconsin Synod faculty and editors have supplied the theology for the attacks on our 1935, 1938, 1941, and 1944 resolutions on fellowship, cannot be questioned because the evidence is contained in practically every issue of Quartalschrift since 1938, in the Wisconsin Synod resolutions, and in the Proceedings of the Synodical Conference. Every phrase of the 1938 union resolutions that has been the subject of attack, was stigmatized as doubtful or heterodox by the Thiensville faculty in the fall of 1938 (meeting in St. Louis). On the other hand, the virulence of vocabulary and the use of insinuation was added to the weapons of traditionalism largely by the example of the Norwegian Synod. (Articles in Lutheran Sentinel and Luthersk Tidende and the use of invective against brethren on the floor of Synodical Conference conventions.)" The impartial historian who will delve into the records, church papers, synodical proceeding, minutes of the Intersynodical Relations Committee meetings, etc. will find that this characterization which places the Wisconsin Synod into the role of theological mentor while the Norwegian Synod dishes up the dirt is not only unfair but untrue. We can only say: "Zu behaupten ist nicht zu beweisen." If there were clashes of personality along the way, this is not unusual in controversy. The "ad hominem" reference, however, should never be used to discredit the substance of an argument.
Dr. Graebner says in his paper: "The Norwegian Synod writers and their speakers at Synodical Conference sessions have by their action and example encouraged the belief that one need not honor one's teachers and that theological leaders may be attacked publicly and virulently with impunity." (p. 10) This is totally untrue. Rather
the point was made that one does not follow his teachers when they are in error. On the other hand when they have taught the truth, they are freely quoted as a witness to the truth, but certainly not as though their writings were proof-texts to be placed on the same level with Scripture itself. It is difficult to understand how Dr. Graebner's plea for an honoring of one's teachers is to be understood in view of his own characterization of Concordia Seminary during the years 1900-1920: "Our Seminary during the years 1900-1920 did not operate efficiently as a theological Seminary, providing an adequate course for those who cared to use it but maintaining no standards to prevent others from graduating and entering the holy office." (pp. 9,10)
We pass by many unsupported generalizations contained in the article which call for rebuttal; but we believe we have touched the main points which needed to be dealt with for the sake of the record.
C. M. Gullerud
"A STATEMENT"--THE TWENTY-FIFTH ANNIVERSARY
"A Statement" lives on. This was to be expected. For how, indeed, can one say that a statement of conviction is dead, if it has not been retracted? It will be remembered by those who lived through those crucial years of the forties that "A Statement" was disposed of through an "Agreement" made between the Missouri Synod Praesidium and the representatives of the signers. This "Agreement" provided for a withdrawal of "A Statement" as a basis for discussion, while it was at the same time specifically stated that this was not to be interpreted as a retraction. Now "A Statement" has been dusted off by Concordia Historical Institute Quarterly, which set aside its entire November issue for reflections, reminiscences and recollections by seven of the forty-four original signers. While this was done "not for the purpose of controversy but for the sake of history," the editor surely did not expect that these reaffirmations
could pass without comment.
But what, then, is "A Statement?" For the sake of our record and for the purposes of study by those who would learn from this bit of history, "A Statement" is here reproduced in its entirety.
QUOTE
In Nomine Jesu
* A STATEMENT *
We, the undersigned, as individuals, members of Synod, conscious of our responsibilities and duties before the Lord of the Church, herewith subscribe to the following statement:
ONE
We affirm our unswerving loyalty to the great evangelical heritage of historic Lutheranism. We believe in its message and mission for this crucial hour in the time of man.
We deplore any and every tendency which would limit the power of our heritage, reduce it to narrow legalism, and confine it by man-made traditions.
TWO
We affirm our faith in the great Lutheran principle of the inerrancy, certainty, and all-sufficiency of Holy Writ.
We therefore deplore a tendency in our Synod to substitute human judgments, synodical resolutions, or other sources of authority for the supreme authority of Scripture.
THREE
We affirm our conviction that the Gospel must be given
free course so that it may be preached in all its truth and power to all the nations of the earth.
We therefore deplore all man-made walls and barriers and all ecclesiastical traditions which would hinder the free course of the Gospel in the world.
FOUR
We believe that the ultimate and basic motive for all our life and work must be love--love of God, love of the Word, love of the brethren, love of souls.
We affirm our conviction that the law of love must also find application to our relationship to other Lutheran bodies.
We therefore deplore a loveless attitude which is manifesting itself within Synod.
This unscriptural attitude has been expressed in suspicions of brethren, in the impugning of motives, and in the condemnation of all who express differing opinions concerning some of the problems confronting our Church today.
FIVE
We affirm our conviction that sound exegetical procedure is the basis for sound Lutheran Theology.
We therefore deplore the fact that Romans 16:17, 18 has been applied to all Christians who differ from us in certain points of doctrine. It is our conviction, based on sound exegetical and hermeneutical principles, that this text does not apply to the present situation in the Lutheran Church of America. We furthermore deplore the misuse of First Thessalonians 5:22 in the translation 'avoid every appearance of evil.' This text should be used only in its true meaning, 'avoid evil in every form.'
SIX
We affirm the historic Lutheran position concerning the central importance of the una sancta and the local congregation also in the matter of determining questions of fellowship.
We therefore deplore the new and improper emphasis on the synodical organization as basic in our consideration of the problems of the Church. We believe that no organizational loyalty can take the place of loyalty to Christ and His Church.
SEVEN
We affirm our abiding faith in the historic Lutheran position concerning the centrality of the Atonement and the Gospel as the revelation of God's redeeming love in Christ.
We therefore deplore any tendency which reduces the warmth and power of the Gospel to a set of intellectual propositions which are to be grasped solely by the mind of man.
EIGHT
We affirm our conviction that any two or more Christians may pray together to the Triune God in the name of Jesus Christ if the purpose for which they meet and pray is right according to the Word of God. This obviously includes meetings of groups called for the purpose of discussing doctrinal differences.
We therefore deplore the tendency to decide the question of prayer fellowship on any other basis beyond the clear words of Scripture.
NINE
We believe that the term 'unionism' should be applied only
to acts in which a clear and unmistakable denial of Scriptural truth or approval of error is involved.
We therefore deplore the tendency to apply this non-Biblical term to any and every contact between Christians of different denominations.
TEN
We affirm the historic Lutheran position that no Christian has a right to take offense at anything that God has commanded in His Holy Word. The plea of offence must not be made a cover for the irresponsible expression of prejudices, traditions, customs, and usages.
ELEVEN
We affirm our conviction that in keeping with the historic Lutheran tradition and in harmony with the Synodical resolution adopted in 1938 regarding Church fellowship, such fellowship is possible without complete agreement in details of doctrine and practice which have never been considered divisive in the Lutheran Church.
TWELVE
We affirm our conviction that our Lord has richly, singularly, and unreservedly blessed our beloved Synod during the first century of its existence in America. We pledge the efforts of our hearts and hands to the building of Synod as the second century opens and new opportunities are given us by the Lord of the Church.
* Soli Deo Gloria *
In witness whereof, we, the undersigned, affix our signatures this seventh day of September in the year of our Lord 1945 at Chicago, Illinois.
End of Quote
Here follow the names of the original forty-four who signed the document.
"A Statement" was promptly circulated throughout the length and breadth of the Missouri Synod in spite of the protest of the then president of the Missouri Synod, Dr. J. W. Behnken, who asked that no step be taken until opportunity was given to discuss the matter. Now followed a voluminous outpouring of writings both pro and con. Meetings were scheduled and held between Praesidium and the "continuation committee of the Signers", between the Praesidium and the College of Presidents with the signers, and finally between the "Ten and Ten" (a forum composed of ten men appointed by the president and ten representatives of the signers).
The end result? No solution of the matter. The President's Ten had taken serious exception to "A Statement," but the signers remained firm in their adherence to the document. Then came the "Agreement" to withdraw "A Statement" with the understanding that this did not constitute a retraction. The issue was now to be discussed not on the basis of "A Statement" but on the basis of theses prepared under the auspices of the President of the Missouri Synod. Theses were drawn up and discussed, but the issues were not met head on. The consequence was that no retraction was ever obtained; and today, twenty-five years later, the main thesis of the signers has prevailed, as may be seen from the general practice of the Lutheran Church-Missouri Synod of the seventies. Fellowship relations with the ALC have been officially established, a step which amounts to a capitulation to the theology of that merger-formed body. The Missouri Synod has entered into the Lutheran Council of the U.S.A. as a full partner. Joint services and church work, evangelistic missions and educational programs are carried out in conjunction with the Reformed and even with the Catholics. Indeed, the leaven of the theology represented in "A Statement" has drawn Missouri into one unionistic association after another while protesters within the body express their dissent from one convention to the other without any apparent result except that the situation becomes worse instead of better. The furor at Concordia Seminary during these very days is
a sad commentary on the state of affairs in a church body which was once staunch and united, but now has lost its heritage and its spirit of testimony.
But let the Signers speak for themselves as they have spoken in the Concordia Historical Institute Quarterly of recent issue (Vol. XLIII--No. 4.):
"In the long plan of God, however, its (i.e. A Statement's) principles and discussion served the tortuous progress of the church from its frontiers." Richard R. Caemmerer Sr. (p. 158). "Actually, it is my considered opinion that 'A Statement' marked a turning point in the history of the Missouri Synod. Since September 1945 the Synod has never been the same. 'A Statement' set in motion evangelical forces within the Synod which had long been latent and which waited only to find a voice....What do I think of 'A Statement' today? Well, I have often said to friends, only half in jest, that when I die, I would desire no nobler epitaph on my tombstone than this: 'Here lies a signer of the Chicago Statement.'" Thomas Coates (p. 164). "The meeting at which 'A Statement' was formulated was the most significant, memorable, Spirit-filled meeting I have ever attended. I have never been as sure of anything as of putting my name to that document. This signature has never been withdrawn, nor, to my knowledge, has any other, including the several hundred which were subscribed after 'A Statement' had been published." Herbert Lindemann (p. 166). "With the years, the things contained in 'A Statement' have become part and parcel of the synodical scene. While a few still quarrel with it, and even blame most of the synodical ills upon its issuance, it has served as a powerful leaven for good in our midst." Harold H. Engelbrecht (p. 170). "It proved to be a call for the evangelical spirit to express itself in the life of the Church. The movement was a turning point in the Synod. This statement was welcomed twenty-five years ago because it advocated 'that the Gospel must be given free course so that it may be preached in all its truth and power.'" L.H. Deffner (p. 178). An L.C.A. Pastor in Philadelphia says, "The document expressed concern over the rigidity and lovelessness that the signers felt was pervading the Synod. It called for a reinterpretation of Romans 16, 17 and for a more flexible view of other church bodies" (p. 181).
Finally the Quarterly presents the writing of one well known Missouri Synod professor, E.W.A. Koehler (1875-1951), who spoke forthrightly against "A Statement". Here is the final paragraph of the paper, dated 14 Feb. 1947: "As long as the 'Statement' stands, it will continue to be a barrier between the Signers and the rest of us. And its iniquitous leaven will work and continue to work; it will pass from professors to students, from preachers to hearers. Also this leaven must be purged out. If the 'Statement' is not retracted by the Signers, it should be rejected by Synod" (p. 187). History has borne out the truth of this sainted professor's prophetic words. While supporters of the document will say that the leaven is one of progress as the church has emerged from its frontiers, those on the other hand who have taken a stand against "A Statement" will say that its leaven has carried the Missouri Synod into the unionistic mainstream of our day, and thus it has also become the home for many divergent doctrinal positions.
It is freely granted that "A Statement" contains affirmations which, taken by themselves, merit the support of every child of God committed to the Sola Scriptura principle. Attitudes and tendencies which move men to substitute anything man-made for the supreme authority of Scripture, or which find expressions in lovelessness and unevangelical practice, are certainly to be deplored. However, one cannot disregard the fact that these affirmations and their corresponding antitheses appear in a contextual framework which patently has as its purpose a reinterpretation of Rom. 16:17.18 and the adoption of a more flexible practice over against other church bodies with which there is no complete agreement in doctrine. In passing let it be said that in thesis eleven the signers of "A Statement" become guilty of the very traditionalism which they claim to censure and deplore.
On these and similar questions the CLC has presented its Scripture-grounded convictions in its "Concerning Church Fellowship" and in its "Statement of Faith and Purpose". Anyone wishing to know the position of the CLC on these matters is referred to these documents. They may be obtained from: CLC Book House, Box 145, New Ulm, Minn. 56073.
C.M. Gullerud
A NEW SYNODICAL CONFERENCE?
Public proposals have of late been made, and efforts have been initiated, looking toward the possibility of uniting conservative Lutheran groups in a federation resembling the former Lutheran Synodical Conference.
In principle one can only applaud the idea of working toward such an objective. For many decades the old Synodical Conference of North America stood as a bulwark of sound Scriptural doctrine and practice against a swelling wave of heresy and modernism in other church bodies, and its constituent synods benefited from mutual watchfulness and the sharing of their spiritual gifts. The dissolution of that wholesome union was due, in large measure, to the doctrinal defection of its largest constituent body. But this tragic development offers no ground for an assumption that the concept of a federation of orthodox churches is dangerous or doomed to failure. Unity and union, in any dimension, are natural twins and, when properly matched, may expect God's blessing.
But one must wonder whether the present spiritual climate among conservative Lutherans is conducive to a safe growth of the synodical conference idea. It is true, of course, that in a time of radical change and serious confessional upheavals one cannot expect to find ideal conditions for progress toward true confessional unity. The road to union, even among the most conservative bodies, is obstructed by unresolved doctrinal conflicts. This fact in itself, however, should only serve to encourage true-hearted seekers of unity to confront the differences and
remove them under the probing and healing light of God's infallible Word.
It is when men who advocate union by a new alignment of conservative churches indicate a willingness to ignore differences, to work around rather than through the doctrinal road-blocks, that their blueprint for union becomes murky and blurred. We find this a real and present danger. *Christian News*, for example, which presumably speaks the mind of an assortment of conservative Lutheran individuals and groups, has recently suggested that "minor differences" ought not be cause for deferring the establishment of a union. When a pastor, in a letter to the periodical, referred to one such existing difference (issue of Feb. 13, 1971), it drew the following editorial response:
"We have been asked a number of times to publish articles on various controversies between confessional Lutherans. There are some minor disagreements among confessional Lutherans but we don't believe these differences should prevent them from being in fellowship with one another. It appears to us that far too much time and energy has already been spent on the church and ministry controversy. While we agree with 'old Missouri's' doctrine of the church and ministry, we pray that the members of the Lutheran Churches of the Reformation will again enter into fellowship with the Wisconsin Evangelical Lutheran Synod. Loyal Lutherans in all Lutheran bodies throughout the world should form some sort of synodical conference."
This forthright declaration gives us pause. In the context, "minor differences" must be understood as referring to *doctrinal*, not procedural or liturgical or administrative differences. Here, then, we have a distinct echo of the initial overt aberration of the Missouri Synod which, in 1938, formally subscribed to the listing of four "non-fundamental doctrines" in which a difference among
churches "need not be divisive of church fellowship," and in which a deviation from Scripture "need not be regarded as a cause for division." Christian News appears to be advocating the same brand of unionism. Building bridges over "minor" doctrinal differences is a fundamentalist, not a Lutheran approach.
If theologians gather about the table to seek a basis for a new synodical conference, and find in one another one or more unscriptural positions which the pressure of a desire for union would move them to evaluate as "non-divisive," the entire undertaking will be abortive. And we have reason to fear that the unionistic approach is not limited to some who are associated with Christian News. Thus we are moved to sound a warning. Before well-intentioned men commit themselves to formal discussions that look toward a federating of their confessional groups, let them make sure that the correct premises underlie such a venture. The old Synodical Conference held to the principle that full agreement in doctrine and practice is necessary for a God-pleasing union. If anyone were to advance the cynical claim that this principle was more honored in the breach than in the observance, he would be falsifying history. Whether practice always, at all times and in all places, conformed to the principle is another matter. Fallible men do not attain to perfect sanctification in this life, and neither do churches of fallible men. (We are well aware of the fact that the Church and Ministry issue was a problem under which unity suffered strain for a long time. But that is a story which cannot be told in a few words. It never became quite clear whether a doctrine was at stake or whether the disputes lay in the area of emphasis and semantics). But it is certain that the principle was never disputed or disavowed by any constituent synod of the Synodical Conference until 1938. It was then that the wind was sown, and we reaped the whirlwind (Hos. 8:7). May God preserve us from repeating the experience. Let us seek a true union, and not produce a further scattering.
E. Schaller
ESSAYS AND ARTICLES
1521-1971: IN COMMEMORATION OF LUTHER'S STAND AT WORMS ............... 1
J. Lau
ANNOUNCEMENT ........................................... 14
PREACHING THE WORD
LENTEN MESSAGES IN HEBREWS ......................... 15
E. Schaller
PANORAMA
SIFTING TRUTH FROM MYTH ............................. 26
C. M. Gullerud
"A STATEMENT" -- THE TWENTY-FIFTH ANNIVERSARY .......... 30
C. M. Gullerud
A NEW SYNODICAL CONFERENCE? .......................... 38
E. Schaller |
February 1, 2008
VIA COURIER
U.S. Securities and Exchange Commission
Division of Corporation Finance
Office of Chief Counsel
100 F Street, NE
Washington, D.C. 20549
Re: Intention to Omit Stockholder Proposal Submitted by Jing Zhao
Ladies and Gentlemen:
Yahoo! Inc., a Delaware corporation ("Yahoo!" or the "Company"), hereby requests confirmation that the staff (the "Staff") of the Division of Corporation Finance of the Securities and Exchange Commission (the "Commission") will not recommend any enforcement action to the Commission if, in reliance on certain provisions of rule 14a-8 under the Securities Exchange Act of 1934 (the "Exchange Act"), the Company omits the enclosed stockholder proposal (the "Proposal") and supporting statement (the "Supporting Statement") submitted by Jing Zhao (the "Proponent") from the Company's proxy materials for its 2008 Annual Meeting of Stockholders (the "2008 Annual Meeting"). All correspondence between the Company and the Proponent, including the Proponent's letter setting forth the Proposal and Supporting Statement, are attached hereto as Exhibit A.
Pursuant to rule 14a-8(j)(2), we have enclosed six (6) copies of this letter and the related exhibits. A copy of this letter, together with the related exhibits, is also being delivered to the Proponent informing him of the Company's intention to omit the Proposal and Supporting Statement from its proxy materials.
The Company's 2008 Annual Meeting is scheduled to be held on June 10, 2008. Yahoo! intends to file its definitive proxy materials with the Commission on or about April 21, 2008 and to commence mailing those materials to its stockholders on or about that date.
I. Summary of the Proposal
On December 24, 2007, Yahoo! received a letter from the Proponent containing the following Proposal for inclusion in the Company's 2008 proxy statement:
"Resolution: Be it resolved by the stockholders to request the board of directors to establish a new policy doing business in China, with the help from China's democratic activists and human/civil rights movement."
The Supporting Statement references the potential damage to the Company’s reputation from “cooperat[ing] with the Chinese government to oppress Internet freedom,” the Company’s lack of a “sound policy” for doing business in China, and the Proponent’s attempts to bring the issue of “doing business in China” to the attention of the Company and its board of directors.
II. Bases for Excluding the Proposal
As discussed more fully below, the Company believes that it may omit the Proposal from its 2008 proxy materials for the following reasons:
- The Proposal deals with matters relating to the Company’s ordinary business operations, and therefore may be omitted in reliance on rule 14a-8(i)(7); and
- The Proposal may be omitted in reliance on rule 14a-8(i)(3) because it is so vague and indefinite that neither stockholders in voting on it, nor the Company in implementing it, would be able to determine with any reasonable certainty what actions are required.
A. The Proposal deals with matters relating to the Company’s ordinary business operations, and therefore may be omitted in reliance on rule 14a-8(i)(7).
While the Proposal may relate to significant social policy issues that transcend “ordinary business” matters, it also relates to a number of “ordinary business” matters that are distinct from those significant social policy issues.
1. Commission statements describing rule 14a-8(i)(7) and the “significant social policy issues” exception to that rule
A company is permitted to exclude a stockholder proposal from its proxy materials under rule 14a-8(i)(7) if the proposal deals with a matter relating to the company’s ordinary business operations. In Commission Release No. 34-40018 (May 21, 1998) (the “1998 Release”), the Commission stated that the underlying policy of the “ordinary business” exception is “to confine the resolution of ordinary business problems to management and the board of directors, since it is impracticable for shareholders to decide how to solve such problems at an annual shareholders meeting.” The Commission further stated in the 1998 Release that this general policy rests on two central considerations. The first is that “[c]ertain tasks are so fundamental to management’s ability to run a company on a day-to-day basis that they could not, as a practical matter, be subject to direct shareholder oversight.” The second consideration relates to “the degree to which the proposal seeks to ‘micro-manage’ the company by probing too deeply into matters of a complex nature upon which shareholders, as a group, would not be in a position to make an informed judgment.” Importantly, with regard to the first basis for the “ordinary business” matters exception, the Commission also stated that “proposals relating to such matters but focusing on sufficiently significant social policy issues (e.g., significant discrimination matters)
generally would not be considered to be excludable, because the proposals would transcend the day-to-day business matters and raise policy issues so significant that it would be appropriate for a shareholder vote.”
2. **Staff positions regarding the application of rule 14a-8(i)(7) to stockholder proposals that involve BOTH ordinary business matters and significant social policy issues -- the entire proposal may be omitted**
The Commission’s statements regarding the purpose and operation of rule 14a-8(i)(7) are very clear -- where a proposal relates to ordinary business matters because it addresses tasks that are “so fundamental to management’s ability to run a company on a day-to-day basis that they could not, as a practical matter, be subject to direct shareholder oversight,” that proposal may be excluded from a company’s proxy materials in reliance on rule 14a-8(i)(7), unless the matters to which the proposal relates are “significant social policy issues.” Unfortunately, the Commission’s statements are not clear as to the application of that standard to a proposal that relates to both ordinary business matters and significant social policy issues.
The Staff has addressed such proposals on a number of occasions and has expressed the view that proposals relating to both ordinary business matters and significant social policy issues may be excluded in their entirety in reliance on rule 14a-8(i)(7).¹ See Wal-Mart Stores, Inc. (Mar. 15, 1999) (allowing exclusion of a proposal requesting that the board of directors report on Wal-Mart’s actions to ensure it does not purchase from suppliers who manufacture items using forced labor, convict labor, child labor or who fail to comply with laws protecting employees’ rights and describing other matters to be included in the report, because “paragraph 3 of the description of matters to be included in the report relates to ordinary business operations”). See also, General Electric Company (Feb. 10, 2000) (allowing exclusion of a proposal relating to the discontinuation of an accounting method and use of funds related to an executive compensation program as dealing with both the extraordinary business matter of executive compensation and the ordinary business matter of choice of accounting method).
In a 2005 letter to General Electric Company (Feb. 3, 2005), the Staff expressed the view that a proposal requesting that GE issue a statement that provided information relating to the elimination of jobs within GE and/or the relocation of U.S.-based jobs by GE to foreign countries, as well as any planned job cuts or offshore relocation activities, could be omitted in reliance on rule 14a-8(i)(7) as relating to GE’s ordinary business operations (i.e., management of the workforce). Although it appeared the stockholder proponent clearly intended the proposal to address the issue of “offshoring” (also called outsourcing or the movement of jobs from the U.S. to foreign countries), the proposal submitted to GE was not limited to that issue and encompassed both ordinary business matters and extraordinary business matters and, as such, the Staff agreed with GE’s view that the proposal could be omitted.
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¹ In Staff Legal Bulletin 14C (June 28, 2005), the Staff stated that in determining whether the focus of a proposal is a significant policy issue, it considers both the proposal and supporting statement as a whole.
3. **Application of rule 14a-8(i)(7) and prior Staff positions to the Proposal -- the Proposal may be omitted because it relates to BOTH ordinary business matters and significant social policy issues**
Yahoo! shares the Proponent’s concerns about human rights issues in China and, indeed, is working proactively to advance numerous initiatives and policies aimed at preserving and advancing the fundamental principles of free speech and expression in the countries in which it does business, including China.\(^2\) However, as drafted, this Proposal is not limited to the significant social policy issue of human rights but also relates to numerous ordinary business matters concerning the Company’s operations in China that are unrelated to human rights issues.
While the Supporting Statement implies that the requested “policy [for] doing business in China” should include responses to human rights issues, the Proposal itself provides no limitation on the matters to be addressed by the “new policy [for] doing business in China.” Indeed, the adoption of a policy for doing business in China that related only to human rights issues would not satisfy the broad demand of the plain language of the Proposal. Establishing and managing the Company’s business operations in China calls for consideration of the rights of the Company’s workers, business partners, and customers in China, but it also necessarily would encompass all day-to-day ordinary business operations of doing business in China, including the following matters that the Staff has indicated previously to be “ordinary business” matters for purposes of rule 14a-8(i)(7):
- entering into or terminating business arrangements;\(^3\)
- selecting suppliers;\(^4\)
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\(^2\) The Company’s proactive engagement on these issues, and its efforts to solicit input from others and inform the public of its progress, are further confirmed in a number of announcements and public statements by or involving the Company. See, e.g., Company press release issued on February 13, 2006 entitled “*Yahoo! Our Beliefs as a Global Internet Company.*” See also press release issued on January 18, 2007 by Business for Social Responsibility (announcing an initiative by a group of companies (including Yahoo!), academics, investors and technology leaders and human rights organizations to seek solutions to the free expression and privacy challenges faced by technology and communications companies doing business internationally); *On Being Global*, Yahoo! Corporate Blog, January 18, 2007 ([http://yodel.yahoo.com/2007/01/18/on-being-global/](http://yodel.yahoo.com/2007/01/18/on-being-global/)); *The GIFT of giving*, Yahoo! Corporate Blog, February 2, 2007 ([http://yodel.yahoo.com/2007/02/02/the-gift-of-giving/](http://yodel.yahoo.com/2007/02/02/the-gift-of-giving/)); and Company press release issued in April 2007 entitled “*Georgetown Receives $1 Million Gift from Yahoo! To Support Research on International Values and Communication Technology,*” together with *Yahoos, Hoyas, and global values*, Yahoo! Corporate Blog, April 12, 2007 ([http://ycorpblog.com/2007/04/12/yahoos-hoyas-and-global-values/](http://ycorpblog.com/2007/04/12/yahoos-hoyas-and-global-values/)). For the Staff’s convenience, we have enclosed copies of each of the foregoing materials (attached as Exhibit B, Exhibit C, Exhibit D, Exhibit E and Exhibit F).
\(^3\) See *Marriott International, Inc.* (Feb. 13, 2004) (allowing exclusion under rule 14a-8(i)(7) of a proposal requesting that the company issue and enforce a corporate policy against any of its hotels or resorts which it owns or manages from selling or offering to sell any sexually explicit materials through pay-per-view or in its gift shop, and also requesting that the company cancel any contracts with vendors to provide such material, as relating to Marriott’s ordinary business operations).
• compliance with the legal and regulatory regimes imposed on companies operating in China,\textsuperscript{5}
• location of business facilities;\textsuperscript{6}
• hiring of personnel;\textsuperscript{7}
• management of the workplace;\textsuperscript{8}
• provision of employment benefits;\textsuperscript{9} and
• decisions regarding the types of services provided and the manner in which such services are provided.\textsuperscript{10}
\textsuperscript{4} See Hormel Foods Corporation (Nov. 19, 2002) (allowing exclusion under rule 14a-8(i)(7) of a proposal requesting that the board of directors review Hormel's standards for the use of antibiotics by its meat suppliers, as relating to Hormel's ordinary business operations). \textit{See also Seaboard Corporation} (Mar. 3, 2003) (allowing exclusion under rule 14a-8(i)(7) of a proposal requesting that the board of directors review Seaboard's policies regarding the use of antibiotics in its hog production facilities and those of its suppliers, as relating to Seaboard's ordinary business operations).
\textsuperscript{5} See The AES Corporation (Jan. 9, 2007) (allowing exclusion under rule 14a-8(i)(7) of a proposal requiring creation of a committee of independent directors to monitor the company's business practices to insure compliance with applicable laws, rules and regulations of federal, state and local governments, as relating to ordinary business operations, \textit{i.e.}, general conduct of a legal compliance program).
\textsuperscript{6} See MCI WORLDCOM, Inc. (Apr. 20, 2000) (allowing exclusion under rule 14a-8(i)(7) of a proposal requiring an economic analysis and fairness opinion in connection with any decision to abandon existing office or operating facilities in favor of more expensive, newer, or more convenient facilities, as relating to ordinary business operations, \textit{i.e.}, determination of the location of office or operating facilities).
\textsuperscript{7} See PepsiCo (Feb. 21, 1991) (allowing exclusion under rule 14a-8(c)(7) of a proposal involving prohibiting the termination of employees except for cause, as relating to PepsiCo's ordinary business operations, \textit{i.e.}, employment and personnel decisions).
\textsuperscript{8} See Merck & Co. (Jan. 19, 2005) (allowing exclusion under rule 14a-8(i)(7) of a proposal requesting that Merck disclose all reports and allegations of violations of ethics and professional misconduct, Merck's investigation into the reported and alleged violations and the conclusions of the investigations, and Merck's actions taken to reconcile the results of the investigations with its code of conduct, as relating to ordinary business operations, \textit{i.e.}, management of the workplace).
\textsuperscript{9} See International Business Machines Corporation (Jan. 13, 2005) (allowing exclusion under rule 14a-8(i)(7) of a proposal requesting a report examining the competitive impact of rising health insurance costs, including information regarding IBM's healthcare costs and expenditures and steps or policies that the board has adopted, or is considering, to reduce these costs, as relating to ordinary business operations, \textit{i.e.}, employee benefits).
\textsuperscript{10} See Family Dollar Stores, Inc. (Nov. 6, 2007) (allowing exclusion under rule 14a-8(i)(7) of a proposal requesting a report evaluating the company's policies and procedures for minimizing customers' exposure
Because the Proposal necessarily involves numerous ordinary business matters in addition to significant social policy issues, the Company is of the view that it may exclude the Proposal in reliance on rule 14a-8(i)(7).
In reaching its view that the Commission’s statements and the Staff’s prior positions regarding the application of rule 14a-8(i)(7) to proposals that involve both significant social policy issues and ordinary business matters permit the Company to exclude the Proposal, the Company has noted that, where the Staff has permitted exclusion of a proposal, the “ordinary business” matter cited in the Staff’s response was unrelated to the significant social policy issue raised by the proposal. For example:
- **Wal-Mart Stores, Inc.** (Mar. 15, 1999) (proposal related to the issues of “forced labor, convict labor, [and] child labor” could be omitted, as it also related to the ordinary business matter of “policies to implement wage adjustments to ensure adequate purchasing power and a sustainable living wage”);
- **General Electric Company** (Feb. 10, 2000) (proposal related to the issue of executive compensation could be omitted, as it also related to the ordinary business matter of the discontinuation of an accounting method); and
- **General Electric Company** (Feb. 3, 2005) (proposal related to the issue of “offshoring” could be omitted, as it also related to the ordinary business matter of “management of the workforce”).
Consistent with the situations underlying the prior Staff positions in this area, the Proposal’s broad requirement for a “new policy [for] doing business in China” would call for a range of actions regarding the Company’s business in China, as discussed above, that are clearly “ordinary business” matters and are absolutely unrelated to the significant social policy issue of human rights.
In reaching its view that it may omit the Proposal in reliance on rule 14a-8(i)(7), the Company has noted that the “ordinary business” matters were specified in the proposal in each of the cited prior Staff positions, and the current Proposal does not specify the matters to be addressed in the proposed “new policy [for] doing business in China.” The Company does not believe this difference should result in a different conclusion as to the application of rule 14a-8(i)(7) to the Proposal, as the language of the Proposal is clear on its face as to the subject matter of the “new policy” it seeks -- the “new policy” is to address “doing business in China” and there is no limitation on that request. Put simply, the Proposal calls for a “new policy” that addresses all aspects of “doing business in China” and, therefore, its lack of specificity as to each of those aspects does not cause the application of rule 14a-8(i)(7) to the Proposal to be different than in
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to toxic substances and hazardous components in its marketed products, as it related to ordinary business operations, i.e., the sale of particular products); See also BellSouth Corporation (Jan. 25, 1999) (allowing exclusion under rule 14a-8(i)(7) of a proposal relating to the terms and prices for cellular phones and service contracts, as relating to the company’s ordinary business operations, i.e., product terms and prices).
the prior Staff positions. Indeed, to read the Proposal as seeking a “new policy” that addresses only those matters relating to “doing business in China” that are significant social policy issues would necessitate a reading of the Proposal that is counter to its plain language. Because the Proposal’s language necessarily includes a broad range of both “ordinary business” matters and significant social policy issues, the prior Staff positions are directly on point with regard to the application of rule 14a-8(i)(7) to the Proposal.
For these reasons, the Company believes that the Proposal and Supporting Statement may be omitted from the Company’s 2008 proxy materials in reliance on rule 14a-8(i)(7) as relating, in part, to the Company’s ordinary business operations.
B. The Proposal may be omitted in reliance on rule 14a-8(i)(3) because it is so vague and indefinite that stockholders in voting on it would not be able to determine with any reasonable certainty what actions are required.
Rule 14a-8(i)(3) permits a company to exclude a proposal or supporting statement, or portions thereof, that are contrary to any of the Commission’s proxy rules, including rule 14a-9, which prohibits materially false and misleading statements in proxy materials. Pursuant to Staff Legal Bulletin 14B (Sept. 15, 2004) (“SLB 14B”), reliance on rule 14a-8(i)(3) to exclude a proposal or portions of a supporting statement may be appropriate when the resolution contained in the proposal is so inherently vague or indefinite that neither the stockholders in voting on the proposal, nor the company in implementing the proposal (if adopted), would be able to determine with any reasonable certainty exactly what actions or measures the proposal requires. See also Philadelphia Electric Company (Jul. 30, 1992).
In applying the “inherently vague or indefinite” standard under rule 14a-8(i)(3), the Staff has long held the view that a proposal does not have to specify the exact manner in which it should be implemented, but that discretion as to implementation and interpretation of the terms of a proposal may be left to the board. However, the Staff also has noted that a proposal may be materially misleading as vague and indefinite where “any action ultimately taken by the Company upon implementation [of the proposal] could be significantly different from the actions envisioned by the shareholders voting on the proposal.” See Fuqua Industries, Inc. (Mar. 12, 1991).
The Proposal requests that the board of directors establish a “new policy” for “doing business in China” with help from “China’s democratic activists and human/civil rights movement.” However, “a policy for doing business” in any country is an extensive, multifaceted undertaking, and, based solely upon the little guidance contained in the Proposal and Supporting Statement as to the nature of the requested policy, stockholders will not be able to ascertain with any certainty the nature of the “policy” they are requesting and, in fact, it is extremely likely that each stockholder could envision a different policy, and any “policy” implemented by the Company could be significantly different from the actions envisioned by the stockholders voting on the Proposal.
The Supporting Statement makes one vague reference to news reports of Company executives “offering apologies” to American lawmakers and to Chinese political victim’s families and the Chinese government’s oppression of “Internet freedom,” but neither elaborates on the details of this incident nor states that a “policy for doing business in China” should address such incidents or actions by the Chinese government. The Supporting Statement also describes the Proponent’s efforts to discuss doing business in China with the Company and his affiliation with multiple non-governmental and policy organizations. Finally, the Supporting Statement concludes that “with the help from our Chinese democratic activists and human/civil rights movement, Yahoo can become a leader proudly doing business in China, too.” None of this discussion in the Supporting Statement provides any indication that the “new policy” should be limited to any particular matters and, indeed, is likely to materially mislead stockholders and cause them to mistakenly believe that they are voting to request a “new policy” that is limited to the few matters mentioned in the Supporting Statement.
The Company believes that the Proposal is analogous to other proposals that the Staff has determined may be excluded from proxy materials under rule 14a-8(i)(3) on the basis that they are vague and indefinite, and therefore would violate rule 14a-9. For example, in *Puget Energy, Inc.* (Mar. 7, 2002), the Staff agreed that a company could exclude as vague and indefinite a proposal which requested “that the board take the necessary steps to implement a policy of ‘improved corporate governance.’” In its letter to the Staff, Puget Energy expressed its view that stockholders would be unable to determine whether “improved corporate governance” would mean a declassified board, several examples listed in a parenthetical statement as part of the supporting statement, or something else entirely. Similar ambiguities arise in the Proposal’s vague reference to a new policy for “doing business in China.” Stockholders could be unable to determine how this new policy should relate to “Internet freedom,” “human rights,” or what the Proponent intends by a “sound policy” for doing business in China. Stockholders also will be unable to determine with any reasonable certainly what sort of “help” Chinese democratic activists and human/civil rights movement should be supplying or when this “help” should be sought -- while establishing the policy or in selecting who it will do business with in China.\footnote{See also *Alaska Air Group, Inc.* (Apr. 11, 2007) (company allowed to exclude as vague and indefinite a proposal requesting that the board “complete the appropriate process in 2007 to amend the company’s governance documents (certificate of incorporation and or bylaws) to assert, affirm and define the rights of the owners of the company to set standards of corporate governance”) and *Berkshire Hathaway Inc.* (Mar. 2, 2007) (company allowed to exclude as vague and indefinite a proposal seeking “to restrict Berkshire from investing in securities of any foreign corporation that engages in activities prohibited for U.S. corporations by Executive Order of the President of the United States”).}
In addition, the Staff has consistently allowed exclusion of proposals where it was unclear exactly what standards stockholders are being asked to adopt. In *Alcoa Inc.* (Dec. 24, 2002), the Staff agreed that a company could exclude as vague and indefinite a proposal that related to Alcoa committing itself to the “full implementation of these human rights standards” and a program to monitor compliance with “these standards,” and the body of the proposal did not specify with any reasonable certainly what the “human rights standards” were. In *Occidental Petroleum Corp.* (Mar. 8, 2002), the company was allowed to exclude as vague and indefinite a
proposal that urged “the board of directors to adopt and implement a company-wide policy consistent with the Voluntary Principles on Security and Human Rights, including items contained in the proposal.” While each of the proposals in *Alcoa* and *Occidental Petroleum* included a brief reference to the relevant guidelines or standards to which the proposal was focused, those guidelines or standards were extensive and the proposal and related supporting statement failed to provide an adequate description or background information that would provide stockholders with a reasonable understanding of what they were being asked to consider, or the company of what it was being asked to implement.\(^{12}\)
The Company believes that stockholders considering the Proposal will be unable to understand with any reasonable certainty what they are being asked to vote on and that, if the Proposal was to be approved, any action ultimately taken by the Company to implement the Proposal could be significantly different from the actions envisioned by stockholders voting on the Proposal. As such, the Company believes that the Proposal may be omitted in reliance on rule 14a-8(i)(3).
**Conclusion**
For the reasons discussed above, the Company believes that it may exclude the Proposal from its proxy materials for the 2008 Annual Meeting of Stockholders. If you have any questions or require additional information, please contact me any time at (408) 349-7131.
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\(^{12}\) The Company believes that the expansive scope of the Proposal’s requirement to establish a new policy for “doing business in China,” together with the lack of standards or guidance and insufficiency of background or other information in the Proposal or the Supporting Statement regarding the intended scope and subject matter of a new policy, distinguish this situation from those in which the Staff has not concurred with a company’s position to exclude the proposal on grounds of rule 14a-8(i)(3). *See, e.g.*, *Revlon, Inc.* (Apr. 5, 2002); *The TJX Companies, Inc.* (Apr. 5, 2002); *PPG Industries, Inc.* (Jan. 22, 2001) (all proposals seeking action “based on” *specified* International Labor Organization standards). *See also Microsoft Corporation* (Sept. 14, 2000) (proposal seeking action based on eleven specific principles set forth in the proposal relating to human and labor rights).
Please acknowledge receipt of this letter and the enclosures by date stamping an enclosed copy of this letter and returning the date-stamped copy to our messenger.
Very truly yours,
Christina Lai
Associate General Counsel
Enclosures
cc: Mr. Jing Zhao
Michael J. Callahan, Executive Vice President and General Counsel, Yahoo! Inc.
Robert Plesnarski, Esq., O'Melveny & Myers LLP
EXHIBIT A
PROPOSAL AND CORRESPONDENCE BETWEEN COMPANY AND PROPOSER
PROPOSAL AND COVER LETTER SUBMISSIONS
December 24, 2007
Yahoo! Corporate Secretary
701 First Ave.
Sunnyvale, CA. 94089
Via post mail and fax (408-349-3400) (total 3 pages)
Dear Sir/Madam,
Enclosed are a stockholder proposal for inclusion in proxy materials of the 2008 annual meeting of shareholders and TD Ameritrade letter of my Yahoo stock ownership.
Should you have any questions, please contact me at 925-804-6150 (phone), 925-551-8061 (fax), 408-712-0115 (C) or email@example.com.
Yours truly,
Jing Zhao
Enclosure: Stockholder proposal
TD Ameritrade letter of Jing Zhao’s stock ownership
RESOLUTION ON ESTABLISHING A NEW POLICY DOING BUSINESS IN CHINA
Resolution:
Be it resolved by the stockholders to request the board of directors to establish a new policy doing business in China, with the help from China's democratic activists and human/civil rights movement.
Supporting Statement:
On November 7, 2007, many media (such as The Wall Street Journal) at their front pages reported Yahoo’s top executives offering apologies to American lawmakers and Chinese political victim families. Even the direct penalties for Yahoo to cooperate with the Chinese government to oppress Internet freedom is not so significant, the international damage to Yahoo’s reputation is tremendous. This should not happen, and this could be prevented, if Yahoo’s board of directors had a different policy doing business in China.
As a Yahoo shareholder as well as a political refugee with high-tech background from China and Japan, I raised this vital issue of doing business in China at Yahoo’s 2005 annual meeting of shareholders. The CEO, Mr. Semel, spent quite long minutes to answer my question, but his excuses showed that he did not understand this issue. Unfortunately, the whole board of directors did not either. Thus in 2006, trying to communicate with the Yahoo management, I accompanied friends of “Reporters Without Borders” from Europe to visit Yahoo’s Headquarters. However, we were expelled by Yahoo’s security guards. I then submitted a proposal to 2007 annual meeting of shareholders to address this issue, but it was rejected with many irrelevant organization names.
Why Yahoo’s board of directors is so afraid of freedom and human rights regarding doing business in China? Why Yahoo’s board of directors cannot establish a sound policy doing business in China? We all know that there are many talented Yahoo employees, including Yahoo’s co-founder and current CEO Mr. Yang, have deep and wide China background. Once and only when the board of directors establishes a new policy doing business in China, Yahoo will expand tremendous business in China in the very near future under a free, open, and more democratic system. As President of US-Japan-China Comparative Policy Research Institute and Secretary of Humanitarian China graduated from Tsinghua University, I know from my decades-long experience that with the help from our Chinese democratic activists and human/civil rights movement, Yahoo can become a business leader proudly doing business in China, too.
December 19, 2007
Jing Zhao
160 Maidenhair Ct
San Ramon, CA 94582
RE: Account ending in 4029 (6057)
Dear Jing Zhao,
Please be advised that you purchased 100 shares of Yahoo Inc. (YHOO) on July 8, 2004 and as the close of business on December 18, 2007, you have continuously held that 100 shares in your account.
Please e-mail us or call Client Services at 888-871-9007 if you have any questions regarding this matter.
Sincerely,
Jackie Tiwald
TD AMERITRADE Client Services
December 24, 2007
Yahoo! Corporate Secretary
701 First Ave.
Sunnyvale, CA. 94089
Via post mail and fax (408-349-3400) (total 3 pages)
Dear Sir/Madam,
Enclosed are a stockholder proposal for inclusion in proxy materials of the 2008 annual meeting of shareholders and TD Ameritrade letter of my Yahoo stock ownership. I will continuously hold these shares for at least ten years. (In fact, I have purchased more new Yahoo shares in 2007.)
Should you have any questions, please contact me at 925-804-6150 (phone), 925-551-8061 (fax), 408-712-0115 (C) or firstname.lastname@example.org.
Yours truly,
Jing Zhao
Enclosure: Stockholder proposal
TD Ameritrade letter of Jing Zhao’s stock ownership
RESOLUTION ON ESTABLISHING A NEW POLICY DOING BUSINESS IN CHINA
Resolution:
Be it resolved by the stockholders to request the board of directors to establish a new policy doing business in China, with the help from China's democratic activists and human/civil rights movement.
Supporting Statement:
On November 7, 2007, many media (such as The Wall Street Journal) at their front pages reported Yahoo's top executives offering apologies to American lawmakers and Chinese political victim families. Even the direct penalties for Yahoo to cooperate with the Chinese government to oppress Internet freedom is not so significant, the international damage to Yahoo's reputation is tremendous. This should not happen, and this could be prevented, if Yahoo's board of directors had a different policy doing business in China.
As a Yahoo shareholder as well as a political refugee with high-tech background from China and Japan, I raised this vital issue of doing business in China at Yahoo's 2005 annual meeting of shareholders. The CEO, Mr. Sermel, spent quite long minutes to answer my question, but his excuses showed that he did not understand this issue. Unfortunately, the whole board of directors did not either. Thus in 2006, trying to communicate with the Yahoo management, I accompanied friends of "Reporters Without Borders" from Europe to visit Yahoo's Headquarters. However, we were expelled by Yahoo's security guards. I then submitted a proposal to 2007 annual meeting of shareholders to address this issue, but it was rejected with many irrelevant organization names.
Why Yahoo's board of directors is so afraid of freedom and human rights regarding doing business in China? Why Yahoo's board of directors cannot establish a sound policy doing business in China? We all know that there are many talented Yahoo employees, including Yahoo's co-founder and current CEO Mr. Yang, have deep and wide China background. Once and only when the board of directors establishes a new policy doing business in China, Yahoo will expand tremendous business in China in the very near future under a free, open, and more democratic system. As President of US-Japan-China Comparative Policy Research Institute and Secretary of Humanitarian China graduated from Tsinghua University, I know from my decades-long experience that with the help from our Chinese democratic activists and human/civil rights movement, Yahoo can become a business leader proudly doing business in China, too.
December 19, 2007
Jing Zhao
160 Maidenhair Ct
San Ramon, CA 94582
RE: Account ending in 4029 (6057)
Dear Jing Zhao,
Please be advised that you purchased 100 shares of Yahoo Inc. (YHOO) on July 8, 2004 and as the close of business on December 18, 2007, you have continuously held that 100 shares in your account.
Please e-mail us or call Client Services at 888-871-9007 if you have any questions regarding this matter.
Sincerely,
Jackie Tiwald
TD AMERITRADE Client Services
DEFICIENCY LETTER FROM COMPANY TO PROPOSER
January 4, 2008
VIA EMAIL (email@example.com)
AND OVERNIGHT COURIER
Mr. Jing Zhao
160 Maidenhair Ct.
San Ramon, CA 94582
Re: Submission of Stockholder Proposal for Inclusion in 2008 Proxy Materials
Dear Mr. Zhao:
We received on December 24, 2007 your letter submitting a stockholder proposal for inclusion in Yahoo!'s proxy materials for its 2008 Annual Meeting of Stockholders.
We direct your attention to Securities and Exchange Commission Rule 14a-8, a copy of which is enclosed for your convenience. You will note that Rule 14a-8 sets forth certain eligibility and procedural requirements that must be satisfied for a stockholder to submit a proposal for inclusion in a company's proxy materials. In accordance with Rule 14a-8(f) (Question 6), we hereby notify you of the following deficiencies relating to your proposal:
1. To be eligible to submit a proposal for inclusion in Yahoo!'s proxy materials, you must have continuously held at least $2,000 in market value, or 1%, of Yahoo!'s common stock entitled to be voted on the proposal at the meeting for at least one year by the date you submit the proposal. (See Rule 14a-8(b), Question 2.) Since you do not appear on our records as a registered shareholder, you must submit appropriate proof that you meet these eligibility requirements. To satisfy this requirement, you may submit to Yahoo! a written statement from the "record" holder of your securities (usually a broker or bank) verifying that, at the time you submitted your proposal, you continuously held the securities for at least one year.
You transmitted with your proposal a letter from TD Ameritrade that purports to verify your beneficial ownership of Yahoo! shares. As an initial matter, we note that the TD Ameritrade letter that you enclosed with your proposal is not actually signed by an authorized representative of TD Ameritrade. In addition, Rule 14a-8(b) requires that the written statement proving your beneficial ownership be submitted by the "record" holder of your shares. There is no indication in the letter from TD Ameritrade that TD Ameritrade is the record holder of your shares. Finally, the TD Ameritrade letter states that you have continuously held since July 8, 2004 100 shares of Yahoo!'s stock as of "the close of business on December 18, 2007." However, Rule 14a-8(b) expressly requires that the written statement from the record holder verify that you continuously owned your shares for a period of one year at the time you submitted the proposal.
Because you submitted your proposal on December 24, 2007 and the letter verifies your ownership only as of December 18, 2007, we do not believe that the letter from TD Ameritrade is sufficient confirmation that you satisfy this requirement.
Yahoo! hereby requests that you submit a suitable written statement from the record holder of your shares (usually your broker or bank) verifying that, as of the date that you submitted your proposal, you have continuously held at least $2,000 in market value, or 1%, of Yahoo!’s common stock for at least one year. This statement should also affirmatively indicate that the shares are held of record on your behalf by the broker, bank or other person submitting the written statement and should be signed by or on behalf of that record holder.
2. Please also note that if you otherwise satisfy the eligibility criteria described above, Rule 14a-8(b) requires that you submit a written statement to Yahoo! to confirm your intention to continue to hold the shares through the date of Yahoo!’s 2008 Annual Meeting of Stockholders. In your letter transmitting the proposal, we note that you indicated that you will continuously hold your shares for at least ten years. As required by Rule 14a-8, please expressly confirm that you intend to hold your shares through the date of Yahoo!’s 2008 Annual Meeting of Stockholders.
In accordance with Rule 14a-8(f)(1), your response to the requests set forth in this letter must be postmarked, or transmitted electronically, no later than 14 days from the date that you receive this letter. If we do not receive your response within this timeframe, your proposal will not be eligible for inclusion in Yahoo!’s proxy materials.
Please note that the requests in this letter are without prejudice to any other rights that Yahoo! may have to exclude your proposal from its proxy materials on any other grounds permitted by Rule 14a-8.
Very truly yours,
Michael J. Callahan
Executive Vice President, General Counsel and Secretary
Enclosure
cc: J. Jay Herron, Esq., O’Melveny & Myers, LLP
Rule 14a-8. Shareholder Proposals.
This section addresses when a company must include a shareholder’s proposal in its proxy statement and identify the proposal in its form of proxy when the company holds an annual or special meeting of shareholders. In summary, in order to have your shareholder proposal included on a company’s proxy card, and included along with any supporting statement in its proxy statement, you must be eligible and follow certain procedures. Under a few specific circumstances, the company is permitted to exclude your proposal, but only after submitting its reasons to the Commission. We structured this section in a question-and-answer format so that it is easier to understand. The references to “you” are to a shareholder seeking to submit the proposal.
(a) Question 1: What is a proposal?
A shareholder proposal is your recommendation or requirement that the company and/or its board of directors take action, which you intend to present at a meeting of the company’s shareholders. Your proposal should state as clearly as possible the course of action that you believe the company should follow. If your proposal is placed on the company’s proxy card, the company must also provide in the form of proxy means for shareholders to specify by boxes a choice between approval or disapproval, or abstention. Unless otherwise indicated, the word “proposal” as used in this section refers both to your proposal, and to your corresponding statement in support of your proposal (if any).
(b) Question 2: Who is eligible to submit a proposal, and how do I demonstrate to the company that I am eligible?
(1) In order to be eligible to submit a proposal, you must have continuously held at least $2,000 in market value, or 1%, of the company’s securities entitled to be voted on the proposal at the meeting for at least one year by the date you submit the proposal. You must continue to hold those securities through the date of the meeting.
(2) If you are the registered holder of your securities, which means that your name appears in the company’s records as a shareholder, the company can verify your eligibility on its own, although you will still have to provide the company with a written statement that you intend to continue to hold the securities through the date of the meeting of shareholders. However, if like many shareholders you are not a registered holder, the company likely does not know that you are a shareholder, or how many shares you own. In this case, at the time you submit your proposal, you must prove your eligibility to the company in one of two ways:
(i) The first way is to submit to the company a written statement from the “record” holder of your securities (usually a broker or bank) verifying that, at the time you submitted your proposal, you continuously held the securities for at least one year. You must also include your own written statement that you intend to continue to hold the securities through the date of the meeting of shareholders; or
(ii) The second way to prove ownership applies only if you have filed a Schedule
13D, Schedule 13G, Form 3, Form 4 and/or Form 5, or amendments to those documents or updated forms, reflecting your ownership of the shares as of or before the date on which the one-year eligibility period begins. If you have filed one of these documents with the SEC, you may demonstrate your eligibility by submitting to the company:
(A) A copy of the schedule and/or form, and any subsequent amendments reporting a change in your ownership level;
(B) Your written statement that you continuously held the required number of shares for the one-year period as of the date of the statement; and
(C) Your written statement that you intend to continue ownership of the shares through the date of the company’s annual or special meeting.
(c) **Question 3: How many proposals may I submit?**
Each shareholder may submit no more than one proposal to a company for a particular shareholders’ meeting.
(d) **Question 4: How long can my proposal be?**
The proposal, including any accompanying supporting statement, may not exceed 500 words.
(e) **Question 5: What is the deadline for submitting a proposal?**
(1) If you are submitting your proposal for the company’s annual meeting, you can in most cases find the deadline in last year’s proxy statement. However, if the company did not hold an annual meeting last year, or has changed the date of its meeting for this year more than 30 days from last year’s meeting, you can usually find the deadline in one of the company’s quarterly reports on Form 10-Q or 10-QSB, or in shareholder reports of investment companies under Rule 30d-1 under the Investment Company Act of 1940. In order to avoid controversy, shareholders should submit their proposals by means, including electronic means, that permit them to prove the date of delivery.
(2) The deadline is calculated in the following manner if the proposal is submitted for a regularly scheduled annual meeting. The proposal must be received at the company’s principal executive offices not less than 120 calendar days before the date of the company’s proxy statement released to shareholders in connection with the previous year’s annual meeting. However, if the company did not hold an annual meeting the previous year, or if the date of this year’s annual meeting has been changed by more than 30 days from the date of the previous year’s meeting, then the deadline is a reasonable time before the company begins to print and send its proxy materials.
(3) If you are submitting your proposal for a meeting of shareholders other than a regularly scheduled annual meeting, the deadline is a reasonable time before the company begins to print and send its proxy materials.
(f) Question 6: What if I fail to follow one of the eligibility or procedural requirements explained in answers to Questions 1 through 4 of this Rule 14a-8?
(1) The company may exclude your proposal, but only after it has notified you of the problem, and you have failed adequately to correct it. Within 14 calendar days of receiving your proposal, the company must notify you in writing of any procedural or eligibility deficiencies, as well as of the time frame for your response. Your response must be postmarked, or transmitted electronically, no later than 14 days from the date you received the company’s notification. A company need not provide you such notice of a deficiency if the deficiency cannot be remedied, such as if you fail to submit a proposal by the company’s properly determined deadline. If the company intends to exclude the proposal, it will later have to make a submission under Rule 14a-8 and provide you with a copy under Question 10 below, Rule 14a-8(j).
(2) If you fail in your promise to hold the required number of securities through the date of the meeting of shareholders, then the company will be permitted to exclude all of your proposals from its proxy materials for any meeting held in the following two calendar years.
(g) Question 7: Who has the burden of persuading the Commission or its staff that my proposal can be excluded?
Except as otherwise noted, the burden is on the company to demonstrate that it is entitled to exclude a proposal.
(h) Question 8: Must I appear personally at the shareholders’ meeting to present the proposal?
(1) Either you, or your representative who is qualified under state law to present the proposal on your behalf, must attend the meeting to present the proposal. Whether you attend the meeting yourself or send a qualified representative to the meeting in your place, you should make sure that you, or your representative, follow the proper state law procedures for attending the meeting and/or presenting your proposal.
(2) If the company holds its shareholder meeting in whole or in part via electronic media, and the company permits you or your representative to present your proposal via such media, then you may appear through electronic media rather than traveling to the meeting to appear in person.
(3) If you or your qualified representative fail to appear and present the proposal, without good cause, the company will be permitted to exclude all of your proposals from its proxy materials for any meetings held in the following two calendar years.
(i) Question 9: If I have complied with the procedural requirements, on what other bases may a company rely to exclude my proposal?
(1) Improper Under State Law: If the proposal is not a proper subject for action by shareholders under the laws of the jurisdiction of the company’s organization;
Note to paragraph (i)(1): Depending on the subject matter, some proposals are not considered proper under state law if they would be binding on the company if approved by
shareholders. In our experience, most proposals that are cast as recommendations or requests that the board of directors take specified action are proper under state law. Accordingly, we will assume that a proposal drafted as a recommendation or suggestion is proper unless the company demonstrates otherwise.
(2) **Violation of Law:** If the proposal would, if implemented, cause the company to violate any state, federal, or foreign law to which it is subject;
*Note to paragraph (i)(2):* We will not apply this basis for exclusion to permit exclusion of a proposal on grounds that it would violate foreign law if compliance with the foreign law would result in a violation of any state or federal law.
(3) **Violation of Proxy Rules:** If the proposal or supporting statement is contrary to any of the Commission’s proxy rules, including Rule 14a-9, which prohibits materially false or misleading statements in proxy soliciting materials;
(4) **Personal Grievance; Special Interest:** If the proposal relates to the redress of a personal claim or grievance against the company or any other person, or if it is designed to result in a benefit to you, or to further a personal interest, which is not shared by the other shareholders at large;
(5) **Relevance:** If the proposal relates to operations which account for less than 5 percent of the company’s total assets at the end of its most recent fiscal year, and for less than 5 percent of its net earnings and gross sales for its most recent fiscal year, and is not otherwise significantly related to the company’s business;
(6) **Absence of Power/Authority:** If the company would lack the power or authority to implement the proposal;
(7) **Management Functions:** If the proposal deals with a matter relating to the company’s ordinary business operations;
(8) **Relates to Election:** If the proposal relates to an election for membership on the company’s board of directors or analogous governing body;
(9) **Conflicts with Company’s Proposal:** If the proposal directly conflicts with one of the company’s own proposals to be submitted to shareholders at the same meeting;
*Note to paragraph (i)(9):* A company’s submission to the Commission under this Rule 14a-8 should specify the points of conflict with the company’s proposal.
(10) **Substantially Implemented:** If the company has already substantially implemented the proposal;
(11) **Duplication:** If the proposal substantially duplicates another proposal previously submitted to the company by another proponent that will be included in the company’s proxy materials for the same meeting;
(12) **Resubmissions:** If the proposal deals with substantially the same subject matter as another proposal or proposals that has or have been previously included in the company's proxy materials within the preceding 5 calendar years, a company may exclude it from its proxy materials for any meeting held within 3 calendar years of the last time it was included if the proposal received:
(i) Less than 3% of the vote if proposed once within the preceding 5 calendar years;
(ii) Less than 6% of the vote on its last submission to shareholders if proposed twice previously within the preceding 5 calendar years; or
(iii) Less than 10% of the vote on its last submission to shareholders if proposed three times or more previously within the preceding 5 calendar years; and
(13) **Specific Amount of Dividends:** If the proposal relates to specific amounts of cash or stock dividends.
(j) **Question 10:** What procedures must the company follow if it intends to exclude my proposal?
(1) If the company intends to exclude a proposal from its proxy materials, it must file its reasons with the Commission no later than 80 calendar days before it files its definitive proxy statement and form of proxy with the Commission. The company must simultaneously provide you with a copy of its submission. The Commission staff may permit the company to make its submission later than 80 days before the company files its definitive proxy statement and form of proxy, if the company demonstrates good cause for missing the deadline.
(2) The company must file six paper copies of the following:
(i) The proposal;
(ii) An explanation of why the company believes that it may exclude the proposal, which should, if possible, refer to the most recent applicable authority, such as prior Division letters issued under the rule; and
(iii) A supporting opinion of counsel when such reasons are based on matters of state or foreign law.
(k) **Question 11:** May I submit my own statement to the Commission responding to the company's arguments?
Yes, you may submit a response, but it is not required. You should try to submit any response to us, with a copy to the company, as soon as possible after the company makes its submission. This way, the Commission staff will have time to consider fully your submission before it issues its response. You should submit six paper copies of your response.
(l) **Question 12:** If the company includes my shareholder proposal with its proxy materials, what information about me must it include along with the proposal itself?
(1) The company's proxy statement must include your name and address, as well as the number of the company's voting securities that you hold. However, instead of providing that information, the company may instead include a statement that it will provide the information to shareholders promptly upon receiving an oral or written request.
(2) However, if you believe that the company's opposition to your proposal contains materially false or misleading statements that may violate our anti-fraud rule, Rule 14a-9, you should promptly send to the Commission staff and the company a letter explaining the reasons for your view, along with a copy of the company's statements opposing your proposal. To the extent possible, your letter should include specific factual information demonstrating the inaccuracy of the company's claims. Time permitting, you may wish to try to work out your differences with the company by yourself before contacting the Commission staff.
(3) We require the company to send you a copy of its statements opposing your proposal before it sends its proxy materials, so that you may bring to our attention any materially false or misleading statements, under the following timeframes:
(i) If our no-action response requires that you make revisions to your proposal or supporting statement as a condition to requiring the company to include it in its proxy materials, then the company must provide you with a copy of its opposition statements no later than 5 calendar days after the company receives a copy of your revised proposal; or
(ii) In all other cases, the company must provide you with a copy of its opposition statements no later than 30 calendar days before it files definitive copies of its proxy statement and form of proxy under Rule 14a-6.
Mr. Michael J. Callahan
Yahoo! Corporate Secretary
701 First Ave. Sunnyvale, CA 94089
Vía post mail and fax (408-349-3400) (total 2 pages)
Re: Submission of Stockholder Proposal for Inclusion in 2008 Proxy Materials
Dear Mr. Callahan:
I received your letter dated on January 4, 2008 via email, fax and overnight courier.
Although I do not accept your arguments to attempt to deny my eligibility to submit the proposal, I enclose another letter from TD Ameritrade. This letter was signed by one TD Ameritrade Client Services person. It states that my Yahoo shares are recorded in my TD Ameritrade Roth IRA account (You did not use this argument when you excluded my last proposal for the 2007 proxy materials). It also states that I have continuously held these shares until January 7, 2008.
I have stated that I will continuously hold my Yahoo shares for at least ten years. That certainly means I intend to hold my shares through the date of Yahoo’s 2008 Annual Meeting of Stockholders. I confirm that intend again, to show my respect to you.
It is unfortunate that you have wasted Yahoo’s stockholders and company’s resource in such counter-productive efforts to abuse SEC rules, which were enacted mainly to protect small shareholders. You should not hire outside law firms against Yahoo’s stockholder’s legal rights to submit proposals. Even though some of my friends, including Mr. Morton Sklar of World Organization for Human Rights USA, offered help to me, I have not intended to use lawyers against Yahoo management’s business mistakes, until today. As a stockholder, I hope and want to help Yahoo doing better business in the world, especially for its long term business in a democratic China.
Should you have any questions, please contact me at 925-804-6150 (phone), 925-551-8061 (fax), 408-712-0115 (C) or firstname.lastname@example.org.
Very respectfully yours,
Jing Zhao, Ph.D
Enclosure: TD Ameritrade’s new letter of Jing Zhao’s stock ownership
January 7, 2008
Jing Zhao
160 Maldenhair Ct.
San Ramon, CA 94582
RE: Account ending in 6057
Dear Jing Zhao,
Please be advised that you purchased 100 shares of Yahoo Inc. (YHOO) on July 8, 2004 in your TD Ameritrade Roth IRA account. As of the close of business on January 7, 2008 you have continuously held that 100 shares in your TD Ameritrade Roth IRA account.
If you have any questions, please log on to your account and click the “Contact Us” link or call a Client Services representative 24/7 at 800-669-3900 (excluding market holidays).
Sincerely,
Heather Muhleka
Client Services
TD AMERITRADE
TD AMERITRADE, Division of TD AMERITRADE, Inc., member NASD/SIPC. TD AMERITRADE is a trademark jointly owned by TD AMERITRADE IP Company, Inc. and The Toronto-Dominion Bank. ©2008 TD AMERITRADE IP Company, Inc. All rights reserved. Used with permission.
EXHIBIT B
2006 PRESS RELEASE
Press Release
Yahoo!: Our Beliefs as a Global Internet Company
As a leading provider of Internet-based services, Yahoo! is committed to open access to information and communication on a global basis. We believe information is power. Citizens across the globe are benefiting greatly from increased access to communications, commerce and independent sources of information. The Internet has helped transform the way business is done, advanced consumer cultures, increased competition, allowed entrepreneurship to flourish, and provided citizens with more freedom in how they live, work, exchange ideas and make choices.
Doing business in certain countries presents U.S. companies with challenging and complex questions. We are deeply concerned by efforts of governments to restrict and control open access to information and communication. We also firmly believe the continued presence and engagement of companies like Yahoo! is a powerful force in promoting openness and reform.
Private industry alone cannot effectively influence foreign government policies on issues like the free exchange of ideas, maximum access to information, and human rights reform, and we believe continued government-to-government dialogue is vital to achieve progress on these complex political issues.
What Guides Us
Since our founding in 1995, Yahoo! has been guided by beliefs closely held by our founders and sustained by our employees:
- We believe the Internet can positively transform lives, societies and economies. It expands the ability for citizens around the world to communicate, express themselves, access information, and conduct commerce. It also enhances education, lowers geographic barriers, narrows social gaps and advances economic opportunity.
- We believe the Internet is built on openness, from information access to creative expression. We are committed to providing individuals with easy access to information and opportunities to openly communicate and exchange views and opinions.
- We are committed to maintaining our customers' trust. Hundreds of millions of consumers around the world have put their trust in Yahoo! for more than a decade. We take our users' privacy very seriously and never forget users come to us by choice.
- We believe in engagement on a global basis. The Internet's reach is truly global, and at Yahoo! we offer localized content in more than twenty countries in a dozen languages. We recognize each country enacts its own laws in accordance with its own local norms and mores, and we must comply with applicable laws. We also believe our presence significantly benefits a country's citizens through access to services and information.
- We seek the innovations and ideas that can change the world. We bear a sense of responsibility to make an impact on society and to empower consumers in ways never before possible.
Our Commitment
As part of our ongoing commitment to preserving the open availability of the Internet around the world, we are undertaking the following:
• Collective Action: We will work with industry, government, academia and NGO’s to explore policies to guide industry practices in countries where content is treated more restrictively than in the United States and to promote the principles of freedom of speech and expression.
• Compliance Practices: We will continue to employ rigorous procedural protections under applicable laws in response to government requests for information, maintaining our commitment to user privacy and compliance with the law.
• Information Restrictions: Where a government requests we restrict search results, we will do so if required by applicable law and only in a way that impacts the results as narrowly as possible. If we are required to restrict search results, we will strive to achieve maximum transparency to the user.
• Government Engagement: We will actively engage in ongoing policy dialogue with governments with respect to the nature of the Internet and the free flow of information.
EXHIBIT C
2007 PRESS RELEASE
Companies, Human Rights Groups, Investors, Academics and Technology Leaders to Address International Free Expression and Privacy Challenges
(CSRwire) January 18, 2007--A diverse group of companies, academics, investors, technology leaders and human rights organizations announced today its intention to seek solutions to the free expression and privacy challenges faced by technology and communications companies doing business internationally.
The process – which aims to produce a set of principles guiding company behavior when faced with laws, regulations and policies that interfere with the achievement of human rights – marks a new phase in efforts that these groups began in 2006.
Last year, Google, Microsoft, Vodafone and Yahoo!, with the facilitation of Business for Social Responsibility (BSR) and advice from the Berkman Center for Internet & Society at Harvard Law School, initiated a series of dialogues to gain a fuller understanding of free expression and privacy as they relate to the use of technology worldwide.
At the same time, the Center for Democracy and Technology (CDT) was also convening technology leaders, investors and human rights advocates to discuss how to advance civil liberties on the Internet in the face of laws that run contrary to international standards for human rights.
Both processes benefited from dialogue, research and policy expertise on internet filtering and surveillance practices from the OpenNet Consensus, a coalition of academic institutions including the University of California Berkeley’s Graduate School of Journalism and School of Law-Boalt Hall, the Berkman Center and others.
The new combined group, in addition to developing the principles, seeks to advance their effectiveness by establishing a framework to implement the principles, hold signatories accountable and provide for ongoing learning.
"Technology companies have played a vital role building the economy and providing tools important for democratic reform in developing countries. But some governments have found ways to turn technology against their citizens -- monitoring legitimate online activities and censoring democratic material," CDT Executive Director Leslie Harris said. "It is vital that we identify solutions that preserve the enormous democratic value provided by technological development, while at the same time protecting the human rights and civil liberties of those who stand to benefit from that expansion."
BSR CEO Aron Cramer said that the discussions over the past year have already proven valuable.
"Thanks to the extraordinary commitment of the companies and other participants in this process we've already learned a great deal about the obstacles we face and the ways business and other stakeholders
can join forces to address those challenges," Cramer said. "This important dialogue reflects a shared commitment to maximize the information available via the internet on the basis of global principles protecting free expression and privacy. This dialogue could prove a key step in unlocking the communications potential of the internet."
Members of the group plan to complete the process in 2007. The following companies and stakeholders have agreed to participate:
- Amnesty International
- Berkman Center for Internet & Society at Harvard Law School
- Boston Common Asset Management
- Business for Social Responsibility (Facilitator)
- Calvert Group
- Center for Democracy and Technology (Facilitator)
- Committee to Protect Journalists
- Domini Social Investments LLC
- Electronic Frontier Foundation
- Enterprise Privacy Group
- F&C Asset Management
- Google, Inc.
- Human Rights First
- Human Rights in China
- Human Rights Watch
- International Business Leaders Forum
- International Council on Human Rights Policy
- Microsoft
- Reporters Without Borders
- Trillium Asset Management
- United Nations Special Representative to the Secretary-General on business & human rights (Observer status)
- University of California, Berkeley School of Law-Boalt Hall
- Vodafone
- Yahoo! Inc.
More information:
Barbara-Anne Greenwald, Business for Social Responsibility
email@example.com; Tel: +1 415 984 3233
Dave McGuire, Center for Democracy and Technology
firstname.lastname@example.org; Tel: +1 202 637-9800
About Business for Social Responsibility
Since 1992, Business for Social Responsibility (BSR) has been providing socially responsible business solutions to many of the world’s leading corporations. Headquartered in San Francisco and with offices in Europe and China, BSR is a nonprofit business association that serves its 250 member companies and other Global 1000 enterprises. Through advisory services, convenings and research, BSR works with corporations and concerned stakeholders of all types to create a more just and sustainable global economy. For more information, visit www.bsr.org.
About Center for Democracy and Technology
The Center for Democracy and Technology works to promote democratic values and constitutional liberties in the digital age. With expertise in law, technology, and policy, CDT seeks practical solutions to enhance free expression and privacy in global communications technologies. CDT is dedicated to building consensus among all parties interested in the future of the Internet and other new communications media. For more information, visit www.cdt.org.
EXHIBIT D
WEBLOG
On being global
January 18th, 2007 at 8:08 am by Michael Samway, VP & Deputy General Counsel
In Trends & News
Yahoo! became a public company in April 1996 with around 100 employees. Ten days later, we launched Yahoo! Japan as a joint venture. By the end of the year, we were running Yahoo! businesses in six different countries. Back then, Yahoo! counted about 14 million page views a day, versus the nearly four billion we log today. Bringing the Yahoo! experience to users around the globe has been core to our approach from the get-go. Now more than 500 million users visit Yahoo!-branded properties worldwide every month, with the rate of user growth from outside the United States growing most rapidly.
For all the benefits we enjoy from operating in twenty plus countries and in more than a dozen languages, managing Yahoo! on a global scale creates plenty of challenges around complex and politically charged issues like censorship and user privacy.
How do we deal with obligations to follow laws of nations where the laws themselves or their application may have consequences inconsistent with internationally recognized values and standards? Are partially censored results, with notice to users, better than no results at all in a challenging market? Should we focus our concerns on censorship of political speech? Should companies draw the line on doing business somewhere based on the type of speech a government limits? Would it be a decision based on the quantity or the quality of limitations? And using which standards and measures? Could Article 19 of the Universal Declaration of Human Rights provide a starting point? Our own First Amendment is quite broad; could that be a global standard? How do companies design product approaches that balance legitimate government rights and requirements for data access with adequate protections for user privacy? Do we agree neither right should be absolute and each should live in balance with the other? Should we design an approach that works in Beijing, Paris, Sao Paulo, Sydney, Toronto, and Washington, D.C. all at once? Is that possible? How far can a company go in challenging local laws and orders? What if it puts locally-based employees at risk? These are just a few of the questions we've been asking ourselves recently.
Fortunately, we haven't had to think about these questions alone. For most of the past year, we've been immersed in weekly meetings with top thinkers at Microsoft, Google and Vodafone — right, in some cases our fiercest competitors — to apply our collective wisdom to challenges to free expression and privacy. Early in 2006 we engaged the highly respected team at Business for Social Responsibility (BSR) to facilitate our industry dialogue, and we've also counted closely on the academic expertise of Harvard Law School's Berkman Center for Internet & Society.
We've looked closely at previous voluntary industry and multi-stakeholder initiatives, actively engaged individually and collectively with a wide group of international human rights groups and socially responsible investors, talked to
United Nations business and human rights experts, and consulted closely with the State Department's Global Internet Freedom Taskforce. The Center for Democracy and Technology (CDT), which also took a leadership role in convening stakeholder discussions, is now working with BSR to co-facilitate the next phase of a multi-stakeholder dialogue.
Today, our diverse group of companies, human rights organizations, academic institutions, and socially responsible investors announced a formal commitment to creating a set of global principles and operating procedures on freedom of expression and privacy — to guide "company behavior when faced with laws, regulations, and policies that interfere with the achievement of human rights" (check out the press release here). Our goals also include creating an implementation, accountability, and governance framework as well as a forum for sharing ideas. The political principles and human issues at stake are big ones — no two ways about it — and this next phase in the multi-stakeholder dialogue requires continued leadership, integrity, and teamwork from all sides.
Yahoo! is a company built on openness, free expression, and user trust. From our humble trailer roots with a small and devoted group of followers through our teenage years as a global company with hundreds of millions of users, we've seen open access to information transform communities and allow entrepreneurship to flourish as well as provide citizens with more freedom in how they live, work, exchange ideas, and make choices impacting their daily lives. Information can be a powerful tool for change and progress in the hands of internet users globally.
As a broad and diverse set of players at the table today, we're committed to harnessing the group's collective experience and brainpower to design an approach to doing business globally that consistently guides ethical decision-making in the business world's most challenging markets.
Michael Samway
VP & Deputy General Counsel
EXHIBIT E
WEBLOG
The GIFT of giving
February 2nd, 2007 at 2:41 pm by Michael Samway, VP & Deputy General Counsel
In Trends & News
The crisp January air in Washington, D.C., is filled with the chatter of politics and foreign affairs. Ask a cabbie to drop you at the State Department — that venerable institution founded as the Department of Foreign Affairs in 1789 — and you'll get an unsolicited, loud, and lengthy opinion on U.S. foreign policy! Over the past year, I've visited the State Department a number of times for Yahoo!, principally meeting with Ambassador David Gross, Deputy Assistant Secretary Jeff Krilla, and their expert teams, all of whom are the lead thinkers behind the State Department's Global Internet Freedom Taskforce (GIFT) created in early 2006.
On Tuesday, I spoke on a GIFT panel on global free expression and the free flow of information. It was a special honor for me since I'd worked as a law clerk at the State Department Legal Adviser's Office nearly 15 years earlier. Back then as a wide-eyed intern, stepping into the State Department halls I pictured myself as a character in an elaborate John le Carré international mystery. This week's panel at the State Department was more technical Tom Clancy thriller, a state-of-the-art auditorium and an expertly moderated and sometimes provocative discussion on human rights, censorship, surveillance, encryption technology, data flows, and privacy rights.
A good-sized audience of about 80 people came to observe and participate, with many asking thoughtful and tough questions. In the crowd were technology and media companies, human rights groups, investor groups, academics, government officials, press, and concerned citizens. Despite spending nearly a year focused on this area for Yahoo!, with the diversity of participants and the passionate views on human rights, I wasn't sure what to expect from the discussion or the audience. Friendly? Hostile? New issues? Re-packaged ones?
On the first panel, a Ph.D. from the Berkman Center for Internet & Society gave a technical view of filtering and censorship challenges globally. A former State Department official and current senior vice president at investor Calvert explained just how an effective multi-stakeholder process can work. An analyst at investor F&C expounded on the findings of a recent study on access, security, and privacy. A senior leader at BSR compared previous voluntary initiatives and showed how complex questions involving sophisticated Internet technology may require new approaches to traditional human rights challenges. The tense moment on the first panel arrived when an Amnesty International representative opened his remarks by directly accusing Yahoo! and the other companies of cooperating with repressive regimes, including handing over information on political dissidents and limiting the free flow of information.
On the second panel, I joined representatives from the Center for Democracy and Technology, Human Rights First, Google, and Microsoft, and we each raised some of the vexing questions we all wrestle with in the field of business.
and human rights. Partly in response to comments from the first panel, I explained that we condemn the punishment of any activity internationally recognized as free expression and that the relationship between law enforcement entities and technology companies around the world is more complex than commonly understood. Rarely, if ever, will a company know the name, identity, or occupation of an individual connected to a user ID demanded by a law enforcement agency, whether in Munich, Mexico City, or Mumbai. What we do know is we protect user privacy through rigorous compliance practices and careful adherence to law governing government demands for user information.
In response to questions on challenges companies face where the free flow of information is restricted, I discussed our belief that the presence of companies like Yahoo! in markets abroad can have a transformative effect on peoples' lives and on local and national economies. Information is power. Access to information, especially through the Internet, has changed what people know about the world around them and about events, people, and issues that directly impact their lives day-to-day. People know more about local public health issues, environmental causes, politics, consumer choices, and job opportunities. They communicate and interact like never before with family, friends, neighbors, and people locally, regionally, and even globally with similar interests. And the Internet drives innovation across sectors, including in science, medicine, business, and journalism to name a few.
In a thoughtful Wall Street Journal piece from January 27, journalist Emily Parker noted that because of virtual assembly, or online gatherings, a democratic consciousness has developed inside places like China, despite broad limitations on free expression and the free flow of information. In short, information is empowering in both ordinary and extraordinary ways. It can be disruptive or even revolutionary. It's the single greatest reason certain governments fear open use of the Internet and the free flow of information.
The common theme from both panels was that responding to the challenges of restrictions on free expression and privacy globally requires collective action. At Yahoo!, we're fully committed. The more broad-based the response, the more effective and sustainable. The State Department's engagement and support through their own complimentary global initiatives, including GIFT, reinforces our belief we're moving in the right direction on behalf of the global community of Internet users. The positive partnership formed between companies, human rights groups, socially responsible investors, and academics — facilitated by BSR and CDT — makes us cautiously optimistic about the development of guiding principles and operational standards, for companies in our sector and eventually beyond, that will allow us to continue making profits with principle.
EXHIBIT F
2007 PRESS RELEASE AND WEBLOG
2007 PRESS RELEASE
Georgetown Receives $1 Million Gift From Yahoo! To Support Research on International Values and Communication Technology
Washington, DC -- Georgetown University announced today it has received a $1 million dollar gift from Yahoo! Inc. to establish a Yahoo! International Values, Communications, Technology, and Global Internet Fellowship Fund. The fund will support the education and research activities of an annual Yahoo! Fellow in Residence and two Junior Yahoo! Fellows who will study the link between international values and Internet and communication technologies.
"We appreciate Yahoo!'s generosity and look forward to entering a partnership that enables us to enhance our ability to address critical global issues and support research and scholarship that will inform business leaders, policymakers and others," said Georgetown University President John J. DeGioia.
"Yahoo! is excited about forming a partnership with Georgetown University on global values and technology. This commitment is another step in our efforts to be actively engaged on issues that arise at the intersection of human rights and the Internet," said Jerry Yang, Yahoo! co-founder.
"Yahoo! is currently participating in a multi-stakeholder dialogue that includes industry representatives, human rights groups, leading academics, and socially responsible investors. This diverse group has made a formal and public commitment to creating a set of global principles and operating procedures on freedom of expression and privacy to guide company behavior when faced with laws, regulations and policies that interfere with human rights."
Georgetown's first Yahoo! Fellow in Residence and Junior Yahoo! Fellows are expected to begin their research on campus during the fall 2007 semester. They will study how international values impact the development and use of new communication technologies such as how the operation and regulation of the global internet affects personal privacy, freedom of expression, education, socio-cultural change and cross-national contacts among civil society groups. The fund, which will support annual Yahoo! Fellows housed at the School of Foreign Service's Institute for the Study of Diplomacy (ISD) over the next eight years, builds upon the School's mission to foster academic-practitioner collaborations around key foreign policy issues.
Since 1981 ISD has hosted professional practitioners as Resident Associates to conduct research on the craft of diplomacy and related issues in foreign affairs. The Institute also supports undergraduate and graduate research on diplomatic issues through its Junior Fellowships in Diplomacy program. Recent research topics have included diplomatic efforts to resolve U.S.-South Korean relations and the U.S.-India civil nuclear cooperation agreement negotiations.
The Yahoo! Fellow in Residence will be a professional selected from the corporate, government and/or academic sectors whose interests relate to the interaction of communications technologies and national systems and practices, with an emphasis on countries rapidly expanding in the global marketplace such as China, India, Russia and Brazil. Junior Yahoo! Fellows will be selected among graduate students in the Master of Science in Foreign Service (MSFS) program. In addition to their research activities, Yahoo! Fellows will collaborate with faculty in the MSFS program to enhance curricular activities by contributing to guest lectures, special seminars, case studies and course modules.
"This gift complements our efforts in the School of Foreign Service to connect scholars and practitioners, and to share knowledge about critical issues in international affairs," said Robert L. Gallucci, dean of the Edmund A. Walsh School of Foreign Service. "The Yahoo! Fellows will continue to build upon our efforts to address the most pressing topics facing the global community."
**About the Edmund A. Walsh School of Foreign Service**
Founded in 1919 to educate students and prepare them for leadership roles in international affairs, the School of Foreign Service remains committed to intercultural understanding and service in the global arena, ideals held by its founder and first dean, the Rev. Edmund A. Walsh, S.J. For more information about the School of Foreign Service, visit [www.georgetown.edu/sfs/](http://www.georgetown.edu/sfs/).
**About Georgetown University**
Georgetown University is the oldest Catholic and Jesuit university in America, founded in 1789 by Archbishop John Carroll. Georgetown today is a major student-centered, international, research university offering respected undergraduate, graduate and professional programs on its three campuses. For more information about Georgetown University, visit [www.georgetown.edu](http://www.georgetown.edu).
**About Yahoo! Inc.**
Yahoo! Inc. is a leading global Internet brand and one of the most trafficked Internet destinations worldwide. Yahoo!'s mission is to connect people to their passions, their communities, and the world's knowledge. Yahoo! is headquartered in Sunnyvale, California.
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http://yhoo.client.shareholder.com/press/releasedetail.cfm?ReleaseID=237637
WEBLOG
Yahoos, Hoyas, and global values
Posted April 12th, 2007 at 7:26 am by Michael Sarwary, VP & Deputy General Counsel
No Comments / Filed in: Trends & News
Few places like a university campus buzz with such contrasts of relentless skepticism and unbridled hope, outward curiosity and elevated self-absorption, elegant theories and gritty realities. Georgetown University, boasting students from all 50 states and more than 100 countries, is a school alive with the energy of student and faculty discourse and scholarship on today's most vexing international topics.
I felt the energy there earlier this year while leading a discussion on Yahoo! and global values in a graduate seminar on ethics and international business at Georgetown's School of Foreign Service. The students asked tough and direct (and not unsurprisingly, diplomatic) questions about Yahoo!'s application of values-based decision-making in our global business operations, showing a sophisticated understanding of technology and human rights issues.
Back on our own buzzing campus, headquarters to a company with hundreds of millions of global users and offices in nearly 25 countries, we too have been actively engaged with issues that arise at the intersection of international human rights and the Internet. I've blogged a few times now on Yodel Anecdotal about our involvement in the broad-based dialogue focused on creating a set of global principles and operating procedures regarding freedom of expression and privacy.
Over the past six months, while traveling back and forth to Washington, D.C. for meetings with human rights groups, for rounds on Capitol Hill, and to present at the State Department, I also met with Georgetown leaders to discuss partnership opportunities in the area of technology and global values. And now, as a further step in our engagement on business and human rights issues, we're announcing a $1 million gift to Georgetown University to establish a Yahoo! International Values, Communications, Technology, and Global Internet Fellowship Fund.
The fund will support the education and research activities of an annual Yahoo! Fellow In Residence and two Junior Yahoo! Fellows who will study the link between international values and Internet and communication technologies. Georgetown will choose the Yahoo! Fellows from candidates in the corporate, government, academic, and civil society sectors with an interest in markets like Brazil, Russia, India, and China. We'll remain actively involved in the work of the Yahoo! Fellows, partnering with Georgetown in seminars, research, publications, conferences, and other engagements with students, faculty, policy-makers, and the public.
This initiative will complement the Yahoo! International Journalism Fellowship we established last year through a similar gift to Stanford University's John S. Knight Fellowships program. The Stanford fellowship focuses on journalists from press-restrictive countries, with the first fellow coming from Pakistan and next year's fellow coming from Zimbabwe. The first Yahoo! Fellow at Georgetown will start in the fall of 2007.
Georgetown's global reach and location in Washington, D.C., its prestigious School of Foreign Service, its reputation for international leadership, and the regular access it provides its students and faculty to legislative, judicial, and executive decision-makers, make it uniquely central in the debate on human rights and technology. We're excited about the productive possibilities for Internet users globally offered by a Yahoo!-Georgetown partnership.
Michael Sarwary
VP & Deputy General Counsel
http://ycorpblog.com/2007/04/12/yahoos-hoyas-and-global-values/ |
2024
HAPPY NEW YEAR!
Rich Zeck—Executive Director
Lee Adams —Chair
Sylvia Wheless—Vice Chair
Ray Franks—Treasurer
Sue Tidd—Secretary
Council on Aging
4551 County Home Road, Greenville, NC 27858
Phone: 252-752-1717
Fax: 252-752-9365
www.pittcoa.com
Rich Thoughts from the Executive Director
Greetings family and friends,
Yahoo! Happy New Year to us all! New year, new programs and new adventures. I thought last year was our best year ever, so topping it is going to be quite the challenge. You know what? We have the staff who look challenges in the eye and say, “BRING IT!”
On a serious note, as we begin this new year, let’s all remember why we do what we do. In one way or the other we are all blessed beyond measure. One only has to take a look around the state, our country and world to see, it could be so much worse.
We have a beautiful facility, compassionate staff, and volunteers that are rockstars. We are here to serve ALL people. Our mission is simple “enhance the quality of life for older adults.” It is not about numbers, though they are important, but rather about human beings, our friends, family, and people we call brothers and sisters.
This year let us be more mindful of one another. Let us greet more people and wish them well. Let’s come closer together to make our portion of the world a better place. The one place we can and will do this is here at the Council on Aging. Thank you for who you are and what you do, what you say, and what you do in those quiet moments.
Have a great day.
Blessings,
Rich
Rich Zeck
Executive Director
FOUR SEASONS CHAMBER MUSIC FESTIVAL CONCERT
Wednesday January 31
10:00am
Call 752-1717, x201 to register
NEW YEAR'S Resolutions FOR CAREGIVERS
Unwind after the holidays with Self-Care
Take a walk
Take more pictures
Try something new
Enjoy the little things
Sign-up for Caregiver’s classes at the Council on Aging!
Healthful Home Cooking
For One (or Two)
With Jill Jennings, MS, RDN, LDN
Wednesday, January 17
2:30-3:45pm
Call 752-1717, x201 to register.
Wood Carving
With Master Wood Carver, Leo Trujillo
Thursdays, February 15-March 28
1:00-3:00pm
$40
Call 752-1717, x201 to register.
Home Organization:
Conquering Clutter and Chaos!
Professional Organizer, Nicole Messina
Wednesday, January 10
2:00-4:00pm
Call 752-1717, x201 to register.
Wills and Trusts
With Charlotte-Anne Alexander
Wednesday, January 17
3:00-4:30pm
Call 752-1717, x201 to register.
Virtual Dementia Tour
Tuesday, January 23
2:00-4:00pm
Call 752-1717, x201 to register
Tours are approximately 20 minutes long.
Sewing: Strippy Pillow
Monday, January 8
9:00am-12:00pm
Cost: $15
Call 752-1717, x201 to register
LET’S GROW YOUR BUSINESS
Advertise in our Newsletter!
CONTACT ME
Rich Fernbach
firstname.lastname@example.org
(800) 477-4574 x3675
AMSlifts.com
Adaptive Mobility Solutions
Cargo lifts
Ramps
Wheelchair lifts
Wheelchairs
Scooters
Vehicle lifts
Stair lifts
And SO much more!
All your mobility solutions close to home!
601 W. 5th Street Washington, NC 27889
252-623-2102
For ad info. call 1-800-477-4574 • www.lpicommunities.com
Single and Ready to Mingle
Tuesday, January 16 | 2:00-3:00pm
Call 752-1717, x201 to register.
Stretch & Balance Class
Increase flexibility and balance through a series of exercises and movements. Must be able to stand for periods of time with no assistance. Exercise mat recommended, but not required.
Mondays | 12:30-1:15
Cost $4/session paid monthly
Shape Up & Get Fit!
An intense fitness workout that incorporates strength training and cardiovascular exercise. This class will challenge your mind and body as you alternate between high and low-intensity exercises focusing on the upper and lower body as well as the core. Free weights, resistance bands, and an exercise mat are necessary to participate.
Mondays, 10:00-10:50am | $4/Class
Call 752-1717, x201 to register.
Cardio Dance!
Wednesdays
11:15am-12:15pm
Move and groove to upbeat tunes during this fun, low-impact aerobic workout. Enjoy energizing full body exercise and movement while improving your endurance and coordination. Expect to sweat while burning calories and having a good time. No dance experience needed. Cost: $4
It’s Time To Get Fit!
**Yoga for Every Body**
Yoga for Every Body is a 45 minute class designed to improve balance, strength, and flexibility. Bring a mat, towel, and water, or simply use a chair if you can’t reach the floor comfortably.
**Tuesdays & Saturdays**
11:30am-12:30pm
Cost: Donation
---
**Chair Fitness Class**
Get fit and stay active with fun, chair exercise routines. Improve your strength, flexibility, and endurance while engaging in strength training and cardiovascular activities.
**Wednesdays**
10:00-11:00am
Cost: $1
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**Senior Fitness**
Join us for a fun, interactive strength training and cardio workout. Move and groove to great music while burning calories and improving your health. So, grab your water bottle and get ready to sweat!
**Every Tuesday & Thursday**
1-2pm
$1/class (paid monthly)
Registration Required.
752-1717, x201
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**Zumba Gold®**
Zumba Gold® is a low impact, high-fun dance workout. Join us to sweat and jam with Latin rhythms! Go at your pace, build confidence, and see great results in cardio fitness, strength, balance, and agility.
**Tuesdays**
10:30-11:30am
**Saturdays**
10:30-11:30am
Cost: Donation
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**Soul Line Dancing**
Get ready to move and groove to some fun line dances. Dance to soul and R & B music while working up a sweat and burning calories. Learn some of the most popular line dances.
**Every Monday**
11am-12pm
$4 per class/Paid monthly
Call 752-1717, x201 to register
We need YOU to help deliver meals to homebound adults in our community!
Training is Tuesday January 2 & 16 10am
Join our team for 2024! Call 752-1717
Clerical: Filing, data entry, reception
Instructors: Do you have a talent or skill you would like to share?
Landscaping
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Does Your Loved One Need Grab Bars?
We can have one of our experts conduct a home safety falls risk assessment. Call the COA for more details. 752-1717, x212
Room Rentals
Birthday Parties
Family Reunions
Anniversaries
Meetings
Three room sizes available to accommodate most groups. Book Now! Call 752-1717, x205
Greenville Center Regular Activities
| Monday | Tuesday | Wednesday |
|--------|---------|-----------|
| 9:00-9:30am Coffee & Conversation | 9:00-9:30am Coffee & Conversation | 9:00-9:30am Coffee & Conversation |
| 9:30-10:30am Reflections | 10:15-11:15am Bingocize/Fun and Fit | 10:30-11:30am Music |
| 11:30am–12:00pm Lunch | 11:30am –12:00pm Lunch | 11:30am –12:00pm Lunch |
| Thursday | Friday | Saturday |
|----------|--------|----------|
| 9:00-9:30am Coffee & Conversation | 9:00-9:30am Coffee & Conversation | |
| 10:15-11:00am Fun & Fit Exercise | 10:00-11:00am Bingo $1.25 per card | |
| 11:30am–12:00pm Lunch | 11:30am –12:00pm Lunch | |
| Monday | Tuesday | Wednesday | Thursday | Friday |
|--------|---------|-----------|----------|--------|
| 1 | | | | |
| New Year
COA Closed
No Meal Delivery | Beef Stew
Carrots
Bread
Stewed or Glazed Apples
Sugar Cookie
2% Milk | Asian Fried Rice
Cauliflower
Broccoli
Bread
Vanilla pudding
2% Milk | 100% Beef Patty
Cottage Fries
Cabbage
Bread
Fruit or Juice
2% Milk | Oven Fried Chicken Breast
Gravy
Sweet Potato Souffle
Collard Greens
Brussel Sprouts
Bread
2% Milk |
| 8 | 9 | 10 | 11 | 12 |
| Pulled Pork
Mac & Cheese
Creamy Coleslaw
Corn
Hamburger Bun
2% Milk | Cajun Chicken Thighs
Mashed Potatoes w/ Gravy
Brussel Sprouts
Green Beans w/Onions
Bread
Powered Sugar Dusted Spice Cake
2% Milk | Beef Baked Zita w/ Cheese
Peas
Roll
100% Orange Juice
Cinnamon Applesauce
2% Milk | Creamed Chicken
Macaroni w/Parsley
Beets
Bread
Fruit
2% Milk | Chili con carne w/Beans
Carrots
Brown Rice
Corn Chips
Strawberry Banana Yogurt
Fruit
2% Milk |
| 15 | 16 | 17 | 18 | 19 |
| COA Closed
No Meal Delivery | Italian Meat Sauce
Macaroni w/ Parsley
Peas
Cauliflower
Roll
100% Apple Juice
2% Milk | Herbed Pork Chop
Mashed Potatoes w/Gravy
Green Beans w/Onions
Carrots
Roll
Fresh Baked Oatmeal
Cookie
2% Milk | Peppered Fajita Meat
Sautéed Peppers w Onions
Flour Tortilla
Rice & Pinto Benas
Salsa
Bread Pudding
2% Milk | Ham & Blacked Eyed Peas
Greens
Sweet Cornbread
Warmed Glazed Apples
2% Milk |
| 22 | 23 | 24 | 25 | 26 |
| Roasted Herbed Turkey Breast
Bread Dressing w Gravy
Beets
Mashed Sweet Potatoes
100% Orange Juice
2% Milk | Chicken Breast Parmesan
Macaroni w/Parsley
Peas
Carrots
Roll
Vanilla Pudding
2% Milk | Stuffed Green Pepper Half
Corn
Sweet Cornbread
Fruit
2% Milk | BBQ Chicken
Mac & Cheese
Green Beans
Apple Blueberry Oat Crisp
100% Orange Juice
2% Milk | Country Patty
Mashed Potatoes w/Gravy
Broccoli
Bread
Fudge brownie
2% Milk |
| 29 | 30 | 31 | | |
| Beef Baked Ziti w/ Cheese
Peas
Roll
100% Orange Juice
Powered Sugar Dusted Spice Cake
2% Milk | Beef Stew
Carrots
Bread
Stewed or Glazed Apples
Sugar Cookie
2% Milk | Asian Fried Rice w/ Chicken
Cauliflower
Broccoli
Bread
Vanilla Pudding
2% Milk |
| Monday | Tuesday | Wednesday |
|--------|---------|-----------|
| **COA Closed**
**No Meal Delivery** | 9:00am-12:00pm Beginners Bridge
10:00-11:00am R Volunteer Training
10:30-11:30am $ Zumba Gold**
11:30am-12:30pm $ Yoga
1:00-3:00pm Knit & Crochet Group
1:00-2:00pm R $1 Senior Fitness**
2:00-5:00pm Card Games | 9:00-11:00am Beginner’s Chess
10:00-11:00am $1 Chair Fitness
11:15am-12:15pm $4 Cardio Dance
12:30-5:00pm Quilting Group
1:00-4:00pm R American Mahjong |
| 9:00am-12:00pm Rummikub
9:00am-12:00pm $15 Sewing
10:00-10:50am R $4 Shape Up
11:00am-12:00pm R $4 Soul Line Dancing
12:00-2:00pm Scrabble
12:00-4:00pm Scrapbooking
12:30-1:15pm R $4 Stretch and Balance | 10:00am-12:00pm Blood Pressure Screening
9:00am-12:00pm Threads of Love
10:30-11:30am $ Zumba Gold**
11:30am-12:30pm $ Yoga
1:00-3:00pm Knit & Crochet Group
1:00-2:00pm R $1 Senior Fitness**
2:00-5:00pm Card Games
6:00-6:45pm $10 R Ballroom Combo
6:45-7:30pm $10 R East Coast Swing | 9:00-11:00am Beginner’s Chess
9:30-11:00am Kiwanas
10:00-11:00am $1 Chair Fitness
11:15am-12:15pm $4 Cardio Dance
12:30-5:00pm Quilting Group
1:00-4:00pm R American Mahjong
2:00-4:00pm R Home Organization |
| **COA Closed**
**No Meal Delivery** | 9:00am-12:00pm Beginners Bridge
10:00-11:00am R Volunteer Training
10:00am-12:00pm Auditory Screening
10:30-11:30am $ Zumba Gold**
11:30am-12:30pm $ Yoga
1:00-3:00pm Knit & Crochet Group
1:00-2:00pm R $1 Senior Fitness**
2:00-3:00 R Singles
2:00-5:00pm Card Games | 9:00-11:00am Beginner’s Chess
10:00-11:00am $1 Chair Fitness
11:15am-12:15pm $4 Cardio Dance
12:30-5:00pm Quilting Group
1:00-4:00pm R American Mahjong
2:30-3:45pm R Healthful Cooking
3:00-4:30pm R Wills and Trusts |
| 9:00am-12:00pm Rummikub
10:00-10:50am R $4 Shape Up
11:00am-12:00pm R $4 Soul Line Dancing
12:00-2:00pm Scrabble
12:00-4:00pm Scrapbooking
12:30-1:15pm R $4 Stretch and Balance
7:00-8:00pm $6 Line Dancing | 9:00am-12:00pm Beginners Bridge
10:00am-12:00pm Mental Health Screening
10:30-11:30am $ Zumba Gold**
11:30am-12:30pm $ Yoga
1:00-3:00pm Knit & Crochet Group
1:00-2:00pm R $1 Senior Fitness**
2:00-4:00pm R Virtual Dementia Tour
2:00-5:00pm Card Games & Billiards
6:00-7:30pm Alzheimers Support Group | 9:00-11:00am Beginner’s Chess
9:30-11:00am Kiwanas
10:00-11:00am $1 Chair Fitness
10:00am-12:00pm Game On!
11:15am-12:15pm $4 Cardio Dance
12:30-5:00pm Quilting Group
1:00-4:00pm R American Mahjong
2:00-4:00pm R $5 Jewelry Class |
| 9:00am-12:00pm Rummikub
10:00-10:50am R $4 Shape Up
11:00am-12:00pm R $4 Soul Line Dancing
12:00-2:00pm Scrabble
12:30-1:15pm R $4 Stretch and Balance
7:00-8:00pm $6 Line Dancing | 10:30-11:30am $ Zumba Gold**
11:30am-12:30pm $ Yoga
1:00-3:00pm Knit & Crochet Group
1:00-2:00pm R $1 Senior Fitness**
2:00-5:00pm Card Games & Billiards | 9:00-11:00am Beginner’s Chess
10:00-11:00am R Four Seasons Orchestra Concert
10:00-11:00am $1 Chair Fitness
11:15am-12:15pm $4 Cardio Dance
12:30-5:00pm Quilting Group
1:00-4:00pm R American Mahjong |
| Thursday | Friday | Saturday |
|----------|--------|----------|
| 4 | 5 | 6 |
| 10:00am-12:00pm Acrylic Painting
10:00am-12:00pm Pain Mgmt Screening
11:00am-3:00pm Cards
12:00-1:00pm Older Relative Caregiver
12:00-4:30pm Canasta or Hand & Foot
1:00-2:00pm R $1 Senior Fitness**
1:00-3:00pm R $40 Beginner Wood Carving
5:30-7:00pm TOPS Weight Management | 8:00-12:00pm Farmers Market
10:30-11:30am $ Zumba Gold
11:30am-12:30pm $ Yoga | |
| 11 | 12 | 13 |
| 11:00am-3:00pm Cards
12:00-4:30pm Canasta or Hand & Foot
1:00-2:00pm R $1 Senior Fitness**
1:00-3:00pm R $40 Beginner Wood Carving
5:30-7:00pm TOPS Weight Management | 8:00-12:00pm Farmers Market
10:30-11:30am $ Zumba Gold
11:30am-12:30pm $ Yoga | |
| 18 | 19 | 20 |
| 10:00am-12:00pm Physical Therapy Screening
12:00-4:30pm Canasta or Hand & Foot
1:00-3:00pm R $40 Beginner Wood Carving
1:00-2:00pm R $1 Senior Fitness**
5:30-7:00pm TOPS Weight Management | 10:45-11:15am Bookmobile | 8:00-12:00pm Farmers Market
10:30-11:30am $ Zumba Gold
11:30am-12:30pm $ Yoga |
| 25 | 26 | 27 |
| 11:00am-3:00pm Rosie’s Cards
12:00-4:30pm Canasta or Hand & Foot
1:00-3:00pm R $40 Beginner Wood Carving
1:00-2:00pm R $1 Senior Fitness**
5:30-7:00pm TOPS Weight Management | 10:45-11:15am Bookmobile
7:30-10:00pm $6 Line Dance Social | 8:00-12:00pm Farmers Market
10:30-11:30am $ Zumba Gold
10:30-4:00pm Quilting
11:30am-12:30pm $ Yoga |
Key: $ = Fee
R = Registration Required
**Available Virtually by registering at 752-1717, x201
Drop in any day for Arts & Crafts, Billiards, Cards, Mahjong, or to use the Media Center.
++Call Amanda Biggs 252.414.3230
COA Open 8:00am-5:00pm M-F
Additional hours per class schedule
COA 2024 Trips
African American History Tour: 3 day/2 night includes lunch at the Sweet Home Cafe, dinner at Famous Ben's Chili Bowl, the National Museum of African American History and Culture, a guided African American History Tour, visit the Martin Luther King Memorial, and a guided tour of Washington.
February 21-23, 2024 $499 per person/double occupancy.
Lancaster, PA: 3 day/2 night includes a dinner at Shady Maple Smorgasbord, visit Shady Maples Farmers Market, Sight & Sound Theater Production, guided tour of Smith Farmlands, visit Kitchen Kettle Village, explore an Amish Farmers Market, and much more!
April 16-18, 2024 $499 per person/double occupancy.
Niagara Falls: 6 day/5 nights includes dinner at the World Famous Skylon Tower, the scenic Niagara Parkway, IMAX Presentation "Niagara: Miracles, Myths, & Magic", Hornblower Niagara Cruise, visit Niagara-on-the-Lake, Wine Tasting, Clifton Hill, evening view of the Falls Illuminated in the Colors of the Rainbow, and free time at Fallsview or Seneca Casino.
June 9-15, 2024 $999 per person/double occupancy.
Mt. Rushmore: 5 day/4 night package includes a Chuckwagon dinner and show, a guided tour of Rapid City, a visit to Mt. Rushmore, visit Custer State Park, visit the Amazing Crazy Horse Memorial, Bear County (a drive thru wildlife park), admission to Sanford Lab Homestake Visitor Center, tour historic Deadwood, Stav Kirke Norwegian Chapel in the Hills, guided tour of Badlands National Park, and more!
September 9-13, 2024 $2099 per person/double occupancy.
New Hampshire: 6 day/5 night includes a scenic railroad dinner along the shores of Lake Winnipesaukee, ride the aerial tramway to the top of Cannon Mountain, boat cruise on Lake Winnipesaukee, White Mountain Tour of the Notches and North, tour the Castle in the Clouds Mansion, and explore Wolfeboro and Weirs Beach.
October 6-11, 2024 $1099 per person/double occupancy.
Christmas in Charleston: 3 day/2 night includes dinner at the Charleston Crab House, holiday dinner cruise aboard The Spirit of Carolina, James Island Holiday Festival of Lights, Tea Tour and Trolley at the Charleston Tea Plantation, a visit to the Historic City Market, and MORE!
December 2-4, 2024 $499 per person/double occupancy.
FARMERS market
IS COMING TO THE COA!
Saturdays, January 6-February 24
8am-12pm
the Farmers Market
is temporarily relocating to
Room #107 of the Council on Aging!
Come shop with us!
For more information call Patricia: 570-460-7388
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SUPPORT OUR ADVERTISERS!
Did You Know the COA Has 6 Senior Wellness Centers in Pitt County!
Ayden
Senior Wellness Center
4354 Lee St. Ayden
9am-1pm
Bethel
Senior Wellness Center
7406 Main St. Bethel
9am-1pm
Farmville
Senior Wellness Center
3886 N. Main St. Farmville
9am-1pm
Fountain
Senior Wellness Center
6743 E. Wilson St. Fountain
9am-1pm
Greenville
Senior Wellness Center
4551 County Home Rd. Greenville
8:30am-12:30pm
West Greenville
Senior Wellness Center
1118 W. Fifth St. Greenville
9am-1pm
Games, Exercise, Music, Crafts, Special Speakers, & Lunch!
For more information call 752-1717.
(Assessment required for lunch)
Ain’t Too Proud to Beg: The Life and Times of the Temptations (Musical). Don’t miss your opportunity to witness this spectacular musical at the Durham Performing Arts Center (DPAC) in Durham, NC. This Tony award winning play follows the Temptations’ extraordinary journey from the streets of Detroit to the Rock & Roll Hall of Fame. In addition to seeing the musical, we’ll have dinner (not included) at a nearby restaurant before proceeding to the theater.
Thursday, Feb 8, 2024, $107 per person (Deposit: $53; Final due: 1/19/24).
Wine Tasting & Dinner at Gregory Vineyards. Escape the ordinary and dine at a 140 acre farm and vineyard in Angier, NC. Enjoy a glass of wine grown with local North Carolina grapes while learning more about the history of the farm. Pick some grapes, walk along the vineyard, and enjoy the waterfront view. We’ll also enjoy a delicious dinner (not included) on-site at Lane’s Seafood and Steakhouse.
Thursday, April 25, 2024, $60 per person (Deposit: $30; Final due: 4/1/24).
World Famous Crab Festival. Located at the historic Little River Waterfront in Little River, SC, the 41st annual World Famous Crab Festival is one of the largest festivals in the Southeast. Enjoy fresh, local seafood as well as scenic views and live music. Shop for unique arts and crafts, souvenirs, and gifts from local vendors. Indulge in a variety of seafood and non-seafood options, as well as other typical festival fare.
Saturday, May 18, 2024, $81 per person (Deposit: $40; Final due: 4/29/24).
Norfolk Bingo Cruise (Back by Popular Demand). Take-in scenic views of the US Navy’s Atlantic fleet and the city skyline during this two-hour bingo cruise in Norfolk. Enjoy live entertainment, an all-you-can-eat buffet, 3 games of bingo, and prizes for winners. You’ll have the time of your life as you enjoy good music, great fun, and a delicious buffet while cruising along the Elizabeth River.
Wednesday, June 19, 2024, $112 per person (Deposit: $56; Final due: 5/31/24).
FOR INFORMATION ON HOW TO BE PART OF THE FUN, CALL 752-1717, X201.
*No Refunds After Final Payment.*
Four Seasons Chamber Music Festival Lecture Series
Taught by Four Seasons Managing Director, Henry Michaels
Join us for an informative and engaging look at works featured in the concerts throughout the season. Lecture attendees will have special access to discounted tickets for the concerts at ECU’s Fletcher Hall.
Wednesday, February 7
Wednesday, March 13
Wednesday, April 24
2:00-3:00pm
Call 752-1717, x201 to register.
Kiwannis Club’s mission is to improve the lives of children. Would you like to help with this very rewarding endeavor? Come join us!
2nd and 4th Wednesday
9:30am at the COA.
For more info:
firstname.lastname@example.org
252-375-0588
Medicare Advantage Open Enrollment Period
If you’re in a Medicare Advantage Plan you can make changes between January 1st and March 31st.
Your Options:
• Switch to a different Medicare Advantage Plan with or without drug coverage
• Go back to Original Medicare and, if needed, also join a Medicare Prescription Drug Plan
For more information:
Medicare at 1-800-633-4227 or the NC Seniors’ Health Insurance Information Program (SHIIP) at 1-855-408-1212 or 252-752-1717 (Pitt County)
Source: www.medicare.gov
The Medicare Counseling Program in Pitt County is funded in part by the ECU Health Foundation and SHIIP.
Sewing: Piece Keeper Project Bag
Mondays, February 5 & 12
9:00am-12:00pm
Call 752-1717, x201 to register
Cost: $20, includes supplies
Personal Safety At Home and Out
Presented by the Greenville Police Dept
Refuse To Be A Victim.
Thursday, February 21
2:00-3:00
Call 752-1717, x201 to register.
SUPPORT THE ADVERTISERS that Support our Community!
Let’s Dance! February Schedule
With Dance Instructor: Sandra Casado
Tuesday's 2/6, 13, 20, 27
6:00-6:45pm American Tango
6:45-7:30pm Salsa
Wednesdays 2/7, 14, 21, 28
2:00-2:45pm Latin Dance Exercise
2:45-3:30pm Country 2 Step
6:30-7:15pm "Latin Combo"
Bachata & Rumba
7:15-8:00p West Coast Swing
Cost for each class: $10 per person or $18 per couple
2nd Friday Night Social Dance Party!
Join Sandra Casado on the 2nd Friday of each month for a 30 minute Dance Lesson followed by Open Dancing (Practice Party) that is Super Fun, Beginner Friendly & Interactive! (Dance Games)
All genres of music! | $10 per person or $18 per couple
No partner, No experience, NO WORRIES! Day: 2nd Friday, Time: 7-9:00pm
Blood Pressure Screening
Tuesday, Jan. 9 | 10am-12pm
Auditory Screening
Tuesday, Jan. 16 | 10am-12pm
Physical Therapy Screening
Thursday, Jan. 18 | 10am-12pm
Mental Health Screening
Tuesday, Jan. 23 | 10am-12pm
Nutritional Screening
Monday, January 22 | 10am-12pm
Jewelry Class
Wednesday, January 24
2:00-4:00pm | Cost: $5
Call 752-1717, x201
Bookmobile
Friday
January 19
10:45-11:15am
Sleep: Let’s Get Some!
Presented by Fran Smith
Wednesday February 7
2:00-3:00pm
Call 752-1717, x201 to register.
Reverse Mortgage
With Geri Wenstrom,
Reverse Mortgage Consultant
Tuesday, February 20
2:00-3:00pm
Call 752-1717, x201 to register.
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VISIT WWW.MYCOMMUNITYONLINE.COM
Thank you to all the COA Donors!
Al Muller
Betty Collins
Colleen Merena
Community Garden
Cristy Folk
G Parker
Gary Garner
Gina Briley
James Sullivan
Jessica Richardson
Judy Nelson
Karen Gagnon
Lily Backer
Immanuel Baptist Church
Les Gemmes Organization
Ron & Beth Stephenson
The Eddie & Jo Allison Smith Family Foundation
In Honor of Mike and Mary Hall
In Honor of Judith Schultz
Lori Gillis
Luverna Dixon
Michael Purser
Pam Coffman
Parker Overton
Robin Harrington
Stella Williams
Sylvia Wheless
Wesley Singleton
Whit Blanchard
William Coffman
Linda Mason
Diana & Mott Lin
2024 Council on Aging Holidays and Closings
Please note that on these days ALL Senior Centers will be closed & Meals on Wheels will NOT be delivered.
New Years Day January 1
Martin Luther King Day January 15
Good Friday March 29
Memorial Day May 27
Independence Day July 4
Labor Day September 2
Veterans Day November 11
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Visit our Website: www.pittcoa.com
Our mission is to enhance the quality of life for adults by providing access to a continuum of services, programs & resources that promote healthy living and independence.
The COA does not support or endorse any advertiser in the newsletter. |
ORDINANCE NO. 017333
AN ORDINANCE DESIGNATING TRANSPORTATION REINVESTMENT ZONE NUMBER THREE FOR EL PASO, TEXAS; DESCRIBING THE BOUNDARIES OF THE ZONE; PROVIDING FOR AN EFFECTIVE DATE AND A TERMINATION DATE FOR THE ZONE; NAMING THE ZONE “TRANSPORTATION REINVESTMENT ZONE NUMBER THREE, CITY OF EL PASO, TEXAS”; ESTABLISHING A TAX INCREMENT FUND FOR THE ZONE; AND CONTAINING OTHER PROVISIONS RELATED THERETO.
WHEREAS, on July 22, 2008, the City Council (the “Council”) of the City of El Paso, Texas (the “City”) unanimously endorsed the 2008 Comprehensive Mobility Plan (CMP) for El Paso; and
WHEREAS, the City desires to promote the transportation projects included in the CMP as well as other transit related projects, to be funded in whole or in part through the creation of Transportation Reinvestment Zone Number Three, as hereinafter more specifically defined and named, and with boundaries as hereinafter provided (the “Zone”), pursuant to the provisions of Texas Transportation Code, Section 222.106 (the “Act”); and
WHEREAS, the City has determined that the areas within the proposed Zone are unproductive and underdeveloped; and
WHEREAS, the City has determined that the creation of the Zone and the promotion of transportation projects within the Zone will cultivate the development or redevelopment of property in the area; and
WHEREAS, the proposed public improvements for the area within the Zone may include construction of new roadways, improvements to interchanges including new connections between existing roadways, aesthetic improvements including landscaping, public art, and murals, and pedestrian and transit improvements; and
WHEREAS, pursuant to Section 222.106(c) of the Act, the City may designate a contiguous geographical area within the City as a transportation reinvestment zone if the area satisfies the requirements of certain sections of the Act; and
WHEREAS, on April 6, 2010, the City Council adopted a resolution expressing its intent to create the Zone, setting a date for a public hearing, and authorizing the City Manager to publish notice of the public hearing; and
WHEREAS, notice of the public hearing to be held on April 20, 2010, was duly published in the *El Paso Times*, in its issues dated April 7, 2010 and April 13, 2010, in compliance with Section 222.106(e) of the Act; and
WHEREAS, a public hearing was held on April 20, 2010, in the City Council Chambers, El Paso City Hall, to consider the creation of the Zone and the benefits to the City and to property in the proposed Zone; and
WHEREAS, the Council hereby recognizes that there is no guarantee that the value of property in the Zone will increase, that any increases in value are dependent upon many factors which are not within the City's control, and that there is no guarantee of any tax increment, as that term is defined in the Act; and
WHEREAS, it is hereby officially found and determined that the meeting at which this ordinance was passed was open to the public, and public notice of the time, place and purpose of said meeting was given, all as required by Chapter 551, Texas Government Code;
NOW, THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF EL PASO:
Section 1. Short Title.
This ordinance may be known and cited as the "Transportation Reinvestment Zone Number Three Ordinance".
Section 2. Designating the Area as a Reinvestment Zone.
The area within the boundaries of the Zone is specifically described in Section 3 below, and officially assigned the name as designated in Section 5 below (which reinvestment Zone so described, named and designated are herein referred to as the "Zone").
Section 3. Description of the Boundaries of the Reinvestment Zone.
The Zone is made up of three (3) contiguous corridors. Attached hereto are Exhibit A, a narrative description of the boundaries of the three (3) corridors that make up the Zone, Exhibit B depicts each corridor within the Zone and Exhibit C is a listing of parcel identification numbers of the parcels included within each of the three (3) corridors that make up the Zone. Exhibits A, B and C are incorporated herein by reference for all purposes as if copied herein verbatim.
Section 4. Effective Date.
The Zone shall take effect immediately upon the passage of this ordinance, pursuant to Section 222.106(g)(2) of the Act and as specified in the Charter.
Section 5. Termination of Zone. Each Zone shall terminate pursuant to subsections 222.106 (j) and (k) of the Act.
Section 6. Assigning a Name to the Zone.
The Zone created hereby is assigned the name of “TRANSPORTATION REINVESTMENT ZONE NUMBER THREE, CITY OF EL PASO, TEXAS.”
Section 7. Tax Increment Base.
The tax increment base for the Zone is the total appraised value of all real property taxable by the City and located in the Zone, determined as of January 1, 2010, the year in which the Zone was designated as a Transportation Reinvestment Zone.
Section 8. Establishment of a Tax Increment Fund.
There is hereby created and established in the depository bank of the City, an ad valorem tax increment account for the Zone, to be called the “TRANSPORTATION REINVESTMENT ZONE NUMBER THREE, CITY OF EL PASO, TEXAS TAX INCREMENT FUND” (the “Tax Increment Fund”). Money in the Tax Increment Fund, from whatever source, may be disbursed from the Tax Increment Fund, invested, and paid as permitted by the Act or by any agreements entered into pursuant to the Act, or as otherwise authorized by law.
Section 9. Findings.
The City hereby finds and declares that:
(a) the areas within the Zone are unproductive and underdeveloped;
(b) promotion of transportation projects will cultivate development or redevelopment of the Zone;
(c) creation of the Transportation Reinvestment Zone will;
(1) promote public safety;
(2) facilitate the development or redevelopment of property;
(3) facilitate the movement of traffic;
(4) enhance the City’s ability to sponsor a project;
(5) significantly enhance the value of all the taxable real property in the Zone and will be of general benefit to the municipality; and
(d) the areas within the Zone meet the requirements of Section 222.106(c) of the Act, in that the Zone is a contiguous geographical area located within the jurisdiction of the municipality.
Section 10. Surplus Funds.
Pursuant to Section 222.106(l) of the Act, any surplus remaining on termination of the Zone may be used for transportation projects of the municipality in or outside of the Zone. In the event there is any such surplus, those funds will be dedicated to transit related improvements.
Section 11. Incorporation of Recitals.
The Council hereby finds that the statements set forth in the recitals of this ordinance are true and correct, and the Council hereby incorporates such recitals as a part of this ordinance.
Section 12. Severability.
If any provision of this ordinance or the application thereof to any circumstance shall be held to be invalid, the remainder of this ordinance and the application thereof to other circumstances shall nevertheless be valid, as if such invalid provision had never appeared herein, and this governing body hereby declares that this ordinance would have been enacted without such invalid provision.
READ, ADOPTED AND APPROVED this 25th day of May, 2010.
CITY OF EL PASO
John F. Cook, Mayor
ATTEST:
Richarda Duffy Monsen
City Clerk
APPROVED AS TO FORM:
Mark Shoesmith
Assistant City Attorney
APPROVED AS TO CONTENT:
William F. Studer, Jr.
Deputy City Manager
Administration and Financial Services
Transportation Reinvestment Zone Number 3 shall consist of the following area:
**Corridor 3.1: Northeast Parkway Corridor.** This corridor includes the parcels shown in Exhibit C, a list of parcel identification numbers of the Central Appraisal District in the proposed Northeast Parkway corridor beginning at the City Limits with Fort Bliss and ending at the New Mexico State Line in proximity to the connection with FM 3255.
**Corridor 3.2: Transmountain Road.** This corridor includes the parcels shown in Exhibit C, a list of parcel identification numbers of the Central Appraisal District adjacent to Transmountain Road beginning at Patriot Freeway (U.S. Highway 54) and ending at Railroad Drive.
**Corridor 3.3: Dyer Street.** This corridor includes the parcels shown in Exhibit C, a list of parcel identification numbers of the Central Appraisal District adjacent to Dyer St, beginning at the proposed Northeast Parkway (shown in Corridor 3.1) and ending at Transmountain Road.
Exhibit "B"
Depiction of Corridors 3.1, 3.2, and 3.3.
Map shows parcels of TRZ 3. Green parcels are excluded from the TRZ as part of the City Incentive Program.
Legend
- **TRZ_3**
- **Incentive Program Parcels**
TRZ No.3.1 Parcels
Map shows parcels of TRZ 3.1. Green parcels are excluded from the TRZ as part of the City Incentive Program. TRZ No.3.1 is NE Parkway (From the City limits with Fort Bliss to the New Mexico State Line)
TRZ No.3.2 Parcels
Map shows parcels of TRZ 3.2. Green parcels are excluded from the TRZ as part of the City Incentive Program. TRZ No.3.2 is Transmountain Road (From US 54 to Railroad Dr)
Legend
- TRZ_3.2
- Incentive Program Parcels
- TRZ_Corridor_3.2
- TRZ_Corridor_3.3
EXHIBIT B
Map shows parcels of TRZ 3.3. Green parcels are excluded from the TRZ as part of the City Incentive Program. TRZ No.3.3 is Dyer St (From Transmountain Rd to the proposed NE Parkway)
Legend
- TRZ_3.3
- Incentive Program Parcels
- TRZ_Corridor_3.3
- TRZ_Corridor_3.1
- TRZ_Corridor_3.2
Exhibit "C"
The parcel identification numbers of the Central Appraisal District for the parcels of property included in Corridors 3.1, 3.2, and 3.3.
017333
Exhibit C
The Parcel Identification numbers for Corridors 3.1, 3.2 and 3.3 are the El Paso Central Appraisal District’s 2009 Certified Values updated as of April 16, 2010.
X58099912000100
X58099912000400
X58099912008090
X58099912000300
X58099912100600
X58099912106000
X58199910200101
X58199910200300
X58199910100101
X58199910100301
X58199911200101
X58199911200450
X58199911200350
X58099910700100
X58099910800010
X58099910701000
X58099910700970
X58099910700850
X58099910700900
X58099910800000
X58099910800005
X58099911700100
X58099911706060
X58099911706000
X58199910200400
X58199910200110
X58199910100201
X58099912008040
X58099912100590
X5819991200201
X58099912008150
X58099912105900
X58199910200250
X58199910200275
X58199910100250
X58099912007910
X58099912100620
X58099911700300
X58099911700400
X58099912008125
X58099912800100
X58099912105780
X58099912803000
Exhibit C
The Parcel Identification numbers for Corridors 3.1, 3.2 and 3.3 are the El Paso Central Appraisal District’s 2009 Certified Values updated as of April 16, 2010.
| Parcel ID | Parcel ID | Parcel ID |
|-----------|-----------|-----------|
| F63499900203100 | C232999900804000 | D04799902902100 |
| D04799902901500 | R87699900100200 | R87699900102500 |
| T17299900303100 | D04799902901100 | M42599905703100 |
| F17099900101300 | M42599905304600 | T17299900504500 |
| M42599905600500 | X58199913000701 | D04799902902700 |
| T17299900302600 | R87699900202100 | M99899900100400 |
| M42599905206400 | C232999900604000 | F1709990102200 |
| C23299900801500 | M42599905601500 | M42599905700100 |
| M42599905704100 | S54699920006800 | T17299901208700 |
| T17299900304600 | T17299901108700 | M42599905600700 |
| T17299901100100 | S77599900404700 | M99799900101600 |
| T17299901300100 | D04799902901700 | D04799902606600 |
| C23299900803500 | S77599900404800 | M99699900602500 |
| C23299900800275 | M42599905600900 | M42599905602900 |
| M99899900100500 | T17299900908300 | F63499900202700 |
| T17299900404100 | P448999001J8600 | C232999008A0200 |
| F63499900202600 | M42599905601300 | M99899900100100 |
| R87699900200100 | C39899900103400 | M99899900100200 |
| X581999129A0175 | F63499900202900 | M99899900100300 |
| D04799902902500 | F63499900202500 | C39899900103300 |
| C74199903400100 | S54699920006900 | C74199900100100 |
| F63599900100100 | M42599905505600 | T17299900900100 |
| F63599900100500 | M99699900903500 | C232999008A0110 |
| F63599900100400 | T17299900305100 | D04799902903700 |
| F63599900100300 | F63499900202800 | T17299900803900 |
| F63599900100200 | M99699900802100 | T17299901308700 |
| F63499900203800 | F17099900101900 | F17099900100100 |
| R87699900104100 | T17299900301600 | F17099900101400 |
| F63499900202300 | F17099900101100 | F17099900101500 |
| D04799902903100 | M42599905701600 | F17099900101600 |
| P448999001Q0100 | D04799902902900 | F17099900101700 |
| M99699900500100 | T17299901008700 | F17099900101800 |
| M42599905602100 | X581999129A0144 | M42599905603300 |
| C74199903401000 | B35199901100300 | M42599905207300 |
| X58199913800110 | T17299900304100 | X58199913800106 |
| X58199913803005 | C74199903600100 | X58199913800105 |
| S77599900404900 | T17299900305600 | X58199913803001 |
| X581999129B0480 | M42599905403300 | X58099914300378 |
| X581999129A0143 | D04799902900900 | F63599900100000 |
| X581999129A0470 | F17099900101200 | M42599905702600 |
| X581999129A0101 | D04799902900700 | C74199903500300 |
| P448999001J8900 | M42599905602700 | T17299901400100 |
| P448999001G9100 | P448999001G8500 | B35199901100250 |
| P448999001F9500 | F63499900202400 | M42599905703600 |
| M42599905405300 | M42599905602500 | D04799902902300 |
| M42599905600100 | P448999001G8100 | F17099900102000 |
| D04799902904300 | C74199901409700 | T17299900303600 |
| D04799902904700 | S03399900104900 | M42599905603100 |
| T17299900504100 | P448999001F8900 | M42599905303100 |
| M42599905701100 | D04799902904500 | M42599905601900 |
Exhibit C
The Parcel Identification numbers for Corridors 3.1, 3.2 and 3.3 are the El Paso Central Appraisal District’s 2009 Certified Values updated as of April 16, 2010.
F17099900102500
S03399900205000
M42599905601700
T17299900804100
M42599905602300
D04799902900500
B35199901100200
B35199901100350
M42599905603500
D04799902900300
R87699900102100
X581999129A0179
M42599905503100
D04799902904100
C39899900103500
X581999129B0402
M42599905700600
D04799902903900
M99699900602700
S03399900703000
D04799902903500
M42599905600300
D04799902900100
M42599905702100
D04799902901300
D04799902901900
C39899900107700
P448999001H7200
T17299901200100
P60399900100100
M42599905100100
X58199913800120
B35199901100125
D04799902903300
F17099900102100
B35199901100310
T17299900404900
C23299900808000
C232999008A0100
T17299900302100
T17299901000100
M99699900802300
B35199901100150
M42599905601100
F63499900203000
D04799902904900
S54699920600100
P448999001K7900
P448999001L8600
B28999900100100
Exhibit C
The Parcel Identification numbers for Corridors 3.1, 3.2 and 3.3 are the El Paso Central Appraisal District’s 2009 Certified Values updated as of April 16, 2010.
| Parcel ID | Parcel ID | Parcel ID |
|-----------|-----------|-----------|
| X58099912903086 | C741999900109300 | C741999900300100 |
| X58099913102001 | P44899900200900 | X581999129A0132 |
| P44899900201950 | P44899900200800 | P44899900202300 |
| P44899900204400 | S03399900202900 | R69999900802000 |
| P44899900206850 | P44899900201700 | R69999900803000 |
| P44899900203600 | X58099913101401 | N46799900100700 |
| P44899900203400 | P44899900207100 | X58099912903473 |
| P44899900201800 | P44899900207200 | X58099913101775 |
| R69999900800100 | P44899900207400 | X58099913101750 |
| P44899900204200 | X58099912903295 | P44899900207000 |
| C74199903500100 | X58099912903190 | X58099912903470 |
| C74199903500200 | X58099912903080 | X58099912906540 |
| P44899900206400 | P44899900205000 | P44899900206100 |
| X58099912903430 | P44899900202000 | X58099912906490 |
| P85099900B00500 | X581999129C0440 | P44899900206250 |
| P85099900B00100 | X58099913101408 | X58099913101201 |
| X58099912906520 | P44899900202100 | S03399900203600 |
| P44899900200200 | P44899900203500 | X58099912906580 |
| X58099913100301 | N46799900100400 | P448999001H0110 |
| X58099913101801 | P85099900A00400 | X58099913101101 |
| P44899900201010 | P44899900200600 | P44899900201200 |
| P44899900206910 | X581999129A0130 | X581999129A0139 |
| P44899900208100 | X58099913101701 | P44899900203700 |
| X58099913101855 | P44899900200598 | P44899900207050 |
| X58099913100101 | N46799900101500 | P44899900203010 |
| N46799900101100 | P44899900203900 | X58099913200210 |
| X58099913100501 | P44899900200400 | X58099913200211 |
| X58099912903520 | X58099912903240 | |
| X58099912903450 | X58099912903200 | |
| P44899900207800 | X58099912903030 | |
| X58099913100801 | N46799900102200 | |
| X58099913100901 | N46799900101700 | |
| P44899900203100 | N46799900101600 | |
| X58099912903490 | P44899900203300 | |
| X58099913101853 | X58099913101305 | |
| X58099913101630 | N46799900100600 | |
| S03399900204000 | X58099912903280 | |
| X581999129C0450 | P44899900207300 | |
| N46799900100500 | X581999129C0438 | |
| X581999129C0453 | P44899900201900 | |
| X581999129C0435 | X58199913800107 | |
| X58099913200213 | X58199913802929 | |
| P44899900205800 | P44899900200117 | |
| P44899900206700 | P44899900200100 | |
| X58099913101745 | P85099900A00100 | |
| D41499900301000 | X58099912906500 | |
| D41499900301100 | N46799900101800 | |
| D41499900100100 | X58099912904290 | |
| D41499900103400 | P44899900206800 | |
| X58099912903290 | X58099913101725 | | |
Frogmobile helpers required at the Centennial Park duck pond. Call Lothar Voigt on email@example.com or 9371 9129 or the Frogwatch Helpline 0419 249 718.
**MEETING FORMAT for 1st June 2007**
| Time | Event |
|--------|----------------------------------------------------------------------|
| 6.30 pm| Green Tree Frogs *Litoria caerulea*, Dainty Tree Frogs *Lt. gracilenta, Lt. rubella & Lt. peronii*. “Lost frogs” are ready to collect. Bring your FATS membership card, and Amphibian Licence if you would like to give one of them a home. |
| 7.00 pm| Welcome and announcements. |
| 7.30 pm| Main Speakers: Andrew Lo: “A Frog Lover’s Search for Ecological Sustainability.” Marion Anstis “Kimberley tadpoles” and Wendy Grimm “The Pt Macquarie Cane Toad muster” |
| 9.00 pm| 5 Favourite Slides. Tell us about your recent frogging trips or experiences. If you have slides or other images, bring them along as well. Door prize and guessing competition, followed by light refreshments and pleasant conversation. |
**CONTENTS**
Last meeting’s speakers:
- George Madani and Henry Cook p2
- Marion Anstis p2
- Brad and Matt McCaffery p2
The Frogmobile p3
FATS AGM p3
Frogographic Competition p3
Frogbits and Tadpieces p4
Andrew Lo Frog lovers search p5
Toad in Loch Ness p5
CARA conference p6
Frog smuggling and Herpdigest p6
Chytrid fungus in NSW p6
Frogmail postcards p7
Sydney Growth Centres - Development threatens wildlife p8
Herpdigest p9
Media cuttings p10
Mistaking native frogs for cane toads p11
Field trips, committee contacts p12
Arthur White, our president, welcomed attendees to our April meeting. He introduced Karen Russell who has hundreds of Red-eyed tree frogs available. FATS regularly gets asked about the availability of *Litoria chloris* now there are plenty! See page 4 for more details.
Our main presenters were George Madani and Henry Cook, taking us on a lively and riveting adventure back to the research being carried out around Theda and Doongan Stations, near Mitchell Station in the Kimberleys. The nearest town is Kununurra, 500 K away. I have listed a few of their impressive slides below.
At Noolawayoo Creek Magnificent Tree Frogs, *Litoria splendida*, *Lt coplandi*, *Lt meiriana* and fast moving Velvet gecko *Oedura gracilis* were sighted. Laterally depressed species do well here, seeking refuge in rock formations. Excellent slides included python *Antaresia childreni* but no mammals were sighted. At Pangor Creek a feisty tree snake *Boiga irregularis* was photographed.
At Theda Station with its beautiful sunsets, many species were sighted. Baby crocs were seen more than 1 K from the nearest water. Other species photographed included the marbled black and yellow *Litoria rothii*, the reptile feeding Black Headed Python, *Crinia billingsia*, *Ctenotus inornatus* (snake food, skink), dark or marbled or bright green *Cyclorana australis*, gecko *Diplodactylus stenodactylus*, the “threatened” Yellow-bellied Sheathtail-bat *Saccolaimus flaviventris*, black palmed rock monitor *Varanus glebopalma*, Northwest Redfaced Turtles *Emydura australis*, Flood Plain Frog *Litoria inermis*, Giant Rocket Frog *Lt. weijalumensis*, the tiny 4 or 5 gram Dusky Leaf Nosed Bats, Woodworker Frogs far inside a cave *Megistolotus lignarius*, small populations of Merton’s Water Monitors and a feisty Giant Bluetongue caught in a tree *Cyclodomorphus maxima*.
At Doongan Station, which is not so densely wooded, species found included *Cyclorana longipes* and rare *C. cultripes*, *Lt. caerulea*, sticky *Notaden melanoscaphus*, frill necks, Rocket frogs, Rubellas, *Lt. taunia* (sp?), water pythons, a *Ctenotus* yet to be identified, Stores Monitors that live in groups of 10 to 12 individuals, each group living about 50 metres from each-other, Marbled Frogs, Ornate and Burrowing Frogs.
George and Henry may be going back in July to set up a cattle exclusion zone and observe changes. An inventory of species is being built to apply the best practice for cattle grazing and fire regimes.
Currently altered fire regimes and “woodification” need to be correctly managed, some areas are over burned and others such as at Cape York, not enough. Mosaic burning and independent needs for each area will be essential.
The FATS committee wish to thank George and Henry again for an enthralling, action-packed presentation.
Marion Anstis, author of the comprehensive field guide *Tadpoles of South-eastern Australia* spoke to us about her latest expedition and slides of the Mitchell Plateau and Prince Regent River areas, inaccessible other than by air. Whilst at Little Burton’s Falls, with its lush ferns, Marion has come across a gecko which may be undescribed. More on that later! Amidst cave paintings, Marion photographed *Litoria cavenicol*, the Cave Frog and its big lower jawed tadpole, heard choruses of *rothii*, saw boab trees, Olive Whip Snakes, and new species of *Lt. staccato* and *Lt coplandi*. Marion will be keeping us informed of the unidentified creek dwelling tadpole from Prince Regent, which may be undescribed and similar to *Litoria meiriana*.
Matt and Brad McCaffrey spoke about thier excellent slides of the FATS weekend field trip to Smiths Lake and Seal Rocks. Species sighted and photographed included Southern Leaf Tailed Gecko, Tusked Frog, *Lt. latopalmata*, cicadas, Redbacked Toadlets everywhere, carpet snakes, Wallum Froglets, a Common Death Adder creating great excitement as it wandered through the open field during a cricket match, Bibron’s Toadlet, *Pseudophryne* with its eggs, a Golden Crowned snake, *Uperoleia fusca*, Striped Marsh Frogs, Southern Angled Headed Dragon, *per ons. ferviensis, signifera, fasciolatus, timula, freycineti*, a night jar owl and a lace monitor *Varanus varius* – 20 herp species in all.
Arthur White spoke about threatened species *Neobatrachus pictus*. Does it occur between the Darling and the Anabranch of the Darling? It is found in SA but in the East the known species is *Neobatrachus sudelli*. It rained for the first time in seven years in that region. Mining companies are questioning whether *N. pictus* naturally occur in the area. During January 2007 the ponds were examined for signs of *N. pictus*. None were found. No photographic or calling records have ever been made of *pictus* in NSW. To keep *pictus* on the protected species list, proof will have to be found of its existence in NSW!
Amongst those who briefly spoke were Anthony Stimson, about the forthcoming Amphibian and Reptile Expo and new member, author and artist, Jane Davenport, about frogology, remnant forest conservation and her work.
A great day for getting tangled up at the Kite Flying Festival! And a beautiful Sunday on 22 April in Centennial Park. Around 800 people came to see the Frogmobile and to have a chat with us. They and the frogs kept our Frog Explainers Andrew Lo and Beth Raymond busy all day. It was Beth’s first time, but she is a teacher and took to the kids around her like a frog to water. Andrew taught me “ching waa”, which is frog in both Cantonese and Mandarin, but with my accent I was hopeless.
The Frog and Reptile Expo at Castle Hill went like a charm. We were there from Friday, 4 April till Sunday, 6 April, with Punia Jeffery, Annie Nielsen, Jason Luke, Grant Webster, Karen Russell, Lisa Tennyenhuis, Marion Anstis, Bee Hansen, Brad and Matt McCaffery and Rob Wall. Each day was a long day for all our helpers, because the crowd was great and in more sense than one! Lots and lots of people, and all of them frog- and reptile mad. Our Frog Explainers did a marvelous job. And the whole expo was quite something: amazingly big and varied and permanent-looking – and all that for just three days! We must give Anthony Stimson and his organisers top marks for the expo. Let’s hope that one day soon they will run another one!
The World Environment Day Expo at Warringah’s James Meehan Reserve will be (possibly “was” by the time you read this) on 23 and 24 May for school class workshops and on Sunday, 27 May for the community. If you can, spend a few moments on the Sunday in the shade under the Frogmobile, any time between 10am and 4pm.
Randwick Council’s Ecoliving Fair at the Randwick Community Centre in 27 Munda St. and is on Saturday, 16 June from 10:30am – 3:30pm. A froggy date for your diary.
Centennial Park, with the Frogmobile again by the Duck Pond, on Sunday, 15 July from 11am till 4pm. This is the last weekend of the school holidays.
Frogmobile helpers are like gold dust. The future depends on you. Please ring me if and when you can help (Lothar on 9371 9129 or Frogwatch Helpline 0419 249 728). L.V.
Kids can check out the green and golden bell frog on the Brickpit Ring Walk at Sydney Olympic Park.
FATS AGM NOTICE
The FATS AGM will be held at the beginning for the 3rd August 2007 FATS meeting, at 7pm. If you would like to ask questions about joining the FATS committee, please give any of us a call. Refer to the committee contact details in this newsletter.
We are an informal and friendly committee, who meet for about 3 hours, once every two months, currently Sunday afternoons, to discuss many frog related issues including the management of our organization, event management, the newsletter, the Frogmobile, future strategies and plans. There are a diversity of roles within the committee to accommodate your interests, skills and available time. You only need to devote whatever time you can spare. New committee members help develop fresh ideas and keep our organization interesting and fun. No previous experience or qualifications are required. Please contact our secretary Punia Jeffery or myself for further information or a nomination form. MW
2007 INAUGURAL FROGOGRAPHIC PRIZE
Do you have a favourite froggie photo or drawing?
Yes?
Post a copy to The secretary, FATS at PO Box 296 Rockdale NSW 2216 or email the Editor of Frogcall. Entries to arrive no later than 15 July 2007. Please include your name, age and contact details. All entries must be the entrant’s own work. Maximum, six entries per person. Entries will be judged by the FATS committee and may win a small prize, appear in future FATS publications and our web site.
Categories:-
1. a Best frog photo (all ages)
b Best frog photo (under 16 yrs old)
2. a Best frog artwork ie drawing, cartoon or painting (all ages)
b Best frog artwork (under 16)
3. a Most interesting image (all ages)
b Most interesting image (under 16)
4. A “people’s choice” award will be judged at the August meeting of FATS. (open to all ages)
The FATS Committee
FATS at the Easter Show: Monica and Bill gave two half hour frog talks on 4 April, and Grant and Chloe gave two more on 13 April. Needless to say, they were running into open doors, with a dead-keen audience at the Flower and Garden (Horticultural) Pavilion. Several eco friendly organizations had displays within and surrounding the Horticultural Pavilion, such as Jane Davenport’s “Garden Guardians”. Bill Wangmann signed Jane up as a FATS member. She is a fully fledged propBUGanderist and had a display of the secret bug world that exists at your toe tips. Permaculture North representatives also took a keen interest in the FATS presentation (see articles below).
Do frogs attract snakes in rural areas? Julie from Coonabarabran was wondering about that. Yes, they do, Julie. Frogs are tasty, and many snake species are at least occasional frog eaters. Some start off eating frogs and small lizards and later switch over to mammals and birds only. But they might still like to come to the water anyway, especially when a drought is on. In winter, snakes don’t eat in cold areas although they might still come out occasionally to sun themselves, but they won’t be out after dark then. Even in the warmer months, snakes tend to give up looking for frogs after midnight and they go home then, especially the smaller snakes that feel the chill of the night first.
Tons of baby Red-eyed Green Tree Frogs! Karen Russell is our FATS member who has, together with Jason Luke, bred and raised them. If you have a keeper’s licence and want to buy some baby ones, you can contact her on 0407 297 728 or firstname.lastname@example.org. Or get some from her at the next meeting on Friday, 1 June. And thank you, Karen, for having donated a cageful of them for the Frogmobile!
Do you have any frog stories or frog encounters you might like to share with Jane Davenport for her next book? Jane is a small creature artist from Byron Bay. She is a brilliant award winning photographer, exhibiting large scale outdoor photographic installations, insect expert, nursery and garden young achiever in 2005 and columnist, eager to take the “creep out of crawly”. She talked about the Perth Frogology project at the last meeting. You can contact to her on (02) 6680 8550 or email@example.com
Permaculture North was at the Easter Show and is a dynamic non-profit organization run by volunteer members who are passionate about achieving healthier and more sustainable lifestyles through permaculture design and sustainable living practices. They meet the third Monday of every month except January at the Ku-ring-gai Centre for Seniors 259 Pacific Hwy, Lindfield. Contact firstname.lastname@example.org PO Box 1145 Chatswood NSW 2057 9412 3294
The Bell Frog site at Sir Joseph Banks Reserve in Botany was thought to have gone extinct. It appears they are being sighted there again!
Heaps more Frog Wrangler stories on www.aqob.com.au, the 2SER (FM107.3) radio “A Question of Balance” website. Tune in on Tuesdays at 9am, or download Arthur White’s 5-minute talks at will. Joe Dimech downloads these audio clips to his iPod, ready to take them to the swamps. (He has now also stuck an external mike to his video iPod and will use it to record frog calls.)
MP3 sound file traffic is on the increase. This year the Frogwatch Helpline has received quite a few of them as email attachments, which helps greatly in identifying the frogs. Grant and gave two half hour talks at the Flower and Garden pavilion.
Pacific Coast Produce - Eco Bananas is one of the few banana plantations collecting and returning frogs to the farm. When the bananas are dehanded and placed into the tanks of water, any frogs found are placed in special containers. Frogs are counted, recorded and released back to the paddock at the end of each day. Hygiene is critical, not to pass on any disease. There are separate trays for different frogs and sizes as some larger ones will eat smaller ones. Only farmers who are genuinely interested in frog habitat preservation should attempt to collect and release frogs in this way. Containers need to be clean and disease free. There needs to be commitment to release the frogs daily, not keep them until packing is finished in 3 or 4 days etc These types of operational issues cost to the business, and if it is not valued by the business and staff then it becomes a liability to the frogs.
Pacific Coast Produce and Eco Bananas Innisfail can be contacted on email@example.com
Inspecting for the presence of beneficial insects, an essential part of the Integrated Pest Management system which places emphasis on biological control of pests http://www.eco-banana.com.au/story.html
Aust Fauna Resources sell mice and rats of all sizes: a pack of 10 pink mice is $7.50 while a pack of 5 pink rats is $6.35. They have juveniles and adults as well. Adult mice were $7.20 for 5, and $16.50 for 3 large rats. Bulk crickets eg. 1000 large, 1500 mediums, 2000 small or 4000 pinheads were $51.00. They also sell flies. They only sell in bulk produce, so if your organization or group are interested, please contact AFR on 0429 900 443 or email firstname.lastname@example.org to arrange purchase.
A FROG LOVER'S SEARCH FOR ECOLOGICAL SUSTAINABILITY
This is the frog talk you are going to get at our upcoming meeting. When I asked Andrew Lo (remember the ink painting on the last FrogCall's front page? That's him), when I asked him what he meant by being a frog lover (after all, he does have a reputation with them), he was kind enough to send us a brief taster. Here it is. (L.V.)
The market driven industrial economy, which provides us with our daily bread, is a wholly owned subsidiary of the "Great Economy": the economy that sustains the total web of life on Planet Earth. The talk will focus on current challenges as well as positive developments that may enable these two life support systems to become good bedfellows, with complementary sweet dreams for the future of the planet, rather than having separate nightmares. The talk will be based on the personal perspective of a passionate frog lover who has a day job as a dispassionate environmental academic bean counter.
About Andrew Lo: Andrew is a Hong Kong born and bred Australian Chinese. Andrew came to Australia as a tertiary student and he completed his B.A. (Hon) at the University of Melbourne in 1968 and his M.A. (Hon) at the University of NSW in 1971. He subsequently became a member of the UNSW's academic staff. Andrew taught environmental economics for many years to students in the School of economics, as well as the University's Institute of Environmental Studies.
Andrew was Secretary of NSW ANGFA at its inception and he has been involved in an ongoing campaign with members of the Save Manly Dam committee since 1998 to conserve a landlocked population of *Galaxias brevipinnis* in the Manly Dam catchment.
Andrew also has a night job as a Chinese brush and ink painter of the Australian bush and his nature based art works have been exhibited in China, Hong Kong, Singapore, Korean, Japan, London and New York.
TOAD FOUND DEEP DOWN IN LOCH NESS
US researchers carrying out a sonar survey of Loch Ness have been amazed to find a common toad crawling in the mud 324ft (98m) down.
The Massachusetts Institute of Technology (MIT) has been attempting to unravel the mysteries of the loch. However, MIT said it did not expect to come across the amphibian so far down.
Bob Rines, a lecturer at MIT, will tell the Oceans 07 engineering conference in Aberdeen about the toad and the survey next month. Conference chairman Professor John Watson, of the University of Aberdeen, said: "They were surprised to find a toad at that depth." MIT said it had completed a side-scan sonar map of the entire length of the loch - which is about 750ft (228m) at its deepest point. 'Picturesque patterns' The data has been compared with a geological map of the bottom made by Sir Edward Murray using plumb lines 100 years ago.
The institute said the scan was part of its continuing efforts to find animal remains preserved at the low temperatures at the loch bottom that might explain unusual sightings on the surface.
Professor Watson's presentation to the conference will cover details of how the loch has changed over the past century. This includes "picturesque patterns" in the silt caused by water pumps for a hydroelectric plant.
http://news.bbc.co.uk/2/hi/uk_news/scotland/highlands_and_islands/6618995.stm forwarded to FATS by Andrew Nelson Oceans 07 takes place from 18 June to 21 June at the Aberdeen Exhibition and Conference Centre
On Saturday the 5th of May, 2007, the 2nd Care of Australian Reptiles and Amphibians Conference was held in the Baulkham Hills Council Function Room. Also known as the CARA Conference, it was again a great success. Participants could also visit the Reptile and Amphibian Expo during their breaks, which was on concurrently at the Castle Hill Showground nearby, where the Frogmobile was on display.
Conference sessions featured keynote talks by John Weigall on future directions in Australian Herpetoculture and Craig Latta on the conservation and captive breeding of the Mary River Turtle. Veterinary pathologist Dr Tony Ross, led a session of three talks into reptile and amphibian health. For the avid breeder there was a series of experts covering information on cutting edge herpetocultural techniques for a range of snakes, lizards, turtles and frogs. It was an exceptional opportunity for both experienced and novice herpetoculturists alike. The talk on Lace Monitor Breeding by David Kirschner (with live videos of pairs of monitors courting on the carpet and on the bed in David’s home!) proved very entertaining and it was great to have the input of a veterinary pathologist (Dr Tony Ross) as well as all the other interesting talks on herp culture.
**Conference Speakers were:**
- **Kieran Aland** - Hygiene and Quarantine
- **Craig Latta** - Conservation: The Mary River Turtle Story
- **John Weigel** - Future Directions in Australian Herpetoculture
- **David Kirshner** - Lace Monitor breeding
- **Dr Tony Ross** - Reptile Viruses
- **Simon Watharow** - The Art of Snake Catching
- **Peter Comber** - Small Elapids
- **Steve Comber** - Geckos
- **Brad Walker** - Coastal Carpets
- **Adrian Hemens** - Green Tree Python keeping & breeding
- **Marion Anstis & Prithi Nambiar** - Frog Zone: a wetland creation project for the school and community
The **Frog Zone** project was the only frog talk, but it went over well and there was a lot of interest in this education program, with its kit comprising a Teacher’s Manual, 2 CDs for construction details and extra resources such as the Life Cycle of an Australian Tree Frog and how to make your own interactive database for monitoring life at your pond area, plus a children’s story ‘Torpie the Tadpole’ (life cycle of Littlejohn’s Tree Frog for children grades 2-4), posters stickers etc. The kit is available for $79.95 from Centre for Environment Education: Prithi Nambiar Executive Director
**CEE Australia Inc PO Box 42 Lindfield NSW 2070**
**Telephone:** (02) 9416 0432 **Fax:** (02) 9416 2583
**FUNGUS THREATENS FROG POPULATION**
Australia's frogs are under attack from a deadly fungal disease. Researchers from Griffith University in Queensland have recently completed a study of frogs from Cairns to Melbourne and say the deadly chytrid fungus is firmly established in frog populations throughout eastern Australia. Jean-Marc Hero from Griffith's Endangered Frog Research Centre says if the disease spreads further, one-third of the world's 6,000 amphibian species could be threatened with extinction. "Frogs are probably the most threatened group of vertebrates on the planet at the moment," he said.
"Hundreds of species worldwide have disappeared in the last 20 to 30 years and so as a biological indicator of the environment, we're very concerned."
http://www.abc.net.au/news/newsitems/200705/s1911318.htm forwarded to FATS by Stephen Weir
**SMUGGLING OF FROGS ON THE RISE (INDIA)**
The smuggling of frogs from the North East to China and Europe has increased. Frog legs are one of the better-known delicacies of French and Chinese cuisine and bull frogs in particular are much sought after for their meaty hind legs.
Recently the railway police seized a container filled of endangered bull frogs from a local train coming from the North Cachar Hills, which say they were meant to be smuggled. The 71 frogs that were seized have now been released. There may be no accounting for taste but these amphibians play a more meaningful role in their natural habitat rather than when served with white wine.
Less than 50 frogs are needed to keep an acre of a paddy field insect free. Decline in the number of frogs means increased pesticide use and spread of insect-borne diseases like malaria and encephalitis. Concerns mount. India was France's biggest supplier until it banned frog exports in 1987 because the cost of importing pesticides was greater than what the export of frog legs fetched. It is protected under schedule 4. Wildlife crime is increasing. (extracts) NDTV-Kishalay Bhattacharjee Friday, 13/4/2007 (Guwahati)
Herpdigest
EVEN IN LOWLANDS, PROTECTED AREAS FROGS, AMPHIBIANS AND RELATED SPECIES ARE SUFFERING FROM CALAMITOUS POPULATION DECLINES, POSSIBLY AS A RESULT OF CLIMATE CHANGE
Frogs and their fellow amphibians are disappearing worldwide and no one knows exactly why. In some areas, encroaching human activity has caused habitat changes or loss. In mountainous regions, a vicious fungal infection—chytridiomycosis—has wiped out entire populations. But scientists had assumed that amphibian populations in protected, lowland areas were fine, continuing much as they have for millions of years. According to a new paper, though, they were wrong. Biologist Steven Whitfield of Florida International University in Miami and his colleagues collected long-term data from the La Selva Biological Station in the Caribbean lowlands of Costa Rica. Surveys of amphibian and reptile populations stretch back to 1970 and, by compiling this data, Whitfield and his colleagues detected a calamitous decline that no one had noticed: a 75 percent drop in the total amount of amphibians over that 35-year period. The decline is all the more ominous for not having a precise cause, the researchers reveal in the current Proceedings of the National Academy of Sciences USA. No sign of fungal infection was found and no habitat loss has taken place. Whitfield and his colleagues can only surmise that perhaps climate change has reduced leaf litter, the cover the declining amphibians and reptiles rely on to survive. Herpdigest (extracts) Scientific America.com, 16/4/2007, By David Biello
Just returned from a 3 night (package) at a resort just north of Forster. I selected this particular resort for our school holiday break after reviewing the resort’s website. Alas, things are not always what they seem. This was confirmed after an initial reconnaissance of the facilities immediately after arrival (and upfront payment).
Of particular interest was the resort’s spa. It was noted after a brief inspection that the spa had been colonised by frogs and tadpoles (possibly *Litoria freycineti*, the Wallum Rocket Frog) and as such was unlikely to be suitable for bathing purposes much to my daughters’ disappointment.
However, I turned my daughters’ sad faces around by purchasing a couple of small nets and they went about catching the tadpoles (which were already morphing) and later transferring them to an overgrown pond approximately 30m away.
So the story had a happy ending, for the frogs at least.
Attached are photos of my daughters Avalon (7) and Sofala (5) in the process of collecting the tadpoles. Sofala, when at the age of 3, was auctioned off at a FATS meeting by Arthur White - but we got her back. She had a habit of standing next to Arthur out the front when Arthur was addressing the meeting.
**Paul Vogt**
---
I refer to our conversation last night regarding the frogs that have been breeding in the backyard pool of an abandoned house. The house has now been sold to a friend of ours, however, the Blue Mountains City Council have ordered for the pool to be drained. The pool is alive with tadpoles and frogs! Luckily the new owner of the property is a frog lover too and is more than happy for us to ‘rescue’ the little guys prior to the pool being drained.
I have attached some photos of the frogs that were captured today for identification. I look forward to hearing from you when convenient. (AW: baby Peron’s or possibly Tyler’s Tree Frogs). Would it be fair to expect some death as a result of us having to capture them? Certain death awaits if the pool is drained! It seems a shame, as they all appear to be thriving in their own little eco system within the confines of the pool area! Yet another struggle for our amphibian friends to cope with.
**Neil Cubitt & Kelly Garlick Springwood, Blue Mountains**
ENVIRONMENTAL IMPACTS PROPOSED BY THE DRAFT CONSERVATION PLAN FOR THE GROWTH CENTRES
http://www.news.com.au/dailytelegraph/nsw_act/http://www.news.com.au/dailytelegraph/story/0,22049,21511340-5006009,00.html
You can send a letter to the Editor of the Tele at this link http://www.news.com.au/dailytelegraph/yoursay/ or you can post a general comment in the feedback section at the bottom of the story. The Tele could push this along if they get a strong response and we may get some concessions out of the Government.
If you haven't yet viewed the draft Conservation Plan for the Growth Centres it is a two edged sword. Massive areas of Endangered Ecological Communities can be cleared if the Minister issues Biodiversity Certification for the Growth Centres. Yet to offset that loss, a $530 million developer funded offset program is being set up to mitigate the loss of this vegetation. 75% of that fund is to be spent outside the Growth Centres acquiring and protecting vegetation of equal or higher conservation value. This offset program wasn't mentioned in the Tele story. The problem with the offset program is the funds may not be available immediately as it is tied to housing development therefore land clearing will occur first and environmental protection may take years. The Government needs to commit immediate funds to acquire bushland and mitigate these losses and then be reimbursed later as the funds come on stream from the inevitable development. Regards Geoff Brown 0431 222602
In danger ... conservationists fear developers could hack into woodland like this. The Daily Telegraph
DEVELOPMENT THREATENS WILDLIFE
THE State Government plans to give companies the power to build massive residential developments in growth areas without considering their impact on threatened species at each site. The growth centres, northwest of Blacktown and west of Liverpool, are part of the Government's 25-year, staged land release program to accommodate greater Sydney's growing population with about 181,000 new homes.
Is development out of control? Tell us via the feedback form below.
The draft Growth Centres Conservation Plan, currently open for public comment, aims to pinpoint key areas and species in need of protection through an all-encompassing "biodiversity certification" and do away with individual, site-specific impact assessments.
Conservationists are concerned the certification is based on old, aerial mapping of the areas and may be flawed.
"The environmental assessments that this plan is based on is, at best, dodgy," local activist Geoff Brown said.
"There's holes in it all over the place and it's absolutely devastating for the environment."
About 1300ha of endangered Cumberland Plain woodlands would be cleared under the plan to make way for the developments.
There are fears an endangered rice flower, the downy wattle, and a land snail native to the area, will be affected by the clearing.
The Nature Conservation Council of NSW said only a small amount of land outside existing flood plains would be protected and any remnant bushland smaller than 4ha would be disregarded because it is deemed too difficult to manage.
"The conservation plan will protect some areas, yet the majority of this is already protected through land that is flood-prone," NCC executive director Cate Faehrmann said.
"(Biodiversity certification) will enable threatened species protection to be turned off, undermining the Threatened Species Act," she said. "A species impact statement for 1ha of land is sometimes more thorough than the assessment outlined under the growth centres."
This will be one of the first times "biodiversity certification" has been used in NSW, but it is likely to be rolled out in other development areas in future.
The state Department of Environment and Conservation said it expected people to have some reservations about the scheme.
"We don't blame people for being concerned, but it's a system with tremendous potential," a department spokesman said.
It was more effective than site-by-site impact statements because it provided a wider view of an area, the spokesman added. By Saffron Howden
The Daily Telegraph April 06, 2007
Is development out of control? You bet it is and who is to blame? The NSW Government.
The massive Nth and Sth West Growth Centres are a major plank in the NSW Governments Metropolitan Strategy, a 25 year plan which the Government assures us will deliver jobs, housing and environmental protection. But as usual, if the Growth Centres Conservation Plan is anything to go by, these plans are just mere rhetoric and its business as usual with the environment seen as just an impediment to economic growth and so called progress. This plan if allowed by Phil Koperburg will allow developers to clear over 12% of all remaining Cumberland Plain Woodland and over 13% of all remaining Shale/Gravel Transition Forest. This is like allowing 12% of the total tiger population to be destroyed and this is happening in Sydney.
Biodiversity Certification by the Minister is a broadbrush solution that allows a massive area approval to developed. One would assume that every part of that area to be issued with Certification would have been thoroughly assessed by experts on the ground. Only after this occurred could the Minister be assured that this his decision was based on the most rigorous scientific assessment. But what is happening under this plan?
There has been minimal on the ground assessment by ecologists because it costs too much, instead they have relied on old data from a handful of random site inspections and aerial photography done for the National Parks and Wildlife Service, this aerial mapping doesn't pick up the smaller endangered species only the canopy cover of trees. So this is hit and miss methodology and this is the so called 21st century solution this Government offers up as environmental protection. The conservation plan talks about raising $530 million dollars from developer levies to mitigate the loss of the endangered vegetation. Most of that money is to be spent offsetting the loss of bushland elsewhere in Western Sydney by acquiring bushland of similar or better conservation value. However, nowhere in the plan does it say what patches of bushland outside of the Growth Centres are to earmarked for acquisition and protection.
The whole plan comes in at around 60 pages, the whole Growth Centres covers over 20,000 hectares. I urge the Telegraph to keep on the back of the NSW Government about this issue. Sure we need housing but not at this cost to the environment. The Minister can't approve this plan unless he is satisfied that a 'maintain or improve' outcome is achieved by it.
Please get him to explain how the loss of 1900 hectares of Endangered Ecological Communities maintain and improves the environment of Western Sydney.
Ask him to identify the bushland outside the Growth Centres that need urgent protection and insist that he commits urgent funding to protect these areas from more of this devastation.
Posted by: LC of Cranebrook 4:08pm April 06, 2007
TREE FROGS USE GEOMETRY TO HANG ON
The ability to stick to smooth objects and detach when needed is a perpetual game of geometry for tree frogs, which repeatedly adjust the angle of their toes with respect to the surface. White's tree frogs-originating in Australia and Indonesia and capable of growing to almost 5 inches-maintain their grip on surfaces by keeping the angles of their toe pads below 90 degrees, according to a new study presented earlier this month at the annual meeting of the Society for Experimental Biology in Glasgow, Scotland.
"The toe pads of tree frogs are coated with thin mucus which adheres to surfaces by wet adhesion, like wet tissue paper sticking to glass," said study leader Jon Barnes of the University of Glasgow. Rather than a mechanical force, such as air suction, adhesion relies on the attraction between molecules of its toe pads and those along the walking surface.
The tree frogs, which range in color from light blue to emerald green and gray, can stick to leaves and trees even when they are tilted downward, which would typically make more of a slide than a steady platform. The frogs can also detach their toe pads in a snap to jump elsewhere when needed. "The process by which they detach their toe pads is called peeling and is akin to us removing a sticking plaster from ourselves," Barnes said, referring to adhesive bandages.
To investigate how these gravity-defying amphibians can both stick and peel, Barnes and his team measured the adhesive and frictional forces created by the frogs' toe pads when placed at different angles. Adhesive forces weakened at steep angles above 90 degrees. So when the frogs needed to stay stuck to a surface, they kept the angle of their toes with respect to the surface at low values, and when the time came to detach they increased these angles. By Sara Goudarzi
LiveScience Staff Writer 4/9/07
www.herpdigest.org
CAMPAIGN HAS BEEN LAUNCHED TO SAVE JERSEY'S INDIGENOUS TOAD.
The crapaud is believed to have disappeared from Guernsey, and the population is also falling in Jersey. A study has found that high nitrate levels in ponds because of intensive agriculture have forced toad populations to the edges of the island.
Toad Watch campaigners are urging residents to make their gardens more toad-friendly by adding ponds. The toads were once a familiar sight inland. A three-year study into crapauds has found most in the south east, south west and near town. Amphibian conservationist John Wilkinson is leading the study, which is due to be completed in 2008. Toads (Jersey Island, U.K.)BBC 2/22/07
www.herpdigest.org
AUSTRALIA has a proud tradition of making silk purses out of sows’ ears, but according to a new book, some things – such as the Australian dead and wounded in World War I, the stolen generation and cane toads – are impervious to spin.
*The Great Mistakes of Australian History* outlines Australia’s worst errors in judgement, our biggest blunders, and the failings that stained and strained the nation.
The book’s editor, Martin Crotty, a history lecturer at the University of Queensland, says the top 13 had been chosen for their ability to teach Australians a lesson so future mistakes can be avoided.
Crotty says the biggest blunder in Australian history was the naïve militarism surrounding World War I, which cost Australia 60,000 lives and wounded 150,000 men.
“The Anzac legend turned an horrific event into a story about nation-building, mateship and egalitarianism when the reality tore Australian society apart,” he says. “Yet we seem to be unable to forget the cost of war every few generations.”
Crotty believes the book does not rubbish Australian history, but teaches the importance of recognising the bad and the ugly. “Those people who say that we should concentrate on the good parts of our history are arrogant and ultimately do us a disfavour,” he says.
Australia’s misadventures with good intentions have caused a history war of its own. The conservative Melbourne think tank the Institute of Public Affairs beat Crotty and his fellow “leftie” historians to the punch by running a cover story on 13 great Aussie mistakes in the October issue of its magazine *Review*.
The institute went far ruder; it named the invention of Canberra, Patrick White’s Nobel win and the establishment of a basic wage in 1907 among its 13 failures.
But the academics and the institute’s economic rationalists did agree on cane toads.
---
**SMH 31 10 2006 * Embarrassments**
**Nation’s blunders: Lest we forget**
**THE 13 GREAT MISTAKES OF AUSTRALIAN HISTORY**
- Loss of life in World War I.
- The stolen generation.
- The introduction of cane toads and foxes.
- The misuse of pastoral land.
- The inflexibility of the constitution.
- The World War II Singapore strategy.
- The denial of Aboriginal land rights.
- Burke and Wills’s failed attempt to traverse the continent.
- Sydney’s Cahill Expressway.
- Wartime internment of enemy aliens.
- The 1849 closure of the Northern Territory Asian trade settlement, Port Essington.
- Australia’s first immigration minister, Arthur Calwell, attempting unsuccessfully to deport non-European war refugees after World War II.
- Gough Whitlam’s misreading of Sir John Kerr’s intentions to dismiss his government in 1975.
---
**The Daily Telegraph 2 4 2007**
**Cane toads’ advance scout reaches Sydney**
IT’S big, it’s ugly, it’s poisonous — and it’s just 45km from the heart of Sydney.
In what is believed to be the most southerly incursion yet by the dreaded cane toad, a large breeding-age female toad was discovered in the back garden of a house in the western Sydney suburb of Quakers Hill last night.
The startling discovery was made by 11-year-old Scott Hogan, who spotted the toad hiding in a rainwater drain at his father’s house.
The toad, possibly a breeding female, was found with large sacs on its shoulders which excrete toxic fluid.
NSW Department of Conservation officials are treating the discovery seriously and will today collect the animal for examination.
They will need to determine the sex of the toad, where it came from and if there are any others in the local area.
Having no natural enemies, the toad dominates coastal Queensland and has spread inland across northern Territory.
But its southern advance was previously thought to only extend as far as Yamba on the New South Wales coast.
Scott’s father Michael said the find was a shock.
“The fear for the local ecology is that hopefully the toad is just a one-off as they destroy everything they come in contact with,” he said.
Hop to it . . . Scott and Michael Hogan with the toad last night
Innocent victims: don’t mistake local frogs for ‘hitchhiking’ cane toads
Following this week’s discovery of a cane toad at Quakers Hill, the National Parks and Wildlife Service (NPWS) is urging people not to confuse the pests with protected native frog species.
NPWS environment officer John Dengate said that the community needed to be vigilant to help stop southerly incursions of cane toads, which are already well established in the NSW North Coast following their introduction to Far North Queensland in the 1930s.
“There’s always the possibility of cane toads ‘hitchhiking’ southwards in vehicles or boxes of agricultural produce, so we certainly want Sydneysiders to be on the lookout for them,” he said.
“But at the same time, native frogs - including threatened ones - can be mistaken for cane toads.
“We don’t want these native frogs to become the innocent victims of well-meaning people. So the message is, double-check that it really is a cane toad before you do anything drastic.”
Mr Dengate said the adult cane toad was easily identified by its size (up to 15cm), warty appearance, large gland behind the ear and pointed boney ridges between the nose and eyes.
“It also has a very distinctive “purring” call, a bit like an old telephone dial tone,” he said.
“But the juvenile toad can be harder to identify and can look a bit like natives such as the giant burrowing frog, which is classified as vulnerable. So if the animal you’ve found is shorter than your thumb, you should take particular care.”
Mr Dengate recommended that people should trap the suspect cane toad under an upturned basket or bucket, then double-check its identity.
“The NPWS website at www.nationalparks.nsw.gov.au has good information to help people identify cane toads, including photos of both toads and native frogs and recordings of their calls.
“If it turns out to be a native, let it go. If it’s a cane toad it should be disposed of humanely. If you’re still in doubt, contact your nearest NPWS office for further advice.”
Mr Dengate said cane toads should be handled carefully and with gloves, because the toxins in their bodies can pose a danger to people as well as the environment.
“They’re big, they’re prolific breeders, they eat almost anything that’s smaller than them, and they’re toxic enough to kill almost anything that tries to eat them,” he said.
Editors, please note: we have photos (of a cane toad and a native frog) and a sound file (cane toad's call) to accompany this story – please email email@example.com.
Media Contact:
John Ross
9995 6414
After Hours: 9995 5347
Visit us on the web:
www.nationalparks.nsw.gov.au
FIELD TRIPS.
Autumn / Winter Recess. No fieldtrips scheduled.
The Spring / Summer fieldtrips programme recommences in September 2007.
A Reminder - Specialist Field Trip / Research Opportunities.
As many of you would be aware, FATS for some time now have had an on-going arrangement with Dr Graham Pyke & The Australian Museum. We are in a position to offer a range of specialist field-trip & research opportunities to interested members. Graham’s research program provides opportunities for volunteers, training & student projects. All aspects of fieldwork, including handling, microchipping, measuring, & sexing of frogs & recording data will be explored. Lab work is also available, from the caring & maintenance of frogs to assisting with computer work.
Graham can help students design projects & provide supervision. Projects can be carried out at school, College or University level. Tertiary level projects can be part of undergraduate, honours, Masters or PhD. programs. Furthering academic study is not however, a prerequisite for participation on this program, anyone who is interested in seeing frog research being carried out is most welcome- although some assistance with duties will be required! It is hoped that members of more advanced interest levels will take advantage of this program. Please note however, that these are fairly arduous field-trips & involve some very late nights & detailed scientific work. They should not be seen as being similar to our regular field-trips programme.
Regular fieldwork is conducted at three locations; Long Reef Golf Course, North Avoca & Broughton Island (near Nelsons Bay). Duration of field trips vary from nightly work to 3-4 days. Fieldwork is carried out at regular intervals throughout the year. There are some limited transport pick-up and drop-off arrangements available.
FATS believe this program represents a major leap forward in nurturing the skills required to meet the future needs of frog research in Australia. It also provides a unique insight for the enthusiast & we encourage participation in this program. We will regularly provide updated fieldtrip information in Frogcall. We thank Graham & The Australian Museum for the support they have shown FATS. For further details of field trip times and/or other details, speak to Graham Pyke directly (c/- The Aust. Museum ph. ‘9320 – 6000) or to the Field-trips Co-ordinator.
2007 / 2008 Field Trips Programme.
This year we are once again lining up some of our most experienced leaders to lead some new & exciting fieldtrips. Details will be announced in the next issue of Frogcall.
By now, most of you would be aware of the significant input that Brad & Matt McCaffery & Grant Webster have into our fieldtrips programme. These days, I feel the role of Field Trips Co-ordinator is very much a shared one, much of the fieldwork is undertaken by the boys & their feedback greatly influences the final shape of our programme. On behalf of everyone at FATS, I would like to express our great appreciation for the work they put in. Special thanks are also due to our resident safari drivers, Des & Kim. Regards, Rob Wall.
FROGWATCH HELPLINE 0419 249 728
FATS CONTACTS
| Name | Position | Phone/Fax/Email |
|-----------------------|---------------------------------|--------------------------------------|
| Arthur White | President | ph/fax (02) 9599 1161 (h) firstname.lastname@example.org |
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| Punia Jeffery | Secretary | (02) 9969 1932 (h) |
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| Alistair MacDougall | Chairperson | (02) 9398 9885 mob 0411 277 070 email@example.com |
| Karen White | Treasurer | ph/fax (02) 9599 1161 (h) |
| Andrew Nelson | Membership Officer | (02) 9411 6068 firstname.lastname@example.org |
| Lothar Voigt | Publicity / Exhibition Officer | ph/fax (phone first) (02) 9371 9129(h) ring first |
| Robert Wall | Field Trip Co-ordinator | (02) 9681 5308 (h) |
| Marion Anstis | Quarantine Officer | (02) 9456 1698 (h) |
| David Nelson | Web Master | (020) 9411 6068 (h) |
| Monica Wangmann | Editorial Panel | (02) 9797 6543 (h) mob.0418 992 766 email@example.com |
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| Grant Webster | Editorial Panel | (02) 9876 5807 (h) mob 0411 741 869 firstname.lastname@example.org |
INSURANCE DISCLAIMER FATS has public liability insurance for its various public functions. FATS members should be aware that this insurance does not cover FATS members (it covers the public & indemnifies FATS). We are currently checking with insurance firms to see whether a realistic group policy can be organised to cover FATS volunteers and people who attend field trips. |
Deep Continuous Clustering
Sohil Atul Shah\textsuperscript{1} Vladlen Koltun\textsuperscript{2}
Abstract
Clustering high-dimensional datasets is hard because interpoint distances become less informative in high-dimensional spaces. We present a clustering algorithm that performs nonlinear dimensionality reduction and clustering jointly. The data is embedded into a lower-dimensional space by a deep autoencoder. The autoencoder is optimized as part of the clustering process. The resulting network produces clustered data. The presented approach does not rely on prior knowledge of the number of ground-truth clusters. Joint nonlinear dimensionality reduction and clustering are formulated as optimization of a global continuous objective. We thus avoid discrete reconfigurations of the objective that characterize prior clustering algorithms. Experiments on datasets from multiple domains demonstrate that the presented algorithm outperforms state-of-the-art clustering schemes, including recent methods that use deep networks. The code is available at \url{http://github.com/shahsohil/DCC}.
1. Introduction
Clustering is a fundamental procedure in machine learning and data analysis. Well-known approaches include center-based methods and their generalizations (Banerjee et al., 2005; Teboulle, 2007), and spectral methods (Ng et al., 2001; von Luxburg, 2007). Despite decades of progress, reliable clustering of noisy high-dimensional datasets remains an open problem. High dimensionality poses a particular challenge because assumptions made by many algorithms break down in high-dimensional spaces (Ball, 1997; Beyer et al., 1999; Steinbach et al., 2004).
There are techniques that reduce the dimensionality of data by embedding it in a lower-dimensional space (van der Maaten et al., 2009). Such general techniques, based on preserving variance or dissimilarity, may not be optimal when the goal is to discover cluster structure. Dedicated algorithms have been developed that combine dimensionality reduction and clustering by fitting low-dimensional subspaces (Kriegel et al., 2009; Vidal, 2011). Such algorithms can achieve better results than pipelines that first apply generic dimensionality reduction and then cluster in the reduced space. However, frameworks such as subspace clustering and projected clustering operate on linear subspaces and are therefore limited in their ability to handle datasets that lie on nonlinear manifolds.
Recent approaches have sought to overcome this limitation by constructing a nonlinear embedding of the data into a low-dimensional space in which it is clustered (Dizaji et al., 2017; Xie et al., 2016; Yang et al., 2016; 2017). Ultimately, the goal is to perform nonlinear embedding and clustering jointly, such that the embedding is optimized to bring out the latent cluster structure. These works have achieved impressive results. Nevertheless, they are based on classic center-based, divergence-based, or hierarchical clustering formulations and thus inherit some limitations from these classic methods. In particular, these algorithms require setting the number of clusters a priori. And the optimization procedures they employ involve discrete reconfigurations of the objective, such as discrete reassignments of datapoints to centroids or merging of putative clusters in an agglomerative procedure. Thus it is challenging to integrate them with an optimization procedure that modifies the embedding of the data itself.
We seek a procedure for joint nonlinear embedding and clustering that overcomes some of the limitations of prior formulations. There are a number of characteristics we consider desirable. First, we wish to express the joint problem as optimization of a single continuous objective. Second, this optimization should be amenable to scalable gradient-based solvers such as modern variants of SGD. Third, the formulation should not require setting the number of clusters a priori, since this number is often not known in advance.
While any one of these desiderata can be fulfilled by some existing approaches, the combination is challenging. For example, it has long been known that the $k$-means objective can be optimized by SGD (Bottou & Bengio, 1994). But this family of formulations requires positing the number of clusters $k$ in advance. Furthermore, the optimization
is punctuated by discrete reassignments of datapoints to centroids, and is thus hard to integrate with continuous embedding of the data.
In this paper, we present a formulation for joint nonlinear embedding and clustering that possesses all of the aforementioned desirable characteristics. Our approach is rooted in Robust Continuous Clustering (RCC), a recent formulation of clustering as continuous optimization of a robust objective (Shah & Koltun, 2017). The basic RCC formulation has the characteristics we seek, such as a clear continuous objective and no prior knowledge of the number of clusters. However, integrating it with deep nonlinear embedding is still a challenge. For example, Shah & Koltun (2017) presented a formulation for joint linear embedding and clustering (RCC-DR), but this formulation relies on a complex alternating optimization scheme with linear least-squares subproblems, and does not apply to nonlinear embeddings.
We present an integration of the RCC objective with dimensionality reduction that is simpler and more direct than RCC-DR, while naturally handling deep nonlinear embeddings. Our formulation avoids alternating optimization and the introduction of auxiliary dual variables. A deep nonlinear embedding of the data into a low-dimensional space is optimized while the data is clustered in the reduced space. The optimization is expressed by a global continuous objective and conducted by standard gradient-based solvers.
The presented algorithm is evaluated on high-dimensional datasets of images and documents. Experiments demonstrate that our formulation performs on par or better than state-of-the-art clustering algorithms across all datasets. This includes recent approaches that utilize deep networks and rely on prior knowledge of the number of ground-truth clusters. Controlled experiments confirm that joint dimensionality reduction and clustering is more effective than a stagewise approach, and that the high accuracy achieved by the presented algorithm is stable across different dimensionalities of the latent space.
2. Preliminaries
Let \( X = [x_1, \ldots, x_N] \) be a set of points in \( \mathbb{R}^D \) that must be clustered. Generic clustering algorithms that operate directly on \( X \) rely strongly on interpoint distances. When \( D \) is high, these distances become less informative (Ball, 1997; Beyer et al., 1999). Hence most clustering algorithms do not operate effectively in high-dimensional spaces. To overcome this problem, we embed the data into a lower-dimensional space \( \mathbb{R}^d \). The embedding of the dataset into \( \mathbb{R}^d \) is denoted by \( Y = [y_1, \ldots, y_N] \). The function that performs the embedding is denoted by \( f_\theta : \mathbb{R}^D \rightarrow \mathbb{R}^d \). Thus \( y_i = f_\theta(x_i) \) for all \( i \).
Our goal is to cluster the embedded dataset \( Y \) and to optimize the parameters \( \theta \) of the embedding as part of the clustering process. This formulation presents an obvious difficulty: if the embedding \( f_\theta \) can be manipulated to assist the clustering of the embedded dataset \( Y \), there is nothing that prevents \( f_\theta \) from distorting the dataset such that \( Y \) no longer respects the structure of the original data. We must therefore introduce a regularizer on \( \theta \) that constrains the low-dimensional image \( Y \) with respect to the original high-dimensional dataset \( X \). To this end, we also consider a reverse mapping \( g_\omega : \mathbb{R}^d \rightarrow \mathbb{R}^D \). To constrain \( f_\theta \) to construct a faithful embedding of the original data, we require that the original data be reproducible from its low-dimensional image (Hinton & Salakhutdinov, 2006):
\[
\minimize_{\Omega} \|X - G_\omega(Y)\|_F^2,
\]
where \( Y = F_\theta(X) \), \( \Omega = \{\theta, \omega\} \). Here \( F_\theta(X) = [f_\theta(x_1), \ldots, f_\theta(x_N)] \), \( G_\omega(Y) = [g_\omega(y_1), \ldots, g_\omega(y_N)] \), and \( \| \cdot \|_F \) denotes the Frobenius norm.
Next, we must decide how the low-dimensional embedding \( Y \) will be clustered. A natural solution is to choose a classic clustering framework: a center-based method such as \( k \)-means, a divergence-based formulation, or an agglomerative approach. These are the paths taken in recent work on combining nonlinear dimensionality reduction and clustering (Dizaji et al., 2017; Xie et al., 2016; Yang et al., 2016; 2017). However, the classic clustering algorithms have a discrete structure: associations between centroids and datapoints need to be recomputed or putative clusters need to be merged. In either case, the optimization process is punctuated by discrete reconfigurations. This makes it difficult to coordinate the clustering of \( Y \) with the optimization of the embedding parameters \( \Omega \) that modify the dataset \( Y \) itself.
Since we must conduct clustering in tandem with continuous optimization of the embedding, we seek a clustering algorithm that is inherently continuous and performs clustering by optimizing a continuous objective that does not need to be updated during the optimization. The recent RCC formulation provides a suitable starting point (Shah & Koltun, 2017). The key idea of RCC is to introduce a set of representatives \( Z \in \mathbb{R}^{d \times N} \) and optimize the following nonconvex objective:
\[
\minimize_{Z} \frac{1}{2} \|Z - Y\|_F^2 + \frac{\lambda}{2} \sum_{(i,j) \in E} w_{i,j} \rho(\|z_i - z_j\|_2),
\]
where \( \rho \) is a redescending M-estimator, \( E \) is a graph connecting the datapoints, \( \{w_{i,j}\} \) are appropriately defined weights, and \( \lambda \) is a coefficient that balances the two objective terms. The first term in objective (2) constrains the representatives to remain near the corresponding datapoints. The second term pulls the representatives to each other, encouraging them to merge. This formulation has a number of advantages. First, it reduces clustering to optimization of a fixed
continuous objective. Second, each datapoint has its own representative in \( \mathbf{Z} \) and no prior knowledge of the number of clusters is needed. Third, the nonconvex robust estimator \( \rho \) limits the influence of outliers.
To perform nonlinear embedding and clustering jointly, we wish to integrate the reconstruction objective (1) and the RCC objective (2). This idea is developed in the next section.
3. Deep Continuous Clustering
3.1. Objective
The Deep Continuous Clustering (DCC) algorithm optimizes the following objective:
\[
L(\Omega, \mathbf{Z}) = \frac{1}{D} \left[ \| \mathbf{X} - G_\omega(\mathbf{Y}) \|_F^2 + \frac{1}{d} \left( \sum_i \rho_1 \left( \| \mathbf{z}_i - \mathbf{y}_i \|_2; \mu_1 \right) \right) \right] \\
+ \lambda \sum_{(i,j) \in \mathcal{E}} w_{i,j} \rho_2 \left( \| \mathbf{z}_i - \mathbf{z}_j \|_2; \mu_2 \right)
\]
where \( \mathbf{Y} = F_\theta(\mathbf{X}) \).
This formulation bears some similarity to RCC-DR (Shah & Koltun, 2017), but differs in three major respects. First, RCC-DR only operates on a linear embedding defined by a sparse dictionary, while DCC optimizes a more expressive nonlinear embedding parameterized by \( \Omega \). Second, RCC-DR alternates between optimizing dictionary atoms, sparse codes, representatives \( \mathbf{Z} \), and dual line process variables; in contrast, DCC avoids duality altogether and optimizes the global objective directly. Third, DCC does not rely on closed-form or linear least-squares solutions to subproblems; rather, the joint objective is optimized by modern gradient-based solvers, which are commonly used for deep representation learning and are highly scalable.
We now discuss objective (3) and its optimization in more detail. The mappings \( F_\theta \) and \( G_\omega \) are performed by an autoencoder with fully-connected or convolutional layers and rectified linear units after each affine projection (Hinton & Salakhutdinov, 2006; Nair & Hinton, 2010). The graph \( \mathcal{E} \) is constructed on \( \mathbf{X} \) using the mutual kNN criterion (Brito et al., 1997), augmented by the minimum spanning tree of the kNN graph to ensure connectivity to all datapoints. The role of M-estimators \( \rho_1 \) and \( \rho_2 \) is to pull the representatives of a true underlying cluster into a single point, while disregarding spurious connections across clusters. For both estimators, we use scaled Geman-McClure functions (Geman & McClure, 1987):
\[
\rho_1(x; \mu_1) = \frac{\mu_1 x^2}{\mu_1 + x^2} \quad \text{and} \quad \rho_2(x; \mu_2) = \frac{\mu_2 x^2}{\mu_2 + x^2}.
\]
The parameters \( \mu_1 \) and \( \mu_2 \) control the radii of the convex basins of the estimators. The weights \( w_{i,j} \) are set to balance the contribution of each datapoint to the pairwise loss:
\[
w_{i,j} = \frac{1}{N} \frac{\sum_{k=1}^{n_k} n_k}{\sqrt{n_i n_j}}.
\]
Here \( n_i \) is the degree of \( \mathbf{z}_i \) in the graph \( \mathcal{E} \). The numerator is simply the average degree. The parameter \( \lambda \) balances the relative strength of the data loss and the pairwise loss. To balance the different terms, we set \( \lambda = \frac{\| \mathbf{Y} \|_2}{\| \mathbf{A} \|_2} \), where \( \mathbf{A} = \sum_{(i,j) \in \mathcal{E}} w_{i,j} (\mathbf{e}_i - \mathbf{e}_j)(\mathbf{e}_i - \mathbf{e}_j)^\top \) and \( \| \cdot \|_2 \) denotes the spectral norm. This ratio approximately ensures similar maximum curvature for different terms. Since the setting for \( \lambda \) is independent of the reconstruction loss term, the ratio is similar to that considered for RCC-DR. However, in contrast to RCC-DR, the parameter \( \lambda \) need not be updated during the optimization.
3.2. Optimization
Objective (3) can be optimized using scalable modern forms of stochastic gradient descent (SGD). Note that each \( \mathbf{z}_i \) is updated only via its corresponding loss and pairwise terms. On the other hand, the autoencoder parameters \( \Omega \) are updated via all data samples. Thus in a single epoch, there is bound to be a difference between the update rates for \( \mathbf{Z} \) and \( \Omega \). To deal with this imbalance, an adaptive solver such as Adam should be used (Kingma & Ba, 2015).
Another difficulty is that the graph \( \mathcal{E} \) connects all datapoints such that a randomly sampled minibatch is likely to be connected by pairwise terms to datapoints outside the minibatch. In other words, the objective (3), and more specifically the pairwise loss, does not trivially decompose over datapoints. This requires some care in the construction of minibatches. Instead of sampling datapoints, we sample subsets of edges from \( \mathcal{E} \). The corresponding minibatch \( \mathcal{B} \) is defined by all nodes incident to the sampled edges. However, if we simply restrict the objective (3) to the minibatch and take a gradient step, the reconstruction and data terms will be given additional weight since the same datapoint can participate in different minibatches, once for each incident edge. To maintain balance between the terms, we must weigh the contribution of each datapoint in the minibatch. The rebalanced minibatch loss is given by
\[
L_B(\Omega, \mathbf{Z}) = \frac{1}{|\mathcal{B}|} \sum_{i \in \mathcal{B}} w_i \left( \frac{\| \mathbf{x}_i - g_\omega(\mathbf{y}_i) \|_2^2}{D} + \frac{\rho_1(\| \mathbf{z}_i - \mathbf{y}_i \|_2)}{d} \right) \\
+ \frac{\lambda}{|\mathcal{B}|} \sum_{(i,j) \in \mathcal{E}_B} w_{i,j} \rho_2 \left( \| \mathbf{z}_i - \mathbf{z}_j \|_2 \right)
\]
where \( \mathbf{y}_i = f_\theta(\mathbf{x}_i) \quad \forall i \in \mathcal{B} \).
Here \( w_i = \frac{n_i^B}{n_i} \), where \( n_i^B \) is the number of edges connected to the \( i \)th node in the subgraph \( \mathcal{E}_B \).
The gradients of \( \mathcal{L}_B \) with respect to the low-dimensional embedding \( Y \) and the representatives \( Z \) are given by
\[
\frac{\partial \mathcal{L}_B}{\partial y_i} = \frac{1}{|B|} \left( \frac{w_i \mu_1^2 (y_i - z_i)}{d(\mu_1 + \|z_i - y_i\|_2^2)^2} + \frac{2 w_i (g_w(y_i) - x_i) \frac{\partial g_w(y_i)}{\partial y_i}}{D} \right)
\]
\[
\frac{\partial \mathcal{L}_B}{\partial z_i} = \frac{1}{|B|} \left( \frac{w_i \mu_1^2 (z_i - y_i)}{d(\mu_1 + \|z_i - y_i\|_2^2)^2} + \lambda \mu_2^2 \sum_{(i, j) \in E_B} \frac{w_{i,j} (z_i - z_j)}{(\mu_2 + \|z_i - z_j\|_2^2)^2} \right)
\]
These gradients are propagated to the parameters \( \Omega \).
### 3.3. Initialization, Continuation, and Termination
**Initialization.** The embedding parameters \( \Omega \) are initialized using the stacked denoising autoencoder (SDAE) framework (Vincent et al., 2010). Each pair of corresponding encoding and decoding layers is pretrained in turn. Noise is introduced during pretraining by adding dropout to the input of each affine projection (Srivastava et al., 2014). Encoder-decoder layer pairs are pretrained sequentially, from the outer to the inner. After all layer pairs are pretrained, the entire SDAE is fine-tuned end-to-end using the reconstruction loss. This completes the initialization of the embedding parameters \( \Omega \). These parameters are used to initialize the representatives \( Z \), which are set to \( Z = Y = F_\theta(X) \).
**Continuation.** The price of robustness is the nonconvexity of the estimators \( \rho_1 \) and \( \rho_2 \). One way to alleviate the dangers of nonconvexity is to use a continuation scheme that gradually sharpens the estimator (Blake & Zisserman, 1987; Mobahi & Fisher III, 2015). Following Shah & Koltun (2017), we initially set \( \mu_1 \) to a high value that makes the estimator \( \rho_1 \) effectively convex in the relevant range. The value of \( \mu_1 \) is decreased on a regular schedule until a threshold \( \frac{\delta_1}{2} \) is reached. We set \( \delta_1 \) to the mean of the distance of each \( y_i \) to the mean of \( Y \), and \( \delta_2 \) to the mean of the bottom 1% of the pairwise distances in \( E \) at initialization.
**Stopping criterion.** Once the continuation scheme is completed, DCC monitors the computed clustering. At the end of every epoch, a graph \( G = (\mathcal{V}, \mathcal{F}) \) is constructed such that \( f_{i,j} = 1 \) if \( \|z_i - z_j\| < \delta_2 \). The cluster assignment is given by the connected components of \( G \). DCC compares this cluster assignment to the one produced at the end of the preceding epoch. If less than 0.1% of the edges in \( E \) changed from intercluster to intraclass or vice versa, DCC outputs the computed clustering and terminates.
**Complete algorithm.** The complete algorithm is summarized in Algorithm 1.
### 4. Experiments
#### 4.1. Datasets
We conduct experiments on six high-dimensional datasets, which cover domains such as handwritten digits, objects, faces, and text. We used datasets from Shah & Koltun (2017) that had dimensionality above 100. The datasets are further described in the appendix. All features are normalized to the range [0, 1].
Note that DCC is an unsupervised learning algorithm. Unlabelled data is embedded and clustered with no supervision. There is thus no train/test split.
#### 4.2. Baselines
The presented DCC algorithm is compared to 13 baselines, which include both classic and deep clustering algorithms. The baselines include k-means++ (Arthur & Vassilvitskii, 2007), DBSCAN (Ester et al., 1996), two variants of agglomerative clustering: Ward (AC-W) and graph degree linkage (GDL) (Zhang et al., 2012), two variants of spectral clustering: spectral embedded clustering (SEC) (Nie et al., 2011) and local discriminant models and global integration (LDMGI) (Yang et al., 2010), and two variants of robust continuous clustering: RCC and RCC-DR (Shah & Koltun, 2017). We also include an SGD-based implementation of RCC-DR, referred to as RCC-DR (SGD): this baseline uses the same optimization method as DCC, and thus more crisply isolates the improvement in DCC that is due to the nonlinear dimensionality reduction (rather than a different solver).
The deep clustering baselines include four recent approaches that share our basic motivation and use deep networks for clustering: deep embedded clustering (DEC) (Xie et al., 2016), joint unsupervised learning (JULE) (Yang et al.,
the deep clustering network (DCN) (Yang et al., 2017), and deep embedded regularized clustering (DEPICT) (Dizaji et al., 2017). These are strong baselines that use deep autoencoders, the same network structure as our approach (DCC). The key difference is in the loss function and the consequent optimization procedure. The prior formulations are built on KL-divergence clustering, agglomerative clustering, and $k$-means, which involve discrete reconfiguration of the objective during the optimization and rely on knowledge of the number of ground-truth clusters either in the design of network architecture, during the embedding optimization, or in post-processing. In contrast, DCC optimizes a robust continuous loss and does not rely on prior knowledge of the number of clusters.
4.3. Implementation
We report experimental results for two different autoencoder architectures: one with only fully-connected layers and one with convolutional layers. This is motivated by prior deep clustering algorithms, some of which used fully-connected architectures and some convolutional.
For fully-connected autoencoders, we use the same autoencoder architecture as DEC (Xie et al., 2016). Specifically, for all experiments on all datasets, we use an autoencoder with the following dimensions: D–500–500–2000–d–2000–500–500–D. This autoencoder architecture follows parametric t-SNE (van der Maaten, 2009).
For convolutional autoencoders, the network architecture is modeled on JULE (Yang et al., 2016). The architecture is specified in the appendix. As in Yang et al. (2016), the number of layers depends on image resolution in the dataset and it is set such that the output resolution of the encoder is about $4 \times 4$.
DCC uses three hyperparameters: the embedding dimensionality $d$, the nearest neighbor parameter $k$ for m-kNN graph construction, and the update period $M$ for graduated nonconvexity. In both architectures and for all datasets, the dimensionality of the reduced space is set to $d = 10$ based on the grid search on MNIST. (It is only varied for controlled experiments that analyze stability with respect to $d$.) No dataset-specific hyperparameter tuning is done. For fair comparison to RCC and RCC–DR, we fix $k = 10$ (the setting used in Shah & Koltun (2017)) and the cosine distance metric is used. The hyperparameter $M$ is architecture specific. We set $M$ to 10 and 20 for convolutional and fully-connected autoencoders respectively and it is varied for varying dimensionality $d$ during the controlled experiment.
For autoencoder initialization, a minibatch size of 256 and dropout probability of 0.2 are used. SDAE pretraining and finetuning start with a learning rate of 0.1, which is decreased by a factor of 10 every 80 epochs. Each layer is pretrained for 200 epochs. Finetuning of the whole SDAE is performed for 400 epochs. For the fully-connected SDAE, the learning rates are scaled in accordance with the dimensionality of the dataset. During the optimization using the DCC objective, the Adam solver is used with its default learning rate of 0.001 and momentum 0.99. Minibatches are constructed by sampling 128 edges. DCC was implemented using the PyTorch library.
For the baselines, we use publicly available implementations. For $k$-means++, DBSCAN and AC-W, we use the implementations in the SciPy library and report the best results across ten random restarts. For a number of baselines, we performed hyperparameter search to maximize their reported performance. For DBSCAN, we searched over values of $E_{pks}$, for LDMGI we searched over values of the regularization constant $\lambda$, for SEC we searched over values of the parameter $\mu$, and for GDL we tuned the graph construction parameter $a$. For SGD implementation of RCC–DR the learning rate of 0.01 and momentum of 0.95 were used.
The DCN approach uses a different network architecture for each dataset. Wherever possible, we report results using their dataset-specific architecture. For YTF, Coil100, and YaleB, we use their reference architecture for MNIST.
4.4. Measures
Common measures of clustering accuracy include normalized mutual information (NMI) (Strehl & Ghosh, 2002) and clustering accuracy (ACC). However, NMI is known to be biased in favor of fine-grained partitions and ACC is also biased on imbalanced datasets (Vinh et al., 2010). To overcome these biases, we use adjusted mutual information (AMI) (Vinh et al., 2010), defined as
$$\text{AMI}(c, \hat{c}) = \frac{\text{MI}(c, \hat{c}) - E[\text{MI}(c, \hat{c})]}{\sqrt{H(c)H(\hat{c}) - E[\text{MI}(c, \hat{c})]}}.$$
(9)
Here $H(\cdot)$ is the entropy, $\text{MI}(\cdot, \cdot)$ is the mutual information, and $c$ and $\hat{c}$ are the two partitions being compared. AMI lies in a range $[0, 1]$. Higher is better. For completeness, results according to ACC and NMI are also reported. (NMI in the supplement.)
4.5. Results
The results are summarized in Table 1. Among deep clustering methods that use fully-connected networks, DCN and DEC are not as accurate as fully-connected DCC and are also less consistent: the performance of DEC drops on the high-dimensional image datasets, while DCN is far behind on MNIST and YaleB. Among deep clustering methods that use convolutional networks, the performance of DEPICT
drops on COIL100 and YTF, while JULE is far behind on YTF. The GDL algorithm failed to scale to the full MNIST dataset and the corresponding measurement is marked as ‘n/a’. The performance of RCC-DR (SGD) is also inconsistent. Although it performs on par with RCC-DR on image datasets, its performance degrades on text datasets.
5. Analysis
**Importance of joint optimization.** We now analyze the importance of performing dimensionality reduction and clustering jointly, versus performing dimensionality reduction and then clustering the embedded data. To this end, we use the same SDAE architecture and training procedure as fully-connected DCC. We optimize the autoencoder but do not optimize the full DCC objective. This yields a standard nonlinear embedding, using the same autoencoder that is used by DCC, into a space with the same reduced dimensionality $d$. In this space, we apply a number of clustering algorithms: $k$-means++, AC-W, DBSCAN, SEC, LDMGI, GDL, and RCC. The results are shown in Table 2 (top).
These results should be compared to results reported in Table 1. The comparison shows that the accuracy of the baseline algorithms benefits from dimensionality reduction. However, in all cases their accuracy is still lower than that attained by DCC using joint optimization. Furthermore, although RCC and DCC share the same underlying nearest-neighbor graph construction and a similar clustering loss, the performance of DCC far surpasses that achieved by stagewise SDAE embedding followed by RCC. Note also that the relative performance of most baselines drops on Coil100 and YaleB. We hypothesize that the fully-connected SDAE is limited in its ability to discover a good low-dimensional embedding for very high-dimensional image datasets (tens of thousands of dimensions for Coil100 and YaleB).
Next, we show the performance of the same clustering algorithms when they are applied in the reduced space produced by DCC. These results are reported in Table 2 (bottom). In comparison to Table 2 (top), the performance of all algorithms improves significantly and some results are now on par or better than the results of DCC as reported in Table 1. The improvement for $k$-means++, Ward, and DBSCAN is particularly striking. This indicates that the performance of many clustering algorithms can be improved by first optimizing a low-dimensional embedding using DCC and then clustering in the learned embedding space.
**Visualization.** A visualization is provided in Figure 1. Here we used Barnes-Hut t-SNE (van der Maaten & Hinton, 2008; van der Maaten, 2014) to visualize a randomly sampled subset of 10K datapoints from the MNIST dataset. We show the original dataset, the dataset embedded by the SDAE into $\mathbb{R}^d$ (optimized for dimensionality reduction), and the embedding into $\mathbb{R}^d$ produced by DCC. As shown in the figure, the embedding produced by DCC is characterized by well-defined, clearly separated clusters. The clusters strongly correspond to the ground-truth classes (coded by color in the figure), but were discovered with no supervision.
**Robustness to dimensionality of the latent space.** Next we study the robustness of DCC to the dimensionality $d$ of the latent space. For this experiment, we consider fully-connected DCC. We vary $d$ between 5 and 60 and measure AMI and ACC on the MNIST and Reuters datasets. For comparison, we report the performance of RCC-DR, DEC, which uses the same autoencoder architecture, as well as the accuracy attained by running $k$-means++ on the output of the SDAE, optimized for dimensionality reduction. The results are shown in Figure 2.
The results yield two conclusions. First, the accuracy of DCC, RCC-DR, DEC, and SDAE+$k$-means gradually decreases as the dimensionality $d$ increases. This supports the common view that clustering becomes progressively harder as the dimensionality of the data increases. Second, the results demonstrate that DCC and RCC-DR are more robust to increased dimensionality than DEC and SDAE. For example, on MNIST, as the dimensionality $d$ changes from 5 to 60, the accuracy (AMI) of DEC and SDAE drops by 28% and 35%, respectively, while the accuracy of DCC and RCC-DR decreases only by 9% and 7% respectively. When $d = 60$, the accuracy attained by DCC is higher than the accuracy attained by DEC and SDAE by 27% and 40%, respectively. Given that both DCC and RCC-DR utilize robust estimators and also share similarity in their formulations, it is not surprising that they exhibit similar robustness across datasets and measures.
**Runtime.** The runtime of DCC is mildly better than DEPICT and more than an order of magnitude better than JULE. For instance, on MNIST (the largest dataset considered), the total runtime of conv-DCC is 9,030 sec. For DEPICT, this runtime is 12,072 sec and for JULE it is 172,058 sec.
6. Conclusion
We have presented a clustering algorithm that combines nonlinear dimensionality reduction and clustering. Dimensionality reduction is performed by a deep network that embeds the data into a lower-dimensional space. The embedding is optimized as part of the clustering process and the resulting network produces clustered data. The presented algorithm does not rely on a priori knowledge of the number of ground-truth clusters. Nonlinear dimensionality reduction and clustering are performed by optimizing a global continuous objective using scalable gradient-based solvers.
### Deep Continuous Clustering
| Algorithm | MNIST | Coil100 | YTF | YaleB | Reuters | RCV1 | MNIST | Coil100 | YTF | YaleB | Reuters | RCV1 |
|---------------|--------|---------|--------|--------|---------|--------|--------|---------|--------|--------|---------|--------|
| $k$-means++ | 0.500 | 0.803 | 0.783 | 0.615 | 0.516 | 0.355 | 0.532 | 0.621 | 0.624 | 0.514 | 0.236 | 0.529 |
| AC-W | 0.679 | 0.853 | 0.801 | 0.767 | 0.471 | 0.364 | 0.571 | 0.697 | 0.647 | 0.614 | 0.261 | 0.554 |
| DBSCAN | 0.000 | 0.399 | 0.739 | 0.456 | 0.011 | 0.014 | 0.000 | 0.921 | 0.675 | 0.632 | 0.700 | 0.571 |
| SEC | 0.469 | 0.849 | 0.745 | 0.849 | 0.498 | 0.069 | 0.545 | 0.648 | 0.562 | 0.721 | 0.434 | 0.425 |
| LDMGI | 0.761 | 0.888 | 0.518 | 0.945 | 0.523 | 0.382 | 0.723 | 0.763 | 0.332 | 0.901 | 0.465 | 0.667 |
| GDL | n/a | 0.958 | 0.655 | 0.924 | 0.401 | 0.020 | n/a | 0.825 | 0.497 | 0.783 | 0.463 | 0.444 |
| RCC | 0.893 | 0.957 | 0.836 | 0.975 | 0.556 | 0.138 | 0.876 | 0.831 | 0.484 | 0.939 | 0.381 | 0.356 |
| RCC–DR | 0.828 | 0.957 | 0.874 | 0.974 | 0.553 | 0.442 | 0.698 | 0.825 | 0.579 | 0.945 | 0.437 | 0.676 |
| RCC–DR (SGD) | 0.827 | 0.961 | 0.830 | 0.985 | 0.454 | 0.106 | 0.696 | 0.855 | 0.473 | 0.970 | 0.372 | 0.354 |
#### Fully-connected
| Algorithm | MNIST | Coil100 | YTF | YaleB | Reuters | RCV1 | MNIST | Coil100 | YTF | YaleB | Reuters | RCV1 |
|---------------|--------|---------|--------|--------|---------|--------|--------|---------|--------|--------|---------|--------|
| DCN | 0.570 | 0.810 | 0.790 | 0.590 | 0.430 | 0.470 | 0.560 | 0.620 | 0.620 | 0.430 | 0.220 | 0.730 |
| DEC | 0.840 | 0.611 | 0.807 | 0.000 | 0.397 | 0.500 | 0.867 | 0.815 | 0.643 | 0.027 | 0.168 | 0.683 |
| DCC | 0.912 | 0.952 | 0.877 | 0.955 | 0.572 | 0.495 | 0.962 | 0.842 | 0.605 | 0.861 | 0.596 | 0.563 |
#### Convolutional
| Algorithm | MNIST | Coil100 | YTF | YaleB | Reuters | RCV1 | MNIST | Coil100 | YTF | YaleB | Reuters | RCV1 |
|---------------|--------|---------|--------|--------|---------|--------|--------|---------|--------|--------|---------|--------|
| JULE | 0.900 | 0.979 | 0.574 | 0.990* | – | – | 0.800 | 0.911 | 0.342 | 0.970* | – | – |
| DEPICT | 0.919 | 0.667 | 0.785 | 0.989* | – | – | 0.968 | 0.420 | 0.586 | 0.965* | – | – |
| DCC | 0.913 | 0.962 | 0.903 | 0.985* | – | – | 0.963 | 0.858 | 0.699 | 0.964* | – | – |
**Table 1.** Clustering accuracy of DCC and 12 baselines, measured by AMI (left) and ACC (right). Higher is better. Methods that do not use deep networks are listed first, followed by deep clustering algorithms that use fully-connected autoencoders (including the fully-connected configuration of DCC) and deep clustering algorithms that use convolutional autoencoders (including the convolutional configuration of DCC). Results that are within 1% of the highest accuracy achieved by any method are highlighted in bold. * indicates that these results were directly obtained on pixel features as against the default DoG features used for YaleB. DCC performs on par or better than prior deep clustering formulations, without relying on a priori knowledge of the number of ground-truth clusters.
| Dataset | $k$-means++ | AC-W | DBSCAN | SEC | LDMGI | GDL | RCC | DCC |
|---------|-------------|------|--------|-----|-------|-----|-----|-----|
| MNIST | 0.669 | 0.784| 0.115 | n/a | 0.828 | n/a | 0.881| 0.912|
| Coil100 | 0.333 | 0.336| 0.170 | 0.384| 0.318 | 0.335| 0.589| 0.952|
| YTF | 0.764 | 0.831| 0.595 | 0.527| 0.612 | 0.699| 0.827| 0.877|
| YaleB | 0.673 | 0.688| 0.503 | 0.493| 0.676 | 0.742| 0.812| 0.955|
| Reuters | 0.501 | 0.494| 0.042 | 0.435| 0.517 | 0.488| 0.542| 0.572|
| RCV1 | 0.454 | 0.430| 0.075 | 0.442| 0.060 | 0.055| 0.410| 0.495|
**Table 2.** Importance of joint optimization. This table shows the accuracy (AMI) achieved by running prior clustering algorithms on a low-dimensional embedding of the data. For reference, DCC results from Table 1 are also listed. **Top:** The embedding is performed using the same autoencoder architecture as used by fully-connected DCC, into the same target space. However, dimensionality reduction and clustering are performed separately. Clustering accuracy is much lower than the accuracy achieved by DCC. **Bottom:** Here clustering is performed in the reduced space discovered by DCC. The performance of all clustering algorithms improves significantly.
Figure 1. Effect of joint dimensionality reduction and clustering on the embedding. (a) A randomly sampled subset of 10K points from the MNIST dataset, visualized using t-SNE. (b) An embedding of these points into $\mathbb{R}^d$, performed by an SDAE that is optimized for dimensionality reduction. (c) An embedding of the same points by the same network, optimized with the DCC objective. When optimized for joint dimensionality reduction and clustering, the network produces an embedding with clearly separated clusters. Best viewed in color.
Figure 2. Robustness to dimensionality of the latent space. Clustering accuracy as a function of the dimensionality $d$ of the latent space. AMI on the left, ACC on the right. Best viewed in color.
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**Appendix**
**A. Datasets**
**MNIST** (LeCun et al., 1998): This is a popular dataset containing 70,000 images of handwritten digits. Each image is of size $28 \times 28$ (784 dimensions). The data is categorized into 10 classes.
**Coil100** (Nene et al., 1996): This dataset consists of 7,200 images of 100 object categories, each captured from 72 poses. Each RGB image is of size $128 \times 128$ (49,152 dimensions).
**YouTube Faces** (Wolf et al., 2011): The YTF dataset contains videos of faces. We use all the video frames of the first 40 subjects sorted in chronological order. Each frame is an RGB image of size $55 \times 55$. The number of datapoints is 10,056 and the dimensionality is 9,075.
**YaleB** (Georghiades et al., 2001): This dataset contains 2,414 images of faces of 28 human subjects taken under different lighting condition. Each image is of size $192 \times 168$ (32,256 dimensions). We use pixel features as input for convolutional architectures and the difference of gaussian features were used for the rest.
**Reuters**: This is a popular dataset comprising 21,578 Reuters news articles. We consider the Modified Apte split, which yields a total of 9,082 articles. TF-IDF features on the 2,000 most frequently occurring word stems are computed and normalized. The dimensionality of the data is thus 2,000.
**RCV1** (Lewis et al., 2004): This is a document dataset comprising 800,000 Reuters newswire articles. Only the four root categories are considered and all articles labeled with more than one root category are pruned. We report results on a randomly sampled subset of 10,000 articles. 2,000 TF-IDF features were extracted as in the case of the Reuters dataset.
**B. Convolutional Network Architecture**
Table S1 summarizes the architecture of the convolutional encoder used for the convolutional configuration of DCC. Convolutional kernels are applied with a stride of two. The encoder is followed by a fully-connected layer with output dimension $d$ and a convolutional decoder with kernel size that matches the output dimension of $\text{conv}_5$. The decoder architecture mirrors the encoder and the output from each layer is appropriately zero-padded to match the input size of the corresponding encoding layer. All convolutional and transposed convolutional layers are followed by batch normalization and rectified linear units (Ioffe & Szegedy, 2015; Nair & Hinton, 2010).
**C. NMI Measure**
We also report results according to the NMI measure. Table S2 provides the NMI counterpart to Table 1.
| Algorithm | MNIST | Coil100 | YTF | YaleB | Reuters | RCV1 |
|--------------------|-------|---------|------|-------|---------|------|
| $k$-means++ | 0.500 | 0.835 | 0.788| 0.650 | 0.536 | 0.355|
| AC-W | 0.679 | 0.876 | 0.806| 0.788 | 0.492 | 0.364|
| DBSCAN | 0.000 | 0.458 | 0.756| 0.535 | 0.022 | 0.017|
| SEC | 0.469 | 0.872 | 0.760| 0.863 | 0.498 | 0.069|
| LDMGI | 0.761 | 0.906 | 0.532| 0.950 | 0.523 | 0.382|
| GDL | n/a | 0.965 | 0.664| 0.931 | 0.401 | 0.020|
| RCC | 0.893 | 0.963 | 0.850| 0.978 | 0.556 | 0.138|
| RCC-DR | 0.827 | 0.963 | 0.882| 0.976 | 0.553 | 0.442|
| RCC-DR(SGD) | 0.827 | 0.967 | 0.845| 0.987 | 0.454 | 0.106|
**Fully-connected**
| Algorithm | MNIST | Coil100 | YTF | YaleB | Reuters | RCV1 |
|-----------|-------|---------|------|-------|---------|------|
| DCN | 0.570 | 0.830 | 0.810| 0.630 | 0.460 | 0.470|
| DEC | 0.853 | 0.645 | 0.811| 0.000 | 0.409 | **0.504**|
| DCC | **0.912** | 0.961 | 0.886| 0.959 | **0.588** | **0.498**|
**Convolutional**
| Algorithm | MNIST | Coil100 | YTF | YaleB | Reuters | RCV1 |
|-----------|-------|---------|------|-------|---------|------|
| JULE | 0.900 | **0.983** | 0.587| **0.991** | – | – |
| DEPICT | **0.919** | 0.678 | 0.790| **0.990** | – | – |
| DCC | **0.915** | 0.967 | **0.908**| **0.987** | – | – |
*Table S2.* Clustering accuracy of DCC and 12 baselines, measured by NMI. Higher is better. This is the NMI counterpart to Table 1. |
Estimating Image Segmentation Difficulty
Dingding Liu \(^\dagger\) Yingen Xiong \(^\ddagger\) Kari Pulli \(^\dagger\) Linda Shapiro \(^\dagger\)
\(^\dagger\) Dept. of Electrical Engineering, University of Washington, Seattle, WA, USA
\(^\ddagger\) Nokia Research Center, Palo Alto, CA, USA
Abstract. The heavy use of camera phones and other mobile devices all over the world has produced a market for mobile image analysis, including image segmentation to separate out objects of interest. Automatic image segmentation algorithms, when employed by many different users for multiple applications, cannot guarantee high quality results. Yet interactive algorithms require human effort that may become quite tedious. To reduce human effort and achieve better results, it is worthwhile to know in advance which images are difficult to segment and may require further user interaction or alternate processing. For this purpose, we introduce a new research problem: how to estimate the image segmentation difficulty level without actually performing image segmentation. We propose to formulate it as an estimation problem, and we develop a linear regression model using image features to predict segmentation difficulty level. Different image features, including graytone, color, gradient, and texture features are tested as the predictive variables, and the segmentation algorithm performance measure is the response variable. We use the benchmark images of the Berkeley segmentation dataset with corresponding F-measures to fit, test, and choose the optimal model. Additional standard image datasets are used to further verify the model’s applicability to a variety of images. A new feature that combines information from the log histogram of log gradient and the local binary pattern histogram is a good predictor and provides the best balance of predictive performance and model complexity.
Keywords: Image segmentation difficulty, linear regression, mobile image processing
1 Introduction
Image segmentation is an important and unsolved research area. In computer vision, automatic segmentation algorithms aim to divide an image into meaningful regions for applications such as tracking or recognition [12]. They often involve supervised training to adjust the parameters for a particular application. Even with all these efforts, they are not guaranteed to work well on all images and, in general, do not perform as well as humans [9]. To achieve more reliable results, interactive segmentation algorithms [4,8] have been developed and applied to applications such as image editing, but they require much more user interaction.
Recently, the growing number of photos on the internet and those taken by camera phones has posed new challenges. First, it is time-consuming to interactively segment a large quantity of images or examine the segmentation results one by one. Although co-segmentation has been proposed to segment two or a group of related images [11, 3], it cannot be applied to a vast amount of unrelated images. Second, the widely used camera phones have comparatively limited computational resources, and image processing on camera phones is still in the research and development stage [2]. Difficult images should be sent to the server for processing, while easier ones may be segmented on the camera phone. Third, even if the camera phones have powerful processors, their small screens prevent users from examining multiple image segmentation results at once, as could be done on bigger screens. Knowing which images are difficult to segment and require more attention would save time for users.
Motivated by the above problems, and in contrast to previous research efforts, we address the following questions. Can machines differentiate the images that are difficult to segment from those that are easy to segment? Assuming each image has a certain level of segmentation difficulty, can an algorithm quantitatively predict the difficulty prior to segmentation? Which features are most predictive?
To answer these questions, we first need suitable ground truth images with an indication of how difficult they are for machines to segment. However, defining evaluation methods for segmentation quality is itself an active research area [13, 14]. To avoid complicating the problem, we use the Berkeley benchmark suite of 100 color images [9], which are well accepted in the computer vision research community, as our ground truth dataset. Berkeley researchers tested several different algorithms on those images and ranked them according to the best F-measure representing quality of segmentation. As Figure 1 shows, different images have different F-measures [1], and the smaller the value, the more difficult is an image for a machine to segment.
As an initial step, we formulated this problem as a linear regression problem and tested different image features on the 100 Berkeley benchmark images [9] to derive the model. The reasons behind this choice are twofold. First, linear regression models outperform more complex nonlinear models for prediction purposes, especially in situations with small numbers of training cases, low signal-to-noise ratio, or sparse data [6]. Second, they can be generalized to nonlinear versions by using basis-function methods [6].
The main contributions of this work are (i) introduction of the new problem of estimating image segmentation difficulty levels without performing prior segmentation; (ii) determination of relevant and effective features, including a new feature combining information from the log histogram of log gradient and the local binary pattern (LBP) texture histogram; and (iii) selection of a model that has a good generalization ability and low model complexity.
Section 2 describes the mathematical background used in this paper. Section 3 explains our approach and algorithm in detail, including the feature extraction and modeling process. Section 4 compares the experimental results of different models and justifies our selection of the most promising model with experiments on both labeled and unlabeled data. Section 5 concludes the paper and briefly describes future work.
2 Mathematical Background
A linear regression model with the form
\[ y = X\beta + \varepsilon, \]
models the approximate relationship between the dependent variable \( y \) and regressors \( X \). When the goal is prediction, linear regression can be used to fit a predictive model to an observed data set of \( X \) and \( y \) values. After developing such a model, if an additional value of \( X \) is given, the fitted model can be used to make a prediction of the value of \( y \).
There are many different regression algorithms. Our method uses the Gram-Schmidt procedure for multiple regression and Principal Component Regression (PCR), which uses Principal Component Analysis (PCA) to estimate regression coefficients. Instead of regressing the independent variables directly on the data, a subset of the principal components \( Z_m \) obtained from the eigenvalue decomposition of a data covariance matrix is used, providing a regularized estimation. For more details, please refer to [6].
Cross-validation estimates the prediction error by the extra-sample error. \( K \)-fold cross-validation first divides the data randomly into \( K \) roughly equal-sized partitions. Then \( K - 1 \) partitions are used to fit the model, and the other partition to test it.
3 Details of the Approach
Our method consists of three major parts: (1) transform difficulty measures; (2) extract image features; and (3) model the relationship between them and select an optimal linear regression model among all possible choices. When the raw
data of the difficulty measures do not meet the assumption of linear regression in terms of normal distributions, a transformation is needed. These transformed difficulty measures are used as the dependent variables $y$ to fit and test possible models, using different sets of features as $X$ in Equation 1. The extracted image features are functions of basic features commonly used in image segmentation algorithms.
In the modeling process, the key is to find out how much weight each feature should have and which features should be left out entirely. The naive way to select a subset of the features is to perform a brute force search, but this is too costly in high-dimensional feature spaces. We propose the following efficient algorithm to find the features that will contribute to the optimal model.
### 3.1 Transformation of Difficulty Measures
If the histogram of segmentation difficulty measures does not resemble a normal distribution or is skewed, several data transformations are applied to test whether the transformed data would be better than the original data to use as the dependent variables $y$ in the linear regression model. Common transformations including the log transformation and the square-root transformation were tested in this work. A Quantile-Quantile plot (Q-Q plot) that graphically compares the distribution of a given variable to the normal distribution represented by a straight line, was used as the tool to choose the best transformation, if one is needed.
### 3.2 Feature Extraction
To build a complete model, image features were extracted and statistics computed. Besides simple statistics like mean and variance of color and intensity, the variance and entropy of the grayscale, color, and texture histograms and the log histogram of log gradients were investigated as well. The LBP [10] operator was chosen as the texture measure due to its reported good results in texture analysis for pattern classification. The log histogram of log gradients was previously used in blind motion deblurring [7]. In addition, several new features were extracted from these two histograms as shown in Table 1. According to the different sources from which the features are computed, the resultant 29 features were divided into four groups.
1. **Statistics from image data**
Mean and variance from grayscale, color, LBP texture, and gradient information (a)+(b).
2. **Statistics from histograms**
Variance and entropy from the four corresponding histograms calculated from each image (c)+(d).
3. **Shape features from log histogram of log gradients**
The log histogram of log gradients is represented by shape approximation features (e), which are the slopes and intercepts of two lines that approximate the shape of the histogram as in Figure 2.
Table 1. Dimensions of Extracted Features
| | A. Gray-scale | B. CIE-Lab | C. LBP Texture | D. Log Grad. |
|------------------|---------------|------------|----------------|--------------|
| (a) Data Mean | 1 | 3 | 1 | 1 |
| (b) Data Variance| 1 | 3 | 1 | 1 |
| (c) Hist. Variance| 1 | 3 | 1 | 1 |
| (d) Hist. Entropy| 1 | 1 | 1 | 1 |
| (e) Shape approx.| | | | 4 |
| (f) Maximum bin | | | | 1 |
4. Maximal bin-count feature from LBP histogram
The local binary pattern histogram, using a 16 pixel neighborhood [10], is represented by the count in the maximal bin (f), which is related to how much smooth area there is in one image.
**Fig. 2.** The shape of log histogram of log gradients can be approximated by two straight lines (a) Easy, (b) Fair, (c) Hard.
As shown by the red dots in Figure 2, the shape of the log histogram of log gradients of low-resolution images, can be approximated by two straight lines instead of a Laplacian distribution. Based on this observation, the slopes and intercepts of these lines are calculated as follows:
1. Calculate the log derivative sum. Letting $log0 = 0$, calculate the log gradient in $x, y$ direction, $logGX$ and $logGY$, as the log difference of the grayscale value of immediate neighboring pixels. Then take the sum $logG = logGX + logGY$.
2. Build a histogram of all the values of $logG$ in the interval of $[-8, 8]$ with a bin size of 0.1 and take the log of the counts in each bin.
3. Find the slopes and intercepts of two straight lines that fit the shape of the above histogram.
3.3 Modeling Process
Since we model the relationship between image features and segmentation difficulty by a linear regression model, the features used to construct the predictive
variables must be selected. Different combinations of image features were tested to construct a group of possible regression models, and cross-validation(CV) was used to compare them and choose the optimal one.
The testing and comparison were performed from two different directions. From the full model using all the extracted features, possible reduced models were generated using PCR. From the ‘minimal’ models using single feature groups as in Table 1, models using combinations of feature groups were generated. The optimal models generated from these two paths guide the search for the global optimal model in terms of predictive performance and model complexity.
**From a Full Model to Reduced Models: Principal Component Regression**
On a model $MO_{max}$ that includes the maximum number of features $m_{max}$, which is the number of all feature dimensions, PCR is run using different numbers of principal components $m \in [1, ..., m_{max}]$. When the CV errors are compared, the model with least error $m_{minCVErr}$ will be selected and denoted by $MO_{PCRmin}$.
When the number of features is large, different features may offset each other’s effect. So the coefficients may not accurately indicate how important a feature is, but can give us some clues about which type of features are important [6]. We sort the feature coefficients $\beta$ in $MO_{max}$ in descending order. The features corresponding to the largest $m_{minCVErr}$ coefficients are selected to help determine which features will be most predictive.
**From Models Using Single Feature Group to More Complex Ones: Feature Group Combination**
For the 4 feature groups in Section 3.2, there are $\sum_{i=1}^{4} C_4^i = 15$ different linear regression models.
The $k$-fold cross-validation was run on all 15 models to find the one with the least CV error. These models are denoted by $M_{\alpha, \beta}$, where $\alpha \subseteq (A, B, C, D)$ and $\beta \subseteq (a, b, c, d, e, f)$ in Table 1. The optimal model at this step is recorded as $MO_{\alpha_{opt}, \beta_{opt}}$.
Given $\alpha_{opt}$, if $\beta_{opt}$ does not include all the features in the vertical direction under each element in $\alpha_{opt}$, the missing features are included in building a model $MOB_{\alpha_{opt}, \beta_{opt}}$ with more features for the next step’s search. For example, if $\alpha_{opt} = (C)$, $\beta_{opt} = f$, then a model using features $(a), (b), (c), (d)$ under $(C)$ will be built for the next step’s processing and comparison.
The optimal models from Sections 3.3 and 3.3 are compared. The model with the best combination of least CV error and smallest model complexity is chosen as the optimal model.
## 4 Experiments and Results
We use the above algorithm to find the optimal model and most predictive features from the 100 images (called labeled data) where the F-measure was available. Berkeley researchers use precision to measure the probability that a machine-generated boundary pixel is a true boundary pixel and recall to measure
the probability that a true boundary pixel is detected. When they threshold the boundary map in order to compare it to the ground truth boundaries, they do so at multiple levels and record the maximum harmonic mean of precision and recall as the reported F-measure. Our difficulty measure will be the inverse of the F-measure estimated by our model.
After the model was derived and proved to be optimal numerically, it was tested on 743 additional color images. Among them, 70 were from the PASCAL dataset [5], 30 were from the MSR segmentation dataset [4] and the other 643 were from CMU-Cornell iCoseg dataset [3].
4.1 Building the Model with Labeled Data
Pre-processing of Difficulty Measures The F-measure histogram of the labeled data resembles a skewed normal distribution (Figure 3). Setting $z$ to be the F-measure, we tested 4 transformations: $-log(1 - z)$, $log(\frac{1}{1-z})$, $sqrt(z)$ and $sqrt(1 - z)$. The transformation $y = -log(1 - z)$, which had the best Q-Q plot, was chosen.
(a) Histogram of F-measures, (b) Q-Q plot before the transformation, (c) Q-Q plot after the transformation.
Feature Extraction For each model, a feature matrix was constructed for which each row contains features from one image, while each column represents one of the 29 features over the set of images. All the feature data are standardized using the mean and standard deviation of each column of the feature matrix.
Modeling Process The following steps were performed to model the relationship between features and segmentation difficulty.
1. **Full model and its optimal reduced model computed by PCR:** The experiments were carried out as described in Section 3.3. On each model, 10-fold cross-validation was run 100 times and the average CV error recorded. The model complexity is represented by the dimension of features used as the predictive variables. Figure 4 shows that the full 29-dimensional feature model has the best performance when $m$ (number of principal components) is 12, with prediction error at 0.005903. We denote this model by $MO_{PCR12}$. This result
indicates that a model with a smaller set of features will perform better than one with all the features.
**Fig. 4.** Principal component regression of the full model.
The coefficients $\beta$ for features in the full model can give us clues about which features might be most predictive. After the absolute values of the coefficients are sorted in descending order, the top 12 are the following features in Table 1: Cc, Cd, Dd, the lightness mean in Ba, Dc, Cf, Aa, Dc and De. It is clear that features from the LBP texture and Log gradient information are very important.
2. **Optimal model from feature group combinations:**
Figure 5 shows a plot of the CV error vs. the number of predictive variables for the 15 models in Section 3.3. The specific groups of features corresponding to Table 1 are also indicated on the horizontal axis with parentheses.
The optimal model $MO_{opt,\beta_{opt}}$ is the one using feature groups 3 and 4, with 5 predictive variables and an error of 0.006372. The error is slightly larger than that of the model obtained by adding feature group 1 to it, where the error is 0.006148. However, that model’s complexity is 17, much bigger than 5. It can also be seen that combining feature groups 3 and 4 produces a much better result than using either group 3 or group 4 individually.
Since feature groups 3 and 4 are related to LBP texture and log gradient information, the other statistics extracted from those two feature groups, row (a-d), column (C,D) in Table 1, could be added to make additional models.
From Figure 5, adding feature group 1 to groups 3 and 4 yields far better results than adding feature group 2. Thus we only test the addition of $\alpha \subseteq (C,D)$ and $\beta \subseteq (a,b)$. These additions result in another $\sum_{i=1}^{4} C_4 = 15$ different models for which we plot the cross-validation test results in Figure 6. It turns out that adding just the variance of image LBP texture produces the best result among all of the 30 models. This model, denoted by $MO_{set6}$, has a model complexity of 6 and prediction error of 0.005877.
When $MO_{PCR12}$ is compared to $MO_{set6}$, the latter is a better model, because it has a smaller CV error of 0.005877 with only 6 features instead of 0.005903 with 12 features. We define the features in $MO_{set6}$ as the new segmentation difficulty estimation feature, a 6-dimensional vector containing the variance of LBP texture, shape approximation of log histogram of log gradients and the count from the maximum bin in the LBP texture histogram.
### 4.2 Applying the Model to Additional Data
After the optimal model has been derived and proved to be optimal numerically as above, we tested it on 743 additional images from three datasets. Experiments on these unlabeled images can qualitatively indicate how well our model works on a large number of images used in various segmentation and co-segmentation tasks. In these experiments, the proposed 6-dimensional segmentation difficulty estimation features were extracted and their normalized values plugged into the optimal model derived above, producing estimation of F-measures similar to
those reported by Berkeley researchers. To make it more intuitive, we define the segmentation difficulty measure as $D = 1/(\text{estimated F-measure})$ for each image. Thus larger $D$ indicates a more difficult image to segment.
The experimental results demonstrate that our model can reasonably recognize and estimate that the segmentation difficulty increases as there is less contrast and more texture in the image without any user interaction. Figure 7 shows three categories of estimated difficulty level: easy, fair, and hard.
5 Conclusion and Future Work
Looking at the challenges in segmenting a large quantity of various images from a different perspective, we introduced a new research problem: estimating the segmentation difficulty of an image without performing segmentation. We model the relationship between image features and segmentation difficulty by a linear regression model. Besides using the 100 test images of the Berkeley segmentation dataset as labeled data to build, train and test the optimal model, we tested our model on 743 color images from three other well accepted datasets to further verify and demonstrate the power of the model. A new feature using information from the LBP histogram and log histogram of log gradient of an image was discovered and proved to be very effective, despite its low complexity. The model shows good generalization ability in terms of performance and complexity.
Fig. 7. Non-related images and their estimated segmentation difficulty measure $D=1/(estimated F\text{-measure})$
Being a fully automatic algorithm to estimate the image segmentation difficulty, our model is not only a useful complement to previous efforts in segmenting a group of related images, either cosegmentation or interactive cosegmentation, but can also help process a large quantity of unrelated images by separating images that are difficult to segment from those that are easy to segment. Due to these advantages, this work can lead to many interesting applications, such as grouping images on mobile phones and providing better user experiences in large-scale content-based image retrieval. In the future, we plan to estimate the segmentation difficulty levels within a single image by finding local regions that are hard to segment. We hope the exploration of this topic will give new perspectives and lead to more exciting work.
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Lead Plaintiff Universities Superannuation Scheme Ltd. ("USS") brings this putative class action against the Brazilian state-owned oil company Petróleo Brasileiro S.A. – Petrobras ("Petrobras" or the "Company"); two of Petrobras' wholly-owned subsidiaries, Petrobras Global Finance, B.V. ("PGF") and Petrobras International Finance Company S.A. ("PifCo")\(^1\); various former officers and directors of Petrobras and its subsidiaries (the "Individual Defendants")\(^2\); Petrobras' independent auditor,
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\(^1\) Petrobras, PGF, and PifCo are referred to collectively as the "Petrobras Defendants."
\(^2\) Specifically, the Individual Defendants are: Petrobras Chief Executive Officer ("CEO") Maria das Gracas Silva Foster, Petrobras CEO José Sergio Gabrielli, Petrobras Chief Financial Officer ("CFO") Almir Guilherme Barbassa, Petrobras director Josue Christiano Gomes da Silva, Petrobras director Silvio Sinedino Pinheiro, PifCo Chairman and CEO Daniel Lima de Oliveira, PifCo director José Raimundo Brandão Pereira, PifCo CFO Sérvio Túlio da Rosa Tinoco, PifCo Chief Accounting Officer Paulo Jose Alves, PifCo Chief Accounting Officer Mariângela Monteiro Tizatto, PGF CEO and "Managing Director A" Gustavo Tardin Barbosa, PGF CFO and "Managing Director B" Alexandre Quintão Fernandes, PGF "Managing Director A" Marcos Antonio Zacarias, PGF "Managing Director B" Cornelis Franciscus Jozef Looman, and authorized United States Representative Theodore Marshall Helms.
PricewaterhouseCoopers Auditores Independentes ("PwC"); and the underwriters of Petrobras's note offerings (the "Underwriter Defendants"). Plaintiffs allege that Petrobras was at the center of a multi-year, multi-billion dollar bribery and kickback scheme, in connection with which defendants made false and misleading statements in violation of the Securities Exchange Act of 1934 ("Exchange Act"), the Securities Act of 1933 ("Securities Act"), and Brazilian law.
Between December 8, 2014 and January 7, 2015, five separate class action complaints were filed in this Court asserting substantially similar claims against defendant Petrobras for violation of the federal securities laws. See Kaltman v. Petrobras, No. 14-cv-9662 (S.D.N.Y. filed Dec. 8, 2014), Ngo v. Petrobras, No. 14-cv-9760 (S.D.N.Y. filed Dec. 10, 2014); Messing v. Petrobras, No. 14-cv-9847 (S.D.N.Y. filed Dec. 12, 2014); City of Providence v. Petrobras et al., No. 14-cv-10117 (S.D.N.Y. filed Dec. 24, 2014); Kennedy v. Petrobras, No. 15-cv-93 (S.D.N.Y. filed Jan. 7, 2015). By Order dated February 17,
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3 Specifically, the Underwriter Defendants are: BB Securities Ltd., Citigroup Global Markets Inc., J.P. Morgan Securities LLC, Itau BBA USA Securities, Inc., Morgan Stanley & Co. LLC, Santander Investment Securities Inc., HSBC Securities (USA) Inc., Banco Votorantim Nassau Branch, Mitsubishi UFJ Securities (USA), Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Standard Chartered Bank, Bank of China (Hong Kong) Limited, Banco Bradesco BBI S.A., Banca IMI S.p.A., and Scotia Capital (USA) Inc.
2015, the Court consolidated the five related cases under the above caption.
In accordance with the Private Securities Litigation Reform Act ("PSLRA"), 15 U.S.C. § 78u-4(a)(3), the Court received motions by members of the putative class for appointment as lead plaintiff. Following full briefing and oral argument, the Court, by Order dated March 4, 2015, appointed USS as lead plaintiff and approved its choice of lead counsel, the reasons for which it explained by Memorandum dated May 17, 2015. See ECF No. 99; In re Petrobras Secs. Litig., No. 14-cv-9662, 2015 WL 2341359 (S.D.N.Y. May 17, 2015).
On March 27, 2015, USS filed its Consolidated Amended Complaint ("CAC"), which named additional plaintiffs Union Asset Management Holding AG ("Union") and the Employees' Retirement System of the State of Hawaii ("Hawaii ERS") with respect to the claims brought under the Securities Act. ECF No. 109. Plaintiffs then moved to lift the mandatory stay of discovery imposed by the PSLRA with respect to documents that defendants had already produced to regulatory, governmental, or investigative agencies, and requested permission to initiate discovery requests on foreign non-parties pursuant to the Inter-American Convention on Letters Rogatory and the Hague Convention on the Taking of Evidence Abroad in Civil and Commercial Matters. The Court
denied plaintiffs’ motion by Memorandum Order dated April 13, 2015, ECF No. 137.
The Petrobras Defendants and the Underwriter Defendants then moved to dismiss the CAC pursuant to Rules 8, 9(b), 12(b)(1), and 12(b)(6) of the Federal Rules of Civil Procedure. By “bottom line” Order dated July 9, 2015, the Court granted in part and denied in part defendants’ motion. ECF No. 189. This Opinion explains the reasons for these rulings on the motion to dismiss.
The CAC alleges facts relevant to plaintiffs’ claims under the Exchange Act and Brazilian law (which are asserted only by USS) separately from those relevant to their claims under the Securities Act (which are asserted by USS, Union, and Hawaii ERS). The Court first summarizes the factual allegations relevant to USS’s Exchange Act and Brazilian law claims.\(^4\)
Defendant Petrobras is a corporation organized under the laws of Brazil, whose common and preferred shares are listed on the Brazilian stock exchange (“Bovespa”). CAC ¶ 26. In addition, Petrobras sponsors American Depository Shares (“ADS”), representing its common and preferred equity, that are listed on the New York Stock Exchange (“NYSE”). *Id.* At its height in 2009,
\(^4\) At the time this motion was filed, PwC had not yet been served and it did not join in the instant motion. Accordingly, the Court does not discuss plaintiffs’ allegations that are relevant only to PwC.
Petrobras’s market capitalization was approximately $310 billion, making it the world’s fifth-largest company. *Id.* ¶ 2. USS alleges that, following the disclosure of rampant fraud and corruption at the Company, which led to the arrest of high-level Petrobras executives and prompted investigations by Brazilian and U.S. authorities, the Company’s worth declined to $39 billion. *Id.* ¶¶ 2-14.
The alleged corruption scheme was as follows. Before and during the period from January 22, 2010 through March 19, 2015 (the “Class Period”), Petrobras, particularly its Services and Supply and International Divisions, pursued plans to expand its petroleum production capacity, which involved acquiring and contracting for the construction of new facilities and petroleum production assets. *Id.* ¶ 20. However, there were only a limited number of companies in Brazil with the technical capability to complete such large-scale projects. *Id.* ¶ 49. Those companies formed a cartel for the purpose of circumventing Petrobras’ competitive bidding process. *Id.* They did this with the help of certain corrupt Petrobras officials, in particular, former Chief Downstream Officer and Director of Supply Paulo Roberto Costa, former Chief Services Officer Renato de Souza Duque, former Director of the International Division Nestor Cervero, and former executive in the Engineering and Services Division Pedro
Barusco (collectively, the “Corrupt Executives”). *Id.* ¶¶ 8-10, 50.
According to the CAC, the Corrupt Executives would apprise the cartel members of the estimated cost that Petrobras assigned to a project. *Id.* 66. The cartel members would then agree amongst themselves which company would win the contract and adjust their bids to conform to Petrobras’ parameter allowing for a 15-20% profit above that figure. *Id.* ¶¶ 50-51. On top of that profit, they would build into the winning bid a “three percent political adjustment,” which would be used to pay kickbacks to the Corrupt Executives and their political patrons, known as “Padrinhos,” or Godfathers, within the Brazilian political parties. *Id.* ¶¶ 50-51, 62.
Under Petrobras’ system of political patronage, each of the company’s seven divisions, known as Directorates, was allocated to one of the political parties forming the majority coalition: the Partido Progressista (“PP”), the Partido do Movimento Democratico Brasileiro (“PMDB”), and the Partido dos Trabalhadores (“PT”). *Id.* ¶ 65. Because the Brazilian government was Petrobras’ majority shareholder, the political parties had the power to appoint the directors of the divisions under their control, as well as to nominate all members of Petrobras’ Board of Directors, including its President. *Id.* ¶ 63. In return for the parties’ sponsorship of their careers, individual executives
were expected to provide kickbacks to the parties by diverting Company funds from works and contracts under their control. *Id.*
The CAC alleges that the corruption scheme resulted in Petrobras drastically overpaying for several refineries that it acquired or built during this time period. For example, in 2006, Petrobras acquired a refinery in Pasadena, Texas for a total of $1.18 billion, including interest and legal fees, when a Belgian oil company had purchased the same refinery just a year earlier for only $42.5 million. *Id.* ¶ 75. Petrobras officials allegedly approved the inflated purchase price after accepting bribes. *Id.* The cost of another refinery, the Abreu e Lima refinery in Pernambuco, Brazil, allegedly increased from $4 billion to over $18 billion largely because of padded contracts awarded to cartel companies. *Id.* ¶ 84. Similarly, Petrobras will be obliged to spend sixty percent more than it originally budgeted at one of the refineries comprising the Complexo Petroquimico do Rio de Janeiro ("Comperj Project"). *Id.* ¶ 90. An audit of the Comperj Project found irregularities in several contracts and a lack of effective controls. *Id.*
The CAC further alleges that the Individual Defendants were alerted to the fraud at the Company. For example, a former Petrobras manager, Venina Velosa da Fonseca, testified that she met with Defendant Foster, who was then in charge of the energy and gas division and reported to then-CEO Gabrielli, to tell her
about inflated contracts and payments for services that had not been carried out. *Id.* ¶ 92. Fonseca claimed that she had repeatedly reported problems with bidding and contracts to her superiors for five years, and was transferred to Singapore and ultimately fired in retaliation. *Id.* ¶ 93. She allegedly forwarded her complaints to CEO Gabrielli. *Id.* ¶ 98. He created a committee to investigate, which found that the Company had paid R$ 58 million for communication services that were not performed. *Id.* However, the employee responsible for the embezzlement was kept on Petrobras’ payroll for several years thereafter. *Id.* ¶ 101. Similarly, a confidential informant reported that, in 2005, a PT politician in Rio took his concerns about bribery and corruption related to the Pasadena refinery purchase directly to Gabrielli, who was then Petrobras’ President. *Id.* ¶ 81.
The corruption scheme was eventually uncovered as part of an extensive money-laundering investigation by the Brazilian Federal Police known as Operation “Lava Jato,” meaning “car wash.” *Id.* ¶ 4. As the details of the scheme slowly emerged, the price of Petrobras’ securities suffered decline after decline. *Id.* ¶¶ 283-48. Over the course of the Class Period, the price of Petrobras’ common ADS fell by 80.92% and the price of its preferred ADS fell by 78.01%. *Id.* at 349.
USS alleges that defendants made two categories of false and misleading statements. First, it alleges that the corruption scheme rendered the Company’s financial statements materially false and misleading. *Id.* ¶ 109. Specifically, it alleges that Petrobras, in accordance with International Financial Reporting Standards, accounted for costs related to the construction, installation, and completion of oil and gas infrastructure as part of the carrying value of its property, plant and equipment (“PP&E”) on the Company’s balance sheets. *Id.* ¶¶ 110-13. Because the amounts that Petrobras paid for its construction contracts were inflated by the bribe payments and overcharges from the cartel, however, the reported value of its PP&E was correspondingly inflated. *Id.* ¶¶ 114, 139. USS alleges that on January 28, 2015, Petrobras issued a statement acknowledging that it will be necessary to make adjustments to its financial statements to correct the carrying values of its fixed assets. *Id.* ¶ 339.
Second, the CAC alleges that Petrobras made false and misleading statements regarding the integrity of its management and the effectiveness of its financial controls. *Id.* ¶ 140. For example, the Company allegedly made statements to reassure investors that its operations were conducted with full transparency and in compliance with applicable laws and regulations, and also touted its Code of Ethics and corruption
prevention program. *Id.* ¶¶ 140-50. Furthermore, Petrobras repeatedly represented that it maintained effective internal controls and procedures, when in fact those controls and procedures suffered from material weaknesses. *Id.* ¶ 152-56.
On the basis of the above allegations, USS asserts two causes of action on behalf of all persons and entities who purchased or otherwise acquired Petrobras securities on the NYSE or pursuant to other domestic transactions during the Class Period: violation of Section 10(b) of the Exchange Act and Securities and Exchange Commission ("SEC") Rule 10b-5(b) promulgated thereunder against Petrobras, PGF, and the Individual Defendants (Count I); and violation of Section 20(a) of the Exchange Act against defendants Gabrielli, Foster, and Barbassa (Count II).
USS further asserts four causes of action under Brazilian law on behalf of all persons or entities who, in addition to purchasing Petrobras securities on the NYSE or pursuant to domestic transactions, also purchased or otherwise acquired Petrobras securities on the Bovespa during the Class Period: violation of the Brazilian Corporate Law and the regulations of the Brazilian Securities and Exchange Commission ("Comissão de Valores Mobiliários" or "CVM") against the Individual Defendants (Count III); violation of the Brazilian Civil Code against Petrobras (Count IV); violation of the Brazilian Corporate Law,
CVM Regulations, and Brazilian Civil Code against Petrobras (Count V); and violation of the Brazilian Securities Law, CVM Regulations, and the Brazilian Civil Code against PwC (Count VI).
Turning to the Securities Act Claims, plaintiffs USS, Union, and Hawaii ERS assert that their allegations under the Securities Act are "in effect a separate complaint," and state that they "do not incorporate any of the allegations" pled in relation to the Exchange Act and Brazilian law claims. *Id.* ¶ 388. With respect to these claims, they disclaim "any allegations of fraud or scienter" or "any other deliberate and intentional misconduct." *Id.* ¶ 389.
Nonetheless, the factual allegations regarding the corruption scheme and its effect on Petrobras' balance sheet are substantially similar to the facts that USS alleges with respect to the Exchange Act and Brazilian law claims. Plaintiffs allege that, for years, Petrobras routinely awarded inflated contracts to a cartel of construction and engineering firms in exchange for those firms making hundreds of millions of dollars in improper and undisclosed payments to corrupt Petrobras executives and Brazilian political parties. *Id.* ¶¶ 395-96. This, plaintiff alleges, occurred as a result of Petrobras' culture of political patronage, whereby Company executives were promoted on
the basis of political sponsors who, in exchange, demanded contributions to their campaign funds. *Id.* ¶ 397.
The contracts were allegedly inflated by “as much as 20%,” with the result that the reported carrying value of Petrobras’ PP&E, expenses, and net income were materially false and misleading. *Id.* ¶ 405. Plaintiffs further allege that defendant Foster has acknowledged that the bribe payments were improperly recognized as part of the cost of the Company’s fixed assets and will require adjustment. *Id.* ¶ 404. The Company, plaintiffs allege, is facing an asset write-down that “may reach $30 billion.” *Id.* ¶ 405. In addition, the fact that Petrobras did not report the overpayments as immediate expenses resulted in its expenses appearing lower and its net income higher during the periods in which the inflated payments were made. *Id.* ¶ 406.
The allegedly false and misleading statements that form the basis for plaintiffs’ Securities Act Claims were made in offering documents for several Notes Offerings between 2012 and 2014. Specifically, the Petrobras Defendants offered notes pursuant to prospectus supplements with the SEC on February 3, 2012 (the “2012 Notes Offerings”), on May 15, 2013 (the “2013 Notes Offerings), and on March 11, 2014 (the “2014 Notes Offerings”). *Id.* ¶¶ 408-18. The registration statements and prospectus supplements that Petrobras filed with the SEC in connection with these Notes Offerings (collectively, the
“Offering Documents”) incorporated by reference other documents such as Annual Reports on Form 20-F and reports on Form 6-K that the Petrobras Defendants filed with the SEC during the relevant periods. *Id.* ¶¶ 411, 415, 418.
Plaintiffs allege that the documents incorporated by reference into the Offering Documents contained numerous false and misleading statements. Specifically, those documents contained representations regarding Petrobras’ total assets, including net PP&E, its total costs and expenses, including depreciation, depletion, and amortization, and its net income. *Id.* ¶¶ 477, 482, 484, 488, 490, 494, 496. Plaintiffs allege that such statements were materially false and misleading because Petrobras included the cost of improper payments in the value of its assets, as described above.
The Offering Documents further incorporated representations, for example, that the Company’s internal control over financial reporting was effective and also incorporated by reference Petrobras’ Code of Ethics, pursuant to which it undertook to “conduct its business with transparency and integrity,” to “register its reports and statements in a correct, consistent, accurate and complete way,” and to “refuse any corrupt and bribery practices” and “refuse support and contributions to political parties.” *Id.* ¶¶ 478-79, 485, 491, 498. Finally, on March 11, 2014, Petrobras filed a form 6-K,
which incorporated a statement that neither Petrobras nor any of its officers had engaged in corruption, made any bribe or unlawful payment, or violated any provision of certain U.S., U.K., and Brazilian anti-corruption laws. *Id.* ¶ 500. These statements, plaintiffs allege, were materially false and misleading because Petrobras had, in fact, engaged in rampant corrupt activities and utterly lacked effective controls.
On the basis of these allegations, plaintiffs assert three Securities Act causes of action: violation of Section 11 of the Securities Act against the Petrobras Defendants, the Individual Defendants, the Underwriter Defendants, and PwC (Count VII); violation of Section 12(a)(2) of the Securities Act against defendants Petrobras and PGF (Count VIII); and violation of Section 15 of the Securities Act against defendants Foster, Gabrielli, and Barbassa (Count IX).
**Exchange Act Claims.** Defendants moved to dismiss the Exchange Act Claims for failure to state a claim upon which relief may be granted. Fed. R. Civ. P. 9(b), 12(b)(6). To survive a motion to dismiss, “a complaint must contain sufficient factual matter, accepted as true, to ‘state a claim that is plausible on its face.’” *Ashcroft v. Iqbal*, 556 U.S. 662, 678 (2009) (quoting *Bell Atl. Corp. v. Twombly*, 550 U.S. 544, 570 (2007). “In considering a motion to dismiss ... the court is to accept as true all facts alleged in the complaint” and
must "draw all reasonable inferences in favor of the plaintiff." *Kassner v. 2nd Ave. Delicatessen Inc.*, 496 F.3d 229, 237 (2d Cir. 2007). However, mere conclusory statements and "formulaic recitation[s] of the elements of a cause of action" will not suffice. *Twombly*, 550 U.S. at 555.
Furthermore, Section 10(b) claims are subject to the heightened pleading standards of Rule 9(b) and the PSLRA. Accordingly, to state a claim for violation of Section 10(b), a plaintiff must "state with particularity the circumstances constituting fraud or mistake." Fed. R. Civ. P. 9(b). The Second Circuit has interpreted Rule 9(b) to require that a complaint: "(1) specify the statements that the plaintiff contends were fraudulent, (2) identify the speaker, (3) state where and when the statements were made, and (4) explain why the statements were fraudulent." *Rombach v. Chang*, 355 F.3d 164, 170 (2d Cir. 2004) (citation and internal quotation marks omitted). In addition, under the PSLRA, the plaintiff must "specify each statement alleged to have been misleading [and] the reason or reasons why the statement is misleading." 15 U.S.C. § 78u-4(b)(1).
Section 10(b) of the Exchange Act makes it unlawful to "use or employ, in connection with the purchase or sale of any security ... any manipulative or deceptive device or contrivance in contravention of such rules and regulations as the Commission
may proscribe.” 15 U.S.C. § 78j(b). SEC Rule 10b-5, which implements the statute, prohibits “mak[ing] any untrue statement of a material fact or [omitting] to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading.” 17 C.F.R. § 240.10b-5(b). In order to establish a claim under these provisions, a plaintiff bears the burden to prove that “(1) the defendant made a material misrepresentation or omission; (2) with scienter; (3) in connection with the purchase or sale of a security; (4) reliance; (5) economic loss; and (6) loss causation.” IBEW Local Union No. 58 Pension Trust Fund & Annuity Fund v. Royal Bank of Scotland Grp., PLC, 783 F.3d 383, 389 (2d Cir. 2015).
With respect to the first element of an Exchange Act claim, defendants argue that the CAC fails to plead any material misrepresentation or omission. “A statement or omission is material if ‘there is a substantial likelihood that a reasonable shareholder would consider it important in deciding how to act.’” Id. (quoting ECA, Local 134 IBEW Joint Pension Trust of Chicago v. JP Morgan Chase Co., 553 F.3d 187, 197 (2d Cir. 2009)). Materiality is “a mixed question of law and fact and is rarely a basis for dismissal on the pleadings.” City of Pontiac Gen. Employees' Ret. Sys. v. Lockheed Martin Corp., 875 F. Supp. 2d 359, 368 (S.D.N.Y. 2012). A complaint may be dismissed for
failure to plead materiality only if "the misstatements are 'so obviously unimportant to a reasonable investor that reasonable minds could not differ on the question of their importance.'" Id.
As discussed above, Petrobras' allegedly false and misleading statements fall into two categories: its financial statements and its representations about the state of its business and management. Plaintiffs allege that Petrobras' financial statements misrepresented the value of the Company's PP&E, expenses, and net income because the Company improperly capitalized costs associated with payments to cartel members, to the Corrupt Executives, and to political parties. Plaintiffs allege that the Company's contracts with cartel companies were inflated by as much as twenty percent, with the result that Petrobras may be forced to book a $30 billion asset write-down. CAC ¶¶ 5, 13.
Defendants argue that the public documents on which the CAC expressly relies — most importantly, the testimony of Paulo Roberto Costa, one of the Corrupt Executives who is now cooperating with the investigation — do not support plaintiffs' allegations. Where a complaint cites reports and testimony whose "contents as public documents are not subject to reasonable dispute," the Court may "consider them in determining the merits and context of the allegations of the [complaint] that are based
on them.” *IBEW Local*, 783 F.3d at 390. In this case, defendants correctly point out that Costa’s testimony was not that the cartel contracts were inflated by twenty percent, but rather that, pursuant to its procurement guidelines, Petrobras would consider bids up to twenty percent over its internal budget estimate. *See* Declaration of Roger A. Cooper dated April 17, 2015 (“Cooper Decl.”) Ex. 5, at 4. Costa further testified that the bribe payments added only three percent to the contract price. *Id.* Thus, to the extent that plaintiffs characterize Costa’s testimony as stating that the contracts were systematically inflated by up to 20%, defendants are correct that the testimony itself belies that characterization.
However, it does not follow that Petrobras paid only three percent more on the cartel contracts than it would have under an honest bidding system. If the cartel companies were paying three percent in bribes and kickbacks, it is reasonable to infer that the corruption scheme allowed them to inflate the contract prices by considerably more than three percent. Otherwise, the bribery scheme would not be worth their while. This conclusion is supported by Costa’s statements, for example, that the amounts paid for the works were “much higher than the real values” and that, by virtue of the bribery scheme, the cartel companies were able to “stretch[]” their profits “to the limit the contracting enterprise allows.” Declaration of Emma Gilmore
dated May 8, 2015 ("Gilmore Decl.") Ex. 17, at 290-91. Thus, a fair reading of Costa's testimony permits the inference that the contracts were inflated by much more than three percent.
Defendants argue that the three percent bribe payment built into the cartel contracts did not materially affect the accuracy of Petrobras' financial statements. According to the SEC's Staff Accounting Bulletin ("SAB") No. 99, which the Second Circuit has deemed to be persuasive authority, the court should consider both quantitative and qualitative factors in assessing a statement's materiality. *ECA, Local 134*, 553 F.3d at 198-99 (citing SAB No. 99, 1999 WL 1123073). SAB No. 99 establishes a "rule of thumb" that changes of less than five percent to financial statements are presumptively immaterial. *City of Pontiac*, 875 F. Supp. 2d at 368. However, SAB No. 99 recognizes that a misstatement can be material even if does not cross the five percent threshold and sets out relevant qualitative factors such as "(1) concealment of an unlawful transaction, (2) significance of the misstatement in relation to the company's operations, and (3) management's expectation that the misstatement will result in a significant market reaction." *ECA, Local 134*, 553 F.3d at 198.
In this case, plaintiffs' allegation that Petrobras overstated the value of its assets by as much as $30 billion relies on a statement that the Company made in January 2015. See
Cooper Decl. Ex. 8. However, as defendants point out, the statement on which plaintiffs rely does not, in fact, establish that Petrobras’ assets were overvalued by $30 billion. Instead, the Company acknowledged that costs relating to improper payments should not have been capitalized and that an asset write-down may be necessary to correct this error. *Id.* at 11-12. The statement discusses two methods for calculating the asset write-down that the Company considered but ultimately decided not to adopt. *Id.* at 11-12.
The first of those methods was to measure the difference between the fair value and the carrying amount of Petrobras’ assets. *Id.* at 13. This method found that fifty-two of Petrobras’ assets had a fair value below their carrying amount, for a total discrepancy of R$ 88.6 billion, or almost US $30 billion. *Id.* at 14. This, presumably, is the source of plaintiffs’ allegation. However, the January 2015 statement explains that Petrobras decided *not* to adopt this method because it was not capable of distinguishing discrepancies in valuation of assets related to improper payments from those caused by, for example, changed economic conditions. *Id.* at 13-14.
The second method that the January 2015 statement discusses is to calculate the amount of bribes paid to the cartel based on documents and testimony that have emerged in the course of the investigation, including Costa’s testimony that the bribe
payments accounted for about three percent of the value of the Company’s contracts with the cartel companies. *Id.* at 12-13. This approach would lead to an asset write-down of R$ 4.06 billion, or approximately US $1.3 billion. *Id.* at 13. Defendants contend that $1.3 billion amounts to less than 0.7 percent of Petrobras’ total PP&E assets. However, the Company also rejected this method because the investigation has not revealed sufficient detail regarding the improper payments to support recording an entry in its books and records. *Id.* at 13.
Based on the above, it appears that plaintiffs’ contention that Petrobras faces an asset write-down of US $30 billion is not supported by the document on which it relies. Nonetheless, that document does not clearly establish, as defendants contend, that the write-down will be limited to US $1.3 billion. Thus, in terms of the quantitative factors, it is not clear whether Petrobras’ alleged misstatement reaches the five percent “rule of thumb,” though there is a plausible possibility that it might.
In any event, however, the quantitative analysis is not dispositive of materiality. *Litwin v. Blackstone Grp., L.P.*, 634 F.3d 706, 714 (2d Cir. 2011). Here, the qualitative factors strongly favor a finding of materiality. The errors in Petrobras’ financial statements were directly related to its concealment of the unlawful bribery scheme, revelation of which
would “call into question the integrity of the company as a whole.” *Strougo v. Barclays PLC*, No. 14-CV-5797 SAS, 2015 WL 1883201, at *10 (S.D.N.Y. Apr. 24, 2015). Moreover, the misstatements related to the value of Petrobras’ oil-producing infrastructure, which is the core of its business. Finally, plaintiffs allege that Petrobras’ share price dropped dramatically when news of the corruption scheme emerged, indicating that investors did, in fact, consider that information to be material. Accordingly, the Court cannot conclude that the alleged misrepresentations in Petrobras’ financial statements were immaterial as a matter of law.
With respect to Petrobras’ general statements about its business, defendants argue that these statements are not actionable because they are either statements of opinion, mere puffery, or forward-looking statements subject to the PSLRA’s “safe harbor” provision, 15 U.S.C. § 78u-5(c).
A statement of opinion is not materially false just because it is incorrect unless it is not “honestly held” or omits facts about the speaker’s basis for holding that view, and those facts conflict with what a reasonable investor would understand from the statement itself. *See Omnicare, Inc. v. Laborers Dist. Council Const. Indus. Pension Fund*, 135 S. Ct. 1318, 1327 (2015). Defendants argue that many of their allegedly false and misleading statements were statements of opinion, and that
plaintiffs have not plausibly alleged that those opinions were not honestly held.
For example, they contend that Petrobras’ alleged statements regarding the effectiveness of its internal controls are not actionable for this reason. See, e.g., CAC ¶¶ 164, 184, 198, 251, 260. However, plaintiffs allege that at the time the Company’s management was professing its opinion that the company’s internal controls were effective, that same management was well aware of the extensive corruption in the Company’s procurement activities. See, e.g. id. ¶ 158. These allegations are sufficient to infer that the Company disbelieved the alleged statements at the time they were made. See Varghese v. China Shenghuo Pharm. Holdings, Inc., 672 F. Supp. 2d 596, 607 (S.D.N.Y. 2009) (holding that plaintiffs plausibly alleged that defendant’s “internal control problems were much more serious than the picture conveyed by its filings and press releases”); In re Scottish Re Grp. Sec. Litig., 524 F. Supp. 2d 370, 398 (S.D.N.Y. 2007) (holding that “plaintiffs’ factual allegations, accepted as true, suggest that the Company recklessly or intentionally misled investors as to the state of its internal controls”).
With respect to puffery, “[s]tatements of general corporate optimism ... do not give rise to securities violations.” IBEW Local, 783 F.3d at 392; City of Pontiac Policemen’s & Firemen's
Ret. Sys. v. UBS AG, 752 F.3d 173, 183 (2d Cir. 2014) ("It is well-established that general statements about reputation, integrity, and compliance with ethical norms are inactionable 'puffery,' meaning that they are 'too general to cause a reasonable investor to rely upon them.'"). Defendants argue that many of Petrobras' alleged statements are mere puffery. These include statements that Petrobras established a commission "aimed at assuring the highest ethical standards," CAC ¶ 141; that it "adopts the best corporate governance practices," CAC ¶ 150; that it undertook to "conduct its business with transparency and integrity" and to "refuse any corrupt and bribery practices, keeping formal procedures for control and consequences of any transgressions," CAC ¶ 165; that it was "fully committed to implementing a fair and transparent operation" and "will invest all of our resources with efficiency and discipline," CAC ¶ 167; and that its Business and Management Plan "is underpinned by realism, precise targets and rigorous project management with capital discipline," CAC ¶ 206.
Whether a representation is "mere puffery" depends, in part, on the context in which it is made. See Arkansas Teacher Ret. Sys. v. Bankrate, Inc., 18 F. Supp. 3d 482, 485 (S.D.N.Y. 2014); U.S. Bank Nat. Ass'n v. PHL Variable Ins. Co., No. 12-cv-6811, 2013 WL 791462, at *7 (S.D.N.Y. Mar. 5, 2013). While some of the alleged statements, viewed in isolation, may be mere
puffery, nonetheless, when (as here alleged) the statements were made repeatedly in an effort to reassure the investing public about the Company’s integrity, a reasonable investor could rely on them as reflective of the true state of affairs at the Company. Accordingly, the Court cannot find that all of Petrobras’ alleged statements regarding its general integrity and ethical soundness were immaterial as a matter of law. See TSC Indus., Inc. v. Northway, Inc., 426 U.S. 438, 450 (1976) (noting that the issue of materiality “requires delicate assessments of the inferences a ‘reasonable shareholder’ would draw from a given set of facts and the significance of those inferences to him, and these assessments are peculiarly ones for the trier of fact”).
Finally, the PSLRA provides for a safe harbor for “forward looking statements” if accompanied by “meaningful cautionary statements,” 15 U.S.C. § 78u-5(c)(1)(A), or if the plaintiff does not properly allege that the speaker had “actual knowledge” that the statement was false or misleading, id. § 78u-5(c)(1)(B). Such statements are defined to include “a statement of the plans and objectives of management for future operations” and “a statement of future economic performance.” Id. § 78u-5(i)(1)(B)-(C).
Defendants argue that some of the alleged material misstatements are subject to the safe harbor provision. For
example, they highlight the allegations that Petrobras stated that "the proper management of our project portfolio provides us with the confidence that we will be able to achieve the goals of 2013-17 BMP, which will guarantee the returns expected by our shareholders," CAC ¶ 224, and that the Company would "continue with [its] efforts to recover the operational efficiency of the Campos Basin and optimize operating costs," CAC ¶ 206. The Court agrees with defendants that these two statements are protected by the PSLRA's safe harbor for forward-looking statements because there is no allegation that the speaker had actual knowledge that they were false or misleading. This conclusion, however, does not undercut the Court's broader conclusion that plaintiffs have adequately pled material misstatements such that their Exchange Act claims survive defendants' motion to dismiss.
With respect to the second element of an Exchange Act claim, defendants argue that the CAC fails to plead scienter. Scienter is "a mental state embracing intent to deceive, manipulate, or defraud." *Tellabs, Inc. v. Makor Issues & Rights, Ltd.*, 551 U.S. 308, 319 (2007). "When the defendant is a corporate entity, this means that the pleaded facts must create a strong inference that someone whose intent could be imputed to the corporation acted with the requisite scienter." *Teamsters Local 445 Freight Div. Pension Fund v. Dynex Capital Inc.*, 531 F.3d 190, 195 (2d Cir. 2008). The PSLRA provides that the
complaint must “state with particularity facts giving rise to a strong inference that the defendant acted with the required state of mind.” 15 U.S.C. § 78u-4(b)(2)(A). In making this determination, a court considers whether “all of the facts alleged, taken collectively, give rise to a strong inference of scienter, not whether any individual allegation, scrutinized in isolation, meets that standard.” *Tellabs*, 551 U.S. at 323. When so considered, the inference of scienter must be “cogent and at least as compelling as any opposing inference one could draw from the facts alleged.” *Id.* at 324.
Defendants rely on the so-called “adverse interest” exception to the general rule that a corporate executive’s scienter is attributable to the corporation. This exception applies where “an officer acts entirely in his own interests and adversely to the interests of the corporation.” *Kirschner v. Grant Thornton LLP*, No. 07-cv-11604, 2009 WL 1286326, at *5 (S.D.N.Y. Apr. 14, 2009) aff’d sub nom. *Kirschner v. KPMG LLP*, 626 F.3d 673 (2d Cir. 2010). Although defendants do not dispute that the CAC adequately pleads scienter with respect to the four Corrupt Executives who carried out the bribery scheme, they argue that the adverse interest exception applies to the Petrobras entities because the Corrupt Executives acted entirely to benefit themselves and their political patrons, at the Company’s expense.
However, "where a corporation benefits to any extent from the fraudulent acts of its agents, the agents cannot be said to have 'totally abandoned' the interests of the corporation." Id. at *6. In this case, the CAC plausibly alleges that, as a result of the bribery scheme, the value of Petrobras’ PP&E appeared to be higher than it actually was, which in turn inflated the value of Petrobras’ securities. Thus, the inflation of the Company’s PP&E operated as a fraud on the investing public, not on Petrobras itself. Moreover, the Corrupt Executives’ failure to correct Petrobras’ various statements about its integrity, its compliance with applicable laws and regulation, and the effectiveness of its internal controls clearly benefitted the Company, which was able to continue to attract investment and to complete its large-scale expansion plans. See Stream SICAV v. Wang, 989 F. Supp. 2d 264, 277 (S.D.N.Y. 2013).
Finally, the CAC alleges that Petrobras operated on a system of political patronage. CAC ¶ 63. Each division of the Company was aligned with one of the political parties forming Brazil’s government, which was also the Company’s majority shareholder. Id. ¶ 65. Accordingly, it is reasonable to infer that the Company benefited from remaining in favor with its political patrons. See Kirschner v. KPMG LLP, 15 N.Y.3d 446, 468 (Ct. App. 2010) ("So long as the corporate wrongdoer’s fraudulent conduct enables the business to survive — to attract
investors and customers and raise funds for corporate purposes – – this test is not met.”). Therefore, the allegations of the CAC do not conclusively establish that the Company received no benefit from the Corrupt Executives’ actions, as required to render the adverse interest exception applicable.
Accordingly, the Court denied defendants’ motion to dismiss the Exchange Act claims for failure to plead materiality and scienter.
**Securities Act Claims.** Defendants moved to dismiss the Securities Act claims on a variety of grounds.
*First,* they moved to dismiss all of the Securities Act claims in their entirety for failure to plead any materially false or misleading statement. As defendants recognize, however, the Securities Act claims rest on many of the same allegedly false statements in Petrobras’ financial statements as the Exchange Act claims. Thus, plaintiffs’ allegation that Petrobras entered inflated contracts which, in turn, caused it to inflate the reported value of its PP&E survives defendants’ motion for the same reasons as discussed above. Even though the contracts may not have been inflated by the full twenty percent alleged by plaintiffs, the CAC plausibly alleges that they were materially inflated, and that such inflation was reflected in the Company’s financial statements. Similarly, the CAC plausibly alleges that Petrobras’ statements regarding its transparency and ethical
controls are sufficient for the same reasons discussed above.
See supra. That is all that is required at this stage.\(^5\)
Second, defendants moved to dismiss certain of plaintiffs’ Securities Act claims on the ground that plaintiffs lack standing to bring such claims. As to the Section 11 claims (Count VII), defendants moved to dismiss plaintiffs’ claims regarding the 2012 Notes Offering on the ground that plaintiffs lack standing to assert them. Section 11 provides that a purchaser of a security may sue if the registration statement “contained an untrue statement of a material fact.” 15 U.S.C. § 77k(a). Section 11 creates strict liability for any defendant who (1) signed the statement at issue; (2) was a director, person performing similar functions, or partner in the issuer at the time the statement was issued; (3) was named in the statement, with that party’s consent, as being or about to become a director, person performing similar functions, or partner; (4) was an expert whose involvement was, with that
\(^5\) Defendants also argue that Petrobras’ statement in the March 2014 Underwriting Agreement that neither Petrobras nor its officers made “any direct or indirect unlawful payment to any foreign or domestic government or official,” CAC ¶ 500, was not false because the cartel members, and not Petrobras or its officers, made the unlawful payments. However, the CAC alleges that the cartel companies made those payments pursuant to an understanding with the Corrupt Executives, squarely qualifying them as “indirect” unlawful payments by Petrobras officers.
party's consent, listed in the statement; or (5) was a statutory underwriter of the security. *Id.* § 77k(a)(1)-(5).
In order to have standing to sue under Section 11, aftermarket purchasers must be able to "trace their shares to an allegedly misleading registration statement." *Caiafa v. Sea Containers Ltd.*, 525 F. Supp. 2d 398, 407 (S.D.N.Y. 2007). Defendants argue that plaintiffs cannot trace their shares to the 2012 Notes Offering. The 2012 Notes Offering, they argue, was a "re-opening" of a previous notes offering. Because the 2012 Notes are indistinguishable from the earlier-offered notes, the plaintiffs, according to defendants, will not be able to trace their shares to the 2012 Notes Offering.
However, the "pleading requirement for Section 11 standing is satisfied by 'general allegations that plaintiff purchased pursuant to or traceable to [a] false registration statement.'" *Caiafa*, 525 F. Supp. 2d at 407 (internal citation and quotation marks omitted). At this stage, plaintiffs are not "required to explain how their shares can be traced." *In re Authentidate Holding Corp.*, No. 05-cv-5323, 2006 WL 2034644, at *7 (S.D.N.Y. July 14, 2006) (citation and internal quotation marks omitted) (emphasis added). Accordingly, plaintiffs' allegation that they purchased the notes "pursuant to or traceable to the materially false and misleading" registration statements suffices, at this stage, to establish their standing under Section 11. CAC ¶ 528.
Defendants also argue that plaintiffs lack standing with respect to the Section 12(a)(2) claims (Count VIII). Section 12(a)(2) imposes liability on anyone who “offers or sells a security ... by the use of any means or instruments of transportation or communication in interstate commerce or of the mails, by means of a prospectus or oral communication, which includes an untrue statement of a material fact.” 15 U.S.C. § 77l. Standing to assert a Section 12(a)(2) claim is limited to persons who directly purchase securities from the defendant in a public offering, rather than on the secondary market. *Gustafson v. Alloyd Co., Inc.*, 513 U.S. 561, 578 (1995). Here, plaintiffs fail to allege that they purchased their shares in the public offering, and therefore lack standing. *See Pub. Employees' Ret. Sys. of Mississippi v. Merrill Lynch & Co. Inc.*, 714 F. Supp. 2d 475, 484 (S.D.N.Y. 2010) (finding allegation that plaintiffs purchased securities “pursuant and/or traceable to” the defective offering documents insufficient). However, the Court, in its Order of July 9, 2015 granted plaintiffs leave to amend to correct this defect if they can.\(^6\)
*Third*, defendants moved to dismiss plaintiffs’ Securities Act claims arising from the 2012 and 2013 Notes Offerings as
---
\(^6\) The Court considered defendants’ other arguments regarding plaintiffs’ standing to bring Section 12(a)(2) claims and found them to be without merit.
barred by the statute of limitations and/or the statute of repose. As to the statute of limitations, Section 11 and 12(a)(2) claims must be brought "within one year after the discovery of the untrue statement or the omission, or after such discovery should have been made by the exercise of due diligence." 15 U.S.C. § 77m. "The one-year limitations period applicable to discovery of the violation begins to run after the plaintiff 'obtains actual knowledge of the facts giving rise to the action or notice of the facts, which in the exercise of reasonable diligence, would have led to actual knowledge.'" LC Capital Partners, LP v. Frontier Ins. Grp., Inc., 318 F.3d 148, 154 (2d Cir. 2003) (emphasis omitted). Thus, as the first complaint in this consolidated action was filed on December 8, 2014, the claims are time barred if plaintiff had actual or constructive notice of them on or before December 7, 2013.
Defendants argue that representations that USS made in support of its lead plaintiff application establish that it should have discovered its claims before that date. Specifically, USS sold all its preferred ADSs in October 2013. In order to claim a loss in that class of securities, USS asserted that there was a corrective disclosure in August 2013, namely, a report in Epoca magazine on illegal transfers by Petrobras to members of a Brazilian political party. USS asserted that the Epoca report caused the price of preferred
ADSs to drop by over 5%, and that additional reports were published from August through November 2013 containing similar disclosures. Thus, defendants argue, USS’s claims based on the 2012 and 2013 Notes Offerings are time-barred.
However, determining “whether a plaintiff had sufficient facts to place it on inquiry notice is ‘often inappropriate for resolution on a motion to dismiss under Rule 12(b)(6).’” LC Capital Partners, 318 F.3d at 156. Here, determining whether the Epoca report contained sufficient information about the fraud to put plaintiffs on constructive notice would require the Court to resolve complex disputes of fact. Moreover, “[t]here are occasions when, despite the presence of some ominous indicators, investors may not be considered to have been placed on inquiry notice because the warning signs are accompanied by reliable words of comfort from management.” Id. at 155. Thus, additional factual disputes exist as to whether a reasonable investor would have relied on the Company’s statements regarding its transparency and integrity such that they were not placed on inquiry notice. Accordingly, the Court cannot determine, as a matter of law, that plaintiffs were on inquiry notice of their claims before December 7, 2013.
Section 11 claims are also subject to a statute of repose, which provides that “[i]n no event” shall an action be brought “more than three years after the security was bona fide offered
to the public.” 15 U.S.C. § 77m. In this case, the 2012 Notes Offering was made on February 1, 2012, but plaintiffs did not file the CAC until March 27, 2015, over three years later. The so-called “American Pipe” doctrine, which provides that the filing of a class action complaint tolls the statute of limitations with respect to members of the putative class, does not apply to statutes of repose. See *In re IndyMac Mortgage-Backed Sec. Litig.*, 793 F. Supp. 2d 637, 642 (S.D.N.Y. 2011) aff’d in part sub nom. *Police & Fire Ret. Sys. of City of Detroit v. IndyMac MBS, Inc.*, 721 F.3d 95 (2d Cir. 2013); *American Pipe and Construction Co. v. Utah*, 414 U.S. 538 (1974). Nor does the “relation back” doctrine apply, so plaintiffs may not rely on the complaint filed by a different plaintiff, the City of Providence, in one of the related cases. *Id.* Therefore, the statute of repose bars plaintiffs’ Section 11 claims based on the 2012 Notes Offering.
Accordingly, in the Order of July 9, 2015, the Court denied defendants’ motion to dismiss plaintiffs’ claims based on the 2012 and 2013 Notes Offerings as barred by the one-year statute of limitations, but granted defendants’ motion to dismiss plaintiffs’ claims based on the 2012 Notes Offering as barred by the three-year statute of repose.
*Fourth*, defendants moved to dismiss certain Section 11 claims because plaintiff failed to plead reliance on the
Offering Documents. A Section 11 plaintiff must prove reliance on the misrepresentation in the registration statement "if the plaintiff 'acquired the security after the issuer has made generally available to its security holders an earning statement covering a period of at least 12 months beginning after the effective date of the registration statement." *Pub. Emps.’ Ret. Sys. v. Merrill Lynch & Co.*, 277 F.R.D. 97, 112 (S.D.N.Y. 2011) (quoting 15 U.S.C. § 77k(a)).
Defendants contend that Petrobras issued earning statements that covered twelve-month periods after the effective dates of each of the 2012 and 2013 Notes Offerings, specifically: (1) earning statements issued on Forms 20-F and 6-K in April 2013, covering the twelve-month period following the February 1, 2012 effective date of the 2012 Notes Offering, and (2) earning statements issued on Forms 20-F and 6-K in April and August 2014 covering the twelve-month period following the May 13, 2013 effective date of the 2013 Notes Offering. Defendants further contend, and plaintiffs do not dispute, that Union purchased Notes after the relevant earning statements were issued.\(^7\)
Plaintiffs nonetheless fail to plead that they relied on the
---
\(^7\) The specific Notes that defendants contend were purchased after the relevant earning statements were issued are listed on page 52, footnote 56 of Defendants’ Memorandum of Law in Support of Their Motion to Dismiss the Consolidated Amended Complaint dated April 17, 2015, ECF No. 156.
original registration statements. Accordingly, the Court granted defendants’ motion to dismiss plaintiffs’ Section 11 claims based on Notes purchased after Petrobras issued the relevant earning statements.
Fifth, defendants moved to dismiss plaintiffs’ Securities Act claims on the ground that plaintiffs failed to allege that they purchased the relevant securities in domestic transactions. The Securities Act applies only to securities listed on a domestic stock exchange or purchased or sold in the United States. See Morrison V. National Australia Bank, 561 U.S. 247, 273 (2010). The CAC fails to plead that plaintiffs purchased the relevant securities in such domestic transactions. However, based on plaintiffs’ representations in their briefs and at oral argument that they did, in fact, purchase the securities in domestic transactions, the Court granted them leave to amend.
Brazilian Law Claims. Counts III through V allege violations of Brazilian law on behalf of class members who, in addition to purchasing Petrobras securities in the United States, also purchased Petrobras common or preferred shares on the Brazilian stock exchange, known as the Bovespa. Defendants moved to dismiss these Brazilian law claims on the ground that they are subject to mandatory arbitration pursuant to the Company’s bylaws.
Article 58 of Petrobras’ bylaws provides that “disputes ... involving the Corporation, its shareholders, managers and members of the Audit Board” regarding “the rules issued ... by the Brazilian Securities and Exchange Commission (Comissão de Valores Mobiliários – CVM) as well as in all further rules applicable to the operation of the capital market in general,” “shall be resolved according to the rules of the Market Arbitration Chamber.” Expert Report of Luiz Cantidiano dated April 17, 2015, Cooper Decl. Ex. 27 (“Cantidiano Rep.”) ¶ 10. The Market Arbitration Chamber was created by the Bovespa to serve as a specialized forum for resolution of disputes related to corporate and securities laws. Id. ¶ 47.
Both parties agree that whether purchasers of Petrobras securities on the Bovespa agreed to the mandatory arbitration clause is a question of Brazilian law. See Schnabel v. Trilegiant Corp., 697 F.3d 110, 119 (2d Cir. 2012). The Court is persuaded that, under Brazilian law, Petrobras’ arbitration clause is valid and enforceable against purchasers of Petrobras securities on the Bovespa. According to defendants’ expert, in 2001 Brazil amended Article 109 of the Brazilian Corporate Law (“BCL”) to expressly authorize companies to include mandatory arbitration clauses in their bylaws: “The corporation’s bylaws may establish that any disputes between the shareholders and the corporation, or between the majority shareholders and the
minority shareholders may be resolved by arbitration under the terms specified by it." Cantidiano Rep. ¶ 20.
Around the same time, the Bovespa created the so-called "Novo Mercado," a special listing segment that required companies to adopt increased corporate governance standards as a prerequisite to eligibility, one of which was adoption of an arbitration provision in their bylaws. Id. ¶ 25. Leading Brazilian scholars have opined that shareholders manifest their consent to such arbitration clauses by purchasing shares of the company after the arbitration bylaw is enacted, and are therefore bound thereby. Id. ¶¶ 28-29; Reply Report of Luiz Cantidiano dated May 22, 2015 ("Cantidiano Reply Rep."), Reply Declaration of Roger A. Cooper dated May 22, 2015 ("Cooper Reply Decl.") Ex. 5, ¶¶ 9-13.
In the wake of these changes, over 160 Brazilian companies have adopted bylaws mandating arbitration of shareholder disputes. Id. ¶ 24. One such company was Petrobras, which adopted the arbitration provision in Article 58 of its bylaws in 2002 by Board resolution and shareholder vote. Cantidiano Rep. ¶ 31. Petrobras disclosed the existence of this provision to current and prospective shareholders via its annual filings with the SEC. Id. ¶ 32. Because the members of the putative class by definition purchased their shares in or after 2010, they are bound by Article 58.
Moreover, Article 58, by its plain terms, encompasses the Brazilian law claims asserted in Counts III through V of the CAC, which allege violations of the CVM Regulations and other Brazilian laws applicable to securities transactions. These claims are "disputes ... involving the Corporation, its shareholders, [and] managers" arising from "the rules issued ... by the Brazilian Securities and Exchange Commission (Comissão de Valores Mobiliários - CVM) as well as in all further rules applicable to the operation of the capital market in general." Id. ¶ 10. Accordingly, plaintiffs are bound to arbitrate these claims.
Plaintiffs' arguments to the contrary are not persuasive.\(^8\) First, plaintiffs' expert argues that the Brazilian Arbitration Act provides that a party is bound by an arbitration clause contained in a contract of adhesion only if that party either initiates the arbitration or expressly agrees in writing to be bound. See Expert Report of Erica Gorga ("Gorga Rep."), Gilmore Decl. Ex. 29, at 5. However, defendants' expert persuasively
\(^8\) On June 10, 2015, in a conference call with the Court, plaintiffs' lead counsel requested permission to file a surreply expert report to address specific issues that they claimed were raised for the first time in defendants' reply report. The Court granted that request based on their representation that the proposed surreply report would be limited to the narrow issues specified by lead counsel. The report that lead counsel filed went far beyond those issues. See ECF No. 175-1. As a result, plaintiffs' lead counsel burdened both the Court and defense counsel with duplicative and unauthorized argument.
demonstrates that the weight of authority holds that the provisions of the BAA regarding adhesion contracts apply to contracts of unequal bargaining power, such as consumer contracts, and not to arbitration provisions contained in corporate bylaws. See Cantidiano Reply Rep., ¶¶ 8-14. Moreover, plaintiffs’ expert’s opinion would render unenforceable the bylaws of over 160 Brazilian companies that provide for mandatory arbitration, including all of those listed on the Novo Mercado. Id. ¶ 15.
Second, plaintiffs’ expert opines that an arbitration clause must be approved unanimously at the shareholder meeting at which it is adopted in order to bind all shareholders. Gorga Rep. at 8. However, Article 136 the BCL provides a general rule that “resolutions of a general meeting shall be passed by a simple majority of votes.” Cantidiano Reply Rep. ¶ 18 & n.30. Articles 221 and 294 of the BCL specify certain corporate changes that require unanimous agreement of the shareholders, of which adoption of an arbitration clause is not one. Id. ¶ 17. In addition, defendant’s expert cites articles discussing whether an arbitration clause is binding on a shareholder who voted against it or abstained from voting, implying that an arbitration clause adopted by non-unanimous vote is not per se void. Id. ¶ 19 & n.32.
Earlier this year, the Brazilian National Congress approved legislation, which was drafted by a commission of judges, arbitration experts, and government officials, providing that "[a]pproval of the addition of an arbitration agreement in the bylaws, with due regard for the quorum set out in art. 136 [of the BCL], binds all shareholders." See Cantidiano Reply Rep. ¶ 22 & App'x J. This provision is consistent with the prevailing view among Brazilian legal scholars, as described by defendants' expert, that arbitration bylaws are valid if approved by a simple majority, are not considered contracts of adhesion, and are binding on all shareholders. Thus, the adoption of this provision provides further support for the Court's conclusion that Article 58 is valid and binding under Brazilian law.
Third, plaintiffs' expert argues that Article 58 was not validly adopted because the meeting agenda published in advance of the shareholders' meeting did not provide adequate notice of the proposed amendment. Gorga Rep. at 16-17. Article 124 of the BCL provides that the notice of the shareholder meeting "shall contain the agenda, and, in the case of an amendment to the bylaws, an indication of the subject-matter." Id. However, the agenda for the March 22, 2002 shareholders' meeting, at which Article 58 was approved, notified shareholders that a vote would be held on the reform of the Company's bylaws to promote "changes to enhance corporative governance practices and to move
toward fulfillment of requirements for listing in Level 2 of the Sao Paulo Stock Exchange – BOVESPA.” Cantidiano Reply Rep. ¶ 30 & App’x K. The requirements for such listing, in turn, included adoption of an arbitration bylaw. Thus, this notice was sufficient under Brazilian law. See id. ¶ 32 (quoting CVM Opinion that notice is valid so long as subject matter of the decided issue “is virtually or implicitly contained in” the agenda).
Finally, defendants argue that plaintiffs who purchased Petrobras securities both pursuant to U.S. transactions and on the Bovespa must also arbitrate their Exchange Act claims. By purchasing Petrobras shares on the Bovespa, they argue, this subset of the class agreed to the arbitration provision of the Company’s bylaws. That provision encompasses all claims arising from “rules applicable to the operation of the capital market in general,” which, defendants argue, includes the U.S. federal securities laws.
However, it is a bedrock principle that “a party cannot be required to submit to arbitration any dispute which he has not agreed so to submit.” AT&T Technologies, Inc. v. Communications Workers of America, 475 U.S. 643, 648 (1986). “[A]s with any other contract, the parties’ intentions control.” Cohen v. UBS Fin. Servs., Inc., No. 14-781-CV, 2015 WL 3953348, at *2 (2d Cir. June 30, 2015). As discussed above, as a matter of
Brazilian law, purchasing Petrobras shares on the Bovespa indicates the purchaser’s consent to be bound by the arbitration clause in the company’s bylaws. But nothing about such share purchases indicates that the purchaser consents to arbitrate different claims relating to different securities purchased in different transactions in another country (the United States). Accordingly, the Court finds that there is no valid arbitration agreement with respect to the Exchange Act claims.
Accordingly, in its Order of July 9, 2015, the Court granted defendants’ motion to dismiss Counts III through V on the basis of the mandatory arbitration provision of the Company’s bylaws, but denied defendants’ motion to dismiss the Exchange Act Claims pursuant to that provision.
For the foregoing reasons, the Court, by Order dated July 9, 2015, granted in part and denied in part defendants’ motion to dismiss.
Dated: New York, NY
July 30, 2015
JED S. RAKOFF, U.S.D.J. |
SEKONIC
Light meter
Full-lined Brochure
Because, Light is the Challenge!!
The exposure can be controlled according to the desire of photographers by light meter if they know the benefits of using hand-held light meter and characteristics of each measurements below.
**Incident light measurement**
Because incident metering reads the intensity of light falling on the subject, it provides readings that will create accurate and consistent rendition of the subject's tonality, color and texture regardless of the distance, background color, brightness or subject textures.
Subjects that appear lighter than middle gray to your eye will appear lighter in the finished image.
Subjects that are darker than middle gray will appear darker.
Colors will be rendered accurately and highlight and shadow areas will fall naturally into place.
**Reflected light measurement**
Because reflected metering reads the intensity of light reflecting off the subject, it is easily fooled by variances in tonality, color, contrast, background brightness, surface textures and shape.
What you see is often not at all what you get!
Reflected measurements are based on the amount of light bouncing off a subject — the trouble is they don’t take into account any other factors in the scene.
They are merciless in recording all things as a medium tone.
Reflected measurements of any single tone area, for instance, will result in a neutral gray rendition of that object.
Subjects that appear lighter than gray will reflect excess light and cause them to record darker than they appear.
Subjects that are darker than gray will reflect less light and result in an exposure that renders it lighter.
**Comparison of photographs between incident measurement by hand-held light meter and reflected light measurement of camera’s built-in meter**
When taking pictures of the subject with white and black background by measured value of light meter (hand-held light meter or camera’s built-in meter), the photos below show the different results.
Incident metering by hand-held light meter is not affected by reflectance of background. Accordingly, white appears white, and black appears black.
However, Reflected metering by camera’s built-in meter receives the effect of reflectance.
The photo in white background is underexposed and black background is overexposed.
Lighting Control with Flash/Ambient Analyzing Function
By Flash/ambient analyzing function, the SEKONIC light meters simultaneously read both flash and ambient light automatically in order to analyze and display the exposure data in 3 convenient ways: 1) Combined readings of flash and ambient light. 2) Percentage of flash in the total exposure, and 3) Simultaneous display of flash, ambient and combined readings on the analog scale.
Although the histograms provide an interesting look at the distribution of tones, and indicate a difference in the effective contrast of the lighting, there's very little useful information regarding how these two different light sources relate to each other both in terms of light levels (ratio) and optimum exposure.
Push/Pull Processing?
In today's digital age, although the technology behind photography is much more advanced, obtaining professional quality results still require the best techniques and tools.
Digital capture has a dynamic range and latitude roughly comparable to transparency film. What this means is if you are used to properly exposing transparencies, you are off to a good start. But if you are accustomed to the wider exposure latitude (extra margin of exposure error) that color negative film gave you, it is time to change your thinking.
Although it may seem that any miracle can happen in the digital darkroom, correcting a bad exposure has its limits. At first glance it may look like it is possible to make corrections, but upon closer inspection you may notice that image quality has suffered in addition, the time spent on the computer fixing a bad exposure will far exceed the amount of time it takes to get it right in the camera.
As an example, look at Figure 1. In this case the exposure was calculated by built-in light meter in camera which read the excessive amount of light reflecting off of the white background and averaged it with the subject lighting in an attempt to reproduce a middle gray value. This averaging caused underexposure of the image ('subject failure').
Figure 3 shows the same improperly exposed scene 'fixed' in the computer.
For Figure 2 a handheld light meter measured the incident light falling on the subject to determine proper exposure, so Figure 4 looks great without any compensation required.
Although to some people images in both Figure 3 and 4 might be considered acceptable, when they are seen next to each other in Figure 5 it is clear that the 'fixed' image is of much lower quality.
By using the computer software to 'push' process the image it had to 'stretch' the limited information and could not fill in or 'fake' the missing data. This literally caused gaps on the range of tones as shown in the histogram.
World's First Multi-function Light Meter with Exposure Profiling and Wireless Triggering.
DIGITALMASTER L-758 Series
The DIGITALMASTER L-758 Series was designed from its inception to offer today’s digital and film shooter with repeatable precision, accurate measurement and digital exposure control that is necessary for today’s photographer.
It offers cutting edge features never before available in any light meter and redefines what a light meter is and why it’s a critical tool for digital exposure control.
Measuring functions and features
1. **Exposure Profiling**
Up to three digital camera exposure profiles can be stored and recalled. Once selected, the L-758C will read an exposure profile from a digital camera or film and display the dynamic range and clipping point on the aperture scale or EV scale. Any compensation value that is required to match the camera sensitivity is loaded into the appropriate measuring mode and automatically applied to all measurement’s.
2. **Data Transfer Software**
The L-758DR light meter has a USB port built-in to connect the light meter to a computer (Windows or MAC) with a USB cable. Exposure Profile Data is exchanged between the computer and the light meter using the Data Transfer Software, which enable the photographer to input the calibration compensation data directly to the light meters programmable memory chip.
3. **Mid.Tone Adjustment Mode**
4. **Built-in Radio Transmitter (L-758DR)**
5. **1 Degree Spot with Digital Display**
6. **Full, 1/2 or 1/3 Step Selectable Readings**
7. **Flash Analyzing Function**
8. **Memorize Up to Nine Readings**
In either aperture or shutter speed priority, it can memorize up to nine readings in incident and spot (reflected) mode simultaneously. Readings are on the aperture or EV scale.
9. **Step Up Ring (Lens Hood)**
The step up ring makes it possible to attach different diameter filters using the appropriate step-up adapters in front of the 1° spot lens (up to 40.5mm filter thread). It also acts as a lens hood preventing erroneous light measurement caused by lens glare and flare.
10. **Custom Setting**
The Custom Setting mode provides a quick and easy setup of individual meter preferences. L-758DR/D have 14 settings and the L-758CINE has 17 settings.
**Other Functions**
- EV scale
- Average
- Multiple Flash (Cumulative)
- Aperture Priority
- Shutter Speed Priority
- EV (Exposure Value)
- All Weather Design
- Auto Back Light
- Refrangible Hemisphere
- Exposure Compensation in Incident and Reflected independently
- Dual ISO (ISO1 and ISO2)
- Auto Power Off
- Battery Indicator
- CINE speed (fps)
**Special Features for Cine and Video**
DIGITALMASTER L-758CINE
**L-758C Features**
1. **Aperture Scale of F0.5 to F64 in 1/3 stop increments.**
2. **Wide Range of CINE Speed from 1 to 1000 f/s**
3. **Filter Factor Compensation**
When using L-758CINE for cine/video exposures, it is possible to set 7 different frequently used types of filters. (Kodak Wratten Filters)
4. **Shutter Angle settings are available from 1° to 10° in 1° increments, 15° to 270° in 5° increments, as well as 12°, 17°, 22°, 144° and 172°.**
5. **Illuminance and Luminance**
It is possible to display Lux, Foot-Candle, Cd/m² and Foot-Lambert.
With its unique exposure profiling capabilities, the DIGITALMASTER L-758 series is the only light meter that can compensate and be calibrated to the sensitivity of your D-SLR digital back or favorite film. Exposure latitude warning indicator, alert the photographers when the light information is exceeding the dynamic range of the camera or film before the image is captured. To ensure repeatable accurate and consistent results for tonal range and digital exposure or film control, put the power of control in the palm of your hand, DIGITALMASTER.
**Exposure Profiling**
**STEP 1**
Photograph the Exposure Profile Target (optional) with your camera, lighting (available or flash) and measuring method (incident or reflected light)
**STEP 2**
Analyze the Exposure Profile Target with image-editing software, and input the data to Data Transfer Software. After input, connect PC and light meter via USB cable to transfer the data.
**STEP 3**
Photos can be stored and recalled. Setting the L-758DR to perfectly match specific digital cameras sensitivity is quickly done by selecting one of the camera memory modes (camera 1, camera 2 or camera 3).
**Up to nine measured values can be memorized in both Incident and Reflected modes independently or Combined**
L-758 series can memorize measured values in both incident and reflected modes independently or combined. When the memorized values are combined it is possible to take a mid-tone measurement using the Lunisphere in incident mode, than take a spot highlight, and shadow measurement by simply switching to reflected measuring mode. Highlight and shadow tones can be measured and quickly viewed to determine if there are within the Dynamic range or Clipping points of the digital camera or type of film being used. In addition, the MidTone value can be shifting to adjust the highlight or shadow to be within the range required.
**1 Spot with Digital Display**
The rectangular 1' spot viewfinder displays f-stops, shutter speed, percentage of flash and much more with an EL (Electronic-Luminescent) digital display. It can instantly be switched from incident to spot measurement mode. With its super sensitive sensor, the L-758 series can measure the reflected flash output down to an amazing 1/20 and ambient measurements as low as EV1.
**Flash Analyzing Function**
In all flash modes, the L-758 series simultaneously reads both flash and ambient light automatically in order to analyze and display the exposure data in 3 convenient ways:
1. Combined readings of flash and ambient
2. Percentage of flash in the total exposure
3. Simultaneous display of flash, ambient and combined readings on the analog scale.
Setting the standard as the perfect choice of advanced features, ease of use and affordability. FLASH MASTER L-358
L-358 achieves high performance corresponding to all the expressions such as flash analyzing system and memory function in aperture priority mode by simple operativeness. Digital light meter mainly equipped with incident light measurement is the best for professional studio photographers.
Measuring functions and features
1. Flash analyzing function
2. Setting of Aperture Value and Shutter Speed in 1, 1/2 or 1/3 Steps
3. Parallax free 1', 5' and 10' precise spot metering viewfinders (optional)
4. Memory and Memory Recall Function (up to 9 memory banks)
Nine memory banks are available in both aperture priority and shutter priority modes, making contrast evaluation and comparison possible in both modes.
5. Auto Backlight
Electro-Luminescent Display lights up automatically in low light (6EV or less)
6. Retractable, Removable and Rotating Lumisphere
You can select extended lumisphere (for 3-D object) or retracted lumisphere (for flat object) at one touch of a rotating the lumisphere retracting ring. A Lumigrid (reflected light receptor*54) and optional NP finder 1', 5' and 10' easily attach to the meter in place of the removable Lumisphere.
7. All-Weather Design
This meter has an All-weather design to endure rugged outdoor condition. (JIS standard water resistance class 4)
Flash analyzing function
The ambient light, flash light and total amount of light are each displayed on the analog scale, and the ratio of flash light to the total amount of light is displayed at that time as a value in 10% steps.
Now you can take ambient, flash or mixed lighting exposure measurements without fumbling with meter modes, switches or different displays.
All-weather design
All buttons, switches and compartments are sealed and the meter housing has been designed to endure rugged outdoor conditions. Ideal for location shooting at the beach, in rainy or humid environments.
1', 5' and 10' Non Parallax Spot Viewfinders (Sold Separately)
The L-358 accepts optional spot finder attachments that extend the versatility of the meter with a choice of 1', 5' or 10' spot measurements, which easily attach to the meter. Each spot finder features Parallax-free swiveling eyepiece for precise spot metering.
Small, Lightweight and New Improved Features
Pocketable light meter: FLASHMATE L-308S
L-308S has been used from users widely as a professional sub-tool as well as amateur’s entry-level model. It fits in a shirt pocket.
Measuring functions and features
Clear Liquid Crystal Display
In LCD, it is easy to see the large readouts of aperture value and shutter speed in 1, 1/2 or 1/3 steps, in addition to battery power indicator and ISO sensitivity setting.
Aperture value and shutter speed can be set in 1, 1/2 or 1/3 steps
It is possible to select aperture value and shutter speed in 1, 1/2, or 1/3 steps to match your digital or film cameras.
Simple and easy to use
L-308S is an all-round meter that can measure both ambient and flash light though it is simple operativeness with less operation buttons.
Switchable reflected or incident light measurement and removable lumidisc
Light receptor 1 (lumisphere)
Slide the mounting lumisphere to the left until it clicks to switch to incident light measurement.
Light receptor 2 (lens)
Slide the mounting lumisphere to the right until it clicks to switch to reflected light measurement.
Light receptor 3 (lumidisc)
Slide the mounting lumisphere to the right (same as if measuring reflected light), insert the lumidisc into slot of the light receiver to switch to lumidisc function mainly for flat subjects or measuring lighting contrast.
Standard of analog light meter
Latest version of a long seller series during half a century:
STUDIO DELUXE III L-398A
Long seller analog light meter used habitually by a lot of photographers because of design and shape fitting comfortably in user’s hand.
Measuring functions and features
Instant reading of aperture/shutter combinations with dial ring
It is possible to read combinations of aperture values and shutter speeds on the dial ring at one view.
Amorphous photosensor eliminates need for battery.
As light receptor element, amorphous photosensor is newly adopted.
It is not necessary to bring replacement of batteries.
Continuous measurement
The needle is released by holding and turning measuring button.
At this time, the meter will deflect freely even if the stopper button is released.
How to Use L-398A
STEP 1
You can set ISO in ISO indicator by rotating ISO sensitivity selector knob.
STEP 2
Hold meter erect and press measuring button.
Meter needle deflects according to brightness.
When the measuring button is released, the oscillated meter needle becomes fixed at the deflected position.
STEP 3
Read footcandle value on footcandle scale measured by meter needle.
Rotate dial ring to set scale mark to the footcandle value on dial scale.
STEP 4
At this time, the shutter speed scale and aperture scale combination on lower part of the dial ring becomes the correct exposure.
You can compensate this exposure value according your photographing intention.
Slide set for L-398 series (sold separately)
A total of 11 slides are available, for direct reading of aperture on FC scale in incident measurement.
Date: F4.0s, T1/250
Clip on light meter for both incident and reflected light measurement: Twinmate L-208
The Twinmate L-208 can be mounted on the camera's hot shoe using accessory shoe mounting plate. Compact body and design fit in classic cameras without built-in exposure meter.
Measuring functions and features
- **Instant reading of aperture/shutter combinations with dial ring**
It is possible to read combinations of aperture values and shutter speeds on the dial ring at one view.
- **Shoe mounting on camera**
The accessory shoe is mounted using shoe mounting plate. The mounting location of the shoe mounting plate is variable and therefore mount it correctly for the camera that you are using.
- **One hand operation**
It is possible to operate with one hand by using the guide needle position retained during 15 seconds after measurement.
- **Selection of reflected or incident light measurement at one touch of sliding the lumisphere.**
You can select reflected or incident light measurement by sliding the lumisphere until it clicks. The light receiving angle for reflected light is 33 degrees (approx. 78mm) corresponds to approx. 70% of angle for 50mm standard lens of 35mm SLR camera (approx. 46 degrees). Make measurements using the fan-shaped lines indicating 33° light receiving angle on the scale plate as a guide.
How to Use L-208
**STEP 1**
You can select incident or reflected measurement by sliding the lumisphere to the right or left until it clicks.
**STEP 2**
You can set ISO in ISO indicator by rotating ISO switch over knob on the dial ring.
**STEP 3**
Hold meter erect and Press measuring button to make a measurement. Release measuring button to complete the measurement after the oscillated guide needle stops.
**STEP 4**
When the button is released, it will retain its position for about 15 seconds. Rotate dial ring during that time, align match needle with the guide needle. You can read combinations of aperture values and shutter speeds on the scale.
| Flash Master L-358 | Flashmate L-308S | Studio Deluxe III L-398A | Twinmate L-208 |
|-------------------|------------------|--------------------------|---------------|
| Digital light meter for ambient and flash light | Digital light meter for ambient and flash light | Analog light meter for ambient light | Analog light meter for ambient light |
| 270° (Horizontal) | Fixed | 300° (Horizontal) | Fixed |
| Retractable | Removable | Removable | — |
| Slide | Slide | Slide | Slide |
| 54 degree (Lumigid) | 40 degree (built-in) | 30 degrees (Lumigid) | 33 degree (built-in) |
| (1, 2/3 degrees (NP finders)) | — | — | — |
| (up to = flash reading) | — | — | — |
| Yes (optional) | — | — | — |
| EV -2 to EV 22.9 | EV 0 to EV 19.9 | EV 4 to EV 17 | EV 3 to EV 17 |
| F1.0 to F90.9 | F1.4 to F90.9 | — | — |
| — | EV 0 to EV 19.9 | — | EV 3 to EV 17 |
| — | F1.4 to F90.9 | — | — |
| EV -2 to EV 22.9 | — | EV 9 to EV 17 | — |
| F1.0 to F90.9 | — | — | — |
| EV 5 to EV 24.4 | — | — | — |
| F8.0 to F90.9 | — | — | — |
| EV 3 to EV 24.4 | — | — | — |
| F1.0 to F90.9 | — | — | — |
| EV 2 to EV 24.4 | — | — | — |
| F2.8 to F90.9 | — | — | — |
| — | — | — | — |
| — | — | — | — |
| — | — | — | — |
| ISO 3 to 8000 (in 1/3 steps) | ISO 3 to 8000 (in 1/3 steps) | ISO 6 to 12000 (in 1/3 steps) | ISO 12 to 12500 (in 1/2 steps) |
| ISO 3 to 8000 (in 1/3 steps) | — | — | — |
| ISO 3 to 8000 (in 1/3 steps) | — | — | — |
| F1.0 to F90 | F1.4 to F90 | — | — |
| F1.0 to F90 | — | — | — |
| in 1, 1/2 or 1/3 steps | in 1, 1/2 or 1/3 steps | — | — |
| 30 min. to 1/8000 sec. (in 1, 1/2 or 1/3 step) also 1/200, 1/400 | 60 sec. to 1/8000 sec. | — | — |
| in 1, 1/2 or 1/3 steps | — | — | — |
| 2 to 360 frames per second (28 cine speeds) | 8 to 128 frames per second (10 cine speeds) | — | — |
| 30 min. to 1/1000 sec. / 1/75, 1/80, 1/90, 1/100, 1/200, 1/400 | 1/500 sec. / 1/75, 1/80, 1/90, 1/100 | — | — |
| in 1, 1/2 or 1/3 steps | in 1, 1/2 or 1/3 steps | — | — |
| ISO 3 to 8000 (in 1/3 steps) | ISO 3 to 8000 (in 1/3 steps) | ISO 6 to 12000 (in 1/3 steps) | ISO 12 to 12500 (in 1/3 steps) |
| ISO 3 to 8000 (in 1/3 steps) | — | — | — |
| F1.0 to F90 | F0.5 to F90 | F0.7 to F128 | F1.4 to F32 |
| in 1, 1/2 or 1/3 steps | in 1, 1/2 or 1/3 steps | in 1/3 steps | in 1/2 steps |
| 0 to 9 (in 1/10 steps) | 0 to 9 (in 1/10 steps) | — | — |
| F1.0 to F90 (in 1/2 steps) | — | — | — |
| 30 min. to 1/8000 sec. 1/200, 1/400 | 60 sec. to 1/8000 sec. | 60 sec. to 1/8000 sec. | 30 sec. to 1/8000 sec. |
| in 1, 1/2 or 1/3 steps | in 1, 1/2 or 1/3 steps | in 1 step | in 1 step |
| 2 to 360 frames per second (28 cine speeds) | 8 to 128 frames per second (10 cine speeds) | 8 to 128 frames per second (5 cine speeds) | EV 1 to 20 (1/3 steps) |
| EV -9.9 to 40.6 (1/10 steps) | EV -5 to 26.8 (1/10 steps) | EV 1 to 20 (1/3 steps) | EV 3 to 17 (1/2 steps) |
| F1.0 to F90 | F0.5 to F90 | — | — |
| 0 to 9 (in 1/10 steps) | 0 to 9 (in 1/10 steps) | — | — |
| in 1, 1/2 or 1/3 steps | in 1, 1/2 or 1/3 steps | — | — |
| 30 min. to 1/1000 sec. 1/75, 1/80, 1/90, 1/100, 1/200, 1/400 | 1 sec. to 1/500 sec. 1/75, 1/80, 1/90, 1/100 | — | — |
| 0 to 100% (in 10% steps) | — | — | — |
| 0 to 100% (in 10% steps) | — | — | — |
| Lumisphere C=340 Lumidisc C=250 | Lumisphere C=340 Lumidisc C=250 | Lumisphere C=340 | Lumisphere C=340 |
| K=12.5 | K=12.5 | K=12.5 | K=12.5 |
| -10 to 50° C | 0 to 40° C | 0 to 40° C | 0 to 40° C |
| -20 to 60° C | -20 to 60° C | -20 to 60° C | -20 to 60° C |
| 3 silicon photo diodes | 3 silicon photo diodes | Amorphous photosensor | 3 silicon photo diodes |
| 1xCR123A battery (lithium dry cell) | 1x1.5-volt battery (alkaline, manganese or lithium) | 1x3V coin-type CR2032 lithium battery | 1xCR123A lithium battery |
| 57 x w × 158 h × 25 d mm | 63 x w × 110 h × 22 d mm | 58 w × 112 h × 34 d mm | 45 w × 65 h × 24 d mm |
| 153 g (with battery) | 95 g (with battery) | 190 g | 45 g (with battery) |
| Lumigrid, Soft case, Strap, Synchro Terminal cap, GR123A lithium battery × 1 | Lumigrid, Soft case for Lumidisc, Synchro terminal cap, Type-AA 1.5-volt battery | Lumisphere, Lumidisc, Strap, Soft case, High slide | Soft case, Strap, Battery, Shoe mounting plate (with Screw, O-ring) |
| Flash/ambient analyzing function Full, 1/2, 1/3 step selectable readings of aperture value and shutter speed Nine memory banks for aperture value and shutter speed Exposure function Contrast function Custom setting mode Shutter speed priority mode Aperture priority mode EV (Exposure Value) mode All weather design Auto-backlight Setting two ISO sensitivity Auto power off Battery power indicator One speed setting Jog wheel lock Optional spot viewfinder | Full, 1/2, 1/3 step selectable readings of aperture value and shutter speed Shutter speed priority mode EV (Exposure Value) Mode: auto power off Battery power indicator One speed setting | Continuous measuring Memo pointer Cine speed scale | Shoe mounting on camera Rattaining of measuring needle Match needle EV (Exposure Value) reading Battery indicator |
**Step-up ring for L-558 series (30.5 → 40.5mm)**
The step-up ring, available as an optional accessory, makes it possible to mount step rings and filters of other manufacturers. This simplifies the setting of exposure without the troublesome correction calculation of PL filters, etc. The step-up ring can also be used as a hood to protect lenses from scratching, soiling, etc.
**Mini light receptor for L-358**
Incident light receiving unit with a compact 12mm diameter light receiving surface. For measuring narrow areas used for photographing small subjects or copy work.
**Non-Parallax Viewfinders for L-358 (NP finders)**
There are three types of NP finders with ordinary waterproof structure and angles of coverage of 1, 5 and 10 degree. Since the single-lens reflex method is employed, it is possible to measure as aimed without parallax.
**Slide set for L-398 series**
A total of 11 slides are available, for direct reading of aperture on FC scale in incident measurement.
**18% Standard Gray Card**
Standard reflector is a 18% gray card with cover (110mm x 102mm, 4 1/4" x 3 1/2"), folds to 2 3/4" x 4 3/4", and fits in a shirt pocket. It provides accurate exposures regardless of reflectance ratio of the subject and surroundings.
**Synchro cord**
This is a five-meter long cord with three plugs. A light meter, a camera, and a flash can all be connected at the same time. This is convenient when measurements are made, because it is not necessary to plug and unplug the synchro cord.
**Radio Triggering Module RT-32FCC/CE (for L-358, L-758D and L-758CINE)**
The Radio Transmitter Module plugs directly into a built-in compartment behind the battery door, and triggers the electronic flash units wirelessly as the meter takes a measurement. Channel IDs are easily selected through the meter's built-in software. (CH1 to 16 Single Remote triggering, CH17 to 32 Remote control "Group Triggering Zone"), compatible with Pocket Wizard® Digital radio triggering systems.
**Exposure Profile Target**
This is a Scale Test target for Exposure Profiling and meter calibration (The size is 290 x 180mm = 11" x 7"). One side is nine gray patches including black and white, and the other side is 18% gray card for digital camera white balancing and spot metering. |
BY HIS PAIRING of “ingeniosus” and “polypragmon,” Gottfried Wilhelm Leibniz attempted to capture Johann Joachim Becher’s spirit and temper. While Leibniz celebrated Becher’s innate cleverness, he believed that his restlessness brought down odium upon him.\(^1\) In the seventeenth century, *polypragmon* usually had negative connotations, suggesting that someone was overly busy, restless, and a busybody. It was, however, sometimes used in a positive sense to signify someone curious after knowledge. Its Latin equivalent, *curiosus*, was also frequently used at the time, and it too possessed both the positive sense of eager inquisitiveness (especially about the material world) and a negative one of weakness of will arising from too great a reliance upon the senses, as well as of overbusyness, ranging even to spying (figure 1).\(^2\)
Such multivalent restlessness appears typical of Johann Joachim Becher (figure 2). A polymath, he published works on chemistry, politics, commerce, universal language, didactic method, medicine, moral philosophy, and religion. Becher was a man of deeds as well as of words, and, in the service of the most important princes of the German territories, he proposed and carried out many mechanical, chemical, and commercial projects.
A sketch of Becher’s life illustrates well the diversity of activity that was an expression of his restlessness.\(^3\) What little we know of Becher’s early life is gleaned from his own published works. His birth in 1635 to Lutheran parents in the free imperial city of Speyer is confirmed in city records, but from that time
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\(^1\) In a letter to Lambert van Velthuysen in which he compared Becher to other German scholars, Leibniz remarked that he was “a man of the greatest ingenuity, but not a little restless, which has brought down ill-will upon him everywhere.” 6/16 April 1669, Gottfried Wilhelm Leibniz, *Sammliche Schriften und Briefe*, ed. Preussische Akademie der Wissenschaften et al. (Darmstadt: Otto Reichl et al., 1923–), ser. 2, vol. 1, pp. 39–40.
\(^2\) See Hans Blumenberg, *Die Legitimität der Neuzeit*, 2d ed. (Frankfurt a.M.: Suhrkamp, 1988), and Gotthardt Frühsorge, *Der politische Körper. Zum Begriff des Politischen im 17. Jahrhundert und in den Romanen Christian Weises* (Stuttgart: J. B. Metzlersche Verlagsbuchhandlung, 1974), pp. 193–205.
\(^3\) I summarize Becher’s life in the following sketch. This summary will be expanded and reference will be made to appropriate sources in the chapters that follow.
until 1655, when he appears again in documents, the portrait of the formative years of his life is his own. He claims to have left Speyer with his mother and brothers in 1648, the year of the signing of the Peace of Westphalia. His father had died in 1643 and his mother had remarried. His stepfather took the boys and their mother into foreign lands in search of a livelihood. Becher does not dwell on these facts, for they only provide the backdrop for the more evocative connections that he establishes in the presentation of his life, in which he emphasizes more than once his travels and autodidacticism. From the time he left the city of his birth in 1648, he claimed never to have attended school or university, learning instead by the light of nature and through conversation with
the learned.\textsuperscript{4} In 1654, at the age of nineteen, he published an alchemical work under the pseudonym Solinus Saltzthal.
In 1655, Becher appears in Vienna, where he titled himself mathematician to
\textsuperscript{4} Becher provides some autobiographical information in his \textit{Methodus didactica} (Munich: Maria Magdalena Schellin, 1668), and \textit{Psychosophia. Das ist/ Seelen-Weiszheit} (Güstrow: ChrisEmperor Ferdinand III.\footnote{Becher drafted several works in which he so titled himself, although there is no external evidence for this appointment.} He had by this time converted to Catholicism, and was apparently supplying the emperor with advice on alchemical projections and perpetual motion machinery. In 1658, Becher was in Mainz, continuing his search for patronage, and in 1660 he was finally successful, for in that year the elector and archbishop of Mainz, Johann Philipp von Schönborn, appointed him \textit{Hofmedicus und -mathematicus} (court physician and mathematician).
Becher’s status changed significantly in 1661. He moved from mechanical virtuoso to membership in an established profession, for in that year he defended a treatise on epilepsy before the faculty of medicine at the university in Mainz and was awarded the doctorate of medicine. Within the same week he became a member of the faculty of medicine, and in the next year married Maria Veronika von Hörnigk, the daughter of the Mainz professor of medicine, Ludwig von Hörnigk, who in 1663 stepped down from his position as professor in Becher’s favor. For the next three years, Becher published works on medicine conforming to his professional status within the university.
In 1664, Becher moved to the court in Munich, having been named \textit{Hofmedicus und -mathematicus} to Elector Ferdinand Maria of the Wittelsbach House of Bavaria. His wide-ranging activities in this position mainly centered on work in the laboratory and the improvement of commerce. For example, he established a laboratory at the court, began a silk manufactory in Munich, traveled to the Netherlands in 1664 to try to obtain a colony in the New World for the elector and to hire artisans for his manufactory, and created various trade companies. In 1666, while carrying out trade negotiations in Vienna, he became involved in a dispute with the imperial treasurer, Georg Ludwig von Sinzendorf, and he returned to Munich for four years.
During these four busy years, he published the majority of his books. In 1667 he published a verse version of a devotional work, which he called an “Ethics,”\footnote{\textit{Bona Becheri. Das ist: Handleytung zu dem Himmel! Begreiffend den Kern der Lehre der H. H. Väter/ und alten Weltweisen. Erstlich in Latein beschrieben/ durch den Hochwürdigen Herrn D. IOANN BONA} (Munich: Johann Wilhelm Schell, 1667).} and finished in quick succession a work on teaching Latin and didactic theory, the \textit{Methodus didactica}; and a book of political economy, the \textit{Politischer Discurs von den eigentlichen Ursachen deß Auf- und Abnehmens/ der Städt/ Länder und Republicken} (Political discourse about the true causes of the rise and fall of cities, territories, and republics). In 1669 he published his most important chemical work, \textit{Actorum Laboratorii Chymici Monacensis, seu
Physicae Subterraneae libri duo (Two books of the acts of the chemical laboratory of Munich, or subterranean physics), and Moral Discurs von den eigentlichen Ursachen deß Glücks und Unglücks (Moral discourse about the true causes of fortune and misfortune). In the same year, he spent three months in Holland negotiating for a colony in the New World from the West India Company, not, however, for the elector of Bavaria, but for Friedrich Casimir, count of Hanau. In 1670, his last year in Munich, he perfected a method of extracting iron from clay and linseed oil, that is, of extracting a metal from nonmetallic substances. He performed this process before Elector Johann Philipp in Mainz, and it excited interest as far away as the Royal Society of London. In addition to all these activities, he managed his career so successfully that in 1666 he was appointed commercial advisor to the emperor of the Holy Roman Empire, Leopold I. Although Becher held this position simultaneously with that of medicus and mathematicus to the Bavarian court, from 1666 he always titled himself “Advisor on Commerce to His Majesty, the Emperor of the Holy Roman Empire.”
In 1670, Becher left Munich in order to serve the emperor exclusively. He advised the emperor on pretenders to alchemical knowledge as well as on commercial projects. He also performed a transmutation from lead to silver himself in 1675, and set up a Kunst- und Werckhaus (art and workhouse), which was to be a model manufactory, patent deposit, archive, cabinet of curiosities, and library.
In 1676 Becher set out with his brother-in-law, Philipp Wilhelm von Hörnigk, to enforce a ban on French imports imposed by the emperor on the trading cities of Germany. This trip ended his career at the Habsburg court since it provided his enemies an opportunity to make damaging accusations against him during his long absence from Vienna. Becher was accused (probably with just cause) of taking bribes, and the project ultimately failed.
Becher never returned to Vienna after this trip and spent the remaining years of his life again in the search for patronage, in northern Germany, the Netherlands, and England. In 1677 he entered the service of Duke Gustav Adolph of Mecklenburg-Güstrow in Rostock (where four volumes of Becher’s pre-1678 papers still remain). In Duke Gustav Adolph’s service, Becher attempted to secure the discoverer of phosphorus, Henning Brand, and his process for the icy noctiluca, but Gottfried Wilhelm Leibniz preempted Becher and lured the phosphorus maker away for the duke of Hannover. In 1678–79, Becher raised a flurry of interest among the learned of Europe when he contracted with the States General of Holland to extract gold from the beaches of the Dutch Republic. A small-scale assay of the process succeeded, but Becher left secretly for England before the large-scale probe could be carried out. In England, where he was possibly patronized by the circle around Prince Rupert of the Palatinate, Becher advised on mines in Cornwall and wrote two large works: a collection of
chemical and alchemical processes\textsuperscript{7} and a collection of failed and successful projects and inventions.\textsuperscript{8} In these works, Becher established for posterity his own and others' priority to ideas, inventions, and chemical recipes.
Becher died at the age of forty-seven in London far from the main stage of his life's activities, but he had enjoyed a very successful career in the service of the most important political figures in the Holy Roman Empire, and he had written more than twenty books—many of which were reissued several times. And he ensured his fame after death as skillfully as he had obtained patrons in his lifetime. He left behind a set of words and actions that would be put to use in the following generations. Becher's life as a practical (active) but learned (contemplative) man became exemplary soon after his death and is expressed perfectly in the title of the first biography of Becher published in 1722: \textit{Das Muster eines Nützlich-Gelehrten in der Person Herrn Doctor Johann Joachim Bechers}\textsuperscript{9} (The model of a useful scholar in the person of Dr. Johann Joachim Becher).
His name and work were also used in other ways in the eighteenth century. In 1703 Georg Ernst Stahl (1660–1734) edited and republished Becher's major chemical work of 1669, the \textit{Physica Subterranea}.\textsuperscript{10} Stahl claimed to have used Becher's ideas in his own construction of a theory for the discipline of chemistry.\textsuperscript{11} That theoretical construction, which has come to be known as the phlogiston theory, gave way before Antoine Lavoisier's theory of chemical change based on the theory of oxidation in the last decade of the eighteenth century. Since Stahl wrote him into the history of chemistry, Becher has had an established place in the history of science.
In the history of economic thought, too, Becher's place endures. His \textit{Politischer Discurs} was used by the earliest teachers of \textit{Kameralwissenschaft} (cameral science), a subject instituted at the universities of Frankfurt an der Oder and
\textsuperscript{7} \textit{Chymischer Glücks-Hafen/ Oder Grosse Chymische Concordantz und Collection/ von funfzehn hundert Chymischen Processen} (Frankfurt: Georg Schiele, 1682).
\textsuperscript{8} \textit{Närrische Weisheit und Weise Narheit: Oder Ein Hundert/ so Politische als Physicalische/ Mechanische und Mercantillische Conception und Propositionen/ deren etliche gut gethan/ etliche zu nichts worden} (Frankfurt: Johann Peter Zubrodt, 1682).
\textsuperscript{9} Urban Gottfried Bucher (Nuremberg and Altdorf: Johann Daniel Tauber, 1722).
\textsuperscript{10} \textit{Joh. Joachimi Beccheri . . . Physica subterranea profundam subterraneorum genesis, è principiis hucusque ignotis, ostendens. Opus sine pari, primum haecentus & princeps, editio novissima. Praefatione utile premissa, indice locupletissimo adornato, sensuunque & rerum distinctionibus, libro tertiae & curatius edendo, operam navavit & Specimen Beccherianum fundamentorum, documentorum, experimentorum, sujuxit Georg. Ernestus Stahl} (Leipzig: J. L. Gleditsch, 1703). Since Stahl, Becher's work has come to be known as the \textit{Physica Subterranea}, and I shall refer to it as such.
\textsuperscript{11} Stahl was called to the University at Halle as Professor of Medicine at its founding in 1694, where he lectured on medicine and chemistry. In 1715 he became court physician to Elector Friedrich Wilhelm of Prussia. Stahl has usually been considered a primary opponent of mechanism in medicine and chemistry in the eighteenth century as well as a leading Pietist. See \textit{Dictionary of Scientific Biography} (New York: Scribner, 1970–), s.v. “Stahl, Georg Ernst.”
Halle in the first decades of the eighteenth century. Georg Heinrich Zincke (1692–1768) edited and republished this major work written by Becher in 1668.\(^{12}\) Zincke’s own texts, which he claimed were based to a large extent on Becher’s ideas, became part of the discipline of *Kameralistik*.\(^{13}\)
Zincke sought to delineate the boundaries and subject matter for his new faculty in the university, while Stahl attempted to establish his vitalist medical theories and Pietist doctrines. Both scholars wished to create a history for their disciplines and doctrines, and they placed Becher at its center. Later generations of historians have accepted the place in history assigned to Becher by Stahl and Zincke uncritically, and, as a result, the secondary literature on Becher fits clearly into one of two stories: the story of the rise of modern chemistry,\(^{14}\) or the story of the rise of modern economic thought.\(^{15}\) But while historians have
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\(^{12}\) D. Johann Joachim Bechers politischer discurs von den eigentlichen ursachen des auf- und abnehmens der städte und Länder. Oder gründliche anleitung zur stadt-wirtschaft und policey der teutschen staaten . . . neue hauptstücke von denen . . . wahrheiten des ganzen stad-, policey- und cämmerey-, manufactur-, commercien- und haushaltungs-wesens, das erste mahl für jetzige umstände . . . brauchbarer gemacht und verbessert von d. George Heinrich Zincken (Frankfurt and Leipzig: G. C. Gisellius, 1754).
\(^{13}\) Zincke, trained in law, became perpetual *Commissarius in Policey-sachen* to Elector Friedrich Wilhelm of Prussia in the 1720s, then professor of law and cameral sciences in Leipzig in the 1740s.
\(^{14}\) J. R. Partington, *A History of Chemistry*, 4 vols. (London: Macmillan, 1961–70), and Robert P. Multhauf, *The Origins of Chemistry* (New York: F. Watts, 1967), are examples of such disciplinary history, in which Becher is the source of the phlogiston theory. Allen G. Debus, *The Chemical Philosophy*, 2 vols. (New York: Science History Publications, 1977), is concerned to chronicle the fortune of Paracelsian ideas, “the chemical philosophy,” in the seventeenth and eighteenth centuries. He sees Becher as one of the “chemical philosophers,” along with Johann Rudolf Glauber (1603–70) and Johann Kunckel (1630/38–1703), who realized “the potential of the chemical philosophy for economic prosperity and national power” (2:426).
Christoph Meinel sees the history of chemistry in the eighteenth century not primarily as the history of a change in theory, but in the organization and alliances of chemical practices. Meinel maintains that Becher established a connection between *oeconomia* and chemistry which was strengthened and bore fruit in the eighteenth century when the first chairs of chemistry were founded in the *Kameralistik* faculties of Swedish and German universities. See his articles: “De praestantia et utilitate Chemiae. Selbstdarstellung einer jungen Disziplin im Spiegel ihres programmatischen Schrifttums,” *Sudhoff's Archiv* 65 (1981): 366–89; “Theory or Practice? The Eighteenth-Century Debate on the Scientific Status of Chemistry,” *Ambix* 30 (1983): 121–32; and “Reine und angewandte Chemie,” *Berichte zur Wissenschaftsgeschichte* 8 (1985): 25–45.
One author who has explicitly attempted to provide an interdisciplinary approach to Becher’s work is Mikulás Teich, “Interdisciplinarity in J. J. Becher’s Thought,” *History of European Ideas* 9 (1988): 145–60.
\(^{15}\) In the extensive literature on economic thought in the early modern period, Becher along with his brother-in-law Philipp Wilhelm von Hörnigk (1638–1712) and Wilhelm von Schroder (1640–88) is considered a mercantilist or cameralist. Herbert Hassinger’s biography of Becher is primarily an economic history; however, it was written with the view that mercantilism was both an economic and political practice, with the aim of centralizing all of society around the economic needs of the absolute monarch. This approach, taken first by Gustav Schnoller and his students in the late nineteenth century, is predominant in German historiography of early modern economic thought.
continued to situate Becher ever more firmly as a figure of significance in the history of chemical and economic thought, they have overlooked the context and cultural significance of Becher’s actions. For, as Leibniz aptly noted, Becher was a very active man. And he was active within a certain social setting, namely, the German court society. Historians have not attempted to understand Becher’s work as possessing a connecting thread, or to understand the motivation for his polymathy.\(^{16}\) Becher’s early champions, Stahl and Zincke, situated Becher so thoroughly within their histories that Becher as a significant figure in his own right disappeared in the retrospective vision of the stories of disciplinary development.
The use of Becher as exemplary figure is particularly clear in the history of technology. Scholars have combed the texts of the past in the search for precursors and inventors, and often they have not needed to look farther than the entertaining and well-organized collection of projects and inventions that Becher published while in England. He has consequently been named the “father” of many inventions, from gas-lighting to the planting of sugar beets in Central Europe.
Becher has also had his uses in the history of Germany. Periods of intensive study on Becher have coincided with periods of economic disaster or rising nationalist feeling. Numerous dissertations on Becher appeared in the 1920s and 1930s, at least two of which ended with a section on the relevance of Becher’s ideas to their own time.\(^{17}\) Becher’s most recent and thorough of
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One good example of this type of analysis of Becher is a curiously neglected book by Ferdinand August Steinhüser, *Johann Joachim Becher und die Einzelwirtschaft. Ein Beitrag zur Geschichte der Einzelwirtschaftslehre und des Kameralismus* (Nuremberg: Verlag der Hochschulbuchhandlung Krische, 1931). A recent history in this tradition is Jutta Brückner, *Staatswissenschaften, Kameralismus und Naturrecht* (Munich: C. H. Beck, 1977), and a useful guide to literature and the outlines of this approach is Erhard Dittrich, *Die deutschen und österreichischen Kameralisten* (Darmstadt: Wissenschaftliche Buchgesellschaft, 1974). The view that mercantilism was primarily an economic system persists, particularly in anglophonic literature—for example, Terence Hutchison, *Before Adam Smith: The Emergence of Political Economy, 1662–1776* (Oxford: Basil Blackwell, 1988); and Donald Cuthbert Coleman, ed., *Revisions in Mercantilism* (London: Methuen, 1969). Fruitful approaches to the history of economic thought from other disciplines have been made by Hans Maier, *Die ältere deutsche Staats- und Verwaltungslehre*, 2d ed. (Munich: C. H. Beck, 1980); Wolf-Hagen Krauth, *Wirtschaftsstruktur und Semantik. Wissenssoziologische Studien zum wirtschaftlichen Denken in Deutschland zwischen dem 13. und 17. Jahrhundert* (Berlin: Duncker & Humblot, 1984); and Ulrich Troitzsch, *Ansätze technologischen Denkens bei den Kameralisten des 17. und 18. Jahrhunderts* (Berlin: Duncker & Humblot, 1966).
\(^{16}\) Hassinger treated all Becher’s works, but was not seeking a unifying thread through them. Hassinger was himself mainly interested in Becher’s political and economic ideas, and did not attempt to link them to his natural theory.
\(^{17}\) These were Heinrich Apfelstedt, “Staat und Gesellschaft in J. J. Bechers Politischen Discursen” (Ph.D. diss., Gießen, 1926), p. 77, and Otfried Herr, “Johann Joachim Becher über das Verhältnis von Staat und Wirtschaft in seinen wirtschaftlichen Schriften” (Ph.D. diss., Heidelberg, 1936). Other dissertations were Emil Kauder, “Johann Joachim Becher als Wirtschafts und Sozialpolitiker” (Ph.D. diss., Berlin, 1924); Heinrich Jantzen, “Johann Joachim Becher als theobiographers, Herbert Hassinger, submitted his biography of Becher as a *Habilitationsschrift* to the university in Vienna in 1944, although the war prevented its publication until 1951.\(^{18}\)
**War**
Becher provides an exemplum of history for these modern writers because throughout his life he pursued political and economic reform in a Germany severely damaged by war. Becher’s date of birth, 6/16 May 1635, fell midway through the Thirty Years’ War, which had raged through the Holy Roman Empire since 1618. Shortly before Becher’s birth, the city of Speyer had been taken by the troops of Bernhard of Weimar, and, not long after, a false hope of peace appeared with the treaty between the elector of Saxony and the emperor. This treaty ended the internal war of the Reich, but the battles between foreign powers continued inside the empire for another thirteen years.
The war left the Holy Roman Empire in economic shambles, and the decline and shifts in population it caused were visible and remarked upon at the time. Later historians have calculated that the German Empire lost about a third of its population in the cities and two-fifths of the population on the land. Agriculture and trade were seriously disrupted, and many towns were left deserted through lack of population or means of sustenance. The Thirty Years’ War occasioned not only economic chaos but also social and intellectual crisis. In the 1660s Becher himself said that this ostensibly “theological” conflict made “of belief a comedy,” which in Germany had turned into “a slaughterhouse and tragedy.”\(^{19}\)
The way Becher conducted his life must be seen against this political, economic, and intellectual backdrop. Much has been written about the crisis of the seventeenth century to which this war ostensibly contributed, and while Becher’s works testify that he saw no general European crisis, he did consider his immediate world, the Holy Roman Empire of the German Nation, to be in social and economic, moral, and intellectual crisis.
Becher’s work must also be seen against the background of the power struggles between territorial princes that led up to the Thirty Years’ War. The treaties
\(^{18}\) Hassinger, *Becher*, foreword.
\(^{19}\) Johann Joachim Becher, *Moral Discurs von den eigentlichen Ursachen deß Glücks und Unglücks* (Frankfurt: Johann David Zunner, 1669), pp. 82–87.
of Osnabrück and Münster codified the increasing particularization of the German territories by ensuring the sovereignty of the prince within his territory. The resulting political and economic issues that revolved around the sovereign prince’s court provide the framework for Becher’s activities. The court was the center of power and patronage in the seventeenth century, and it attracted many purveyors of schemes and projects similar to Becher’s. His success in obtaining court positions derived from a particular ability to speak in a language comprehensible and persuasive to the court world, and at the same time to deal effectively with the artisans necessary to carry out his projects. He became an intermediary between court and artisan. As intermediary, he proposed practical, material projects that would aid the German courts impoverished by the Thirty Years’ War, but he articulated and carried out these projects in such a way that he bolstered the traditional structure and expression of power within the court society.
Becher was not an atypical figure in early modern Europe in responding to the real economic crisis in his society by projecting a scheme for ordering it. His scheme developed from models already present within political and economic discourse. He advocated reform not by denouncing established social, intellectual, and political structures, but rather by “refurbishing” them with new connecting spaces and arrangements within their walls. Employing the rhetoric and observing the conventions of established power structures, Becher attempted to construct a new constellation of power and a new discourse that embraced political, moral, and natural philosophy.
In order to provide for the landed ruler’s need of specie, Becher sought to integrate the landed ruler into the commercial exchange economy. In pursuing this goal, Becher used his position of medical doctor and advisor and his knowledge of nature to transform and conflate natural, productive, landed values and mobile, material values of the merchant and exchange. He proposed to the court a new language and vision, at the center of which stood commerce.
**Commerce and the Closed Society**
zwar in dem Sprüchwort heisset/ *quae ad omnes pertinent*, à singulis negliguntur, und heutiges Tags gar wenig seynd/ welche dem gemeinen Wesen zum Besten nutzliche Concepten führen.
Indeed [as it] says in the proverb, what is everyone’s business is nobody’s concern, and today there are very few men who put forward useful concepts that lead to the best for the community.
*(Becher, Politischer Discurs)*
On 6/16 May 1635, Johann Joachim Becher, the eldest of three sons, was born to a Lutheran pastor, a native of Wittenberg, and his wife, the daughter of an
established citizen and Lutheran pastor of the free imperial city of Speyer. The crisis of war that enveloped much of the lives of Becher’s parents reverberates in his own life and writings. In the social and political realm from which his mother came, the free imperial town of Speyer, the war led to a breakdown of the stable guild society through the cessation of trade, the levying of war taxes, and the resultant loss of power by the guilds. The influx of the soldiers and refugees of war also brought chaos to this closed society. A tension between the commonweal and self-interest, and between universalism and closed community characterized Becher’s mother’s realm.
Anna Margaretha Gauss, Becher’s mother, survived her husband and apparently accompanied Becher and her other two sons through large parts of Europe in search of a livelihood. Becher reports nothing about her except that she remarried after his father died in 1643 and that her second husband was a wastrel who took them away into foreign lands. During this time, Becher claims that he had to give lessons in order to sustain his mother and brothers. When they set off on this journey, his mother had been an established member of the community, born to a family of citizens and council members in Speyer.\(^{20}\)
As the daughter of a citizen of a free imperial city, Becher’s mother belonged to a community society that embodied a notion of common purpose and a hostility to the unincorporated individual. The citizenry of Speyer, a town of middle size, was divided into fifteen guilds, ruled over by a patriciate drawn from members of these guilds.\(^{21}\) Because Speyer was a seat of a bishopric and meeting place for the Reichskammergericht, the artisanal citizenry had to assert itself against representatives of the bishop and local nobles for control of the town. The emperor granted various special privileges to the town of Speyer, and the location of the Imperial Court of Appeals in the town allied the emperor with the town citizens against the bishop and the nobility.
A middle-sized guild town of the Holy Roman Empire had a distinctive structure and outlook that was nurtured by the balance of powers in the empire, and that resulted in the town’s ability to assert its independence against the local nobility.\(^{22}\) These towns had formed around the production of goods by artisanal guilds, and town government and politics were dominated by guild members. The corporate guild mentality asserted the communal good over the interest of the individual, and required that all the citizens of a city be united into corporate organizations. The ostensible goal of this community was not to provide for a single family and name but to benefit all in the community, thereby giving the
\(^{20}\) Her father was pastor of the Augustinian church in Speyer and died in 1644, a year after his son-in-law.
\(^{21}\) Johann Heinrich Zedler, *Grosses vollständiges Universal-Lexicon* (1732–50; facs. repr., Graz: Akademische Druck- und Verlagsanstalt, 1961), vol. 38, s.v. “Speier.”
\(^{22}\) The following view of German society in the seventeenth century draws on Mack Walker’s analysis of “home town” society in *German Home Towns: Community, State, and General Estate, 1648–1871* (Ithaca: Cornell University Press, 1971).
town the power of common purpose by which it could assert itself against outside forces.\textsuperscript{23} The town was not just a society of individuals (\textit{Gesellschaft}) but a community (\textit{Gemeinde}), or, as it was sometimes translated, a \textit{universitas}. Not every person residing in a town belonged, however, to its citizenry, but only those who could be corporately represented and who had been approved by their corporate body. In a small town like Nördlingen, probably no more than half of the adult, working males between 1580 and 1700 were \textit{Bürger}, citizens who possessed the privileges and duties of citizenship (\textit{Bürgerrechte}). In a large city, such as Frankfurt, in 1700, about 62 to 67 percent of all inhabitants lived within \textit{Bürger} households.\textsuperscript{24} Overwhelmingly, these \textit{Bürger} were drawn from the guilds and were wealthy enough to meet property requirements for citizenship. Citizenship, however, was more than a measure of economic wealth; it was also a measure of one’s political position, social quality, family history, and personal dignity.
The community was organized around a notion of common purpose, which was antithetical to personal ambition and individual prominence (monetary or social), and the corporate structure enforced this. The structure and mentality of the community was hostile to noncollective elements typically residing outside the town walls or passing through the town, such as the rural landholder, the peasant, the learned man, the civil servant, the mercenary, and the merchant. These outsiders were disruptive sources of competition. In particular, merchants were seen by guildsmen as disruptive competitors, for, although some small retailer guilds selling imported goods existed, the guildsman ideally sold his goods directly from his workplace.\textsuperscript{25} Thus the merchant was seen as an unnecessary middleman who inflated prices and who lived off the sweat of other men’s brows. The merchant was not only a competitor in that he brought in outside wares that competed with the manual workers’ goods, but he was also outside the collective community. The guildsman entered a tacit contract as a member of the community to supply wares of good quality in return for exclusive control of the market. The merchant took part neither in the community nor in the contract. Therefore he competed on a different level and in accordance with an entirely different set of rules that seemed to the guildsman to give him an incomparable advantage.\textsuperscript{26} Thus the merchant was not only a competitor, but he belonged to a different world—a world in which property was not defined in terms of one’s place in the community, nor in terms of land, but in
\textsuperscript{23} See Walker, \textit{Home Towns}, chap. 2, “The Civic Community.”
\textsuperscript{24} Christopher R. Friedrichs, \textit{Urban Society in an Age of War: Nördlingen, 1580–1720} (Princeton: Princeton University Press, 1979), pp. 39–43. Uncounted were the wives and daughters of these \textit{Bürger}, the “passive citizens,” and their sons, the “potential citizens.” The Frankfurt statistics are from Gerald Lyman Soliday, \textit{A Community in Conflict: Frankfurt Society in the Seventeenth and Early Eighteenth Centuries} (Hanover, N.H.: Brandeis University Press, 1974), p. 40.
\textsuperscript{25} Walker, \textit{Home Towns}, p. 78.
\textsuperscript{26} Ibid., pp. 120–21.
terms of movable goods and money. Movable goods and money were traditionally associated with risk, instability, vanity, selfishness, and private interest, but most of all, money wealth was considered suspect in the stable town world by reason of its very mobility.
Merchants were not, therefore, normally part of the small-town citizenry. They were looked upon with suspicion and excluded from town government and community life.\textsuperscript{27} Moreover, the merchant and his money wealth were considered external to the town economy because they were not productive. The town, like agriculture, was viewed as producing goods, whereas commerce involved only the consumption of others’ work. Where land produced natural fruits and the artisans in the towns produced worked goods, the merchant took from the community and gave nothing in return. The townsman viewed merchants as taking wealth and means of sustenance from the community, for merchants took advantage of deficiencies in town production, as, for example, in their import of luxury goods (also considered evidence of their corrupting influence), or in the inefficient distribution of goods. If the retail merchant was seen as a middleman who drove up prices, the large import merchant was viewed as sucking wealth and money out of the town. This view hinged on the fact that neither sort of merchant could claim to be productive in the way that those engaged in agriculture and craft could. Furthermore, the money wealth that the merchant accumulated was traditionally viewed as unnatural because it was properly a means of exchange, rather than a regenerative resource, for “pecunia non fructificat.”\textsuperscript{28}
\textsuperscript{27} Friedrichs, \textit{Urban Society}, notes the small number of merchants among the Nördlingen citizenry (5 out of 1541 in 1579), but sees it as coincidental (pp. 80–81).
\textsuperscript{28} Trade was not regenerative like agriculture, in which the fruits of the earth were multiplied and replenished, for it simply involved the taking of wealth from one group to enrich another. This view had its source in Aristotle, \textit{Politics}, 1.8.1–11.35. See Steinhüser, \textit{Johann Joachim Becher und die Einzelwirtschaft}, pp. 49–50, who traces the antimerchant rhetoric through scholasticism, humanism, and Reformation literature. He quotes “pecunia non fructificat” on p. 113. Steinhüser provides an excellent analysis of Becher’s model of human society and its sources in earlier economic structures. More recently, Wolfgang Zorn, “Humanismus und Wirtschaftsleben nördlich der Alpen,” in \textit{Humanismus und Ökonomie}, ed. Heinrich Lutz (Weinheim: Acta humaniora, 1983), pp. 31–60, goes over the same material, but points up some of the problems for the historian in drawing out a consistent thread of thought on economic questions (as they are defined since Adam Smith). Part of this problem stems from the effort to impose a theory of coherent economic system on writers of earlier periods. These authors were usually writing in response to immediate and single issues within an established discourse, rather than elaborating their views within a comprehensive system. Jonathan Parry, “On the Moral Perils of Exchange” and “Introduction: Money and the Morality of Exchange,” in \textit{Money and the Morality of Exchange}, ed. J. Parry and M. Block (Cambridge: Cambridge University Press, 1989), pp. 1–32, provides a useful overview of literature and approaches to the subject of exchange. See also Niels Steensgaard, “The Seventeenth-century Crisis,” in \textit{The General Crisis of the Seventeenth Century}, ed. Geoffrey Parker and Lesley M. Smith (London: Routledge & Kegan Paul, 1979), pp. 26–56; and Stuart B. Schwartz, “The Voyage of the Vassals: Royal Power, Noble Obligations, and Merchant Capital before the Portuguese Restoration of Independence, 1624–1640,” \textit{American Historical Review} 96 (1991): 735–62.
By 1635 the power of the guilds that had initially enabled the cities to free themselves from territorial rule had dwindled. The movement of trade away from the empire to Antwerp and finally Amsterdam and the other maritime nations reduced trade in the empire as a whole. The Thirty Years’ War destroyed the cities’ productivity and their markets, while war tax levies put fatal financial strain on their treasuries. The war also greatly increased mobility in the society.\(^{29}\) The increasing power of the territorial rulers and their courts resulted in a greater number of *hofbefreite* artisans, who operated outside the guilds under direct license from a member of the nobility. The artisan at the noble court was freed from guild constrictions and rules, and, as the residential seats of noble courts moved increasingly off the land and into the towns, these free artisans competed fiercely with the often already struggling incorporated guild artisans of the towns. The corporate guild structure of the towns was also eroded in the first half of the seventeenth century by the system of *Verlag*, a putting-out system in which a merchant supplied artisans with raw material, which they made into goods and sold back to him.\(^{30}\)
The town society was just one of three separate worlds that coexisted in the Holy Roman Empire of the German Nation in the seventeenth century. Outside the town walls of the community-centered society of the towns lay a hierarchical world of the landed territorial prince, and a mobile and individualistic world of commerce and money.\(^{31}\) Each of these worlds had its own economy, structure of power, and set of values, and each saw in the others a threat to its own stability. The community world was structured around a guild economy in which members of a reciprocally defined status worked according to a careful division of labor for a common good. Wealth resided in the ability of the community to sustain itself, and the status of an individual corresponded to his place in the community. The hierarchical world of the landed ruler, on the other
\(^{29}\) See Volker Press, ed., *Städtewesen und Merkantilismus in Mitteleuropa* (Cologne and Vienna: Böhlau Verlag, 1983), a collection of essays on the status of cities and their sociopolitical infrastructures in post-1648 Germany.
\(^{30}\) Friedrichs, *Urban Society*, chronicles the decline of corporatism in Nördlingen. In the late seventeenth and early eighteenth centuries, the status of artisans declined because their urban monopoly was broken down by new forms of production. This happened because the citizens’ (i.e., the guilds’) economic position was eroded in the Thirty Years’ War and did not return to its former state before enormous war taxes were levied by the empire against the towns for the Turkish and French wars.
\(^{31}\) Again, I follow Walker’s analysis in *Home Towns*, esp. pp. 26–27, for this section. His label for the third mobile group is “movers and doers.” I have set out the three worlds here in schematic form; I do not claim that the situation in the seventeenth-century German Empire corresponded neatly to these divisions. These divisions, however, reflected the common perception of society as separated into the *Lehr-, Nähr-, und Wehrstande*. The estate of teaching (*Lehrstand*) included individuals such as priests and scholars, who were not tied to a single locale. The *Nährstand* of sustenance-providers such as peasants and artisans was normally perceived to be tied to a particular location on the land or in the cities. The *Wehrstand*, composed of the nobility, was understood to defend the other two estates, and resided on the land.
hand, was organized around the lord, who, as father of his household, looked after the welfare of the rest of his dependents. The economy of the landed household was based on the agricultural production of the land, and, in this economy, wealth was measured by land and power, and status by honor. Lastly, the world of the large-scale merchant existed outside these societies of land and town, and in this world of exchange for monetary profit, wealth was measured in money, and status by credit.
The values of the town and of the land were both based on production for self-sustenance, and these societies were careful to conserve a balance of power by the observation of traditional rights and privileges. In contrast, the third world of commerce, which was based on taking advantage of lapses in self-sustenance in the other two worlds, depended on a suspension of the traditional rights in the court and town worlds. In Germany, the commercial world was an accepted part neither of the community world nor of the hierarchical landed society. By the seventeenth century, however, the two stable societies of town and landed wealth began to break down in the face of increased demands for money, competition in international commerce, and war, and the court began to seek additional means of hard cash.
In his political writings, Becher took over the rhetoric and self-sustaining structure of the community world, exemplified by his notion of common good as a model for territorial government, and his cyclical model of sustenance and provision in society. Although he drew his model of civil society from the community world, he transformed the model in significant ways. He made the commercial activity of merchants the “soul” of his self-sustaining community, and the prince, although a “servant” of the community, came, by means of *Policey* (government ordinances), to control the community world. By drawing the community world under the control of the prince, Becher sought to make the town cycle of sustenance the basis of princely wealth. Becher thus sought to extract the goal of common purpose and the cycle of economic sustenance (which he made dependent, however, upon commercial activity) from the community world and place them under the control of the territorial ruler. He desired to retain corporate forms, such as the guilds, but to police them by requiring them to be privileged by the prince. The corporate forms and the common purpose of his mother’s community world thus resounded in Becher’s thought. But by drawing it into the court and commercial worlds, he ultimately helped to destroy this corporate world.
Becher left the town walls of Speyer with his mother in 1648 and became a wanderer. The citizen of no city, he joined the mobile group of individuals who threatened town stability. Becher recounted that while on his travels with his mother, he learned from merchants, and records indicate that during this time
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32 Walker, *Home Towns*, notes Becher’s use of community rhetoric and structure on pp. 148–50, and uses Becher as a “spokesman” for the town world.
he may have resided in the large trading cities of northern Europe.\textsuperscript{33} He drew from his experience of the world of the \textit{Bürger}, as well as from the mobile world of commerce, in formulating a comprehensive view of society.
\section*{Commerce and the Open World}
Becher’s view of commerce as a productive and meliorative force in society did not come from within the town world. To understand the central place of commerce in his model of society, we must turn to the world of his father, Joachim Becher. The advent of war in the seventeenth century brought forth projects of intellectual and spiritual reform. Commerce was a significant component in these reform projects, but it was a very different notion of commerce than Becher had learned in his mother’s town world.
Joachim Becher was a Lutheran pastor, perhaps educated in Strasbourg, called to Speyer as deacon in 1633 and made pastor of the church of Saint George in October 1635. Becher claimed that his father could understand ten languages by the age of twenty-eight: Hebrew, Chaldean, Samaritan, Syrian, Arabic, Greek, Latin, German, Dutch, and Italian.\textsuperscript{34} Becher’s father died at the age of thirty-seven in 1643 when Becher was eight years old, but by this time he had perhaps begun to teach his son the rudiments of Latin, and had passed on to him a glimpse of the vision that lay behind his attempt to master these languages. His learning of the ancient languages was rooted in the philological analysis of the Scriptures, a legacy of the conjunction of humanist philology and Lutheran reform, while his knowledge of the vernacular tongues, Dutch and Italian, indicates the increasing use of the vernaculars as Europe divided into separate political units. The ideal of a unified European Christendom had not quite faded, however, and the interest in language at this particular time was part of a scholarly effort to unify the different European languages as a first step toward the unity of peoples and the peace that was to follow on it. For Becher’s father, the Lutheran pastor, who had been twelve years of age when the war began and who died before it ended, the search for a universalism that would lead to reform and to universal peace was particularly immediate.
We have no other indication of the elder Becher’s educational and theological views than Becher’s statement that his father had mastered ten languages; however, Becher possessed several lists of books, one of which set out a course of study with a distinctly Lutheran cast. Perhaps this was a Lutheran pastor’s course for his son. In this course, lectures were to be heard and disputations undertaken in philology, history, Greek, and Hebrew. The student was then to proceed to a \textit{studium sacrum}, which drew upon authors in rhetoric, oratory,
\textsuperscript{33} Mss. var. 2, fol. 674r–v. See n. 106.
\textsuperscript{34} Becher, \textit{Methodus didactica}, p. 33.
epistolary writings, poetics, history, chronology, logic, mnemonics, and the rudiments of philosophy.\textsuperscript{35} Mastering the corpus of ancient Latin, Greek, and Hebrew authorities and their modern commentators was the aim of this \textit{studium}, but the reform of knowledge and of humankind’s relationship with God was also a strong component. The authors included Lutheran theological reformers such as Luther, Melanchthon, Johann Heinrich Alsted, Jan Amos Comenius, as well as other reforming moderns, such as Erasmus, Vives, and Scaliger.
Becher’s father belonged to the generation of reformers of learning such as Johann Heinrich Alsted and Jan Amos Comenius, from whom Becher himself would draw vocabulary and ideas while completely transforming their goals. In the early decades of the seventeenth century, Alsted published a seemingly endless number of polymathic encyclopedias. In the thousands upon thousands of folio pages contained in these weighty tomes and at the Reformed University of Herborn where he taught, Alsted instituted and extended the school reforms of Petrus Ramus.\textsuperscript{36} Later scholars ridiculed the dusty folio volumes that represented his life’s effort, but in the lands of German tongue in the first half of the seventeenth century Alsted’s reform of learning was very serious business indeed.\textsuperscript{37} It drew from Hermetic and Neoplatonic doctrines as well as from reformed religious thinkers to establish a new place for humankind in the cosmos and a new relationship between humans and God.
Jan Amos Comenius, Alsted’s student at Herborn, best exemplifies the climate of intellectual and religious reform into which Becher was born and to which he would return for ideas.\textsuperscript{38} Comenius would imitate Alsted in formulating a course of study to reform philosophy so as to accommodate the new understanding of humankind’s relationship with God. Such reform was necessary as the end of history approached. Comenius had also come under the influence of another chiliastic Protestant thinker, Johann Valentin Andreae (1586–1654), a Lutheran pastor publishing just at the outbreak of the Thirty Years’ War. Andreae’s \textit{Societas Christiana} promoted an individual piety akin to
\textsuperscript{35} Mss. var. 2, fols. 17r–20v.
\textsuperscript{36} See Walter J. Ong, \textit{Ramus, Method, and the Decay of Dialogue} (Cambridge, Mass.: Harvard University Press, 1983), pp. 164–65, 298.
\textsuperscript{37} On the reform of learning in central Europe, see R.J.W. Evans, \textit{Rudolf II and His World} (Oxford: Clarendon Press, 1973); Anthony Grafton, “The World of the Polyhistorists: Humanism and Encyclopedism,” \textit{Central European History} 18 (1985): 31–47; idem, \textit{Defenders of the Text: The Traditions of Scholarship in an Age of Science 1450–1800} (Cambridge, Mass.: Harvard University Press, 1991); Erich Trunz, “Der deutsche Späthumanismus um 1600 als Standeskultur,” in \textit{Deutsche Barockforschung. Dokumentation einer Epoche}, 2d ed., ed. Richard Alewyn (Cologne and Berlin: Kiepenheuer & Witsch, 1966), pp. 147–81; and Conrad Wiedemann, “Polyhistors Glück und Ende. Von D. G. Morhof zum jungen Lessing,” in \textit{Festschrift Gottfried Weber}, ed. Heinz Otto Burger and Klaus von See (Bad Homburg, Berlin and Zürich: Verlag Gehlen, 1967), pp. 215–35.
\textsuperscript{38} For the following portrayal of Comenius, I have drawn heavily on Hans Aarsleff’s outstanding article in the \textit{Dictionary of Scientific Biography}, 3:359–63. See also the substantial bibliography that he cites there.
pietism and the acquisition of pansophic knowledge based in part on the study of nature and of the crafts.\textsuperscript{39} Andreae’s ideas for the reform of learning show a marked similarity to those of his slightly older contemporary Francis Bacon in \textit{The New Atlantis} and \textit{Sylva sylvarum}, but it was probably from Andreae’s writings, filtered through the works of Comenius, Samuel Hartlib, and other Protestant reformers, that the ideal of natural knowledge as an integral part of religious and material reform emerged.\textsuperscript{40}
Forced into exile as the Catholic forces entered his native Bohemia and destroyed the community of the Bohemian Brethren among whom he was a pastor, Comenius struggled throughout his life with the first stage of a thoroughgoing reform of humankind in preparation for the Last Days. This reform centered on the school curriculum and began with the teaching of language, both because learning Latin was propaedeutic to any course of study, and because he believed that only a proper understanding of the relationship between words and things could bring about an understanding of God’s revelation in the words of Scripture and the things of Creation. Learning began with the senses, especially the sense of sight; thus a study of things through vision and observation was primary. For this reason, Comenius formulated his celebrated method of teaching language by pictures, which finally resulted in the publication of his famous picture book, \textit{Orbis sensualium pictus} (1658).\textsuperscript{41}
Drawing on Hermetic and Paracelsian ideas, especially as formulated by Jacob Boehme, Comenius believed that God had left his signature in all the things of nature as well as in the mind of man himself. Man must therefore come to know himself as well as study the things of nature in order to read these signatures. For, as Paracelsus (1493–1541) had set forth, the seeds or signatures of the things resonated with the Platonic ideas in the mind of man to bring about true understanding and knowledge of God. The natural philosopher or physician must “overhear” and unite with the thing under study in order to gain true, natural knowledge of the object.\textsuperscript{42}
\textsuperscript{39} See John Warwick Montgomery, \textit{Cross and Crucible: John Valentine Andreae (1586–1654)} (The Hague: Martinus Nijhoff, 1973); Felix E. Held, \textit{Christianopolis: An Ideal State of the Seventeenth Century} (Oxford: Oxford University Press, 1916); and G. H. Turnbull, “Johann Valentin Andreas Societas Christiana,” \textit{Zeitschrift für deutsche Philologie} 74 (1955): 151–85.
\textsuperscript{40} Frances Yates, \textit{The Rosicrucian Enlightenment} (London: Routledge & Kegan Paul, 1972), argues this strongly, as do Charles Webster, “Macaria: Samuel Hartlib and the Great Reformation,” \textit{Acta Comeniana} 26 (1970): 147–64, and Richard Olson, \textit{Science Deified and Science Defied}, vol. 1 (Berkeley: University of California Press, 1982), one of the few historians of science to examine Andreae’s writings closely.
\textsuperscript{41} The literature on Comenius is vast but see Gunter E. Grimm, “Muttersprache und Realienunterricht,” in \textit{Res Publica Litteraria. Die Institutionen der Gelehrsamkeit in der frühen Neuzeit}, ed. Sebastian Neumeister and Conrad Wiedemann, 2 vols. (Wiesbaden: Otto Harrassowitz, 1987), 1:299–324, for a discussion of how this emphasis on pedagogy by means of material things was transformed in the course of the seventeenth century.
\textsuperscript{42} Walter Pagel, \textit{Paracelsus: An Introduction to Philosophical Medicine in the Era of the Renaissance}, 2d ed. (Basel: S. Karger, 1982), p. 51.
Like the reformers of the curriculum and of philosophy before him, Comenius sought a universal method that would enable the student to see the order of things and to understand their causes, moving the mind toward wisdom and insight. This had been the aim of Alsted’s encyclopedia, but Comenius’s method added millenarian components. A universal method would lead to universal knowledge—pansophia—which would overcome the fallen state of humankind and lead to the final reform.
In the face of the proliferation of vernacular books and the increasing separation of nations, a prominent feature of this universalist reform was the search for a universal language. Such a language would overcome the state of mutual ignorance and misunderstanding that had been the fate of humankind since the attempted construction of the Tower of Babel. The new universal language would make feasible a universal method of learning, and this in turn would lead to order, peace, and harmony among people.\(^{43}\) The universal language of things that Comenius set forth with his book of pictures was to initiate this reform. He believed universalism had been furthered in the modern era by the invention of printing, the advances in navigation, and the increase in long-distance trade and exchange. Commerce, the exchange of things, held out a strong promise of universality.
This notion of universalism and its associated concepts continued to resonate in Becher’s thinking, and, significantly, one of Becher’s first works was a scheme for a universal language.\(^{44}\) But he had a quite different vision of universalism and reform than that of his father’s generation. For Becher, the immediacy of spiritual reform in a world ravaged by war had been replaced by the urgency for material and financial reform of the temporal world at the court of princes. The focus had shifted from the eternal sphere of God to that of his representative on earth, the prince. As a convert to Catholicism and a créature of the Habsburg/Catholic world, Becher manipulated the ideas of his father’s world to create a new vision of the order of society. Becher remained fascinated by commerce, by ships, by travel, and by universalist undertakings, but in his hands the spiritual and cosmic meaning was muted, and the material content emphasized. The religious and millenarial significance with which these activities had been invested by Comenius and also, perhaps, by his own father continued, however, to reverberate in Becher’s thought.
His father’s world of the universal exchange of words and things stood in
\(^{43}\) Allison Coudert, “Some Theories of a Natural Language from the Renaissance to the Seventeenth Century,” *Studia Leibnitiana*, Sonderheft 7 (Wiesbaden, 1978), 56–118. M. M. Slaughter, *Universal Languages and Scientific Taxonomy in the Seventeenth Century* (Cambridge: Cambridge University Press, 1982), shows how a desire for order motivated the search for universal languages and taxonomies.
\(^{44}\) *Character pro Notitia Linguarum Universali. Inventum steganographicum Hacienus inauditum quo quilibet suam legendo vernacularm diversas imo omnes linguas, unius etiam diei informatione, explicare ac intelligere potest* (Frankfurt: Joh. Wilh. Ammon & Wilh. Serlin, 1661).
contrast to the values of the closed town society that had been his mother’s world. When Becher left the town walls of Speyer, he carried with him a legacy composed of these contrasting values, and he would draw from this legacy for understanding and ideas in the course of his life.
**The Mechanical Arts**
Becher states he was just thirteen years of age when his stepfather took him and his family to seek their livelihood in foreign lands in the year of the Peace of Westphalia, 1648. Perhaps his stepfather died or deserted them, for Becher said he had to become his family’s sole support in foreign countries, giving lessons by day and studying at night. After they left Speyer it is unlikely that Becher had any formal course of education.\(^{45}\) When he became established he recalled his course of study:
By night I had to study and with great effort seek from books what one [feeds] to others in schools already chewed up and laid out in the best way. Often I could not understand and from a lack of books, I had to search *de novo* and by the light of nature for many theses and axioms myself, which took much time, although afterward I had learned it with greater solidity. I had to learn in a different manner: start from the fundament and go from things to words. In contrast, the schools remain only in words and do not know anything about real things. When I had to study at night, during the day I had to teach others so that I could keep not only myself but also my mother and two brothers who were abroad with me. . . . While I taught, I learned . . . for I was not over thirteen years of age.\(^{46}\)
Becher claimed to have begun with the things themselves, and from this basis to have risen “by the light of nature” to understand theses and axioms. He sought a “kurtzen Methodum,” or a “newes expediens” by which he could teach languages to his pupils. When he had mastered this reform of language teaching (by the light of nature and by studying other *Methodisten*), he turned to other subjects:
I wanted to move to other studies; I set aside didactics and studied theology. When I finished that I moved to mathematics, from there to medicine, from there to chemistry, and after this, by means of mathematics, I learned various manual trades. In these I observed the artisanal practices and privileges so that I finally arrived at political and juridical study.\(^{47}\)
\(^{45}\) Becher does mention that he had private lessons with a teacher named Debus in the Latin school in Speyer (*Methodus didactica*, p. 69). Hassinger noted that Debus was *Konrektor* of the school in 1644 (Hassinger, *Becher*, p. 12). Becher’s name does not appear on the rolls of matriculation of any universities he would have been likely to visit (Hassinger, p. 16).
\(^{46}\) Becher, *Methodus didactica*, Vorrede, unpaginated.
\(^{47}\) Ibid.
Becher claims to have passed from language learning, the basis of all boys’ schooling, directly to theology, as the Lutheran plan in his *Nachlaß* advised. He did not tarry long, however, with his theological studies, as he moved quickly to practical concerns, and from there to politics and law. Mathematics also led him to commerce, for, from the mechanical arts, he claimed to have learned artisanal vocabulary and instruments and to have speculated about how he might produce the objects of manufacture. He learned about selling and the market, and thus came to a *scientz* of commerce:
Because I studied mathematics and especially took pleasure in mechanical subjects, I had to do with many types of artisans, and so had to learn to understand their work, vocabulary, and instruments. I even invented various artisanal compendia, and I speculated how manufactured goods might be more easily made. After this, I went further and examined how they might be sold, and, because of this, I learned about putting-out companies. In a nutshell, I had to learn the entire art, nature, and character of merchant activity. Thus I entered into this science slowly; not suddenly without understanding, cause, or calling. Then, in addition, I did many other things, for example, I undertook long travels, I saw numerous trading cities and their government and customs, and I was employed in different commissions dealing with this material.\(^{48}\)
Becher emphasized again and again the importance of mathematics and experience in his education and life:
I cultivated the ingenuity, judgment, and memory such as God had given me in mathematics and learned thereby order. After that I studied the axiomatic methods, and besides that I have read much, listened much, experienced much, made many trials, labored much, speculated much, and I have associated with many learned people.\(^{49}\)
In emphasizing mathematics, his contact with artisans, and his own experience, Becher was drawing on a Rastist tradition as mediated by Alsted and Comenius. Petrus Ramus (1515–72) believed that “natural” or “practical” reason should be allowed to guide humankind in the acquisition of knowledge, for this was the method used by the ancients, but distorted by modern scholars. Natural reasoning resided in the daily life of humankind and in its trades, such as navigation, medicine, agriculture, and bookkeeping.\(^{50}\) In his search for ancient sources, Ramus found the practice of these arts more ancient than the theories
\(^{48}\) Becher, *Polititischer Discurs* (Frankfurt: Johann David Zunner, 1668), dedication, b recto.
\(^{49}\) “Das ingenium, judicium und memorie, so mir Gott verliehen/ habe ich in der *Mathesi* excolirt/ und dardurch die Ordnung gelernt/ darauf habe ich mich auf die *Methodos axioma* auffgemerckt/ über dieses habe ich viel gelesen/ viel gehört/ viel erfahren/ viel probirt/ viel laborirt/ viel speculirt/ bin auch mit viel gelehrten Leute umgangen.” Becher, *Psychosophia* (the second printing [Hamburg, 1705] of the second edition of 1683 was used here, p. 316).
\(^{50}\) R. Hooykaas, *Humanisme, science et réform* Pierre de la Ramée (1515–1572) (Leiden: E. J. Brill, 1958), pp. 20–21.
of scholars. Thus his reform advocated attentiveness not only to practice itself but also to the practices of the mechanical arts.\textsuperscript{51}
Mathematics was particularly important, not only for Ramus, but for other reformers of the trivium and quadrivium, such as Melanchthon and Rudolph Agricola, because it was the heart of the quadrivium and was seen as corresponding to the place of logic in the trivium. For Ramus, however, it became central in his intellectual and pedagogical reform, for it represented to him a way of unifying the practices of the liberal and mechanical arts, and of theory and practice.\textsuperscript{52} Mathematics was most important for Ramus in its connection to the practices of the mechanical arts, and their utility for society. He visited the workshops of artisans in Paris and Nuremberg, and claimed to be confirmed in his opinion that mathematics was important for civil life.\textsuperscript{53} Ramus considered Nuremberg, and Germany in general, to be a model of the practice of the mechanical arts, and the related study of mathematics. For Ramus, Germany possessed so much wealth and honor because both its cities and princes cultivated the mathematical and mechanical arts in their mining, machine making, fortification, and weapon manufacture.\textsuperscript{54} Many other writers of the sixteenth and seventeenth centuries believed that the advancement of mathematics and the mechanical arts proved the possibility of intellectual and material progress, as well as the superiority of the moderns over the ancients.\textsuperscript{55}
During Becher’s lifetime, mathematics was very much associated with the mechanical arts and trades. John Wallis’s 1690 memory of mathematics as it had existed in the 1630s in English universities illustrates this attitude in the time of Becher’s youth: “For Mathematicks, (at that time, with us) were scarce looked upon as Accademical studies, but rather Mechanical; as the business of Traders, Merchants, Seamen, Carpenters, Surveyors of Lands, or the like; and perhaps some Almanak-makers in London.”\textsuperscript{56} In the sixteenth and seventeenth centuries mathematics came to signify both the exact science and certain
\textsuperscript{51} Hooykaas makes the point that practice was both the source and the goal for Ramus (ibid., p. 30).
\textsuperscript{52} Ibid., pp. 30–31, and chap. 10, “Apologie des mathématiques,” pp. 75–90.
\textsuperscript{53} Ibid., p. 84.
\textsuperscript{54} Ibid., pp. 95–96. See also Bruce T. Moran, “German Prince-Practitioners: Aspects in the Development of Courtly Science, Technology, and Procedures in the Renaissance,” \textit{Technology and Culture} 22 (1981): 253–74.
\textsuperscript{55} See Paolo Rossi, \textit{Philosophy, Technology, and the Arts in the Early Modern Era}, trans. Salvator Attanasio (New York: Harper & Row, 1970); and Alex Keller, “Mathematical Technologies and the Growth of the Idea of Technical Progress in the Sixteenth Century,” in \textit{Science, Medicine and Society in the Renaissance}, ed. Allen G. Debus (New York: Science History Publications, 1972), 1:11–27.
\textsuperscript{56} This example is drawn from Christoph J. Scriba, “The Autobiography of John Wallis, F.R.S.,” \textit{Notes and Records of the Royal Society} 25 (1970): 27. Mordechai Feingold, \textit{The Mathematicians’ Apprenticeship} (Cambridge: Cambridge University Press, 1984), attempts to refute this description of mathematics in 1630 by examining the teaching of mathematics at English universities at this time. His conclusion that mathematics was indeed taught does not preclude the possibility that mathematics was viewed as mechanical.
knowledge of geometrical demonstration and the practical, mechanical activity of the workshop. Mathematics was an established part of the scholar’s training that would have been learned from the subjects of the quadrivium—arithmetic, geometry, music, and astronomy—but mathematics was also firmly associated with the machines and workshops of artisans.\(^{57}\)
Ramus believed the union of scholarly mathematics and the practice of the mechanical arts by artisans would bring about great civic prosperity. Writing in 1730 about Nuremberg mathematicians and *Künstler* of the town’s more prosperous and glorious days, Johann Gabriel Doppelmayr saw Nuremberg as exemplifying the fruitful relation existing particularly in Germany between exact mathematics and the mechanical arts. He believed Nuremberg’s fame as a center of mathematical astronomy (the chosen home of the astronomer Regiomontanus), its reputation for artisanal virtuosity, and its influence as a center of artisanal manufacture were not coincidental. Exact mathematics, the practice of the mechanical arts, and artisanal ingenuity had driven each other on to raise Nuremberg to heights of material abundance. While the *studium mathematicum* had been cultivated in Italy, it had flourished especially in Germany, and particularly in Nuremberg.\(^{58}\) Because of its relationship to material progress and plenty, mathematics was invoked by artisans to establish their learned status and by scholars to demonstrate their ability to carry out in practice what they proposed in theory.
Mathematics was thus associated with the arts and with the artisanal cities seen as centers of production and prosperity. Becher’s background in the guild city may well have prepared him to regard the artisanal city as a place where mathematics and the mechanical arts brought about great productivity; however, his papers and publications give no clue as to where he might have honed his mathematical and mechanical skills. His interest in the arts was in any case fully in tune with the increasing attention paid to artisanal labor since the sixteenth century. In England, John Wilkins had published *Mathematical magick* in 1648, which was concerned with practical mathematics and machines. He wrote this book for learned men, traditionally prejudiced against the mechanical arts and their
\(^{57}\) As Ramus’s views make clear, this association was already made in the sixteenth century. For evidence of this view in other settings, see also F. R. Johnson, “Thomas Hood’s Inaugural Address as Mathematical Lecturer of the City of London (1588),” *Journal of the History of Ideas* 3 (1942): 94–106; Mario Biagioli, “The Social Status of Italian Mathematicians, 1450–1600,” *History of Science* 27 (1989): 41–95; Alex Keller, “Mathematics, Mechanics and the Origins of the Culture of Invention,” *Minerva* 23 (1985): 348–61; Rossi, *Philosophy, Technology, and the Arts*.
\(^{58}\) Johann Gabriel Doppelmayr, *Historische Nachricht von den Nürnbergischen Mathematicis und Künstlern* (Nuremberg: Peter Conrad Monath, 1730), Vorrede, unpaginated. Penelope Gouk, *The Ivory Sundials of Nuremberg, 1500–1700* (Cambridge: Whipple Museum of the History of Science, 1988), examines this nexus of mathematical, mechanical, and civic prosperity in the trade of sundial making. The association of prosperity and mathematics in the free imperial cities might point to an explanation of the conjunction of social circumstances and world view that formed the particularly “northern” culture, for which Svetlana Alpers argues in *The Art of Describing: Dutch Art in the Seventeenth Century* (Chicago: University of Chicago Press, 1983).
practitioners. For this audience, he relates the story of Heraclitus in the tradesman’s workshop:
It is related of Heraclitus, that when his scholars had found him in a tradesman’s shop, whither they were ashamed to enter, he told them . . . that the gods were as well conversant in such places, as in others: intimating, that a divine power and wisdom might be discerned, even in those common arts which are so much despised.\(^{59}\)
Artisanal knowledge was separated from the realm of school knowledge by the fact that the mechanical arts were neither taught in the schools nor written down, and a certain unclean odor clung to them as the illiberal arts, for in antiquity they had been the work of slaves and the \textit{vulgus}. The knowledge of artisans was transmitted by doing and imitation, rather than by the study of books, and artisanal guilds and guild towns constituted the means by which their knowledge and techniques were reproduced. As the power of the guilds and guild cities grew, and the arts came to be seen as the foundation of the wealth of cities and republics, scholars began to look to artisans and artisanal knowledge as productive and valuable. Juan Luis Vives, for example, encouraged scholars not to “be ashamed to enter into shops and factories, and to ask questions from craftsmen, and to get to know about the details of their work.”\(^{60}\)
Johann Valentin Andreae and Francis Bacon both believed that a study of the mechanical arts would yield knowledge of nature as well as knowledge useful to the state,\(^{61}\) and their thought was particularly influential in plans for the
\(^{59}\) Quoted in J. A. Bennett, ‘The Mechanics’ Philosophy and the Mechanical Philosophy,” \textit{History of Science} 24 (1986): 22. Wilkins here paraphrased Aristotle, \textit{De partibus animalium}, 1.5.15–25, in which Aristotle used the example of Heraclitus in comparing the study of the eternal, unchanging divine with the study of the perishable things of the observable world. While Aristotle conceded that study of the divine was more pleasing, he maintained that because the things of nature were closer to human nature and experience, their study had its own compensations. He therefore advocated the study of all the objects of nature, no matter how small and unattractive. Aristotle wrote: “For even in the study of animals unattractive to the senses, the nature that fashioned them offers immeasurable pleasures in the same way to those who can learn the causes and are naturally lovers of wisdom. It would be unreasonable, indeed absurd, to enjoy studying their representations on the grounds that we thereby study the art that fashioned them (painting or sculpture), but not to welcome still more the study of the actual things composed by nature, at least when we can survey their causes. Therefore we must avoid a childish distaste for examining the less valued animals. For in all natural things there is something wonderful. And just as Heraclitus is said to have spoken to the visitors, who were wanting to meet him but stopped as they were approaching when they saw him warming himself at the oven—he kept telling them to come in and not worry, ‘for there are gods here too’—so we should approach the inquiry without aversion, knowing that in all of them there is something natural and beautiful.” Trans. D. M. Balme (Oxford: Clarendon Press, 1972).
\(^{60}\) \textit{De tradendis disciplinis} (1531), bk. 4, char. 6, trans. Foster Watson (Totowa, N.J.: Rowman and Littlefield, 1971), p. 209. On this subject, see also Rossi, \textit{Philosophy, Technology, and the Arts}.
\(^{61}\) Paolo Rossi, \textit{Francis Bacon: From Magic to Science}, trans. Sacha Rabinovitch (London: Routledge & Kegan Paul, 1968), and Julian Martin, \textit{Francis Bacon, the State, and the Reform of Natural Philosophy} (Cambridge: Cambridge University Press, 1992).
“Histories of Trades” pursued by English scholars of Becher’s generation.\(^{62}\) Comenius’s émigré associate in England, Samuel Hartlib, and his circle of like-minded Protestant reformers, were particularly active in promoting these plans. When John Dury traveled to Germany in the 1630s in pursuit of a Protestant union, he wanted not only to promote his overarching cause, but also to observe “all Inventions, and Feats of Practise in all Sciences.”
For Inventions and Industries, I will seeke for such chiefly as may advance learning and good manners in the Universities, Schooles, and Commonweales; next for such as may bee profitable to the health of the body, to the Preservation and Encrease of wealth by trades and mechanicall Industries, either by sea or Land; either in Peace or Warre.\(^{63}\)
In Dury’s view, the reformation of learning and of the world was to come from things: the materials out of which the artisan crafted his objects, the techniques that tried and transformed things, and the inventions that brought profit and wealth to commonwealths and republics. Samuel Hartlib brought Comenius to England in 1641/42, where his history of trades projects aroused attention among other English notables in contact with Hartlib such as Robert Boyle, William Petty, and John Evelyn. Henry Oldenburg, a fellow German émigré, fell in with Samuel Hartlib’s plans, and on his travels on the Continent in the 1650s would meet with Becher in his search for mechanical knowledge. Becher would begin his career constructing perpetual motion machines, and, just as Hartlib had been eager for news of Comenius’s perpetual motion schemes in the 1640s,\(^{64}\) so two decades later Henry Oldenburg and Samuel Hartlib would be anxious to bring Becher to England also. By that time, however, the German war was over, the English civil war was drawing to a disappointing close for reformers like Hartlib, and a new political order was falling into place.
\textit{“Viel Erfahren”}
Experience was the second important component in Becher’s education: “habe ich viel gelesen/ viel gehört/ viel erfahren/ viel probirt/ viel laborirt/ viel
\(^{62}\) See Walther E. Houghton, Jr., “The History of Trades: Its Relation to Seventeenth-Century Thought,” \textit{Journal of the History of Ideas} 2 (1941): 33–60; Charles Webster, ed., \textit{The Intellectual Revolution of the Seventeenth Century} (London: Routledge & Kegan Paul, 1974), and idem, \textit{The Great Instauration: Science, Medicine, and Reform 1626–1660} (London: Gerald Duckworth, 1975).
\(^{63}\) “The Purpose and Platform of My Journey into Germany,” 1631, printed in G. H. Turnbull’s \textit{Samuel Hartlib} (Oxford: Oxford University Press, 1920), pp. 10–13.
\(^{64}\) See G. H. Turnbull, \textit{Hartlib, Dury and Comenius: Gleanings from Hartlib’s Papers} (London: Hodder & Stoughton, 1947).
speculirt/ bin auch mit viel gelehrten Leute umgangen.” He claimed to have learned “by the light of Nature,” from the things themselves. Here again he echoed, especially in the way he chose to recount his education, the reformers of knowledge such as Jacob Boehme, Paracelsus, Francis Bacon, Ramus, and, closer to his own life, Comenius. His own vivid observations and experience fill his works, as for example, when discussing the efficacy of cold in halting putrefaction, he recalls the body he saw hanging from the gallows with no signs of putrefaction for an entire long winter in Sweden.
In the seventeenth century, observation, experience, and the practical trials and labors of art constituted a novus methodus philosophandi, a new method of philosophizing. This new method, which was based upon active practice and was seen to yield new knowledge, would eventually transform completely the older system of education directed toward the mastery of a corpus of authorities. The mottoes of the academies that formed around the “new method of philosophizing” in the seventeenth century distilled the essence of this method. To pick only three examples, the “Nullius in verba” of the Royal Society of London expressed the members’ loyalty to things, rather than words; the Accademia del Cimento’s “Provando e riprovando” declared an adherence to active trial and practice; and the adoption of pseudonyms from the story of Jason and the Argonauts by the members of the Academia naturae curiosorum emphasized the active search for knowledge.
65 “I have read much, listened much, experienced much, made many trials, labored much, speculated much, and I have associated with many learned people.” *Psychosophia* (1705), p. 316.
66 Becher, *Chymisches Laboratorium oder Unter-erdische Naturkündigung* (Frankfurt: Johann Haab, 1680), p. 362. This work is Becher’s translation of *Actorum Laboratori Chymici Monacensis, seu Physicae Subteraneae libri duo* (Frankfurt: Johann David Zunner, 1669).
67 One of the clearest statements of the nature of this new method and the changes it had wrought was expressed by Johann Christoph Sturm, a professor of mathematics and physics at Altdorf, in *Collegium Experimentale, sive Curiosorum in quo Primaria hujus secuti inventa & experimenta Physico-Mathematica . . . Phaenomena & effecta . . .* (Nuremberg: Wolfgang Maurice Endter & Johannes Andrea Endter, 1676), pp. xxx2 r–v. He states that the “new method of philosophizing . . . called experimental” is practiced in various societies and colleges throughout Europe.
68 Two recent works that chronicle this transformation are Grafton, *Defenders of the Text*, and Joseph M. Levine, *The Battle of the Books: History and Literature in the Augustan Age* (Ithaca: Cornell University Press, 1991). In their very important book, Steven Shapin and Simon Schaffer, *Leviathan and the Air-Pump: Hobbes, Boyle and the Experimental Life* (Princeton: Princeton University Press, 1985), showed the new method of philosophizing was not accepted without controversy. Other recent works of note that treat the creation of this new method are Steven Shapin, “Pump and Circumstance: Robert Boyle’s Literary Technology,” *Social Studies of Science* 14 (1984): 481–519; Simon Schaffer, “Making Certain” (essay review of *Probability and Certainty* by B. J. Shapiro), *Social Studies of Science* 14 (1984): 137–52; Peter Dear, “Jesuit Mathematical Science and the Reconstitution of Experience in the Early Seventeenth Century,” *Studies in the History and Philosophy of Science* 18 (1987): 133–75; Michael Hunter, *Establishing the New Science: The Experience of the Early Royal Society* (Woodbridge, Suffolk: Boydell, 1989); and Paula Findlen, *Possessing Nature: Museums, Collecting and Scientific Culture in Early Modern Italy* (Berkeley: University of California Press, 1994). Peter Dear, “Totius in Verba: Rhetoric and
This new method had its origins in the importance placed on the things of nature and on knowledge of God’s Creation by authors influenced by Hermetic philosophy such as Paracelsus and Jacob Boehme.\textsuperscript{69} These authors elevated the work of the hands and the manual worker (\textit{Handwercker}) above the learning of books because the artisan worked with the objects and materials of nature. The \textit{Handwerker} was more closely attuned to nature, because by his art, he imitated nature (\textit{ars imitatur naturam}), which yielded knowledge of nature and ultimately formed a path to the understanding of God’s Creation. The art of the craftsman also “reformed” nature by creating valuable objects out of the raw materials of nature. The manual labor of refining nature for human needs, common to all \textit{Handwerk} and thought by Paracelsus to be exemplified in the refining processes of alchemy, brought about the reformation and ultimately the redemption of the world and humankind. Medicine and alchemy, above all other arts, carried out in microcosm the macrocosmic process of human redemption after the Fall.\textsuperscript{70}
Becher notes that he too “did many trials, and labored much,” and his first published work was one of alchemical medicine. In 1654, at the age of nineteen
\textsuperscript{69} Historians regarded this world view as antithetical to the new methods of natural philosophy until the scholarship of Eugenio Garin, Walter Pagel, Frances Yates, and Paolo Rossi, as well as that of the generation of scholars whom they influenced, made clear that Renaissance alchemy, and the hermetic philosophy that informed it, shaped the habits of mind and practice that formed early modern natural philosophy; Eugenio Garin, \textit{Science and Civic Life in the Italian Renaissance}, trans. Peter Munz (New York: Doubleday, 1969); idem, \textit{Italian Humanism: Philosophy and Civic Life in the Renaissance}, trans. Peter Munz (New York: Harper and Row, 1965); Pagel, \textit{Paracelsus}; idem, \textit{Joan Baptista Van Helmont: Reformer of Science and Medicine} (Cambridge: Cambridge University Press, 1982); Frances Yates, \textit{Giordano Bruno and the Hermetic Tradition} (Chicago: University of Chicago Press, 1964); idem, \textit{The Rosicrucian Enlightenment}; Rossi, \textit{Philosophy, Technology, and the Arts}; idem, \textit{Francis Bacon}; J. E. McGuire and P. M. Rattansi, “Newton and the ‘Pipes of Pan,’” \textit{Notes and Records of the Royal Society of London} 21 (1966): 108–43.
\textsuperscript{70} On Paracelsus, see Walter Pagel, \textit{Paracelsus}; idem, \textit{Das medizinische Weltbild des Paracelsus. Seine Zusammenhänge mit Neuplatonismus und Gnosis} (Wiesbaden: Franz Steiner Verlag, 1962); Kurt Goldammer, \textit{Paracelsus: Natur und Offenbarung} (Hanover: Theodor Oppermann Verlag, 1953); and Owen Hannaway, \textit{The Chemists and the Word: The Didactic Origins of Chemistry} (Baltimore: Johns Hopkins University Press, 1975), esp. pp. 43–45. Betty J. T. Dobbs, \textit{The Foundations of Newton’s Alchemy} (Cambridge: Cambridge University Press, 1975), and \textit{Alchemical Death and Resurrection: The Significance of Alchemy in the Age of Newton} (Washington, D.C.: Smithsonian Institution Libraries, 1990), show how these Paracelsian ideas were maintained into the seventeenth century. Debus, \textit{The Chemical Philosophy}, provides a good introduction to the use made of the Paracelsian legacy by the new philosophers. The religious alliances of Paracelsian (al)chemists are treated in a different way by Webster, \textit{The Great Instauration}; idem, \textit{From Paracelsus to Newton: Magic and the Making of Modern Science} (Cambridge: Cambridge University Press, 1982); and P. M. Rattansi, “Paracelsus and the Puritan Revolution,” \textit{Ambix} 11 (1963): 24–32; but Webster’s thesis that Paracelsian views were allied solely with radical religious sects should be tempered by the recent article by J. Andrew Mendelsohn, “Alchemy and Politics in England 1649–1665,” \textit{Past and Present} 135 (1992): 30–78.
he published, under the pseudonym of Solinus Salzthal of Regiomontanus, *Solini Saltzthals Regiomontani Discurs von der Grofmächtigen Philosophischen Universal-Artzney/ von den Philosophis genannt Lapis Philosophorum Trismegistus*. Becher often cited Paracelsus, although he distanced himself from the religious enthusiasm (and social radicalism) of Paracelsus. Becher used his references to Paracelsus, rather, to connect himself with a figure who personified the method of philosophizing practiced outside the schools and based in the experience of natural things. This method could be learned by studying the techniques and the mentality of artisans, for they had particular access to the knowledge of nature in the practice of their arts.
**Respublica litterae**
In describing his education, Becher was careful to balance the experience, assaying and laboring of his early life with reading, speculation, and conversation with scholars (“bin auch mit viel gelehrten Leute umgangen”). Becher was always eager to be regarded as a member of the scholarly world, even when others saw him as a “mechanick” or noted his poor Latin. He claimed to have been acquainted with many of the most famous members of the republic of scholars of his day, but the facts of his claim are less important than investigating the group of scholars with whom he chose to ally himself. In 1678, when he claimed to be retiring from court life, he counted up his famous acquaintances and found they included a small number of Jesuits, several professors at the university at Leiden, and all the most stellar names of Queen Christina’s erudite court, most of whom had also spent time at Leiden. Like great numbers of his countrymen, Becher may have studied at Leiden, although he did not formally matriculate. While there, he probably came in contact with Cartesian ideas, which he seems to have rejected, as well as with the late humanist Stoicism of Justus Lipsius and the wave of practical, political literature Lipsius left in his wake in the Netherlands and throughout Europe.
The republic of letters, like the rest of the European society of orders in the
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71 Discourse about the powerful philosophical universal medicine, called Trismegistus, stone of the philosophers, no place of publishing and no pagination, only known copy in the British Library. A manuscript of the title and foreword for this work, dated 1654, is in Mss. var. 2, fols. 266r–275v. A Latin translation was included in the sixth volume of the *Theatrum Chemicum*, ed. Johann Joachim Heilmann (Strasbourg: Eberhard Zetner, 1661), pp. 675–94.
72 In *Psychosophia* (1705), p. 316, Becher lists Marin Mersenne, René Descartes, Claude de Saumaise (Salmasius), Gabriel Naudé, Samuel Boschart, Nicolas Heinsius, Johann Freinsheim, Johann Heinrich Boeckler, Heinric Meibom, and Johann Scheffer.
73 See Heinz Schneppen, *Niederländische Universitäten und Deutsches Geistesleben* (Münster: Aschendorffsche Verlagsbuchhandlung, 1960).
74 Becher viewed Descartes as a materialist—someone who investigated spiritual matters by a method meant only for corporeal things (*Psychosophia* [1705], pp. 80–81).
seventeenth century, was changing, and this transformation is reflected in Becher’s list of his scholar-amici. Almost all the scholars on it were in the service of a noble patron. In contrast to the previous century in central Europe, a scholar in the seventeenth century might never hold a position at a university.\footnote{Siegfried Wollgast, \textit{Zur Stellung des Gelehrten in Deutschland im 17. Jahrhundert} (Berlin: Akademie-Verlag, 1984), p. 57, makes this point particularly in relation to scholars interested in natural philosophy.}
At the beginning of the seventeenth century, many scholars believed that they no longer belonged to what had previously been an elite social order—the guild of scholars.\footnote{Wilhelm Kühlmann, \textit{Gelehrtenrepublik und Fürstenstaat} (Tübingen: Max Niemeyer Verlag, 1982), p. 89. For a picture of the late humanist guild of scholars, see Trunz, “Der deutsche Späthumanismus,” in Alewyn, \textit{Deutsche Barockforschung}.}
Instead they sought prestige and legitimation at the new center of active life, the noble court. This became the arena for the translation of their words and texts into practice, and provided the place where they could quite literally make their fortune. Their ideas echoed this new focal point of their lives, and, in their works, the territorial prince and his state became a necessity for social order. Thinkers as diverse as Thomas Hobbes and Justus Lipsius claimed that the body politic was dead without a prince to hold it together.\footnote{Kühlmann, \textit{Gelehrtenrepublik}, p. 72.}
In the scholars’ new environment of the noble court, the Ur-question of their predecessors, the civic humanists—“how should one live one’s life”\footnote{Nancy S. Struever, \textit{Theory as Practice: Ethical Inquiry in the Renaissance} (Chicago: University of Chicago Press, 1992), sees this as the overriding concern of Petrarch and the practical inquiry that he initiated.}
—became their central concern. They sought to answer it not only for themselves in their courtiers’ and \textit{Höflichkeit} manuals, but also for the whole of their society in an explosion of literature on politics, civil prudence, and \textit{arcana imperii}. They did not proceed by a single method. Some—Bodin, Althusius, Conring—began from Aristotle’s \textit{Politics} and discussed the structure of the state, while others made their starting point the Bible, or began from the huge number of \textit{polizei-ordnungen} that had accumulated in every town and territory by the mid-seventeenth century.\footnote{See Kühlmann, \textit{Gelehrtenrepublik}, p. 51, for the controversy between Aristotelians and neo-Stoics, and Horst Dreitzel, \textit{Protestantischer Aristotelismus und absoluter Staat} (Wiesbaden: Franz Steiner Verlag, 1970), pp. 162ff., on the contrast between the Aristotelians and the “Christian pragmatics.” One of the best treatments of \textit{polizei-ordnungen} is Maier, \textit{Die ältere deutsche Staats- und Verwaltungslehre}. See also Marc Raeff, \textit{The Well-Ordered Police State: Social and Institutional Change through Law in the Germanies and Russia 1600–1800} (New Haven: Yale University Press, 1983).} Another route is exemplified by Lipsius, who developed a set of practical axioms of political behavior based on Roman Late Republican and Imperial writers such as Cicero, Tacitus, and Seneca (and tacitly on Machiavelli).
Becher almost never referred to the Aristotelians and their theories of state structure. He placed himself instead in the tradition of Lipsius’s practical politics, as he signaled when he named among his “acquaintances” Claudius Salmasius, Johann Freinsheim, Johann Boeckler, and Johann Scheffer. The political writings of these men focused on the development of self-knowledge and Stoic self-control. Their goal was the worldly and urbane experience of the courtier (or Stoic) that brought with it an ability to act prudently, to distinguish between reality and appearance, and, most important, to develop the virtue that would permit personal triumph over *fortuna*. Their writings sought to keep not only the individual but the whole of society, within the bounds of order. The seventeenth-century commentators of Aristotle, the neo-Stoics, Jesuits, the authors of novels, and even playwrights and poets were all caught up in the struggle for order that their concern with the political expressed. They found opportunities for practical comment and political axioms at every turn. As one poet apostrophized in 1667: “Diogenes Laertius said that many useful things concerning ruling and running a house can be taught through poetry. In the poems of Amphion and Orpheus is hidden nothing other than the possibility of learned and decent people bringing an unwashed folk to obedience and good laws.”
Order was, however, acquired at a cost. The scholars of the seventeenth century, displaced and held by the golden chain of servitude, seeing their value at court calculated upon a different scale than that current in the republic of letters, clung to the freedom of will and mind that Stoicism offered. They often lamented their position at court, and the tension they felt between court privileges and the life of the mind was palpable in their work. Becher would lament that at court a person was regarded for his born worth and name, rather than for his capabilities. He reflected that the final cause of all civil society was to protect and serve the individual, but the less one needed this protection.
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80 The basic text on early modern neo-Stoicism remains Gerhard Oestreich’s collected essays in *Geist und Gestalt des frühmodernen Staates* (Berlin: Duncker & Humblot, 1969). Other useful works in this relation are Günter Abel, *Stoizismus und Frühe Neuzeit* (Berlin: Walter de Gruyter, 1978); Frühsorge, *Der politische Körper*; and some of the essays in Neumeister and Wiedemann, *Res Publica Litteraria*.
81 Such as Christian Weise (see Frühsorge, *Der politische Körper*) and Duke Heinrich Julius of Brunswick. On the political novels of this period, see Arnold Hirsch, “‘Politischer’ Roman und ‘politische’ Lebensführung,” in Alewyn, *Deutsche Barockforschung*, pp. 205–66.
82 On these political dramas, see Günther Müller, “Höfische Kultur,” in Alewyn, *Deutsche Barockforschung*, pp. 182–204.
83 “Viel nützliche Sachen von dem Regier- und Haub-Stande können durch Poetische Lieder beygebracht werden/ saget Diogenes Laertius. Unter den Gedichten von Amphion und Orpheus, stecket nichts anders verborgen/ als daß verständige und bereite Leute ein ungeschlachtes Volck leichtlich zum Gehorsam bringen und zu guten Gesätzen gewähnen können.” G. Neumark, *Poetische Tafeln*, quoted in Kühlmann, *Gelehrtenepublik*, p. 324.
84 See Helmuth Kiesel, “Bei Hof, bei Höll.” *Untersuchungen zur literarischen Hofkritik von Sebastian Brant bis Friedrich Schiller* (Tübingen: Max Niemeyer Verlag, 1979), and Kühlmann, *Gelehrtenepublik*.
85 Becher, *Psychosophia* (1705), p. 342.
the freer one would be. To prove his point, he cited both Seneca, “neminem timet, quem nemo timnet” (he fears no one, whom no one fears), and Paracelsus, “Qui omnia secum portat, non indiget alieno auxilio” (he who carries all things with him needs not the aid of others).
The explosion of literature on *politicis* in the seventeenth century, like the earlier humanist concern with the public, active life from which it derived, was above all a practical movement. Political action and the new philosophy were both grounded in this practice, dependent on curiosity (with all its voluptuous sensory and sensual connotations), and undertaken by a new group of men who needed to acquire knowledge quickly and put it to immediate use. These men agreed on the human ability to control *fortuna* by ingenuity, invention, and virtue, and possessed a vision of the future that comprehended the idea of human progress. They evinced, above all, an overriding belief that the visible, material world was the real world in which a material salvation would be attained. The skills necessary to the new philosopher, the scholar-courtier, and the territorial ruler would turn out to be very similar: good observation of people and circumstances, collection of experience, ability to distinguish reality from appearance, and an ability to play on the unforeseen circumstances of the moment.
Consummate courtier Gabriel Harvey (1545–1630) would note that “Euerie pragmatician castes about for life, and scoures the coast to the purpose. It importes euerie negotiatour, discouerer, intelligencer, practitioner, and euerie wittie man continually to cast abowt, & scowre the coast. Still & still more & more.” In Rome, scholars interested in natural philosophy formed an Accademia dei lincei (Academy of the lynx-eyed), while a German author of political axioms quoted an Italian proverb that “the assistants of princes must have the eyes of the lynx.” The telescope became an emblem both of natural philosophy and political prudence in the seventeenth century. Duke Heinrich Julius of Brunswick stated that he would not speculate like a philosopher, but “like a Politicus or old Aulicus about such things as I have seen and experienced myself,” and Louis XIV would write that “the entire art of politics consists in playing upon circumstances.”
Becher would hazard and improvise to effect a conjunction of his own
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86 Ibid., pp. 89–90.
87 Norbert Elias, *The Court Society*, trans. Edmund Jephcott (New York: Pantheon, 1983), pp. 105, 113, sees this emphasis on observation as the basis of a new rationality formed not by bourgeois capitalism but by the dynamics of the court. Frühsorge, *Der politische Körper*, pp. 108–9, discusses the identification of prudence (“politische Klugheit”) with careful observation.
88 Gabriel Harvey, quoted by Frank Whigham, *Ambition and Privilege: The Social Tropes of Elizabethan Courtesy Theory* (Berkeley: University of California Press, 1984), p. xiv.
89 Christian Georg Bessel, *Faber Fortunae Politicae. Monitis ad vitam politicam admodum necessarius & saluberrimus* (Hamburg: Johannes Naumann & Georgius Wolff, 1673), p. 252.
90 Frühsorge, *Der politische Körper*, pp. 108–9.
91 Kühlmann, *Gelehrtenrepublik*, p. 342 n. 80.
mechanical inclinations and practical education, the manual practice and collection of experiences in the new philosophy, the political focus of the scholars with whom he associated himself, the need for prudence in his daily life at the noble court, and the overriding need to make his work relevant to his own princely patrons.
**Theoria and Ars**
Practice, the active gathering of experience by trial, by assay, by observation, and by collection, was the work of politics and history, but also of artisans. For them it constituted an unwritten knowledge that was productive and provided for the necessary wants of humankind. The significance and potential of this sort of knowledge was exemplified for Becher, as it had been for Paracelsus, in alchemy, and was epitomized in the alchemical anecdote evoked by the tag (often quoted by Becher), “Solve mihi hunc syllogismum” (solve for me this syllogism). This anecdote recounted how a professor of philosophy had lectured to his students about the impossibility of alchemical transmutation. He brought long logical demonstrations, as well as the words of authorities, to bear on his argument. A stranger in the audience stood up, and, without entering into the disputation, called for some lead, charcoal, and a crucible, and transmuted it into gold on the spot. He handed the still-warm gold to the professor and pronounced, “Solve mihi hunc syllogismum,” and left the lecture hall.\(^{92}\) This anecdote (or emblem) indicates the distance between practice and theory and between their methods in the seventeenth century. The professor is stranded without a method, without principles and proofs, without even the possibility of continuing speech when confronted by the creative, productive *action* of raw *ars*.
Becher carried with him on his travels a book that makes clear the tension between theory and art at this time. *Advices from Parnassus*, by Trajano Boccalini, was first published after Boccalini died in 1613, and went through numerous editions and translations from the Italian over the next two centuries.\(^{93}\) In the satiric text, Boccalini conjured up a court of Apollo on Parnassus, in which Apollo played beneficent patron to the *respublica litterae*, including the most famous scholars and teachers of the ancient world and of humanist
\(^{92}\) John Ferguson, *Bibliotheca Chemica*, 2 vols. (London: Derek Verschoyle, 1954), 2:374–77, mentions the history and sources for this anecdote in his biographical sketch of Alexander Seton.
\(^{93}\) Originally published as *De’ ragguagli di Parnaso*, this work was printed in German in 1644, and in 1655 edited by Jesuit law professor and political writer, Christoph Besold, to whom Becher made reference in *Politischer Discurs und Methodus didactica*. Becher cited Boccalini’s work in *Appendix Practica, über seinen Methodum Didacticam* (Frankfurt: Johann David Zunner, Munich: Sebastian Rauch, 1669), p. 39. A list of his effects entitled “Joachim Becher’s things that belong on the trip” indicates that he carried Boccalini’s book with him. This list is in Mss. var. 2, fols. 678r–681v, and Boccalini is mentioned on fol. 680r.
Europe. In Boccalini’s missivelike series of tidings from this court, these scholars and literati, the gods of Roman mythology, and the political figures of the sixteenth and early seventeenth centuries argue, found academies, duel, make proclamations, hold court, and gossip. Boccalini’s work forms a witty synopsis of the debates and concerns of the literati in the sixteenth and early seventeenth centuries. Becher probably obtained his education from precisely such works as Boccalini’s, and out of them, he formed an understanding of the issues of his world and of the sphere and scope of knowledge, as well as an image of himself as an actor in the republic of letters. He would carry this understanding into his positions at the noble courts of the German Empire and use it to establish himself there.
One of the many issues Boccalini addressed in *Advices* was the relation of contemplation and action, and of theory and practice. In Advice 76 several princes have besieged Aristotle in his country house in order to force him to revoke his definition of the tyrant:
Aristotle, Prince of the Peripateticks, that he might philosophize without interruption, retir’d t’other day to his pleasant Country-seat, where he was unexpectedly besieg’d in the night by a great number of Horse and Foot under the Command of several Princes. The Enemy having with great diligence cast up their Trenches, and rais’d their Batterys, were preparing to play upon the House, and beat it about his ears. But Apollo, who had speedy advice of this great News, dispatch’d two famous Italian Satyrists, Lodovico Ariosto, and Francisco Berni, with a Detachment of Satyrick Poets to raise the Siege. They attempted it with their utmost skill, but to no purpose; for tho the Poets ply’d the Besiegers very warmly with their Vollys of Lampoon and Defamation, yet the Princes Armor was of proof against their smartest fire. Apollo therefore, seeing Force cou’d not prevail, in a tender care to the honor of the Peripatetick Philosophy in the person of its great Master, sent into the field the magnanimous and ever-glorious lover of the Learned, Frederick Feltrio Duke of Urbin, who upon a parley with those Princes, obtain’d a Truce.
When they first began to treat, the Princes complain’d grievously of Aristotle for having in his Politicks given so malicious a Definition of a Tyrant, that it included every good Prince: for if, as he had dar’d to assert, those who regard their own profit more than that of their Subjects, ought to be call’d Tyrants, in their opinion no Prince cou’d clear himself from the imputation; since no Shepherd was so fond of his Sheep as to be afraid to milk and shear ’em, and to be willing to starve himself to keep them fat. That the Stagyrite was grossly ignorant; if he did not know that Profit is the sole end of all dealing, and the whole World is but one publick Warehouse. And if the Law of Nature it self allow’d Parents to love themselves better than their own Children, with what color wou’d that Beast Aristotle oblige Princes to be fonder of others profit than their own? They added that the Literati were grown so malapert and conceited, that they took upon ’em to meddle with the deepest concerns of the State, and even prescribe Rules for Princes to govern by;
not perceiving (poor Pedants!) that Politicks are quite out of their sphere, and that none shou’d pretend to ’em but such as have been practis’d in the Government of Kingdoms, which is not to be learn’d from Philosophy, Rhetorick, and the mouldy Records of Learning. For since the Theory of Politicks can’t be form’d into a System, those who have not study’d it in the Closets of great Princes, and in their Administration of State-affairs, ought never to argue upon it, unless they have a mind to make themselves ridiculous to all the world, by writing and telling things for which they deserve to be scourg’d.
These words convinc’d Duke Frederick that the Princes had good reason to be angry; wherefore he told his Friend Aristotle, he must needs revoke his antient Definition of a Tyrant, and give ’em another more to their satisfaction. The Philosopher comply’d with all his heart, and said, That Tyrants were a certain sort of strange Creatures in very antient Times, whose Race is now wholly extinct.
The Princes having obtain’d their desire, instantly rais’d the Siege and march’d home; and poor Aristotle, half dead with the Fright, return’d to Parnassus, where he confess’d to all the Virtuosi, that his Philosophical Precepts avail’d him but little against the fear of Death; and, Gentlemen, says he, if you’ll be advis’d by me, mind your Books and let State Affairs alone, for ’tis impossible for you to treat upon that Subject without evident danger of incurring the Displeasure of the Great.’\textsuperscript{94}
In this inventive bit of news from Parnassus, Boccalini alluded to the hazards for the scholar at the noble court but, more significantly, to the idea that the knowledge and books of scholars were useless to the man of politics. The man of affairs needed knowledge born of the experience of practice. The pedantic rule making and system building of the scholars was wholly irrelevant to political practice, for philosophical precepts did not provide knowledge that could assist the person engaged in the active life of the forum.\textsuperscript{95}
To understand the significance of this satiric piece for Becher, let us return to Aristotle. In the \textit{Nicomachean Ethics}, Aristotle discusses the organization of knowledge and distinguishes among the life of enjoyment, the contemplative life and the active life. He leaves aside a lengthy discussion of the life of enjoyment as too vulgar and treats in detail the active and contemplative lives.\textsuperscript{96}
\textsuperscript{94} \textit{Advices from Parnassus in Two Centuries} (London, 1706), pp. 128–29.
\textsuperscript{95} In Advice 76, as in every one of Boccalini’s “advices,” there are several issues being addressed at once. Here, one in particular should be indicated: Boccalini’s princes claim that Aristotle is ignorant of the fact that “Profit is the sole end of all dealing, and the whole World is but one publick Warehouse,” which illustrates well the moral concerns raised by the nobility’s need of surplus wealth, or commercial profit, in the early modern period, and the problem of finding an ancient source that could reconcile this.
\textsuperscript{96} \textit{Nicomachean Ethics}, 2d ed., trans. H. Rackham (Cambridge, Mass.: Harvard University Press, 1982), 1.5.1–7. My reading of Aristotle’s \textit{Nicomachean Ethics} owes much to discussion with Owen Hannaway about the relation of theory and practice in the early modern period and the importance of locating the categories of this debate in the classical corpus.
Each sphere of life had its own end, type of knowledge, and degree of certainty. The life of contemplation concerned itself with the pursuit of the unchanging and eternal good. The result of contemplation was epistemic or theoretical knowledge about the immutable objects of nature; things that existed by necessity and contained within themselves the source of their change. Theoretical knowledge was proved by demonstration in the form of syllogisms and based on certain, demonstrable principles.\footnote{Aristotle, \textit{Nicomachean}, 6.3.2–4.}
Practical knowledge, or \textit{praxis}, on the other hand, concerned mutable affairs that could be directed and intervened in by humans. This knowledge was based in \textit{action} and derived from either “things done” or “things made.” The sphere of practical knowledge pertaining to things done resulted in “prudence,” and was the knowledge required by rulers and men of public life. Aristotle dealt with this knowledge particularly in his practical writings on ethics, economics, and politics. Prudence could not be called a science, and was not of absolute certainty, for it could not be proved by demonstration based on certain principles, or, as Boccalini’s bellicose princes said, it could not be “form’d into a System.” Prudence might never be certain, but it could be used as the basis for action if it were based on experiences, or particular facts.\footnote{Barbara J. Shapiro, \textit{Probability and Certainty in Seventeenth-Century England} (Princeton: Princeton University Press, 1983), and Henry G. Van Leeuwen, \textit{The Problem of Certainty in English Thought 1630–1690} (The Hague: Martinus Nijhoff, 1963), treat the seventeenth-century discussions about the relative degrees of certainty obtained by different types of knowledge, while Lorraine Daston, \textit{Classical Probability in the Enlightenment} (Princeton: Princeton University Press, 1988), provides useful background to these debates.} Prudence apprehended only the particular, not the general (which was the basis of theoretical knowledge), and achieved this apprehension by (often fallible) sensory perception.\footnote{Aristotle, \textit{Nicomachean}, 6.4.}
The practical knowledge concerning “things made” was \textit{techne}, or art. Art did not deal with things that already existed or had come into existence of necessity; rather, art itself brought its objects into existence. Art was the only one of the three types of knowledge that was productive, for the efficient cause of its objects lay in the maker and not in the objects themselves.\footnote{Ibid., 6.4.4–5.}
Science, prudence, and art were different types of knowledge for Aristotle, and his distinctions continued to be observed in the course of European thought. The Roman concern with political life in the forum focused the sphere of practical knowledge on “things done,” and \textit{praxis} came to refer to the type of knowledge necessary for a life in the service of the \textit{respublica}. The development in the medieval universities of a course of education that focused on the systematization of the liberal arts and excluded the mechanical arts as incapable of similar ordering widened the gap between theoretical and practical knowledge. At the same time, however, the practitioners of the mechanical arts, organized in guilds, took on increasing economic importance and political power in public life.\footnote{Scholars who have investigated the increased value placed upon labor and the mechanical arts in the Middle Ages include Elsbeth Whitney, \textit{Paradise Restored: The Mechanical Arts from Antiquity through the Thirteenth Century} (Philadelphia: American Philosophical Society, 1990); George Ovitt, \textit{The Restoration of Perfection: Labor and Technology in Medieval Culture} (New Brunswick, N.J.: Rutgers University Press, 1987); and Jacques Le Goff, \textit{Time, Work, and Culture in the Middle Ages}, trans. Arthur Goldhammer (Chicago: University of Chicago Press, 1980). In a very interesting article, William Newman, “Technology and Alchemical Debate in the Late Middle Ages,” \textit{Isis} 80 (1989): 423–45, finds that alchemical writers of the late medieval period associated alchemy with the power of the mechanical arts.}
The humanist reform of knowledge, reacting against the life of contemplation as exemplified for the humanists in the medieval universities, renewed the Roman perception of the value of the active life and, as Boccalini has shown us, developed a rhetorical strategy that set the life of contemplation and theory against the life of political activity and practice. Concurrently, the practical knowledge of “things made” had become a source of power and a subject of great interest to the scholars, literati, and princes in the sixteenth and seventeenth centuries.
By the seventeenth century, \textit{praxis} still referred to the type of knowledge needed by the man of affairs, but frequently it was used to mean the \textit{activity} of the maker of things. Practice as experience and trial began to take over from the more specific view of \textit{praxis} as relevant to the sphere of public life. Becher and his contemporaries still recognized the basis of their division between theory and practice as resting in the separate spheres of political life and scholarly contemplation, but for Becher, “practice” increasingly denoted experience, especially the experience of artisanal manual labor that was carried out without the schooled or written learning of theory and system. Thus, he referred to the \textit{Handwerk} of the smelter and assayer at their furnaces, or the \textit{Proben} and trials of the chymist in his laboratory, as practice. In his lifetime, Becher would rise from the status of a practicing mechanical virtuoso to a scholar and member of the noble court and, in his rise, he would refer always to his distinctive abilities to unify theory and practice. As a practitioner claiming access to theory, Becher had a stake in this union, as did the inspector of mines, who in 1690 proclaimed that the moderns were superior to the ancients because for the ancients there “was no theory to go along with the \textit{praxis}” (“keine Theoria nechst der Praxin vorhanden gewesen”).\footnote{Johann Christian Orschall, \textit{Nutz- und sonderbuhre Erfindung einer Neuen Seigerung und Erz-Beizung} (Frankfurt and Leipzig, 1690), Vorrede, quoted in Lothar Suhling, “‘Philosophisches’ in der frühneuzeitlichen Berg- und Hüttenkunde: Metallogenese und Transmutation aus der Sicht montanistischen Erfahrungswissens,” in \textit{Die Alchemie in der europäischen Kultur- und Wissenschaftsgeschichte}, ed. Christoph Meinel (Wiesbaden: Otto Harrassowitz, 1986), p. 294.}
Boccalini’s princes, who called for the strict separation of \textit{theoria} and \textit{praxis}, claiming that \textit{praxis} could be learned only from experience, indicate the contested nature of the division of knowledge in this period. In his rise from mechanic to scholar, Becher would take advantage of the changing relationship between theory and practice, and he would answer the anonymous stranger’s syllogism by asserting that the union between theory and practice would make knowledge productive. Such productive knowledge would prove indispensable to the political considerations of the territorial ruler.
The alchemist’s “Solve mihi hunc syllogismum” pointed up not only the active nature of art, but also the productive potential of art. Art was productive knowledge, and alchemy, as art, exemplified the possibility of material production and indicated the value of productive knowledge. Alchemy, however, also involved theoretical contemplation of immutable nature, for, as one alchemical writer expressed it, Hermes, the discoverer of alchemy, was also the inventor of all the arts \textit{and} sciences:
\begin{quote}
Und er ist der Hermes gewesen/ der nach der Sündflut aller Künsten und Disziplinen/ beydes der freyen und so die Handwerks Leut treiben/ der erst Erfinder und Beschreiber gewesen.\footnote{“Der güldinen Kunst die sie sonst Chymia nennen . . . verteutscht durch Philippum Morgenstern,” in \textit{Turba Philosophorum}, ed. Philipp Morgenstern (Basel: Ludwig König, 1613), pt. 2, Vorrede, Ali verso.}
\end{quote}
And it was Hermes, who, after the Flood, was the first inventor and articulator of all the arts and disciplines, both of the liberal arts, as well as of those which the artisans practice.
Alchemy involved art and theory and thus gave access to the worlds both of the scholar (through books) and of the artisan (through the laboratory). Becher would find it perfectly suited to his needs, for he could use it to talk to the court about the processes of artisanal creation and production.
\section*{Wanderjahre}
Travel was an essential part of the artisan’s indoctrination in a craft, for after his apprenticeship, he worked for different masters as a journeyman. It was also part of the university student’s education before he became a master of the liberal arts. Paracelsus advocated travel as the basis of experience for the student of nature: “He who wishes to explore nature must tread her books with his feet. Writing is learnt from letters, Nature, however, [by traveling] from land to land: One land one page. Thus is the Codex of Nature, thus must its leaves be turned.”\footnote{Quoted by Pagel, \textit{Paracelsus}, pp. 56–57.} For Paracelsus, \textit{Erfahrung} (experience) in fact meant “the result of traveling with open eyes.”\footnote{Ibid., p. 57.} Travel continued to be part of the rhetoric
of the new method of philosophizing as a source of experience. Becher traveled much, especially between 1648 and 1655. It appears that Becher and his family stopped in Bremen, Hamburg, Danzig, Stockholm, and Lübeck, before finally coming to rest in Breslau, for on a list of what seem to be his mother’s effects at her death are included *attestata honoris* from these cities—testimonials to her upright standing as part of a *Bürger* family. It is perhaps not surprising that Becher attempted to construct a model of human society on the example of the guild town, when one realizes that even after his mother had left the closed community, she continued to carry the town world with her, as part of her baggage, in the form of letters of *bürgerlich* credit.\(^{106}\)
Becher seems to have spent time in Stockholm where he claims to have met many of the learned philologues and philosophers at the court of Queen Christina.\(^{107}\) He specifically mentions Mersenne, who died on his way back from Sweden in 1648, and Descartes, who died in Stockholm in 1650, as well as many other scholars who were in the queen’s service between 1648 and 1652. Perhaps his stepfather or his mother’s family had connections to the court, but even as a studious sixteen-year-old who perhaps tutored younger pupils, he could well have taken part, if only at a distance, in the scholarly debates of Christina’s learned court. His totting up of these most famous members of the republic of scholars in a list at a much later date betrays his desire to show that he was part of this world from early on, although it does not prove any real converse with these scholars. Rather, a mention of his “very good acquaintance,” a certain Andreas Reußner, is more in keeping with Becher’s mechanical inclinations at that time. By a constant stream of correspondence, this enterprising man kept his patron, Magnus Gabriel de la Gardie—one of the most powerful men at Queen Christina’s court—informed about war machines, mines, mills, medicines, silk making, and the progress of legal proceedings (all the favorite projects).\(^{108}\) Becher remembered Reußner later as someone who had lost a bet and been ridiculed when he failed to draw water up through a lead syphon over the Brückenberg in Stockholm.\(^{109}\)
Becher states he was in Danzig in 1650/51,\(^{110}\) and a list of baggage he carried
\(^{106}\) The list, entitled “der f. Mutters Sachen,” was presumably a list of her possessions drawn up on her death. It is in Mss. var. 2, fol. 674r–v, and includes, besides the testimonials, a legal document from Speyer, a bill, a letter from her [?] guardians, kitchen utensils, medicaments, housewares, writing instruments, paper, a ruler, compass, dividers, bedclothes, a straw mattress, and some foodstuffs (butter, cheese, salt, ginger, vinegar, and oil).
\(^{107}\) Becher, *Psychosophia* (1705), p. 316. See also Hassinger, *Becher*, pp. 13–14.
\(^{108}\) Reußner was apparently in the service of both Jakob and Magnus Gabriel de la Gardie. His correspondence with them and others dated between 1648 and 1654 is extant in the Riksarkivet in Stockholm: Eriksbergarchivet, Autografsamlingen, vol. 53, Jakob de la Gardie; Biographica, Andreas Reußner, vol. 9; Correspondence to M. G. de la Gardie E1534.
\(^{109}\) Becher, *Närrische Weißheit*, p. 203. Becher also mentions Reußner in the British Library, Sloane Mss. 2867, fol. 259r.
\(^{110}\) In *Methodus didactica*, p. 45, Becher claims to have been in Danzig when Johannes Buno published his *Neue lateinische Grammatica in Fabeln und Bildern* in 1651.
with him in his travels indicates he may have moved from there to the cosmopolitan trading city of Breslau, for he had several good correspondents and “comrades” in Breslau.\textsuperscript{111} His mother wrote letters to him from Breslau, and it is likely that she died there.\textsuperscript{112} Perhaps Becher received his introduction to the manual art of the laboratory in Breslau, possibly with the help of a certain Dr. Gottfried Stocklöw.\textsuperscript{113} He claims to have met learned men on his travels not only in Sweden, but also in Germany, Holland, and Italy.
Travel and mobility were essential to the alchemist’s education as well, and Becher often quoted Paracelsus’s celebrated maxim, “Qui omnia secum portat, non indiget alieno auxilio” (he who carries all things with him needs not the aid of others).\textsuperscript{114} This adage referred to the philosophers’ stone, by which base metals were transmuted into gold, but it had additional significance in Becher’s thought, derived from another book that accompanied him on his travels, and probably formed another essential link in his autodidactic education. This book, \textit{Zodiacus vitae} by Marcellus Palingenius, was a long encyclopedic poem
\textsuperscript{111} On Breslau in the seventeenth century, see Hugo Weczerka, “Entwicklungslinien der schlesischen Städte im 17. und in der ersten Hälfte des 18. Jahrhunderts,” in \textit{Die Städte Mitteleuropas im 17. und 18. Jahrhundert}, ed. Wilhelm Rausch (Linz and Donau, 1981), pp. 119–42.
\textsuperscript{112} I base these conclusions on the list of “der f. Mutters Sachen,” Mss. var. 2, fol. 674v–v, and the list of Becher’s effects, Mss. var. 2, fols. 678v–681v, entitled “Sachen die auff die Reise gehören, d.i. Herrn Joachim Bechers Sachen.” This contains a list of clothes and linens in one white trunk and a list of books, letters, personal papers, and manuscripts that filled two other trunks. Many of the letters are listed as having been sent by correspondents in Breslau. Among other correspondence are listed six letters from his mother in Breslau, thirty-three letters from his “Cammerraten Johann Lorentz” from Breslau and other places, and five letters from Dr. Gottfried Stocklöw in Breslau. The list of Becher’s effects should probably be dated sometime in the early 1660s, as he lists letters from Dr. Jobst in Munich (fol. 681r) and an “Instruction” for the \textit{Kurfürst} of Mainz.
\textsuperscript{113} Becher lists five letters from Stocklöw (also Stocklowe) in Mss. var. 2, fol. 681r, and Stocklöw appears in Becher’s \textit{Natur-Kündigung der Metallen} (Frankfurt: Joh. Wilh. Ammon & Wilh. Serlin, 1661), \textit{Parnassus Medicinalis Illustratus} (Ulm: Joh. Görlin, 1662–63), and \textit{Institutiones Chimicae Prodromae, i.e. . . . Oedipus Chemicus. Obscuriorum Terminorum & Principiorum Chimicorum. Mysteria Aperiens & resolvens} (Frankfurt: Herman a Sande, 1664), where Becher quoted poems of congratulation and praise that Stocklöw sent to him. Zedler, \textit{Grosses vollständiges Universal-Lexikon}, vol. 40, s.v. “Stocklev, Gottfried,” states that Gottfried von Stocklev was a “Kayserlicher Titular-Leib-Medicus” in Breslau, who had converted to Catholicism, and wrote religious tracts with a natural philosophical content under the name of Leo a Stiptie. Stocklev died a very old man in 1713. I assume that Zedler’s Stocklev and Becher’s Stocklöw are the same man.
\textsuperscript{114} The source of this maxim was Morienus, although Becher ascribes it to Paracelsus. The writings of Morienus, first translated from Arabic into Latin in 1182, recounted Morienus’s departure from Rome to lead a hermit’s life, and his subsequent call to the court of King Kalid. The king sought Morienus out because he was reputed to know the secret of the alchemical tincture. When the king finally succeeded in bringing him to the court, Morienus did indeed produce the tincture but, having accomplished this, he left the powder standing in a vessel, on the outside of which he had inscribed the words, “Omnes qui secum omnia habent, alieno auxilio nullatenus indigent,” and departed the court again for his desert retreat. See Ferguson, \textit{Bibliotheca Chymica}, 2:108–9.
encapsulating universal knowledge in a string of commonplaces and was used as a school book for generations of students from its first publication in 1560. Becher used Palingenius’s words and authority constantly. Book 10 of the *Zodiacus*, entitled Capricorn, had become a *locus classicus* of sorts for alchemical writers, for it was here that Palingenius discussed the philosophers’ stone and mercury. In this section, Palingenius conflated the philosophers’ stone with virtue, so that he who carried all things with him could be either an alchemist or a virtuous man.
Palingenius defined a rich man not as one who has real property or a hoard of gold—the popular definition of wealth—but one who is learned in both wisdom and art, and is upstanding and virtuous. This man could carry his wealth with him wherever he went, unlike the man concerned only with his material possessions. The philosophers’ stone, made from changeable mercury, was similar to learning and virtue for it brought and sustained happiness, wherever the storms of *fortuna* might toss a man:
\begin{quote}
Him truly and in proper kind A rich man call we may,
That flowes with wit and eloquence, with wisdom and with Art,
And wheresoever he becomes, can gaine an honest part,
To divers places farre from home, his substance with him takes,
And portion for himself to live. And though he journey makes
And never wanteth needfull things a joyfull life to leade,
Nor feares the thevees, nor doth the sword, or cruell robbers dread,
And quickly doth him selfe repaire thoughe he be spoyled quite:
For Vertue true gives neuer place to Fortunes frowning spite.\footnote{Marcellus Palingenius, *The Zodiakke of Life*, trans. Barnabie Googe (London: Rause Newberie, 1576; facs. repr. New York: Scholars’ Facsimiles & Reprints, 1947), pp. 186–88, for this and the following passages. The list of Becher’s possessions, Mss. var. 2, fol. 680r, contains Marcellus Palingenius as one of the authors in the two trunks of books.}
\end{quote}
Wealth of learning and virtue was more valuable than property because it allowed mobility:
\begin{quote}
For every dwelling in the worlde doth natuie soile appeare
Unto the vertuous man, and well he liveth euerie where.
But he that vertue lackes, althoughe he great possessions hould,
And purses stuffed full with coine and Coffers full of golde,
Yet can he not go where he list, nor trauell every place,
To see the contrie strange abrode, and men of sundry grace,
And euerie where to live: for house and ground, and Castles strong,
He can not beare about with him, in all his iorneys long,
Least that perchance with thevees he meete, or perish on the shore,
And then for gods sake aske his meate at every other dore.
At home therefore he alwaies dwels, and in his countrey lives,
\end{quote}
Where as his ground a great increase of Corne and wine him gives,
And as a banisht man he feares beyonde the boundes to go,
That slouthfulnes of minde, and chaunce to him assigned so:
Wherby the goodly sightes abroade he can not viewe nor marke,
While stil at home he hidden lies, as pent in dongeon darke.
Palingenius used the regenerative and mobile qualities of the philosophers’ stone to represent the movable forms of wealth:
Therfore the olde Philosophers by fine inuention found,
A certaine stone, that where they went or traueiled any grounde,
Provided them of needfull thinges, and neuer would decay.
By aide whereof, full many landes and countries farre away,
They might behould, and alwaies learne of many sundry arts.
The effective agent of the philosophers’ stone was Mercury, the master of movement and artifice:
And thus of olde the Gods above, besought with humble hearts,
The sacrifice on altar slaine before he was the trade
To Mercurie, the Sonne, and Moone, Lo thus their praiers made.
O Titan, beauty of the worlde, O fairest God in sight,
O thou Latona driving hence the shadowes of the night,
O swiftly fleeting restlesse Impe of loue and Maia borne.
That able arte to change thy selfe, to shapes of sundry forme.
Because it was a mobile and virtuous form of wealth, the philosophers’ stone gave freedom from the tyranny of fortune’s wheel:
Then whiche no art more worthy is, the Heavenly Stone to frame,
Which wicked people never knowe, nor can obtaine the same.
And this whosoever doth enjoy may dwell in any land,
Bothe free from feare of fortunes wheele, and force of robbers hand:
But unto fewe the Gods vouchesafe so great a gift to give.
In his work, Becher would draw upon the connection that Palingenius made between alchemy and virtue. He would exploit as well the full range of meanings alchemy could evoke; he used it to exemplify practice and theory, as embodying the promise of material productivity, and as a symbol of mobility. He would, in the end, conflate it with commerce.
Becher was himself much tossed about by Fortune, and mobility (perhaps restlessness), as Leibniz noted, was an essential mark of his life. The exigencies of war and the death of his father meant that he was not educated into a traditional profession, and so he fit into no established position in his society. Becher would, however, use his own peculiar education, experience, and mobility to define a place for himself at the centers of power in the Holy Roman
Empire. For like other new men at the noble court in the early modern period, Becher was part of a slow but profound transition in the creation and formation of a sense of self:
The received sense of personal identity, seen as founded on God-given attributes such as birth, was slowly giving way to the more modern notion that the individual creates himself by his own actions. This new view was enticing to those on the rise, but it threatened those who resisted sharing their positions or who feared they would be displaced. The latter proposed the distinctions . . . the former read the courtesy books. . . . The effect of this . . . was to articulate a sophisticated rhetoric, indeed an epistemology, of personal social identity—a new understanding of how people tell who they are. The texts that articulated this struggle combined practical action and creative intellectual exploration. They were both tools and the kinds of activity we now describe as literature, history, and philosophy.\(^{116}\)
Becher grasped opportunities and ideas as they came to him—from the books of authorities, from newspapers,\(^{117}\) from the evidence of his own senses, and from the concepts and structures of the world of his mother and father—and created out of them both an identity for himself and a vision of society and reform. That vision, which he carried with him to the noble territorial court and there converted into published works and projects, showed the mark of his wanderings, the contents of his baggage, and the fluctuations of his *fortuna* in the two decades between 1635 and 1655.
\(^{116}\) Whigham, *Ambition and Privilege*, p. x. Stephen Greenblatt, *Renaissance Self-Fashioning from More to Shakespeare* (Chicago: University of Chicago Press, 1980), also discusses the creation of identity in the early modern period.
\(^{117}\) Newspapers, developing out of the tidings, printed ships’ manifests, and intelligence gathering of the commercial world, were the texts par excellence of Becher’s world, and his *Nachlaß* contains several numbers of different newspapers—for example, Mss. var. 1(2), fols. 648ff., and 1(3), fols. 201ff. Jürgen Habermas, *Strukturwandel der Öffentlichkeit. Untersuchungen zu einer Kategorie der bürgerlichen Gesellschaft*, 6th ed. (Ulm: Luchterhand, 1974), pp. 28ff., associates the rise of commerce and newspapers. |
Beyond Borders: Mapping the Global Digital Asset Regulatory Landscape
March 2024
Authored by the Crystal Compliance and Regulatory Affairs Team
Copyright © 2024 Crystal Intelligence B.V. All rights reserved.
# Contents
| Chapter | Page |
|------------------------------------------------------------------------|------|
| Foreword | 02 |
| Chapter 1: Cryptocurrency Regulation: Navigating the Global Landscape | 03 |
| The United States of America | 04 |
| Europe | 06 |
| UK | 08 |
| Chapter 2: Balancing Act: Georgia's Progressive Policy on Cryptocurrency Regulation | 11 |
| Chapter 3: The Great Migration: Crypto Businesses Seek Friendlier Shores | 12 |
| APAC | 13 |
| United Arab Emirates | 19 |
| Chapter 4: The Crypto Ban Debate: Weighing the Benefits and Drawbacks | 21 |
| China | 22 |
| Egypt | 24 |
| Chapter 5: Crystal Regulatory Prediction: What Lies Ahead for the Industry | 26 |
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Foreword
The fast-moving world of cryptocurrencies is no doubt exciting. For compliance teams, it presents ongoing challenges with its lack of uniformity in global standards and constant updates in legislation.
In this report we summarize the regulatory approach in key economic areas and how developments will impact the industry, outlining key considerations for compliance teams.
In the first chapter we look at the USA, UK and Europe – summarizing key legislation that has shifted the industry significantly.
The second chapter focuses on Georgia’s progressive stance of balancing crypto innovation with financial security.
The third chapter looks at the motivations behind the regulatory approach in the APAC and the UAE and how their desire to be pioneers in the crypto industry has driven their energetic and fast-paced action.
We discuss Egypt and China in the fourth chapter, noting how their conflicted stance has resulted in cryptocurrency bans.
Finally we discuss our vision for the future and what we deem to be best practice, emphasizing that regulators must strike a decisive balance between fostering innovation and mitigating the risks for the industry to flourish.
“It’s up to industry players and regulators to collaborate and shape a future that’s both inclusive and secure, while also fostering growth.”
Chapter 1:
Cryptocurrency Regulation: Navigating the Global Landscape
Initially regarded with skepticism and uncertainty, digital currencies have recently gained recognition as a legitimate asset class in many regions. Consequently, many countries have embarked on their regulatory journeys, aiming to provide clarity and safeguards for participants in the crypto space.
In doing so, regulators face a delicate balancing act between fostering innovation and mitigating risks associated with cryptocurrencies. They grapple with questions surrounding investor protection, financial stability, and the prevention of illicit activities.
In this chapter, we look at some of the diverse approaches taken by governments and supervisory bodies to regulating cryptocurrencies and discuss how these impact financial institutions and crypto exchanges across the globe.
We will look at the United States, where regulatory developments have significant implications not only for the domestic market but for the global crypto market. Then we will explore regulations in Europe and the UK, and how their approach will transform the sector.
Understanding the varying approaches is crucial for crypto enthusiasts, investors, and industry participants navigating crypto compliance.
The United States of America
SEC’s approval of Bitcoin ETFs:
The approval of a Bitcoin ETF (Exchange-Traded Fund) by the U.S. Securities and Exchange Commission (SEC) has had significant impacts on both the cryptocurrency market and the regulatory landscape.
The approval of a Bitcoin ETF by the SEC will provide greater regulatory clarity for the cryptocurrency industry in the United States. It will establish a precedent for how Bitcoin-related investment products are regulated and may pave the way for the approval of other cryptocurrency-based financial instruments in the future.
Understanding the new normal since FTX: securities vs commodities
While some countries have adopted proactive approaches to cryptocurrency regulation, the U.S. has pursued a unique path characterized by a combination of case-by-case enforcement actions and attempts to fit crypto regulation into existing financial frameworks.
One of the biggest challenges is the convoluted nature of existing laws and regulations. Currently, digital assets are regulated by multiple federal and state agencies, each with their own approaches based on fluctuating jurisdictional variations.
For example, the SEC primarily classifies digital assets as securities, while the Commodity Futures Trading Commission (CFTC) is exploring how digital assets can be categorized as commodities.
Without nationwide agreement about how digital assets are to be categorized, the SEC acted against two of the front-runners of the crypto sector, Binance and Coinbase, in an effort to safeguard investors and preserve the integrity of U.S. securities markets.
While the securities/commodities debate surrounding cryptocurrencies is still ongoing, the SEC’s actions underscore its determination to assert authority over the crypto space and regulate digital assets; the outcomes of which could significantly influence the future of crypto regulation in the United States.
Lessons learned from the collapse of FTX
The collapse of FTX, the world’s second-largest crypto exchange in mid-2022, further intensified regulatory scrutiny in Washington.
The U.S. authorities launched investigations into criminal misconduct at FTX after the Securities Commission of the Bahamas froze FTX assets, which led to its provisional liquidation in November 2022. Approximately 130 companies within the FTX Group filed for bankruptcy in the U.S.
The FTX incident illustrated to stakeholders across the board that more focus and action is needed in several key areas:
- **Transparency:**
Openness in operations and financial reporting is indispensable for building trust.
- **Risk management:**
Robust risk assessment and contingency planning are pivotal.
- **Regulatory compliance:**
Strict adherence to existing regulations is non-negotiable.
- **Investor protection:**
Safeguarding investor interests through comprehensive measures is paramount.
The case also highlights why compliance is important in ensuring the long-term success of the cryptocurrency market and safeguarding the interests of investors.
This requires close collaboration between crypto companies and regulatory bodies. Crypto firms must prioritize compliance and transparency in their operations, while regulators must strive to understand the crypto space better and develop appropriate regulations. Together, they can create a stable, trustworthy, and resilient cryptocurrency market.
**BitLicense: a watershed moment in digital asset regulation**
In June 2015, the Department of Financial Services (DFS) in the U.S. issued virtual currency regulation 23 NYCRR Part 200 under the New York Financial Services Law.
By introducing BitLicense, DFS provided a structured and clear regulatory environment for virtual currency businesses, fostering innovation while ensuring the financial markets' safety. The regulations were also designed to position New York as a hub for innovation and growth in the virtual currency industry, ensuring that businesses operating in this space are subject to a high standard of oversight.
BitLicense was a watershed moment, setting a precedent for other states to consider similar initiatives. This proactive stance gained even more significance in the absence of comprehensive guidance from the SEC on the regulation of digital assets at the federal level.
It underlined the importance of adapting existing financial regulations to accommodate the evolving digital landscape while ensuring consumer protection and market integrity.
BitLicense's influence spread across the U.S., shaping the regulatory dialogue and inspiring other states to explore their regulatory frameworks for the digital asset industry.
Europe
EU cryptocurrency renaissance: MiCA and its impact on crypto market
The Markets in Crypto-Assets (MiCA) Regulation represents a significant milestone not just for the European crypto landscape, but for the digital asset ecosystem worldwide.
Serving as a blueprint for other jurisdictions, MiCA meticulously outlines the parameters for crypto asset service providers (CASP), balancing the two goals of fostering innovation and ensuring investor protection.
Financial entities already licensed for financial services must notify their home Member States’ national competent authorities (NCAs) about their crypto-asset services, providing detailed information about their engagement with virtual assets. For non-regulated entities intending to provide crypto-asset services in the EU, MiCA mandates a comprehensive authorization process, detailing various requirements for business models and anti-money laundering controls.
Additionally, MiCA enforces robust mechanisms for addressing complaints, ensuring that CASPs handle client complaints fairly and transparently. It mandates the publication of complaints-handling procedures and sets specific requirements.
Here is an overview of the complaints-handling requirements for CASPs:
• **Establishment of Procedures:**
CASPs must establish and maintain transparent complaint-handling procedures
• **Accessibility:**
Procedures and templates should be publicly available on CASPs’ websites in multiple languages
• **Annual Review:**
CASPs’ management should review procedures yearly
• **Resource Allocation:**
Adequate resources should be dedicated to handling complaints
• **The expertise of Personnel:**
Staff handling complaints must be skilled and knowledgeable
• **Prompt Acknowledgment:**
Immediate acknowledgment of complaints received
• **Timeliness:**
Decisions on complaints must be communicated promptly
| Date | Event | Description |
|------------|--------------------------------------------|-----------------------------------------------------------------------------|
| 24.09.2020 | MiCA proposal | The European Commission presented the MiCA proposal on 24 September 2020. |
| 24.11.2021 | MiCA mandate | The European Council adopted its negotiating mandate on MiCA. |
| 30.06.2022 | Provisional agreement reached | Dialogues between the co-legislators started on 31 March 2022 and ended in a provisional agreement reached on 30 June 2022. |
| June 2023 | Entry into force of MiCA | Entities providing crypto-asset services under applicable national law could continue doing so during the implementation phase. |
| July 2023 | Consultation Package 1 | The European Securities and Markets Authority’s (ESMA) role involved developing regulatory technical standards and guidelines in collaboration with the European Banking Authority (EBA). The first consultation package covered authorization, governance, conflicts of interest, and complaint-handling procedures. |
| October 2023 | Consultation Package 2 | The second consultation package included disclosures of information to investors, crypto asset service provider (CASP) governance requirements, and trade transparency rules. |
| Q1 2024 | Consultation Package 3 | The third and final consultation package, which includes the MiCA mandates with an 18-month deadline, will be published (tentatively) in Q1 2024. |
| June 2024 | Deadline to opt-out of grandfathering or reduce duration | Member States must notify the Commission and ESMA by June 30, 2024, if they opt-out or reduce the duration of the ‘grandfathering’ provision (Article 143(3)), allowing entities offering crypto-asset services under national laws before December 30, 2024, to continue until July 1, 2026, or until they obtain or are denied a MiCA authorization. |
| December 2024 | Entry into application of MiCA | Entities in Member States opting for transitional measures, including grandfathering and the simplified authorization procedure (Article 143(6)), can apply for simplified authorization until July 1, 2026. The simplified procedure is for entities already authorized under national law on December 30, 2024, to provide crypto-asset services. |
| July 2026 | Transitional phase ends | Entities benefitting from the transitional measures must acquire authorization by 1 July 2026 to continue providing crypto-asset services. |
Another significant aspect of MiCA is its focus on identifying, preventing, and disclosing conflicts of interest within the crypto asset service industry. CASPs must establish effective policies and procedures to manage these conflicts and disclose them on their websites, along with mitigating measures and controls.
Beyond the detailed mandates—which encompass risk management, prudential standards, and robust anti-money laundering measures—MiCA epitomizes the EU’s vision of a standardized, transparent, and resilient crypto market that can serve as a model for other regions.
The European Securities and Markets Authority (ESMA) since released its consultation package to fine-tune MiCA’s technical standards, with final recommendations expected to be submitted to the European Commission by 30 of June 2024 at the latest.
Undoubtedly, ESMA’s crucial role in refining and guiding the outcome will have global impact.
**United Kingdom**
Compliance and innovation: UK crypto regulation post-FCA Travel Rule
The Financial Conduct Authority (FCA)’s Travel Rule, implementation of which was mandatory from September 1, 2023 has transformed the crypto industry, blending strict compliance measures with technological innovation.
The Travel Rule is a directive under Recommendation 16 of the Financial Action Task Force (FATF) which mandates that countries must ensure VASPs obtain and hold the necessary details about the originator and beneficiary for virtual asset transfers.
This information must be securely submitted to the recipient VASP or related financial institution. This data should be accessible to relevant authorities when required. The same responsibilities apply to financial institutions managing virtual asset transfers for clients, with provisions for monitoring and potential freezing of transactions with specific individuals and entities.
Here’s a breakdown of what the FCA’s Travel Rule entails for the crypto sector:
**Information Collection and Verification:**
- For transactions below 1,000 USD/EUR: Crypto-asset businesses must collect names and VA wallet addresses or a unique transaction reference for both the sender and recipient.
- For transactions above this threshold: Detailed information is required, such as the originator’s physical address or date of birth and similar details for the beneficiary.
**Reporting and Documentation:**
- Maintain records of actions during failures in data provision.
- Report consistent business failures to the FCA, with the definition of “repeated failure” being based on transaction volume size and failure rate.
**Guidance on Missing or Incorrect Data:**
- Request missing data.
- Evaluate discrepancies using risk-based assessments.
- Inform originating crypto-asset businesses of major discrepancies.
- Decide to delay or return the crypto asset based on timely rectification.
- Exercise special care with unhosted wallet transfers, which includes verifying fund sources in high-risk incidents and possibly filing Suspicious Activity Reports (SARs).
**Wallet Attribution Requirements:**
- Employ blockchain analytics.
- Use discoverability methods from the chosen travel rule solution.
- Consult the crypto asset businesses’ address book.
- Collect information on wallet status or identity.
- Periodically re-screen for compliance.
**Intermediaries and Transfer Returns:**
- Ensure complete information is available before a transfer.
- Retrieve missing data from the original crypto-asset business.
- Decide on retaining or sending back the crypto asset.
- Forward all transfer data and promptly relay post-transfer information.
- For returned transfers, evaluate risks, ensure the possibility of return, and ensure it’s not classified as a crypto-asset transfer under the rule.
**Information Collection and Verification:**
- The acquired data should be securely shared with the recipient VASP or the concerned financial institution.
The FCA aims to increase transparency, accountability, and security in crypto transactions by requiring crypto asset businesses to adopt data-sharing practices similar to traditional finance. Collaborative initiatives such as that with the Joint Money Laundering Steering Group underscore the nation’s commitment to seamless adaptation and market resilience.
The upcoming Financial promotions regime for crypto assets also demonstrates the UK’s balanced approach which acknowledges the potentially disruptive nature of digital assets while ensuring their safe and progressive integration into the broader financial system.
UK’s approach to stablecoins and crypto regulation
A draft of new crypto regulations and proposals published as 2023 entered its final months, further demonstrate the government’s commitment to fostering innovation while maintaining financial stability and clear standards for using new technologies. The market events like the FTX incident informed the measures, highlighting the importance of effective sector engagement and regulation.
On October 30, 2023, the UK government provided new insights into its strategy for incorporating fiat-backed stablecoins within the regulatory framework of financial services in the UK.
Building upon responses from a consultation on crypto assets, stablecoins, and distributed ledger technology, this update guides the FCA and the Bank of England in formulating regulatory practices for stablecoin issuers, custodians, and systemic digital payment systems.
Also in response to the consultation, the UK confirmed its final proposals for crypto asset regulation, including bringing several crypto asset activities into the regulatory perimeter for financial services for the first time.
The proposals aim to position the UK’s financial sector at the forefront of crypto asset technology and innovation, creating favorable conditions for crypto asset service providers to operate and grow, while managing potential consumer and stability risks.
On November 6, 2023 the UK Treasury formally announced its intention to legislate fiat-backed stablecoins as part of a broader financial services’ regulatory framework. This initiative is articulated through a detailed Discussion Paper (DP), which seeks to establish a robust regime for stablecoins when used as a means of payment.
The UK Government tasked the Law Commission with proposing reforms to ensure that existing laws can effectively encompass both crypto-tokens and other digital assets, fostering innovation in this technological realm.
The Law Commission’s final report, published on June 28, 2023, presents recommendations for legal reforms to the government. It concludes that the adaptable nature of common law permits the recognition of a distinct category of personal property capable of accommodating and safeguarding the unique characteristics of certain digital assets, including crypto-tokens and crypto assets.
The Commission advises enacting legislation to formally establish this category and eliminate any ambiguity. On February 22, 2024, the Law Commission initiated a brief consultation on draft legislation designed to officially recognize a “third” category of personal property, as outlined in their previous report.
Feedback to be submitted by Friday, 22 March 2024.
Chapter 2:
Balancing Act: Georgia's Progressive Policy on Cryptocurrency Regulation
A progressive stance: balancing crypto innovation with financial security
Georgia has taken a monumental step forward with regulation for VASPs issued by the National Bank of Georgia (NBG).
The NBG’s stance clearly outlines the rights, obligations, and prohibitions for VASPs. This strikes a balance between harnessing the benefits of blockchain technology, and safeguarding the security of its financial system.
It signifies Georgia’s commitment to fostering an environment where crypto innovations can thrive responsibly, and where compliance with regulations not only ensures safety but also boosts credibility within the digital asset community.
VASPs are obliged to implement regulations within one year after registration with the NBG, but no later than 2024, which underscores the urgency and priority the Georgian government assigns to this growing sector.
These actions by NBG emphasize Georgia’s role as a responsible, forward-thinking leader in global digital asset management.
Chapter 3:
The Great Migration: Crypto Businesses Seek Friendlier Shores
As the crypto asset and blockchain industries mature, certain countries have positioned themselves as more favorable to these technologies.
Consequently, crypto businesses are migrating to jurisdictions that offer the best operational environment within a defined regulatory framework.
In this chapter, we will look at how the Asia-Pacific region (APAC) and the United Arab Emirates (UAE) have become attractive destinations, partly because the measures they have put in place to create favorable environments for crypto asset businesses.
APAC
Australia
Cryptocurrencies gained legitimacy in Australia in 2017, falling under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006. Since then, the Australian government has revisited cryptocurrency regulations multiple times.
A pivotal moment came in October 2021 with the release of a parliamentary report that focused on facilitating taxation, thwarting de-banking, and curbing money laundering while safeguarding crypto enthusiasts.
On August 22, 2022, the Australian government revealed its plans to ‘token map’ the crypto sector, and position Australia as a leader in the field. The project aims to identify regulatory gaps, initiate a licensing framework, and increase consumer protection, especially concerning third-party custodians of crypto assets.
While these recommendations await legislative adoption, Senator Andrew Bragg has championed the Digital Assets (Market Regulation) Bill 2023. The goal is to provide a regulatory framework for digital assets, including central bank digital currencies, to ensure consumer protection, market integrity, and regulatory clarity in the country’s evolving digital asset industry.
The Australian Securities and Investment Commission (ASIC) suggests that any cryptocurrency with characteristics like financial products or securities will come under corresponding regulatory responsibilities. While ASIC seeks to foster investor confidence in cryptocurrencies, it emphasizes consumer protection and law compliance. It recommends firms considering ICOs or token sales seek professional counsel.
On November 17, 2022, Blockchain Australia issued a press release urging for regulation of custodial exchanges in the aftermath of the FTX collapse. It was felt the FTX event may negatively affect the reputation of other Australian digital currency exchanges adhering to high standards.
Those engaging with cryptocurrencies often find themselves in a grey area when determining whether a cryptocurrency falls under the category of a financial product.
This categorization is crucial as it triggers the necessity for specific financial services licenses and mandates adherence to certain disclosure requirements. Entities operating a financial services business in Australia must hold an Australian Financial Services License (AFSL) or be exempt. ASIC’s INFO 225 document provides guidance to determine regulatory obligations for various crypto participants.
Since 2018, digital currency exchange providers need to register with the Australian Transaction Reports and Analysis Centre (AUSTRAC). Non-compliance can result in severe penalties, including imprisonment. Registered exchanges are mandated to conduct know-your-customer (KYC) verifications, maintain records, and report suspicious activities.
Australia, a member of FATF, has also shown interest in adopting best practices for regulators, aiming to shape how Anti-Money Laundering / Countering the Financing of Terrorism (AML/CFT) legislation around digital currency evolves in the future.
AUSTRAC actively monitors money laundering and terrorist financing risks associated with digital currencies. In November 2023, AUSTRAC promoted FATF’s reports for AML/CTF standards, which are expected to shape digital currency-related AML/CT legislation development.
On October 16, 2023, the Australian Government announced its intention to introduce a comprehensive regulatory framework for digital and crypto asset platforms to foster innovation while addressing potential risks and protecting consumers.
The proposed regulatory framework includes leveraging existing financial laws, licensing requirements for digital asset platforms, adherence to general obligations drawn from Australian financial services law, specific obligations for digital asset platforms, focused regulation on key digital asset activities, and a technologically neutral approach.
This regulatory initiative is crucial for the crypto sector in Australia, promising to enhance consumer protection, prevent scams, and improve the quality of service provided by digital asset platforms.
By ensuring that platforms operate transparently and responsibly, the risks associated with crypto exchange collapses will be mitigated, and Australians will be better protected from potential scams in the crypto space.
The government’s forward-thinking approach, which included public consultation and a twelve-month transitional period once the legislation is enacted, sets the stage for a future where digital assets are integral to economic growth and consumer trust.
AUSTRAC recently announced its regulatory priorities for the year ahead, detailing how it plans to bolster the financial system’s resilience to money laundering, terrorism financing and other serious economic crime. Additional sectors will be under scrutiny to uplift Anti-Money Laundering and Counter-Terrorism Financing (AML/CTF) capability and to ensure legislative compliance. The sectors include Digital Currency Exchanges (DCEs).
Singapore is paving the way for an innovative and responsible digital asset ecosystem. With a keen understanding of the vast potential and risks associated with cryptocurrencies, the government is eager to support the sector’s growth and determined to safeguard its citizens who participate in the virtual asset economy, and protect the financial system at large.
On July 3, 2023, The Monetary Authority of Singapore (MAS) released new requirements for digital payment token service providers (DPTSPs) to safeguard customer assets under a statutory trust before the end of the year. This aims to reduce potential losses or misuse of customer assets and supports the recovery of these assets if a DPTSP goes bankrupt.
This move came after an October 2022 public consultation on refining the regulations surrounding digital payment token (DPT) services. General feedback from the consultation was in favor of measures such as segregating customer assets from the provider’s own, safeguarding customer funds, conducting daily asset reconciliations, ensuring access and operational controls for DPTs in Singapore and that custody functions are separate from other business units, and making transparent risk disclosures to customers.
Digital assets categorized as capital markets products under the Securities and Futures Act (SFA) face similar regulations as other such products. Companies operating in this space require a capital markets services license. Moreover, any public offer of digital assets that can be classified as securities, derivatives, or units in a collective scheme, must adhere to SFA’s prospectus requirements unless exempted.
Payment-oriented digital assets might be regulated either as DPTs or e-money under the Payment Services Act (PSA), mandating the relevant licensing. Recognizing that stablecoins are unique, MAS has proposed specific regulations under the PSA for them which fulfill certain criteria.
A significant stride was the Financial Markets and Services Bill (FSM Bill) passed in April 2022. The legislation aligns the scope of regulated digital token services with FATF Standards. This ensures that most VASPs in Singapore, even those previously outside PSA’s purview, come under the FSM Bill’s licensing framework.
However, securing a license in Singapore is not simple. MAS is selective and prioritizes firms demonstrating risk management prowess and the potential to bolster Singapore’s FinTech and digital asset ecosystem.
The VASP licensing regime in Singapore
VASPs must apply to the MAS, providing comprehensive information related to their operations. MAS reviews the application, evaluating it on factors like fit and proper criteria, the VASP’s financial stability, AML/CFT measures, and risk management protocols.
License Requirements for VASPs:
- **Corporate Registration:**
The VASP should be registered as a company in Singapore.
- **Fit and Proper Criteria:**
VASPs, including their officers, directors, and shareholders, must fulfill the fit and proper criteria. This encompasses having a reputable track record, being financially stable, and possessing relevant experience and qualifications.
- **Minimum Capital Requirements:**
VASPs must maintain a minimum base capital of SGD 100,000 (about USD 73,500).
- **AML/KYC Procedures:**
A strong set of AML and know-your-customer (KYC) protocols must be in place to counteract illicit transactions and activities.
- **Cybersecurity Measures:**
VASPs should have stringent cybersecurity protocols to safeguard against potential cyber threats and to ensure the protection of customer assets.
- **Maintenance of Customer Assets:**
There should be established policies and procedures for the consistent maintenance and protection of assets belonging to customers. This includes holding sufficient insurance coverage for those assets.
- **Ongoing Monitoring & Reporting:**
VASPs are mandated to conduct continual surveillance and report any suspicious transactions or activities that may hint at illicit conduct.
- **Compliance with Other Regulations:**
This implies adhering to other pertinent regulations, like those concerning taxes and securities.
- **Local Office Requirement:**
VASPs must operate a physical office within Singapore and uphold a consistent local presence.
- **Ongoing Supervision by MAS:**
Once a VASP license is acquired, VASPs fall under the continuous monitoring and regulatory oversight of MAS. This encompasses regular reporting, audits, and reviews to ensure adherence to the regulatory stipulations.
Hong Kong
In the past few years, Hong Kong has witnessed significant growth in the digital assets and cryptocurrency industries.
Acknowledging this surge and the potential of the region to lead in this digital revolution, regulatory authorities in Hong Kong are taking proactive measures to establish a strong framework. This initiative is not just to safeguard and regulate, but also to promote the region as a leading hub for digital assets.
On May 31, 2023, the Securities and Futures Commission (SFC) announced in a circular pivotal regulatory changes that centralized virtual asset trading platforms (VATPs) had to adhere to as of June 1, 2023. This initiative is governed by both the Securities and Futures Ordinance (SFO) and the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO).
Also on May 31, 2023, the SFC issued a circular on transitional arrangements of the new licensing regime for VATPs under the AMLO. The circular applies only to VATPs offering trading services in non-security tokens and does not cover compliance with the SFO for security tokens. VATPs planning to provide trading services in security tokens must obtain the relevant license under the SFO before commencing their business.
The VATP Licensing Handbook offers a guide for applying for and maintaining licenses.
Requirements for obtaining a license include capital of at least 5 million Hong Kong dollars (about US$640,000).
To be eligible for the transitional arrangements, pre-existing VATPs must meet certain criteria, including:
- Be incorporated in Hong Kong.
- Having a physical office and key personnel in Hong Kong.
- Having a genuine business presence in the region.
Mere incorporation or having “shell” operations in Hong Kong is insufficient.
The VATP licensing regime in Hong Kong
SFC-licensed VATPs must adhere to the AML/CFT Guideline.
Key requirements include:
- **Customer Due Diligence (CDD):**
Using KYC and Enhanced Due Diligence (EDD) processes, VATPs must verify customer identities.
- **Record-Keeping:**
VATPs should maintain transaction records for a minimum of five years post business relationship.
- **Suspicious Activity Reporting (SAR):**
Implement systems to detect and report suspicious money laundering or terrorist financing activities.
- **Risk Assessment:**
Regular evaluations to identify money laundering or terrorist financing risks.
- **Internal Controls:**
This involves training, appointing compliance officers, and auditing functions.
- **Compliance with Sanctions:**
VATPs must screen against sanction lists.
- **Policies & Procedures:**
Ensure alignment with AML/CFT regulations.
All VATPs authorized by the SFC are legally bound to these regulations, emphasizing high levels of diligence to prevent illegal activities.
United Arab Emirates
The UAE is determined to establish itself as a leader in technology and blockchain. Thanks to its favorable regulatory environment, marked by the creation of the Virtual Assets Regulatory Authority (VARA) in Dubai, numerous digital currency exchanges and trading platforms have established a presence in the country.
VARA was established and authorized by Law No. 4 of 2022 Regulating Virtual Assets in the Emirate of Dubai (Dubai VA Law) to regulate VASPs, and is affiliated with the Dubai World Trade Centre Authority (DWTCA). It is responsible for overseeing and regulating the activities of VASPs and investors in all areas of Dubai, including Free Zones and Special Development Zones.
On February 7, 2023, VARA issued its comprehensive Virtual Assets and Related Activities Regulations 2023. These were designed to provide a comprehensive framework for regulating virtual assets, focused on addressing the risks that investors and the market face when it comes to the activities of virtual asset platforms.
The regulations also establish standards for a compliance framework consistent with other regulatory bodies’ requirements.
**VARA’s rulebooks for VASPs**
All VASPs that are licensed by VARA must follow four compulsory rulebooks:
- The Company Rulebook
- Compliance and Risk Management Rulebook
- Technology and Information Rulebook
- Market Conduct Rulebook
VARA also developed activity-specific rulebooks to address the risks associated with the operations of virtual assets:
- Advisory Services
- Broker-Dealer Services
- Custody Services
- Exchange Services
- Lending & Borrowing Services
- VA Management & Investment Services
- VA Transfer and Settlement Services
- Virtual Asset Issuance
By requiring cryptocurrency companies to obtain licenses and comply with regulatory requirements, Dubai is taking a proactive step towards managing their risks while fostering innovation and growth in the industry.
**Licensing Regime and Requirements for VASPs in the UAE**
- All entities must get authorization from VARA before launching any virtual asset activities (VA Activities) in the UAE, and have a license issued by VARA to perform any VA activity within the Emirate’s jurisdiction.
- Entities aiming for a license need to adhere strictly to VARA’s periodically updated licensing process.
- VASPs are obligated to meet every licensing condition stipulated by VARA. This encompasses a broad spectrum of Regulations, Rules, and Directives that are communicated either during the licensing process or at various intervals.
For VASPs with a VARA license who wish to expand beyond the UAE, adherence to the Emirate's Regulations, Rules, and Directives is compulsory.
Certain professionals, namely registered practicing lawyers, accountants, and specific business consultants, are exempted from needing a License. However, they must ensure their VA Activities remain incidental to their primary profession. Additionally, their activities must be conducted under the protection or guidance of a professional body within the Emirate, and they must possess relevant professional indemnity insurance.
Exempt Entities are not bound by standard regulations but need to inform VARA about their operations and receive a no-objection confirmation before starting any VA Activities.
Entities handling vast volumes of virtual assets – equivalent or more than USD 250,000,000 within any 30-day span – have a mandatory registration with VARA.
Entities can also choose to register voluntarily with VARA, especially those seeking commercial or free zone licenses in the Emirate for specific activities related to virtual assets.
Chapter 4:
The Crypto Ban Debate: Weighing up the Benefits and Drawbacks
While some countries have embraced digital assets and others have imposed restrictions or outright bans, China and Egypt have responded to cryptocurrencies with particularly stringent measures.
China has always exhibited a complex relationship with cryptocurrencies. While recognizing the transformative potential of digital assets, the Chinese government took a significant step by banning crypto transactions to protect its citizens and maintain stability in its financial system. Despite this ban, China continues to influence the digital asset realm, striving for a balance between innovation and security.
Egypt's perspective on crypto is distinctive, shaped by religious and economic considerations. Economic considerations involve balancing the potential benefits of embracing crypto for financial inclusion and innovation against the risks associated with speculative trading and potential illicit activities.
This dual lens contributes to a nuanced and cautious approach as Egypt navigates the complex landscape of cryptocurrency regulation.
China
China’s regulatory history
2013 - Bitcoin is defined as a virtual commodity
The People’s Bank of China (PBoC) and five other government departments jointly issued the Notice on Precautions Against the Risks of Bitcoins which defined Bitcoin as a virtual commodity, rather than a currency. This notice prohibited financial institutions from participating in Bitcoin-related businesses. You can read an English article about the notice here.
2017 - ICOs are banned
China took further action by banning Initial Coin Offerings (ICOs) — a method by which new cryptocurrency projects raise funds. The PBoC declared ICOs illegal and required the discontinuation of all related fundraising activity.
2021 - Cryptocurrencies like Bitcoin, Ethereum, and Tether are not recognized as legal tender
In September 2021 the PBOC and other authorities issued the Circular on Further Preventing and Handling the Risk of Speculation in Virtual Currency Transactions. Cryptocurrencies like Bitcoin, Ethereum, and Tether are not recognized as legal tender in China. All activities associated with virtual coins and crypto assets, such as creation, use, circulation, public offerings, trading, and speculation, are prohibited in China. On the same day, the National Development and Reform Commission (NDRC) and 10 other authorities issued another circular to local governments on how to wind down cryptocurrency mining activities in their areas.
Legal Framework
China has consistently positioned cryptocurrencies as a risk to the traditional financial system. Bans are often issued as joint statements from multiple regulatory bodies including the PBoC, the Ministry of Industry and Information Technology, and other finance and tech-related government agencies.
Why did China ban crypto?
**Financial stability**
China’s authorities are concerned that the speculative nature of cryptocurrencies could lead to financial instability. Without central oversight, sharp fluctuations in crypto values can affect retail investors and lead to systemic risks.
**Illegal activities**
Virtual currency hype was linked to several illicit activities, including money laundering, fraud, pyramid schemes, and other criminal actions, which jeopardized the financial security of citizens.
**Prohibition of virtual currency-related businesses**
Activities like virtual currency exchange, buying and selling virtual currency through a central counterparty, providing matching services for such transactions, and virtual currency derivatives transactions were defined as illegal financial activities and were strictly prohibited.
**Non-Recognition as legal tender**
The Chinese authorities clarified that virtual currencies, such as Bitcoin and Ethereum, including so-called stablecoins, do not have the same legal status as traditional currency. Thus, they cannot be circulated in the market as legitimate currency.
**Central Bank Digital Currency (CBDC)**
With the development of the Digital Yuan, China aims to establish its own sovereign digital currency. A controlled CBDC rollout might be hampered by the presence of decentralized cryptocurrencies.
Egypt
Egypt’s regulatory history
2018 - The Central Bank of Egypt (CBE) officially banned cryptocurrencies
The Central Bank of Egypt (CBE) officially banned licensed banks and financial institutions from dealing in cryptocurrencies. This ban came shortly after religious edicts (fatwas) were issued by prominent Islamic scholars in the country against trading in cryptocurrencies.
2020 – CBE issued regulatory instructions warning against the trading and usage of cryptocurrencies
The ban was further emphasized when the CBE issued regulatory instructions warning against the trading and usage of cryptocurrencies. *The Egyptian Banking Law No. 194 of 2020* (Article 206 thereof) prohibits issuing, promoting or trading in cryptocurrencies as well as setting up and operating cryptocurrency platforms, unless the approval of the CBE has been obtained in accordance with the requirements to be issued thereby. English readers can find reference to the law in the Financial Action Task Force’s (FATF) mutual evaluation report on Egypt [here](#) at Criterion 15.3 (c).
2022 - CBE issued a second warning reiterating the prohibition to issue and deal in cryptocurrencies
In September 2022, the CBE issued a second warning reiterating the prohibition to issue and deal in cryptocurrencies and limited dealings within the Arab Republic of Egypt to the official currencies approved by the CBE which does not include cryptocurrencies.
2023 - CBE renewed its warning against trading in cryptocurrencies
In March 2023 the CBE issued the fourth warning statement on cryptocurrencies. The statement, referencing Law No. 194 of 2020, reinforces the CBE's standing warnings against engaging with any form of cryptocurrencies through various mediums such as individuals, companies, and digital platforms.
Emphasizing the high risks associated with cryptocurrencies, including significant price volatility, financial crimes, and electronic piracy, the CBE stresses that no licenses have been issued for cryptocurrency trading activities within the country.
**Legal Framework**
Egypt’s regulatory approach to the crypto industry is influenced by both financial regulatory actions undertaken by the Central Bank of Egypt (CBE) and religious directives issued by the country’s leading Islamic scholars. This confluence of religious and economic considerations makes Egypt’s approach to crypto regulation unique.
---
**Why did Egypt ban crypto?**
Egypt's reasons for banning cryptocurrency can be summarized as follows:
- **Religious concerns**
Initially, the Egyptian Dar al-Ifta, the main Islamic legislative body, declared that trading in cryptocurrencies was prohibited under Islamic law, citing their potential to fund terrorism.
- **Lack of regulation**
Without a robust regulatory framework, the Egyptian government may have viewed a ban as the safest immediate option. Cryptocurrencies are not issued by any central bank or official central issuing authority. This means that there’s no central body that can be held accountable in case of any financial irregularities or issues.
- **Concern over financial stability**
CBE cites significant concerns over the high fluctuations and price volatility of cryptocurrencies, which pose immense risks to the stability of the financial system and its traders.
- **Potential for financial crimes**
The CBE underscores the use of cryptocurrencies in financial crimes and electronic piracy. These decentralized digital currencies can be misused for illicit activities, presenting risks not only to individual users but also potentially facilitating broader financial criminal activities.
- **Unauthorized trading platforms**
The CBE noted the rise of platforms that have been operating without the necessary permissions and misleading the public.
- **Limitation to official currencies**
The CBE states explicitly that trading within Egypt is restricted to the official currencies that are recognized and approved by the CBE. By this, the central bank seeks to standardize and regulate the currencies in circulation, ensuring their stability and reliability.
Chapter 5:
Crystal's Regulatory Prediction: What Lies Ahead for the Industry
Currently, the cryptocurrency industry is impacted by rapidly shifting regulatory frameworks and innovative technologies. Based on worldwide observations, the direction of the industry largely depends on a few critical turning points:
- Balancing consumer protection with innovation
As seen with the SEC’s approach in the U.S., regulators are tasked with a fine balancing act. The emphasis will increasingly lean towards robust risk management and thorough compliance structures. While nurturing innovation is crucial, the protection of investors and the broader financial ecosystem will remain paramount.
- Working towards transparency and market integrity
The EU’s MiCA and the UK’s Travel Rule both demonstrate an overarching theme: the thrust towards transparency, consumer protection, and market integrity. While regional regulations may vary, a global ethos upholds foundational principles.
- Active engagement with the crypto industry
The proactive stance of countries like Australia, engaging in comprehensive cryptocurrency assessments, indicates a future where regulators will not merely set rules but actively participate in shaping the industry’s evolution.
Such consultative approaches will pave the way to more informed, collaborative, and effective regulatory frameworks.
Disparity in regulatory environments
Countries in the APAC region, particularly Singapore and Hong Kong, are emerging as thought leaders and trailblazers. By providing regulatory clarity and demonstrating adaptability, they are setting benchmarks that many will aspire to emulate.
As the UAE showcases, by proactively implementing comprehensive regulatory structures, it makes the jurisdiction a hub for trust and innovation, thereby attracting industry growth.
The response of the industry to the sweeping bans, as witnessed in China and Egypt, is a testament to its resilience. Such events highlight the importance of global collaboration and showcase the industry’s inherent capability to adapt and evolve.
The disparity in regulatory environments worldwide emphasizes the need for harmonization. The goal should be to create an ecosystem in which cryptocurrencies can operate seamlessly across borders, aided by a cohesive global regulatory foundation.
What does the future hold?
The landscape of cryptocurrency regulation has undergone a remarkable transformation on a global scale. From the early days of skepticism and uncertainty surrounding digital currencies, they have now gained recognition as a legitimate asset class in many parts of the world. Regulators across the globe have undertaken diverse approaches to providing clarity and protection for participants in the crypto space.
Regulators must strike a decisive balance between fostering innovation and mitigating the risks associated with cryptocurrencies. They face the daunting challenge of protecting investors, ensuring financial stability, and preventing illicit activities, while navigating the complex regulatory landscape.
To crystallize the vision for the future of the industry, it must establish an environment where cryptocurrencies and blockchain technologies seamlessly integrate with traditional financial systems. This integration will be facilitated by globally aligned yet regionally nuanced regulations that prioritize consumer protection, transparency, and market integrity.
The road to the future is paved with innovation, challenges, and transformative potential. It's up to industry players and regulators to collaborate and shape a future that's both inclusive and secure, while also fostering growth.
“Regulators must strike a decisive balance between fostering innovation and mitigating the risks associated with cryptocurrencies.”
Work with Crystal
This report landscape delivers a comprehensive overview of global cryptocurrency regulation, shedding light on the various approaches taken by governments and financial authorities worldwide. Understanding these dynamic and varied regulatory approaches is crucial for crypto enthusiasts, investors, and industry participants.
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1764
Succession of Mr. Demain, auction sale & adjudication 7-2, 16, 3
Lauthe vs Roger, Arbitration 7-3
Sr. Dupaquier, tutor of the Chantelier minors, petitions Judge of the Superior Ct., to sell all movables & slaves at auction 7-3, 7
Marriage Contract: Louis, free mulatto, & Rosine, free mulatress, both of New Orleans 7-4
Marriage Contract: George Riscuart & Mrs. Anne Marie Dorvi 7-5
Demand of the Atty-Gen. for the Condemnation of the negro Pollux for running away 7-7
Arnaud Succession. Sr. Ducros, Guardian of Vacant Successions, vs Mrs. Arnaud (widow) defendant in default. 7-7
Last Will & testament of Jos. Meunier 7-7
Succession of de Makarty 7-9
Obligation of Jean Milhet secured by mortgage favor of Dame Macarty for her Power of Attorney 7-10
Information against the negro Caesar 7-10, 13, 14
Negress, Marie Anne, questioned before Hon. Foucault, Special Commissary, admits being acquainted with the accused Cesar, who was her lover, but never gave her a dress or any other present... 7-10
Will & last testament of Louis Voix Sieur Motines 7-10
Sr. Despalier contemplating a trading expedition up the river, enters a contract for one year, by Notarial Act with the named Francois Peant, Michel Baudru, Jos. Angewin, Louis Fortin, Matthieu Laborde, & Francois Couture, to assist him in his journey 7-11
Certificate issued by the King's storekeeper to Sr. Chauvion, sail maker, for the workmanship of 3 flags
Statement of legal costs, incurred in sale from the succession of Chancelieu, of which Duparquet was the tutor
Marriage Contract: J.B. Cesaire Le Bretton de Charmeau and Jeanne Francoise de Macarty
By notarial act Sr. Neijan de Villiers, about to leave for France, grants a procuration to blank giving him power & authority to take charge & administer to all his affairs
J.B. Gautheros, called Lamusique, & his wife Elizabeth Laurens, sell & transfer to Jac. Tarascon, a lot of ground measuring 61 ft by the usual depth, with a bldg situated on Bourbon St
Marriage Contract: Ignace Leon Bompierre, & Marie Louise Picou
Last will & testament of Antoine Langlois
Maison, clerk, complying with an order of the S.C. issue a notice advertising the renting, at public auction, 2 houses belonging to the late Desmains. One house situated on Conde St., & the other on Royal St...
The Attorney General, upon examination of the depositio submitted to him, demands that the accused negro, Zozie, be arrested & imprisoned & questioned...
Demand of the attorney General for the condemnation of the negro Louis & examination of others
Criminal proceedings instituted against Cezard, demands made by Attorney-General
Extracts from the Register of the Sessions of the S.C.
1764
Sale of liquor confiscated at Srs. Piron's Carel's & Widow Cartemon's. On request of Provost, agent for the Company of the Indies, and a director of the Charity Hospital, D'Abbadie ordered the sheriff to sell at auction some liquor which had been confiscated... 7-23
Statement of punishment to be given to negroes, sentence since March 3d 7-24
Examination, under torture, of the negro Cezar 7-24
Succession of the late Mr. Bunel, goldsmith. affixing of seals 7-26
Arrest of an armed runaway negro, who had been arrested with a loaded gun, powder horn, etc 7-26
Succession of Sr. Rocheblave. Auction sale of a schooner 7-30, 8-6
Daniel Pain, store keeper at Natchitoches, having given Burel, before his death, a silver spoon weighing about 3 ounces, to have a fork made to match it, & not receiving either, wishes an inquiry made as to pieces of silver-wear 7-30
Petition of Dame Jeanne Duchemin, widow by 1st marriage of Jean Francois Dauphin residing in N.O., & the wife of Sr. Rolle of Paris by 2d marriage, who authorizes her by those presents, by special power of attorney, duly legalized & annexed. Stated that J.F. Dauphin, her 1st husband died in this Colony in 1739, and enjoyed worldly goods, consisting of house, lots, plantation, slaves & live stock... 7-30
Louis Barbier & Francois Chalere, turners, enter into partnership for 2 years 7-30
Succession of St. Jean. Judicial sale & adjudication 7-30
Auction sale of Schooner "Notre Dame du Mont Carmel". 7-31
Examination of Jean a negro, property of Mr. Mandeville 7-31
Succession of Jean Dom. Bunel, jeweler of N.O. Petition for order permitting sale of movables 8-7,8,9
By notarial act Sr. Adamville grants a procuration to blank giving him power & authority for him in his name to recover from Sr.& Dame Knight de Rouville the sum of 14,020 livres, in money of France... 8-10
Marriage Contract. Bazile Sendot, surgeon, & Francoise Dauphin 8-10
Partnership agreement between Jos. Marie Armand & Guillaum Lamothe, to associate themselves in commerce... 8-20
Sr. Perret having died at the Cape, Louis Auguste Dutisme, and Louis Dutisme, brothers, past officers, heirs of the deceased, residents of N.O. granted a power of attorney Sr. Cronie, resident of the Cape, to recover in their name their share of their uncle's succession 8-26
Account of Pradel Succession 8-26,29
Itemized receipted bill of silk cloth, wine, liquors & condiments amounting to 155 livres purchased by Garic from Maxent 8-23
Extract from the Registry of the Superior Council 9-1
Succession of Bunel. Petition 9-19
Criminal audience & condemnation of negro Jean 9-1
List of merchandise, shipped from Bordeaux, for account of Dernard Grangene, and consigned to Mr. Blache, merchant in New Orleans 9-6
Sheriff J. Maison, on request of Sr. Boulet de Salime, honorary tutor to the Bunel children, issues & serves notice to the following: Gauvain, Maxent, Avignon, Blache, Braud, Durel & Gardrat ordering them to appear to elect a permaRejection of a shipment of gunpowder, declaration before a notary by Denis Braud, merchant of N.O. 9-8
Demands of Attorney General. Re: Louis, accused negroes and others... (4pp) 9-100
Succession of Sr. Pradel, itemized statement of Registry clerk (8pp) 9-13
Marriage Contract: Pierre Chas. Jouet (Surgeon) & Marie Joseph Fossier Cormond 9-14
Marriage Contract: Louis Ducrest & Elenne Angelique Bellet 9-15
Power of Attorney. Sr. Brassillier, tutor of the minors St. Laurent, grants a procuration to Henry Gardrat giving him power & authority to collect all sums due to minors 9-16
Agreement & renunciation by Sr. Bellot to Mr & Mrs Louis Ducrest for the settlement of his pension 9-21
Receipt & discharge of Sr. Touton Beauregard by Sr. Louis Ducrest 9-21
Marriage Contract: Pierre Duverges, & Therese Anne LeBr 9-22
Promissory note by Notarial Act. Bertrand Guichanduc, surgeon of this colony is maker of note which is payable to Miss Marie Joseph Adam, resident of this city 9-22
Affidavit of Dumas & Grieumare owners of 1/3 of the schooner "La Notre Dame de Mont Carmel" in their own name & acting for D. De Long, merchant 9-26
Receipt for sums collected for a Charity Fund 9-29
DEMAND OF THE ASSISTANT ATTORNEY GENERAL FOR THE CONDEMNATION OF THE NEGRO JEAN FOR RUNNING AWAY AND THEFT.
Considering the criminal lawsuit against the negro named Jean, belonging to Sieur Mandeville accused of running away, and now in prison. All the papers and documents pertaining to the case be communicated to the Assistant Attorney General.
I demand for the King that the negro accused of running away and stealing, be found guilty and convicted as charged, for amend of which he be sentenced to be whipped by the hangman on the crossroads of this city, tied to the tail end of a wagon and returned to the square to be ham-strung, and marked on the right cheek with a letter "V" and returned to his master after the execution, and the decree of intervention be read publicly, published and registered.
(Signed) Lafreniere
(2 pages)
Not entered in Louisiana Historical Quarterly.
IN RE: SUCCESSION OF THE LATE
Mr. BUNEL.
Process-Verbal of Meeting of
Friends of Bunel Minors.
Pursuant to Order of Mr. Dabbadie, Judge
of the Superior Council, rendered on pe-
tition of Mr. Lafrenière, Attorney General,
seven friends of the Bunel minors were sum-
moned to attend this meeting for the purpose
of electing a tutor and under-tutor to repre-
sent the minors' interest in the Succession
of Mr. Bunel, their father. Presiding at
this meeting are Mr. Foucault, Associate
Judge, Commissioner appointed in this mat-
ter, Mr. Delaplace, Deputy Attorney General
and the Clerk of the Council. All of the
undersigned appeared and took part in said
meeting. Mr. Braquier being unable to at-
tend, sent his written opinion relative to
the appointments to be made.
After due deliberations by all present,
Mr. Boutet surnamed Lalime, was appointed
tutor to said minors, and Mr. Basy, their
under-tutor, which appointments were duly
accepted by the persons nominated. Mr.
Scot declared himself unable to sign.
(Signed) Boutte
D. Gaillardi
Delaplace
Bary
Foucault
Whereupon the said foregoing appointments
were duly homologated.
(Signed) Foucault
Delaplace
Not listed in Louisiana Historical Quarterly.
EXAMINATION OF JEAN, A NEGRO
On request of the Attorney General, the negro, Jean, property of Mr. Mandeville, is examined in Criminal Court by the Commissioner appointed in this matter, Mr. Hushet de Kernion, Councillor, to which court, Mr. de Kernion, accompanied by the Clerk of the Council, repaired for that purpose.
Having been brought in from prison by the jailor, Jean was placed under oath and to the questions addressed to him, he answered, in substance, as follows: That his name is Jean; that he belongs to the negro race and that he is the property of Mr. Mandeville. He admits he is a run away for which he has been imprisoned by Mr. Laronde, declaring he was gone for about one month. He admits having been a run away once for three months. He then goes into detail about where he went, what he did and whom he saw during his last escape. Among those he saw, Jean mentions Sipion, Roe and Charlot, negroes of Mr. Desilet. Jean denies ever having killed any live stock but admits having a gun, explaining that he hunted for Mr. Mandeville who had given it to him. He says he bought some rum with the proceeds of the bundles of wood which he made and sold. He readily admits the theft of 3 pairs of breeches, 7 shirts and 5 handkerchiefs from Lembremont and goes into detail about this, explaining that he did this on Pentecost Sunday. He also explains how he freed himself from the irons which had been put on him to keep him from running away. As to whether he
knows anything about other run away negroes belonging to Mrs. Mandeville, Jean answers he does not. On hearing his testimony read back to him, Jean persists in declaring it to be the truth.
He does not know how to sign.
(Signed) Hushet de Kernion
Henry Gardrat, Clerk of the Council
The Commissioner orders the foregoing examination submitted to the Deputy Attorney General for his consideration.
(Signed) Hushet de Kernion
Demands of the Deputy Attorney General.
Undersigned demands in the name of the State that he be informed of the result of the foregoing examination, and of any other pertinent fact; before doing this, however, he demands that said negro, Jean, be enrolled in the Registry of the jail; the entire matter to be duly submitted to him, in accordance with law.
(Signed) Delaplace
ORDER
Undersigned, Superior Judge of the Superior
ANSWER OF SIEUR BLACHE TO
SIEUR MAISON TO HIS
INVITATION TO
ATTEND A
FAMILY MEETING
Sir:
An unforeseen matter, which I can no longer postpone, stops me from being present at the assembly today, to which you invited me yesterday for the succession of Mr. Bunel.
I have the honor to be your most humble servant,
Blache.
On the opposite side appears the names of those invited to the assembly.
Sieur Gauvin Postmaster
Maxant Merchant
Avignon Planter
Blache Merchant
Braud Merchant
Durel
Gardrat Clerk of Court.
Not entered in Louisiana Historical Quarterly.
1 p
62/17
PETITION OF THE ATTORNEY GENERAL
TO SIEUR DABBADIE FOR ORDER TO
EXAMINE A RUN-AWAY NEGRO.
The Assistant Attorney General shows that a run-away negro belonging to Mr. Mazan absent for three years, was conducted in the city jail, and as this crime concerns public prosecution, furthermore the negro must have stolen to subsist in the different places where he lived during his absence.
That the negro be immediately examined on the charges of theft and running away, etc., before whoever it will please the Council to name for that purpose, and be communicated to me.
(Signed) Delaplace
We name Mr. de Kernion to examine the said negro and communicate to the Assistant Attorney General, and upon the opinion, notify whoever it may concern.
(Signed) Dabbadie
(2 pages)
Not entered in Louisiana Historical Quarterly.
Petition for Raising of Seals and Inventory.
Petitioner, Mr. Boutet Lalime, in the name of and as Tutor of the minor children of the late Jean Dominique Bunel, prays the Court for an order to raise the seals from the property of said deceased and that inventory of same be taken, in presence of the creditors opposing said raising of seals and of the under tutor of said minors. (Signed) Boutet.
Order.
Let the foregoing be submitted to the Procurator General for his recommendations thereon.
(Signed) D'Abbadie
Recommendations of the Procurator General. The petition of Mr. Bunel should be granted and Mr. Foucault, Commissioner herein appointed, shall preside at the taking of said inventory of the property of the late Bunel in the presence of creditors opposing the raising of the seals thereon and of the Under Tutor of said minors herein.
(Signed) Delaplace.
Order.
Commanding that the recommendations of the Procurator General be put into effect.
(Signed) D'Abbadie.
Not listed in Louisiana Historical Quarterly.
STATEMENT
Mr. Baron states that he holds a memorandum from Mr. Bunel, now deceased, for 143 piastres of full value, which amount had been delivered to him for employment in the making of certain articles of silver which he herein describes and gives the cost thereof. Mr. Baron also states that he owes Mr. Bunel for the making of said articles. After totalling the respective amounts, Mr. Baron declares that he owes Mr. Bunel a balance of 22# 10 sols.
(Signed) Baron
(1 page)
Not listed in Louisiana Historical Quarterly.
SUMMONS TO APPEAR.
By order of Mr. D'Abbadie, Sheriff J. Maison issues and delivers notice to the following persons: Sieurs Orso, Bourcier, Rousillion, Bordas, Langlois, Latil, Pelisson, Malthais, Bary, Laville, Million with power of attorney for Sieur Guirre, Guissard, Barbin, Doreson, Guinaud, Francois Xavier de Acostas, and Charles Le Compte, ordering them to appear on the following day, August 3rd, at nine o'clock in the morning at the house of the late Sieur Bunel on Bourbon St. to be witness to the raising of the seals, and file whatever claims they may have against said Bunel Succession with Honorable Foucault, Second Judge, and in the presence of the Attorney General in order that their claims may be submitted to the Attorney General for his approval. They are further warned that if they fail to appear, they will not be allowed to file any claims against the minors later.
(Signed) J. Maison
Sheriff Maison issues and delivers same notice to the Sieurs Maxant and Boisdore.
(Signed) J. Maison
(2 pages)
Not listed in Louisiana Historical Quarterly.
IN RE: PIERRE, ACCUSED NEGRO,
PROPERTY OF MR. MAZAN.
Interrogatories.
The following interrogatories were propounded by Mr. de Kernion, Councillor, Commissioner appointed in this matter, on demand of the Deputy Attorney General that the negro Pierre, property of Mr. Mazan, accused and jailed in the Royal Prison of this City be questioned; for which purpose Mr. de Kernion and the Clerk of the Council repair to the Chamber of the Criminal Court where the negro, Pierre, is brought by the jailer. Upon being placed under oath, said Pierre answers in substance, as follows, the questions addressed him: that he is about 30 years old, a Creole and a Catholic and belongs to Mr. Dupart; that he has been a runaway for about 15 days for which his master had him arrested and imprisoned; that he at no time left his master's property but stayed in the cabin belonging to Louis. He declares he ran away because the Overseer had him flogged for coming back home at daylight when he visited a negress belonging to Mr. de Reggio. Pierre denies that any negro fed him during the time he was a runaway or that he committed any thefts of any kind. He also denies seeing any negroes belonging to Mr. Mandeville who were run-aways. He further denies giving any goods in exchange for rum when he had been in the city at a previous time. On hearing his testimony read to him, Pierre confirmed it as being the truth. He declared himself unable to sign his name.
Whereupon, undersigned Commissioner herein orders said testimony submitted to the Deputy Attorney General for his consideration.
(Signed) Hushet de Kernion
(5 pages)
Not entered in Louisiana Historical Quarterly.
61/29
Council, upon consideration of the petition by the Attorney General, plaintiff, and accuser of Jean, a negro, the order for his examination and the demands of the Deputy Attorney General, decrees that said demands of said Deputy Attorney General be granted and that they be duly carried out.
(Signed) D'Abbadie
EXAMINATION OF JEAN, A NEGRO,
IN OPEN COURT
To the questions addressed to him in open court, Jean, a negro, answers in substance as follows: That he is property of Mrs. Mandeville and that he comes from St. Domingo where, he declares he was imprisoned, flogged and branded for stealing live stock for a living. Jean declares that he is now in prison for being a run-away, having been gone from his master for about a month; that Mr. Delaronde picked him up at Mr. Desilet's place and brought him to Mr. Mandeville who then sent him to prison. He denies killing any live-stock at this time but admits the theft of several articles of clothes from Lambremont's.
He denies having committed any other thefts or having knowledge of any others which might have been committed. Upon hearing his testimony read back to him, Jean declares same to be the truth but declares himself unable to sign.
(Signed) D'Abbadie
Not entered in Louisiana Historical Quarterly.
PETITION IN RECOVERY
Mr. Duverge holding Power of Attorney of Mr. Barthelemy Fourre, Merchant at Rochefort, petitions the Judge of the Superior Council to summon Mr. Desmazellieres to appear at the next hearing of the Council, either in person or through an Attorney in Fact, that he may hear it decreed that the deposit of 1750# in notes of the Colony, made by him at the Registry is made at his costs and risks and that he also hear the order, which shall intervene, commanding him to pay the amount of 1750# and interest thereon from November 6, 1756, date of protest of the note, until paid, the entire amount of the Treasury of this Colony on the Treasurers General at Paris, together with all costs. Mr. Duverge bases this petition on the fact that Mr. Desmazellieres, Captain of Troops at Mobile, attempted to pay the amount of 1750# (amount of the note held by Mr. Desmazellieres) in notes of the Colony, which represented a great loss to the holder as the note called for payment in Letters of Exchange. Mr. Fourre therefore refused to accept this loss and enters suit through his Attorney in Fact here.
(Signed) Duverge
1764
August 2,
Order
Petition for citation granted.
(Signed) Dabbadie
Return of Sheriff.
The 9th (month and year torn out).
Undersigned Sheriff shows that citation has been made on Mr. Desmazillieres, Captain of the Independent Navigation Company of the Navy, through the Deputy Attorney General, with whom he has left copy of foregoing petition and the citation of Mr. Desmazillieres to appear at the first day of Ordinary Hearings of the Council, which is September first, at 9:00 o'clock, A.M.
This citation is served in this manner inasmuch as undersigned Sheriff cannot leave and the Deputy Attorney General is in charge of services to be made on those absent from the city.
(Signed) J. Maison
(4 pages)
Not entered in Louisiana Historical Quarterly.
61/29
The Acting Procurator General for the King vs. Madame Mandeville for her overseer and manager in servitude on her plantation.
Return of Clerk showing service of notice on defendant to demand the appearance of said overseer and manager in Court to answer suit, defendant to be held responsible for their non-appearance.
(Signed) J. Maison.
Not listed in Louisiana Historical Quarterly.
DISCHARGE OF SIEUR BROUTIN
BY JOSEPH CARRIERE, AND
LOAN OF SIEUR DECALOGNE
SECURED BY MORTGAGE.
Joseph Carriere in the name and as curator of Sieur Francois Carriere, acknowledged and confessed before Notary of having received the sum of 30975 L 12 S from the hands of Sieur Broutin for the part and portion that was coming to Sieur Francois Carriere, in the succession of his father and mother, according to act of partition made before Huchet de Kernion of which sum Sieur Joseph Carriere discharges Sieur Broutin and guarantees him against all claims and damages and interest, and at the instant appeared Sieur Decalogne, who recognized and confessed that the said sum was presently counted out to him by Joseph Carriere, which he accepted and promised to return and pay to the said Sieur Francois Carriere at his majority, obligating himself to pay him every year, or to the said curator the interest at 5% according to the ordinance until final payment equally with the consent of Sieur Francois Carriere minor, for surety of the said sum principle and interest, Sieur Decalogne obligates, effects, and hypotheticates all his property, present and future, and for the execution of these presents, establishes his domicile in this city.
Made in the presence of Sieur Becat and Joseph Maison.
(Signed) Francois Carriere,
Joseph Carriere, Decalougne, Broutin, Garic,
Witnesses: Notary
Joseph Becat, Joseph Maison
Recorded: Deverges, DeReggio, Ducros
(2 pages)
Not entered in Louisiana Historical Quarterly.
THE PROCURATOR GENERAL
vs.
THE NEGRO JEAN,
ACCUSED OF THEFT.
Depositions of Jean Francois Fouchaud and Bonvilly, negro overseer, both from the plantation of Madame Mandeville
Fouchaud declares under oath that he is not related to the interested parties; that the overseer had seized in the hands of the negro Jean 7 shirts, 3 pairs of trousers and 5 handkerchiefs, which were returned to the owner, Sr. Lanbremont; that Madame de Mandeville had 200 lashes given to Jean as punishment.
(Signed) Huchet de Kernion
Bonvilly declares that on Pentecost Sunday the negro Jean Pierre told him that Jean (the accused) had in his possession stolen goods; that he (deponent) went in search of said Jean and demanded the stolen property; that Jean surrendered 2 shirts, 2 pairs of trousers, one vest and handkerchiefs, which were immediately delivered by deponent to the white manager of the plantation.
(Signed) Huchet de Kernion
Order to submit the foregoing depositions to the acting Procurator General for his conclusions.
(Signed) Huchet de Kernion
Not listed in Louisiana Historical Quarterly.
Sieur Louis Carriere having bought a negress and two children from the succession of his father and mother for the sum of 40,050 livres, Sieur Louis Antoine Decalogue, storekeeper at Mobile, by notarial act, in the name of the said Louis Carriere, acknowledges receiving from Sieur Broutin; Notary, in charge of the recovery of the funds of the Carriere succession, the sum of 30,795 livres 12 sols, in full settlement of his share of the said purchase of the said negroes.
Both parties give full discharge and acquittance to one another.
(Signed) Decalogue
Joseph Carriere) Broutin
Becat Witness Garic, Notary
Not listed in Louisiana Historical Quarterly.
SALE OF SCHOONER.
Before the Notary Royal, personally appeared Simphorien Coulet, Captain and Merchant, declaring he has sold the Brigantine "Le Vincour", upon an order of Mr. Conquoru, who is part owner, merchant of Marseille, to Mr. Maxent, merchant of this city, for the sum of 16,000 livres in letters of exchange or specie of gourde dollars.
Passed at New Orleans, Aug. 6, 1768.
(Signed) Maxent
Coulet
Garic, Notary
Not listed in Louisiana Historical Quarterly.
RE: Succession of Jean Dominique Bunel, Jeweler of New Orleans,
Petition for Order permitting Sale of Movables.
Petitioner, Boutet Lalime as Tutor of the minor children of deceased Jean Dominique Bunel, upon showing that inventory has been taken of the property belonging to said Bunel, deceased, further shows that said movables, particularly the slaves, are subject to deterioration, and that same should be sold; wherefore, said petitioner prays for an order permitting judicial sale of said property and for the appointment of a Commissioner herein to hold said sale in presence of the Attorney General. (Signed) Boutet.
Order
The foregoing petition is ordered submitted to the Attorney General for his recommendations thereon.
(Signed) D'Abbadie.
Order
The undersigned, Attorney General, consents to the granting of said order but excepts from said sale, the negro, Jacques, to whom said Bunel, now deceased, had granted freedom with certain reservations.
(Signed) Delaplace.
Order
The foregoing petition is granted except as to the negro Jacques, Jeweler, and his tools until further orders. Mr. Foucault, 2nd Judge of the Council, is herein appointed Commissioner to hold said sale in the presence of the Substitute for the Attorney General. It is further ordered that proceeds of said sale be turned over to the Tutor of said minors until further orders herein.
(Signed) D'Abbadie.
Not listed in Louisiana Historical Quarterly.
YEAR 1764
AUGUST 8 & 9
SUCCESSION OF DOMINIQUE BUNEL.
AUCTION SALE AND ADJUDICATION
OF MOVABLES & SLAVES BELONGING
TO SAID SUCCESSION.
The auction sale of the movables and slaves belonging to the Succession of the late Mr. Bunel was held by order of Mr. Dabbadie, Judge of the Superior Council, on petition of Mr. Boutte, Tutor of the minor children of the late Dominique Bunel. Said auction was conducted from the house of the deceased, after due advertisement of said sale. Presiding were: Mr. Foucault, Councillor, Commissioner appointed in said matter, Mr. Delaplace, Deputy Attorney General. Mr. Maison, Sheriff, acted as auctioneer. Terms of said sale were cash. The effects sold consisted of household furniture and effects, kitchen utensils, valuable wearing apparel, some jewelry, several swords and guns. Several slaves were also sold and the terms for these were 90 days, upon furnishing solvent security for payment of purchase price. Said auction sale lasted two days, namely on August 8th and 9th. The total amount of the proceeds is not given.
(Signed) Boute, J. Maison
Delaplace
Foucault
(cont'd)
1765
June 27, Receipt
Undersigned acknowledges receipt from Mr. Garic, Chief Clerk of the Council, as Tutor ad lites of the Bunel minors, of the amount of 6,108# 10 sols, which represents the proceeds of auction sale of slaves belonging to the late Mr. Bunel, his commission of 321# 10 sols having been already deducted from the total of said proceeds.
(Signed) Henry Gardrat
Not listed in Louisiana Historical Quarterly.
Price list of case of drugs without guarantee, amount of 1,630 livres, payable in reals or paper, with ordinary reduction payable at the end of the month.
Unsigned.
(81002)
I will pay to the order of Mr. Braquier 1,000 livres in Colonial bills, conforming with the financial regulations, at New Orleans, Aug. 9, 1764.
(Signed) Borde
Not listed in Louisiana Historical Quarterly.
60/29
YEAR 1764
1 page
In French
09 AUGUST
SECURITY NOTE
Sr Points owes to M. Hugeset a sum of 250 livres from which 44 livres are deducted for payment due M. Boulet Colime for 44 livres.
SUBJECT: Note, Debt
PERSONS: Hugeset, Points, Colime
#1764080902
Not found in Louisiana Historical Quarterly
PROCURATION
By notarial act Sieur Adamville grants a procuration to the Sieur (Blank), giving him power and authority for him and in his name to recover from the Sieur and Dame Knight de Rouville the sum of 14020 livres, in money of France, on a note dated May 15th, 1762 and maturing next May.
He is further authorized, if necessary, to take any and all legal proceedings to enforce payment of same, and to do whatever is necessary to recover payment, should it not be paid when due.
WITNESSES: Signed by
Becat Adamville
Gauvain Garic,
Notary
REGISTERED:
Deverges
De Reggio
Ducros
Not printed in Louisiana Historical Quarterly.
64/19
MARRIAGE CONTRACT
By notarial act, Sieur Bazile Sendot, surgeon, resident, native of Lasscazares, Diocese of Tarbe, son of Sieur Pierre Sendot and Dame Lafitau,
and
Miss Francoise Dauphin, native of New Orleans, daughter of the late Joseph Dauphin and Dame Marianne Meunier; enter into a contract of marriage stipulating the following clauses:
Ceremony according to rites of Catholic Church. Their properties, movable and immovable, to be administered according to the ordinance of community of gains and acquets, conformably to the common law of Paris.
Each responsible for debts contracted before marriage.
Future wife brings to marriage her inheritance from deceased father, and 3000 livres made up of her savings and earnings, future husband gives her a receipt for same.
Future husband settles on future wife 3000 livres, principal to be held intact for children.
Testamentary allocation of community before notary.
Preciput - 2000 livres.
Contracting parties make a deed of gift to the survivor.
Option of wife to accept or renounce community.
(Signed by)
Ble Sendot, Durand, Ble. Sendot, Dauphin
Durand, Jr., Bte Guichanduc, Martin,
Leclere, Carriere
Witnesses: Gauvain, J. Maison
Registered: Deverges, DeReggio, Ducros
Garic, Notary
(4 pages)
Not listed in Louisiana Historical Quarterly.
64/29
YEAR 1764
AUGUST 10
To Honorable Dabbadie, First Judge of Superior Council, request be named a Commissary to interrogate a negro runaway belonging to Sr. deLamirande of Pointe Coupee, said negro apprehended on Sr. Carlieu's plantation.
(Signed) DeLaplace
Interrogatory ordered before deLaunay.
(Signed) DAbbadie
Not listed in Louisiana Historical Quarterly.
57/29
YEAR 1764
AUGUST 10
INTERROGATORY
Replying to interrogatory propounded him by Louis Piot deLaunay, Francois (negro) belonging to Sr. La Mirande, declares to have been imprisoned for runaway; had gone to a dance at Sr. Duval's and taken a carriage from Jean Baptiste, negro, belonging to Mr. de Trenaunay; returning at day-break, his master had him tied to a post to be whipped but broke away; during which time lived of water melons and slept in willows at Sr. Carlieu's plantation, where was apprehended and imprisoned; to have no reasons to complain of his master's treatment and intends returning to him.
(Signed) DeLaunay
The above ordered referred to Attorney General.
(Signed) DeLaunay
Not listed in Louisiana Historical Quarterly.
57/29
DECLARATION AND OPPOSITION
OF WIDOW PIQUERY.
Personally appeared Widow Piquery before
the Clerk of the Superior Council, who de-
clared that the late Sieur Bunel is indebted
to her in the sum of 245 livres for flour,
according to her closed accounts, that in
consequence she is opposed to all distribu-
tions of funds proceeding from the said suc-
cession until her account has been satisfied
from the said sum; for which declaration she
demanded certificate, which was granted.
(Signed) Garic, Bailiff
(1 page)
Not listed in Louisiana Historical Quarterly.
62/29
RECEIPT
Acknowledgement by M. Boisdore to have received from M. Duparquier five livres in old paper money for a voyage he had made.
SUBJECT: Receipt, paper money
PERSONS: Duparquier, Boisdore
#1764081301
Not found in Louisiana Historical Quarterly
YEAR 1764
2 pages
In French
INVENTORY
An inventory of goods and silver that has been placed in the hands of Sr La Bastile as tutor of five children, otherwise not identified.
SUBJECT: Inventory, farm animals, succession
PERSONS: La Bastille, Barthieu, Nivet, Perriche, Robin, Vinet dit Pantin
#1764081402
Not found in Louisiana Historical Quarterly
YEAR 1764
1 page
In French
INVENTORY
This inventory is apparently a duplicate of Document pp2761-62 (#1764081402)
SUBJECT: Inventory, farm animals, succession
PERSONS: La Bastille, Barthieu, Nivet, Perriche, Robin, Vinet dit Pantin
#1764081403
Not found in Louisiana Historical Quarterly
Receipt and release
by
Dargent minors
(Francois, Martin, Vinet Pantin and Jean Denis),
heirs to Sr. La Bastille, their father-in-law,
in favor of
Sieurs Basthieu, Robin, Perriche and Nivet, arbitrators selected by the heirs for the partition.
The receipt covers what the heirs had coming to them and stipulates they are not entitled to anything more from the plantation of their step-father.
(Signed) Jean Denis
(X) Mark of Vinet
(X) " " Martin
(X) " " Robin
(X) " " Basthieu
(X) " " Francois Nivet
(Signed) Perriche
1764
August 14, Pages 92761-62
Same as Page 92763
with the following added:
The arbitrators have elected Vinet Pantin a subroge tutor to replace Francois Martin.
(Signed) Perriche
(X) Mark of Francois Nivet
(X) " " Basthieu
Year 1764
August 14, Page 92763
Inventory of property belonging to the Dargent minors, and which is in possession of Sieur La Bastille, tutor of the minors:
38 cows, 5 calves, 5 heifers and four bulls.
Basthieu, Robin, Perriche and Nivet, named arbitrators, do hereby agree that since La Bastille is taking care of the minors until they are of age, he is entitled to one-third of all animals born until then.
(Signed) Perriche
(X) Mark of Robin
(X) " " Basthieu
(X) " " Nivet
(4 pages)
Not listed in Louisiana Historical Quarterly.
EXPENSES -- ST. JEAN SUCCESSION
M. Ducros, attorney for vacant estates, submits list of his expenses incurred for the St. Jean succession, which is approved by the court.
SUBJECT: Succession
PERSONS: St Jean, Ducros
#1764081801
Not found in Louisiana Historical Quarterly
STATEMENT OF EXPENSES
Statement of expenses rendered to Sieur Duparquier, tutor of the minor Chancellier children, for a meeting of the family for the emancipation of one Chancellier child. Expenses amounted to the sum of 60 livres, which was ordered paid to the Clerk of the Superior Council.
(Signed) DeLaunay
Amount received by Garic, Chief Clerk
(1 page)
Not listed in Louisiana Historical Quarterly.
ACKNOWLEDGMENT OF INDEBTEDNESS.
Undersigned acknowledges an indebtedness of 75# to the Church at Fort Chartre for a service for his father and one of 12# for rent of a pew at Illinois.
(Signed) Chancellier
1764
August 17, Order
Considering the above certificate issued by Sieur Chancellier for 75 livres, Honorable de Launay orders the said amount to be included in the expense account of the minors (Chancellier).
(Signed) De Launay
Received the said amount.
(Signed) Delor
Not listed in Louisiana Historical Quarterly.
PARTNERSHIP AGREEMENT BETWEEN
JOSEPH MARIE ARMAND AND
GUILLAUME LAMOTHE.
Personally appeared before the Royal Notary, Messrs. Joseph Marie Armant and Guillaume Lamothe, who made the following partnership agreement:
Be it known that the above named parties voluntarily associated themselves in commerce that Sieur Lamothe will be able to make or undertake at Poste Vincent. He will leave in a pirogue equipped with six oars and the coxswain.
The expenses of the journey will be borne equally by them, also the profits and losses they might make, and upon his return the whole must be settled and administered by Sieur Lamothe, promising to return next August or sooner, if possible, and for the advance of this advancement, Sieur Lamothe acknowledges and confesses that Sieur Armant advanced to the said partnership and the said commerce, the sum of 8747 livres. This sum will be deducted on his return, before sharing. Also Sieur Armant acknowledges that Sieur Lamothe furnished for his share 1868 livres, both sums amounting to 10000 livres, which will be deducted by each according to the amount he brought into the partnership.
So that the stronger cannot claim greater advantage on the profits, or sustain greater loss on the contrary, profits and losses will be divided equally, and also sustained, each for his one-half.
The partnership will end upon the return of Sieur Lamothe, who obligates himself to care of his industry without pretence to any indemnity.
Made in the presence of Messrs. Henry Gardrat and Joseph Mazon.
(Signed) Lamothe, Armant
Henry Gardrat
Garic, Notary
(2 pages)
Not listed in Louisiana Historical Quarterly.
62/29
MEETING OF THE BOARD OF DIRECTORS
OF THE ALMSHOUSE AT NEW ORLEANS.
In the year 1764, on August 20th, in the forenoon at a meeting held at the Almshouse called by the directors of said institution, were present:
Messrs. D'Abbadie, Director-General, Commandant in the King's name in the Province of Louisiana.
Joseph Adrien de Laplace, Acting Procurator General;
Rev. Father Dagobert, Superior of the Missions;
Rev. Father Hilaire, Superior of the Missions;
Prevost, Agent of the Company of the Indies;
Cantrelle, Director in charge;
De Launay, Councilor at the said Council, formerly Administrator;
Lebeau, King's Physician;
Olivier de Vezin, Treasurer of said institution;
Dreux, Director.
The following communications were brought before the meeting:
First: Report of Mr. De Launay's management (May 1, 1759).
Second: The legacy of Mr. Nicolas Henry, late clerk of the Council, whose documents will be presented by Mr. Garic, clerk.
Third- Statement of active and passive debts of the said institution as audited by Mr. Prevost.
Fourth- The urgent repairs to be made to the said house.
Fifth- Report on rent of houses.
Sixth- A promissory note for the sum of one hundred piastres (gourdes) on a wager between Messrs. La Oulie and Bon Repos given by Mr. La Oulie to the said institution.
Seventh- The memorial presented by Mr. Prevost covering rules and regulations for the management of said institution.
Eighth- Sale of an adolescent mulattress to Mr. Hery, called Duplanty
Ninth- Petition to Mr. D'Abbadie to give the Almshouse a site to replace the one taken for the fortifications.
All the above communications being the subject of the present meeting, after deliberation the Board resolved as follows:
Concerning the report of Mr. de Launay the Board approved the account rendered by the said Mr. de Launay, showing he is indebted to the institution in the sum of 943 livres, ten sols, 9 deniers to be paid in Colonial currency.
After deliberation on the second communication it was decided that Mr. Garic would pay, five years after date, the sum of 3200 livres which he has collected in France as a part of the legacy of said Sr. Henry with
interest paid yearly to the treasurer until final payment and Mr. Lesassier will render the directors an account of the balance of the legacy showing the amount of the balance to be collected in real money.
Concerning the items of resources and liabilities, the Board resolved that the Almshouse shall proceed to collect all outstanding debts due it, and all indebtedness due by it shall be paid as fast as funds will be available, according to the vouchers presented.
Concerning the repairs to the houses, the terms and conditions of the leases will be followed strictly until the renewal of the leases.
The note on a wager between Messrs. La Oulie and Bon Repos, not being collectable according to law, is declared null.
Concerning the memorial presented by Mr. Prevost, suggesting that the institution should receive only disabled old persons and foundlings, and should enter into a contract with the Religious Ladies to take care of their patients, it was resolved to enter into an agreement with the said ladies to receive on their premises at the King's Hospital all sick patients from the Almshouse, for a specified amount per day for each patient, at the expense of said institution.
The directors deliberating upon the case of Louison's daughter, resolved to go to court and claim the girl so she can follow her mother's destiny.
Finally, concerning the urgency of repairs to be made to the house, the Board unanimously agreed to have them made as cheaply as possible under the supervision of and by the trustee who will be reimbursed all expenses upon presentation of all vouchers and receipts of workingmen.
A resolution having been passed at the last meeting fixing the term of the two first directors at six months, and the next two at six months also, it was admitted that that time was too short for them to transact business for the institution, and the Board resolved to extend their term to eighteen months for the first, second and subsequently elected directors.
Resolved at the Almshouse at New Orleans on the said day, month, and year, before us, Chief Clerk and Royal Notary undersigned.
D'Abbadie Fr. Dagobert, Vicar
Prevost Fr. Hilaire, Supr.
Delaplace DeLaunay
Olivier de Vezin Cantrelle
Lebeau Dreux
Garic
DEMAND OF THE ATTORNEY GENERAL
TO MONSIEUR DABBADIE FOR THE
EXAMINATION OF A RUNAWAY SLAVE.
The Attorney General shows that last night
a runaway slave belonging to Sieur Juin,
charged with theft and running away was
brought to the City jail.
As this crime concerns public prosecution,
I demand for the King that the said negro
be examined immediately by commissaries
named by him and the results communicated
to me.
(Signed) Lafreniere
Permit for interrogating the negro before
Sieur Delalande for the said interrogation
granted, and the results communicated to the
Attorney General.
(Signed) Dabbadie
(1 page)
Not listed in Louisiana Historical Quarterly.
BILL
Work done for M. Duparquet on behalf of Mdlle. Chancellier by M. LeMaire and receipt for same.
SUBJECT: Carpentry, bill
PERSONS: Duparquet, Chancellier, Le Maire
#1764082401
Not found in Louisiana Historical Quarterly
Sieur Perret having died at the Cape, Sieurs Louis Auguste Dutisme and Louis Dutisme, brothers, past officers, heirs of the deceased, residents of New Orleans, granted a power of attorney to Sieur Cronie, resident of the Cape, to recover in their name, their share of their uncle's succession.
Not receiving any satisfactory report from the said Sieur Cronie, Sieur Louis Auguste Dutisme, by notarial act, grants a power of attorney to Sieur Louis Dutisme, his brother, giving him power and authority to recover all funds befallen to him as his share in their uncle's succession,
To inquire into the administration of the testamentary executor and the amount of the said succession,
To get an accounting from anyone holding a pledge or security against the said succession,
To settle all succession's debts,
To get an accounting from Sieur Cronie, compel him by legal proceedings, if necessary, to refund all moneys received on account of said succession,
To recover the amount of the sale of a plantation sold by constituent and procurator, as payments will become due, according to the act of sale,
To recover the succession of Julie Perret, a free nègresse, said estate being granted to her by the late Sieur Perret, at his death, with her freedom, and restored by the said Julie Perret to Constituent.
All previous procurations revoked.
(Signed) Le Chr Dutisme
Witnesses: Garic, Notary
Henry Gardrat,
Gauvain, son
Not listed in Louisiana Historical Quarterly.
ACCOUNT OF PRADEL SUCCESSION.
Account rendered by Sieur Garic in sale of properties of deceased Sieur Pradel, former Lieutenant of vessels.
Total account of funds received ........ 146,257# 16 S 3 D
Total account of expenses and claims ... 143,624# 17 S 7 D
Balance in favor of the Succession .... 2632 L 18 S 8 D
Plus the sum of ........ 197 L 10 S in letters of exchange for full account of above succession.
Certification of above as being correct by
No signature
(8 pages)
Not listed in Louisiana Historical Quarterly.
Receipt
Receipt tendered Mr. Garic for all papers and vouchers pertaining to the account of receipts, expenses and claims, rendered by him and a copy of the inventory and sale of the properties of the late Sieur Pradel's succession, late lieutenant of the vessels of the King; a full and complete discharge to be given when the said account will be agreed upon.
Above receipt approved by
Duverge.
Not entered in Louisiana Historical Quarterly.
57/29
DEMAND OF THE ATTORNEY GENERAL
THAT THE NEGRO PIERRE BE FOUND
GUILTY OF RUNNING AWAY.
Considering the prepared criminal lawsuit against the negro named Pierre, belonging to Messrs. Mazan and Bore, accused of running away, and a prisoner in the city jail, the petition of the Assistant Attorney General and all other papers and documents in the case, I demand for the King that the said negro be found guilty as charged, and for the satisfaction of which, have his two ears cut off and be branded by the hangman on the right shoulder and returned to his masters.
(Signed) Lafreniere
(1 page)
Not listed in Louisiana Historical Quarterly.
62/29
EXTRACT FROM THE REGISTRY OF THE SUPERIOR COUNCIL.
IN RE: Mr. Maison, Sheriff of the Superior Council, plaintiff, versus Mr. Claude Boutet Latime tutor of the Bunel minors, Defendant.
The proceeding herein had and the evidence produced, all duly considered: it is decreed by the Council that the creditors of the succession of the late Mr. Bunel be ranked according to their order, and that a Syndic be established for the purpose of settling their claims.
Given at the Council Chamber.
(Sgd) By the Council,
Garic, Clerk.
Not listed in Louisiana Historical Quarterly.
EXTRACT FROM REGISTER OF THE SUPERIOR COUNCIL.
In re: Mr. Ducros, attorney for Vacant Estates versus Mrs. Arnaud, widow, defendant, in default.
(Copy of Judgment by Default.)
Plaintiff's petition, Order rendered thereon, and the citation issued in said matter, all duly considered, it is ordered by the Council that a Second Default is herein rendered against Dame Arnaud, in Default, she is hereby ordered to pay to Plaintiff, in his capacity, 13,372# 18 "sols" in Letters of Exchange in settlement for the yield produced by the Succession of the late Dulude, as proven by the Receipt of December 13, 1757. She is further ordered to pay costs.
Given at the Council Chamber, Original signed:
"By the Council";
Garic, Clerk.
September 23, 1765.
SHERIFF'S RETURN.
Undersigned sheriff makes his return showing service of a copy of the foregoing judgment on Widow Arnaud, Defendant, and of having made demand on said Defendant to satisfy said judgment or suffer the law to enforce said judgment.
(Signed) J. Maison
Not printed in Louisiana Historical Quarterly.
CRIMINAL AUDIENCE AND CONDEMNATION OF THE NEGRO JEAN.
Between the Attorney General, plaintiff and accuser
and
The negro named Jean, belonging to Mr. Mandeville, accused.
The Superior Council seated Eu Banc considered the prepared lawsuit against the said negro. The request of Mr. de Kernion, and the definite opinion of the attorney general placed on the desk.
The Council has declared the negro named Jean, a native of St. Domingo, belonging to Dame Mandeville, duly guilty and convicted of second offense of stealing and running away, for amend of which, has condemned, and condemns him to be whipped with a switch on all the crossroads of the city, by the hangman, conducted on the square, tied to a post to be hamstrunged, and branded with a hot iron, in the shape of the letter V on the right cheek, and afterwards returned to his master.
Huchet de Kernion Dabbadie
Delaunay Aubry
Lesassier Delachaise
Not printed in Louisiana Historical Quarterly.
DEMAND OF ATTORNEY GENERAL.
The Attorney General, undersigned, informs Mr. D'Abbadie, Judge at the Superior Council, that a certain negro has just been imprisoned and it is believed that he may be the negro, Louis, incriminated in the Proceedings instituted against Cezar, who was executed; that there are many charges lying against such negro and as this is a matter which affects the public welfare, he therefore demands that an Information be made and that seven witnesses be summoned to testify as to these robberies and to the firing on the night Patrol and that this Information be submitted to him.
(Signed) Lafreniere
Order
The demands of the Attorney General are ordered executed by undersigned Judge, who appoints Mr. Foucault, Councillor, Commissioner to preside at said Information.
(Signed) D'Abbadie
(1 page)
Not listed in Louisiana Historical Quarterly.
SUMMON
Joseph Maison, Sheriff, on petition of the Attorney General, plaintiff and accuser, issues and delivers a summon to one Selam to appear in Court and testify in a criminal case.
(Signed) J. Maison.
Document partly torn.
Not listed in Louisiana Historical Quarterly.
EXCUSE FOR NON-APPEARANCE
Sieur Gaillardie states that he is unable to comply with a summon, ordering him to appear before Superior Council, because he was bled this morning.
(Signed) Gaillardie
Not listed in Louisiana Historical Quarterly.
The Procurator General vs Louis, alias Foy, runaway negro belonging to Mr. Blouin of Illinois.
DEPOSITION OF SEVEN WITNESSES.
Benoit Tronce, alias Lafleur, 43, does not know Defendant, only heard say he was a member of their gang who robbed and shot Lafleur.
Jean Baptiste Pantinet, 43, knew Louis as working for him and when asked to whom he belonged, he said Louis lived at Dame Delapomeraye formerly belonged to de Portenseuf of Illinois, Dame delapomeraye allowed him to solicit work from different individuals.
Louis Duchene-resident, 37, knows negro as belonging to Sieur Blouin of Illinois, he stole a buggy from some one named Manuel, but soldiers coming from Fort Cheragins caught him, but he escaped, saw him while soldiers had him and asked negro was not he from Illinois and did he not belong to Blouin. Negro denied it. So told soldiers to keep him. Then negro admitted to guard that he belonged to Blouin. Master could not benefit from his services. Had stolen. There were 5 in the band.
Jean Baptiste, slave of Sr. Layssard, 30 years, said he knew the negro in Illinois; had belonged to Blouin; always heard in Illinois negro was a thief; deponent gave the widow Salem a shirt to make, someone stole the shirt and the widow maintains that Louis was one who stole it. That he
later met the negro who admitted stealing the shirt, but that it was across the river at the plantation of Sr. Villars; that he went with Louis to get it and found it in cabin of Keble, who said he bought it from Louis; that he bound Louis and brought him to home of Widow Salem in order, if possible, to have effects stolen from her returned. Louis then said he belonged to Dame Dubois, then afterward said to Madam Porte Neuf.
Mara Magdeleine Celam, 50, resident of New Orleans, under impression that the negro sought work at her house just to find out, and he worked for a while on Monday; returned on Tuesday; and on Friday night she was robbed. Knew in front of window there was a table full of sewing and clothes, which were all stolen from Mrs. Celam. All were later found in the garden of Dame Castillien.
Andiguy, negro Commandeur of Dame Mandeville, 55 years, knew negro Louis as Foy, coming from his native land Bambara. The said negro came to his cabin one day with a gun which he claims he had sold for a pig, but pig was too big, so took gun back, then later sold them. Met them on road negro had bought the gun. Two went to cabin with deponent, who asked Louis why did he not go to his master; said he had come down with his mistress on a trip. Jean Baptiste came from Natchitoches, sold to Sr. Bonne. Had big bundle of clothes and money; paid Louis for gun; showed money from Jean Baptiste to a Capt. of the boat that docked at Mr. Boisclair's place, was told it was a note of 2,000 livres. The Captain kept the note and he reported the case to Madame Mandeville.
Jacques Langlois, alias La Joye, 33, belongs to Hospital for poor. Don't know the negroes.
SEPTEMBER 3, 1764
Forwarded to Procurator General.
(Signed) Foucault.
Garic,
Clerk.
SEPTEMBER 4, 1764
Preparatory conclusions of Procurator General, that Louis be re-examined and that Louison Comba and Marie Jeanne be confronted with Louis.
(Signed) Lafreniere.
SEPTEMBER 4, 1764
Order.
(Signed) Dabbadie.
50
Doc. 64c
YEAR 1764
SEPTEMBER 3
Return on service of notice on:
MMe. de Mandeville, for assignment of her commandeur Andiguy; Lafleur, Pantinet, Gaillardy, Duchene, Widow Selam.
Doc. 1838
YEAR 1764
SEPTEMBER 4
Examination of Louis, 35, Bambara by Nationalit
Sr. Duplessis, was sent to the Cape to Sr. Gaillardy, who sold him to Sr. Blouin of Illinois, was put to work in lead and salt mines, over-worked and ill-nourished. Escaped, got a pirogue and arrived here where he earned his living by day's work at different ones of the inhabitants. Brought a gun with him from Illinois and went to plantation of Dame Mandeville to sell it, sold it to a negro Jean Baptiste who gave him two notes. On showing them to the Capt. of a boat, he was informed one was for 2,000 livres. Was brought to MMe. Mandeville, who administered a few blows. The gun and the money remained in possession of Capt. of boat.
He left Illinois alone, slept on levee and worked during day in the City, admitted stealing the clothes, but did it on advice of Jean Baptiste. Kept the two skirts and the shirt belonging to negro of Sr. Lassard, pried open window. Had no weapon. Threw clothes in garden of Cantrelle; knows the Comba, but never went to her cabin. On rainy nights slept in cabin of Jesuits. Knows not negro Caesar belonging to Mr. Jung, only the negroes of Mr. Declouet and Duplanty, named Thomas and Baptiste.
Knows the negresse Louison who sells cakes; never went to her house. Hid for 15 days in the woods of the Jesuits with three negroes belonging to Mr. Beauvais of Illinois, Jean and Cezar the third he did not know by name. Lived on wood rats and corn stolen from Srs. Durand and Vaugind and in that neighborhood.
Stole only from Widow Salem. Does not know Cezar, who was executed. He knew Mombrun Carriere had been robbed, because at the time he was sleeping in Mr. Broutin's house, but did see a negro carrying a ladder.
He did live for three days in cypress grove of Mr. Delachaise and during that time would come to town to buy bread with his earnings. Had no gun; left it in cabin of negro belonging to Mme. Mandeville. Asked what he had to say about testimony of Cézar, called it a lie. He insisted he did not know Cézar.
He heard from some Frenchmen that Lafleur had been shot by Cézar. Knew Scipion the negro of Belhumeur from his country.
He stole a pig which he thought was for a negro, but it turned out to be for the Jesuits. Killed and ate and shared with 4 negroes, but not Cézar.
Insisted all the way through that he did not know Cézar, and all he stole was some chickens and a few fruit to eat.
(Signed) Foucault.
Garic, Clerk.
Examination of Marie Anne, now in prison. Gave her age as 40 and belongs to Hospital for the poor. She insisted she does not know Louis, never saw him, never accepted anything from him, nor ever bought anything from him.
Examination of the negroes Kebbe, belonging to Mr. Villars, and Molva belonging to Mr. Prevost.
Kebbe said he knew Louis before he left for Illinois. Saw him only once since he returned and that was at Barataria, where Louis went to sell him a shirt. He did not know that Louis was at that time a run-away, nor that the shirt had been stolen. He paid 3 piastres for the shirts. On last Sunday, Louis came back with the negro Baptiste, belonging to Sr. Layssard, who claimed the shirt as his. Kebbe turned the shirt over to Jean, but failed to get a refund of the 3 piastres. Molva said he knew Louis but saw him only once since his return from Illinois, and that was at Sr. Cantville; that he knows nothing of Louis' line of conduct; that Louis never gave him money to buy food, nor chickens to sell.
Examination of Louis, who gave same name, age and nationality, as in previous examination.
Said he and a companion ran-away from Illinois, but the companion refused to come South. He stole a pirogue and disembarked at Boisclair's place. He brought a gun with him, but sold it to a negro Baptiste, who gave him a ten livres note and another note which proved to be for 2,000 livres. That the Captain to whom he showed the note kept it. He admitted stealing some chickens and a pig to eat, which he ate. Never stole clothes, but Cezar gave him five skirts and a blanket which he sold. Just met Cezar at Butte du Canon. He later had an argument with Cezar, who threatened his life.
The only clothes he (Louis) stole, was from Widow Salem.
Was not with Cezar when he shot Zeringue.
In first part he denied ever having stolen anything with Cezar. Further on he says he and Cezar stole chickens and 4 turkeys from Sr. Trival. Also sold seven chickens to the husband of Marie Jeanne. That Marie Jeanne knew the clothing she bought off him were stolen.
(Signed) Dabbadie.
YEAR 1764
Conclusions of the Procurator General that before final judgment be rendered the negro Louis be re-questioned and interrogatory be submitted to him.
(Signed) Lafrenie re.
Preparation judgment ordering that negro be further questioned in presence of Mr. Foucault assisted by Lesassier, before final sentence is passed and evidence submitted to Procurator General.
(Signed) Dabbadie
Foucault
Aubry
Delaunoy
Delalande
Lesassier
Delachaise
Not printed in Louisiana Historical Quarterly.
YEAR 1764
1 page
In French
04 SEPTEMBER
NOTE
Bill of exchange for twenty francs payable to Sr Chiron (writer's name illegible), not due until 04 September 1765.
SUBJECT: Note, Bill of Exchange
PERSONS: Chiron
#1764090404
Not found in Louisiana Historical Quarterly
YEAR 1764
SEPTEMBER 4
INTERROGATORIES PROPOUNDED
TO THE NEGRESS, COMBA.
These interrogatories are made by Mr. Foucault, Councillor, appointed Commissioner in this matter, by virtue of order of Mr. D Abbadie, rendered on demand of the Attorney General. The negress Comba is brought from prison into the Commissioner's presence and questioned her name and owner and as to facts regarding Louis, accused and imprisoned, to which questions she answers as follows, after being first duly sworn:
Said negress testifies that her name is Julia but that she is also called Comba; that she is fifty years old and a resident of the Alms house. She acknowledges knowing Louis but denies knowing he was a run-away inasmuch as he had told her his Mistress permitted him to be free because he had a sore leg and until this healed, he was free. She admits having him in her cabin at night and then incriminated Louison and Cezar as having taken part in meetings and sharing of suppers. She admits knowing Louis had stolen a pig and that he and Cezar had slaughtered it and divided it between them. She further admits knowing that Louis spent considerable time with Louison in her cabin in the garden of Mr. Cantrelle. Her testimony was read back to her; she declared it to be the truth but said she did not know how to sign.
(Signed) Foucault
Garic, Clerk
(cont'd)
The negress Combas was then brought before Mr. Foucault, she is being held a prisoner. After being duly sworn, she is questioned regarding her name, age and owner, and as to what she knows concerning Louis, also known as Foy. Said negress answers that her name is Louison; that she is 50 years old and the property of Mr. Cantrelle. She admits knowing Louis and admits that he spent two months in her cabin; that Louis, Cezar, Marianna Comba and several other negroes had supper together with her. She also declares that Louis and Cezar were great friends and admits knowing of their various acts of thefts of clothing but says she would not permit Louis to leave any stolen clotheen with her, having once ordered him to take such things away. She incriminates the negress Marie Jeanne, saying that Louis gave her stolen clothes to sell and that she gave him the money after doing so. She says that Louis had a gun but that he carried it to the overseer of Mrs. Mandeville and that it had been carried to Mr. de Lafreniere's. Her testimony was read back to her and upon hearing it, she declared it to be the truth but stated she was unable to sign it.
(Signed) Foucault
Garic
(5 pages)
Not listed in Louisiana Historical Quarterly.
61/29
DUPLENTY NOTE SECURED BY PLEDGE OF JACQUES LEFEBRE.
Personally appeared Sieur Jacques Lefebre before the Royal Notary, who declared that the note given to Sieur Fazande for the security of the schooner L'Espereuse, under command of Sieur Hissard to go to Jamaica was retired and torn, appearing valueless by the appearer, by means of which Sieur Duplenty, gives good and valuable discharge.
The said appearer promises guarantee of all eventualities that may result, under pain towards the said Duplenty, of all the property movable and immovable of Sieur Lefebre, that he obligates to that effect, even damages, expenses, and interest.
J. Lefebre
L. Mazange Foucault
Gauvin Garic
REGISTERED:
Duverges
De Reggio
Ducros
Not printed in Louisiana Historical Quarterly.
The negro Louis, otherwise known as Foy, belonging to Sieur Blevin of Illinois, was brought face to face before the negress Comba of the Hospital by Sieur Denis Nicolas Foucault and examined upon the petition of the attorney general, and the order of Mr. Dabaddie, who after taking oath to tell the truth, admitted that he knew the negress Comba, and the said negress said she knew the negro Louis.
After which, reading of the examination was made, and the said negress maintained it contained the truth, and also, that they had often had supper together in Cantrelle's Garden, had seen him often at her abode in the Hospital for the poor, to all of which he admitted.
Foucault
Garic
TESTIMONY
The negress Comba maintained that he had slept with her in her cabin, since his arrival from Illinois, that she had given him, Cesar, and another negress some gumbo, and that Cesar, had given him 50 sols to purchase "File" (ground herbs), and that they had drank it together. Also that he had given her a roll of tobacco, that he had stolen 10 from a pirogue just arrived from
Natchitoches, and that he had purchased linen with the proceeds, and sold the balance to negress on a plantation which he did not know. She also accused and maintained that he had stolen clothes belonging to Sieur Bachemin's negress, which he sold to her afterwards, but had kept the money, he admitted the same, but claimed that he had only kept four piastres in currency, that he had stolen a big hog from the Jesuits, that he had shared it with Cesar, in order to pass it with more facility to the Bayou where he sold his share to Mr. Brazilier's negro who refused to pay him.
Foucault
Garie
Not printed in Louisiana Historical Quarterly.
#62
(19)
DECLARATION AND PROTESTATION.
Appearing at Record Office Sr. Denis Braud, merchant, holding power of attorney for Sr. L'hollier, Owner and Captain of the Schooner "La Charlotte", declares that Sr. L'Hollier had chartered his schooner to Sr. Bonille and others, but coming from Mobile they ran into a gale and were forced to throw cargo overboard. L'Hollier signed two papers, one in favor of Sr. Chabert for 100 piastres gourdes for loss of a case of guns, and one in favor of Bonille for powder damaged. L'Hollier protests paying said obligations having been forced for the sake of people aboard and also balance of cargo. Sr. requests acts granted him.
(Signed) Braud
Registered:
Duverges
DeReggio
Ducros
Henry Gardrat
L. Mazange
Garic, Notary
1764, Sept. 5 P. 74835
Note to Mr. Braud asking him to make deposition in his stead with the Admiralty, regarding the casting overboard of cargo of Schooner "La Charlotte".
(Signed) L'hollier
Not listed in Louisiana Historical Quarterly.
All movables and other affects belonging to the late Sr. Jean Dominigue Bunel's succession having been judicially sold and the proceeds deposited with the Chief Clerk of the Superior Council, Guillaume Roussillon, testamentary executor, appointed by the late Sr. Bunel in his will dated July 18th., petitions Hon. Dabbadie, First Judge of the Superior Council, for a decree to compel the Chief Clerk of the Council or any other holder of funds, to turn over to him all moneys in their care belonging to the said Succession, so he can settle all debts, in execution of Sieur Bunel's will.
(Signed) Roussillon
Petition referred to the Attorney General.
(Signed) Dabbadie
Attorney General Petition
The Attorney General demands that all funds in care of the Chief Clerk of Court belonging to the Bunel Succession, be turned over to the testamentary executor.
(Signed) Lafreniere
Decree approving the demands of the Attorney General.
(Signed) Dabbadie
(cont'd)
Chief Clerk's Answer
The Chief Clerk of the Superior Council answers that all funds in his care being under seizure by decree of August 7th., he is unable to comply with the present decree until the cancellation of the seizure.
(Signed) Garic
Decree
Decree of cancellation ordering funds to be delivered to Sieur Roussillon, testamentary executor.
(Signed) Dabbadie
Year 1764 September 13
Receipt
Receipt tendered Mr. Garic, Chief Clerk, for the sum of 2684 livres, proceeding from the sale of movable effects of the Bunel's Succession, delivered to the testamentary executor.
(Signed) Roussillon
Not printed in Louisiana Historical Quarterly.
LIST OF MERCHANDISE
Thirty-six bales of merchandise arrived on the boat Saint Rose Bayonne, in charge of Captain Dominique Daguiere, for account of Mr. Dernard Grangeneé, and consigned to Mr. Blache, merchant in New Orleans. Above 36 bales were sent from Bordeaux, and were reduced to 32 bales, which contained same amount as 36 bales, for which freight was paid at Bordeaux.
I certify the invoice as being correct. At Bordeaux, September 6th, 1764.
(Signed) by Litiz.
Mr. Blache appeared and said he does not want merchandise, and turned it over to Mr. Lafite.
(Signed by)
Blache
Garic,
Notary.
Not printed in Louisiana Historical Quarterly.
64/19
YEAR 1764
SEPTEMBER 7
SUMMONS TO APPEAR
Sheriff J. Maison on request of the Sieur Boulet de Salime, honorary tutor to the Bunel children, issues and serves notice to the following: Gauvain, Maxent, Avignon, Blache, Braud, Durel and Gardrat, ordering them to appear before Hon. Judge Foucault, to elect a permanent tutor to above minors.
(Signed) J. Maison
(2 pages)
1764
Sept. 11, Pages 74756-57
Meeting of Creditors
By notarial act the creditors of the late Sieur Bunel, appoint the Sieur Chateau to represent them in collection of monies due by the succession. He is further empowered to sue, seize, collect, etc. All monies collected to be prorated among them.
(Signed)
Chateau Fran. Xavies de Acosta
Roussillon L. Diard
Langlois Gadobert
Pelisson Guinault
Paubiss for Armant Bary
Triere Ch. Le Conte
L'Harans Larche
Bordas Borde
Guenard Boutte
J. Maison, Sheriff
Garic, Notary
(2 pages)
Not listed in Louisiana Historical Quarterly
RE: SUCCESSION OF BUNEL
Petition for Family Meeting to Elect a Guardian in Trust.
Petitioner, Mr. Boutte, having been appointed Honorary Tutor of the Bunel minors by Decree of the Superior Council, nows prays for order citing seven relatives, or lacking these, seven friends of said minors for the purpose of holding a meeting to appoint a guardian in trust for said minors, which guardian shall demand an accounting of all titles and papers concerning the Bunel Succession, he then to remain in charge of same and petitioner is to retain the administration and custody of all cash belonging to said minors. This meeting is to be held before the commissioner herein appointed and of the Deputy Attorney General.
(Signed) Boutte.
Sept. 7, 1764.
Order.
The foregoing petition is referred to the Attorney General for his opinion thereon.
(Signed) D'Abbadie.
Sept. 7, 1764.
Opinion of Attorney General.
Undersigned, Attorney General, demands that the family meeting prayed for be held as prayed for; that the Guardian in Trust thus elected shall also perform the function of
attorney ad lites to represent any and all rights and claims of the Bunel minors, that he shall take inventory of all papers and titles, as prayed for by plaintiff, the latter to remain in charge of the funds belonging to said minors, which funds, after all liquidations, shall be invested to the best advantage of said minors.
(Signed) Lafreniere.
Sept. 7, 1764.
Order.
The demands of the Attorney General are ordered executed. Said meeting is to be held in the presence of Mr. Foucault, Counsellor, Commissioner in this matter, and of the Attorney General.
(Signed) D'Abbadie.
Not listed in Louisiana Historical Quarterly.
61/19
RE: SUCCESSION OF BUNEL
Proces-Verbal of Family Meeting.
This meeting was held pursuant to Order rendered by Judge D'Abbadie on the demand of the Attorney General. Presiding were: Mr. Foucault, Counsellor, appointed Commissioner herein, and the Deputy Attorney General. The undersigned were present. The object of this meeting is the election of a Guardian in Trust for the Bunel Minors, or of an Attorney *ad lites* to represent the interest of said minors in this succession. After careful deliberation, Mr. Gardrat, Registry clerk was elected but he refused to accept said position because of the duties of his office. The members of this meeting then declared themselves to be of the opinion, that due to the many creditors of this succession and to the fact that there were no funds to satisfy the said Creditors, the house and lot belonging to said Succession should be sold by Mr. Boutte Latime in order to pay these creditors.
(Signed) Durel
Maxent Gauvain
Langlois Avignon
Delaplace Foucault
Whereupon, said proceedings were ordered referred to the Superior Council by undersigned.
(Signed)
Delaplace Foucault.
September 14, 1764.
Demands of Attorney General
Mr. Lafreniere, Attorney General, demands that the foregoing proceedings be homologated, that Mr. Boutte Latime, tutor without title, remain in charge of the funds of said Succession and that, after liquidation of the debts, the balance be invested to the best advantage of the minors; that her Gardrat, Attorney ad lites, take over all papers and titles in said Succession and represent the rights of the minors before the Superior Council.
Mr. Lafreniere consents to the sale of the house and prescribes the terms and condition of said sale and payment of the purchase price and the disposition of same. He demands that the creditors be ranked and satisfied accordingly.
(Signed)
Lafreniere
Not printed in Louisiana Historical Quarterly.
61/19
YEAR 1764
SEPTEMBER 8
REJECTION OF A SHIPMENT OF GUNPOWDER.
DECLARATION BEFORE A NOTARY BY SR.
DENIS BRAUD, MERCHANT IN THIS CITY.
Sr. Braud declares that by virtue of an order of Judge D'Abbadie, dated the previous day Sieurs Loppinot and Doussin inspected a shipment of 1000 pounds of gunpowder, which had been sent to him from Mobile by Sieur Badon; that they found said gunpowder to be old, inferior in quality and badly damaged; that he (Sr. Braud) refuses to accept same and desires to register his non-acceptance and his abandonment of said gunpowder, which is now at the magazine, at the risks of said Sr. Badon.
(Signed) D. Braud
Garic, Notary
Not listed in Louisiana Historical Quarterly.
57/29
COURONNE v COLES
Sr Couronne sues Coles, ship captain, for the amount of cargo carried in the ship "VAINQUEUR."
SUBJECT: Cargo, Captain of ship, vessel, "VAINQUEUR"
PERSONS: Couronne, Coles
#1764090903
Not found in Louisiana Historical Quarterly
YEAR 1764
SEPTEMBER 10
INTERROGATORY
Replying to interrogatory propounded him by Judge Foucault the negro Louis or Foy in his country, placed in the witness chair declares belonging to Sr. Blevin, from Illinois to have been sold at the Cap - from where came to this country; to have been imprisoned for theft and runaway; admits having committed some robberies but denies others; denies having fired the shot to the named Lafleur or any one and does not know why denied knowing Cesar; after which to the accused, kneeling and bare-headed, was told of Attorney General's request to be administered torture (3rd degree) during which time accused declares having sold clothes given him of said Cesar and to have damaged a window to steal. Accused then untied, was delivered to the jail-keeper and taken back to prison.
(Signed) Foucault
LeSassier
Garic, Notary
Not listed in Louisiana Historical Quarterly.
YEAR 1764
SEPTEMBER 10
SUMMONS TO APPEAR
Sheriff J. Maison at the request of the Sieur Boulet de Salime, honorary tutor to the minor children of the late Sieur Bunel, issues a notice of service to the following: Sieurs Gardrat, Maxant, Avignon, Braud, Pradel, Gauvain, ordering them to appear before Judge Foucault at 9:00 o'clock, Sept. 11th, for the purpose of electing a permanent tutor for above minors.
(Signed) J. Maison
(2 pages)
Not listed in Louisiana Historical Quarterly.
62/29
DEMANDS OF ATTORNEY GENERAL
RE: Louis, accused negroes, and others.
The criminal proceedings instituted on his demand against Louis or Foy, property of Mr. Blouin, resident of Illinois, accused in the proceedings instituted against the negro, Cesar, the negresses Louison and Comba, and others proceedings had, and the testimony obtained herein, all duly examined and considered, undersigned Attorney General demands in the name of the King that; the negro, Louis be declared guilty of robbery in the night, of robbery and of being a runaway for a long time, in reparation of which he shall be condemned to make honorable amend before the church in the customary manner and that he be broken on a gallows erected for that purpose on the Square of the city, to remain there until he dies, his body to then be carried by the Public executioner to Bayou Road; that prior to his execution, his appraisal shall be made in the customary manner, that the proper amount be delivered to Mr. Blouin. Mr. Lafreniere further demands that Marie Jeanne be declared guilty of having received effects stolen by the negroes, Cezar and Louis, in separation for which she shall be flogged at all the crossways of the city and then to be publicly branded with a V. He also demands that Louison and Comba be declared guilty of harboring and aiding Louis and Cezar, for which they shall be condemned to be present and at the execution of the negro, Louis. Mr. Lafreniere demands, finally, that Jean Baptiste, who was incriminated in these proceedings against Cezar and Louis, be
arrested and that Malva and Kable be returned to their Masters. He also demands that the Decree to be rendered herein shall be duly published, posted and registered in the customary places and copies sent to all Posts of this colony.
(Signed) Lafrenière.
Messrs. Cantrelle and Prevost arbitrators appointed by the Council.
(Signed) Lf.
Not printed in Louisiana Historical Quarterly.
Certificate of Appraisal.
On 10th of September, 1764, Jacques Cantrelle and Francois Langlois by an order of the Superior Council, were appointed the appraisers of a negro named Louis, who belonged to a Sr. Bloin. After the usual examination of the negro, he was appraised at the sum of 500 livres.
(Signed) Cantrelle
Langlois
Not listed in Louisiana Historical Quarterly.
CRIMINAL HEARING BY THE JUDGES
OF THE SUPERIOR COUNCIL "EU
BANC."
Between the Attorney General,
plaintiff and accuser
and
The Negro named Louis, defendant and accused.
The Superior Council considering the prepared criminal lawsuit, and other papers and documents against the negro Louis and the copy containing the testimony of seven witnesses heard by Mr. Foucault, and his order to have the same communicated to the attorney general, to summon those whom it may concern; His prepared opinion, and the ordinance of Mr. Dabbadie to have the said Louis examined on the facts resulting from the charges in the prepared lawsuit against the negro Cesard condemned to death, petition of the attorney general ordering the negress Comba, Louison, Marie Jeanne, equally examined and confronted with the accused, other documents, and the charges of the negro Cesard continued and inserted in the procedure against him, examination of the negro Malva belonging to Sieur Duval and Clebi belonging to Sieur Vilars, the Councils' order to proceed for a definite judgment the result of the rigid examination of the said Louis at the bottom of which the verbal process of the torture and rack appear with the definite opinion of attorney general. The Council declared and declares, the negro Louis guilty as charged; of stealing by day and by night and of repeated burglaries and running away. For the satisfaction of which, condemned, and condemns him, to make a public atonement before the principal door of the Parish Church, with a rope around his neck, holding in his hand a fiery torch weighing two pounds, kneeling, bareheaded, in a long shirt, asking in a loud voice, God's pardon, the Kings and justice for the crimes he committed wickedly and maliciously, and of which he is accused, after which he will be conducted on the square, by the hangman, to have his arms, legs, thighs, and back broken alive on a scaffold built for that purpose, and placed on a wheel, face upturned to heaven to end his pains. His body will be taken by the hangman on the Bayou Road to be exposed on the said wheel until consumed, and order that the value of the said negro Louis be estimated by Messrs. Cantrelle and Langlois and the price remitted to Mr. Blouin, from the proceeds of a tax imposed for that purpose, according to act of August 6th, 1763. The Council ordered the negress Marie Jeanne whipped and branded on the right shoulder with a letter V. for concealing stolen property, and that the negress Louison and Comba for having concealed the negroes Louis and Cesard to be present at Louis' execution, and that the negro Baptiste be arrested, and the negro Malva and Clebi be returned discharged to their masters.
RETUNTUM
It was decreed by the Court that the said negro Louis must not feel any blows while alive, but be secretly strangled.
Dabbadie
Aubry
Huchet de Kernion
Lesassier
Delaunay
Foucault
Delachaise
Not printed in Louisiana Historical Quarterly.
STATEMENT OF ACCOUNT IN SUCCESSION OF SIEUR BUNEL
Money received for sale of furniture, movables and immovables, etc., amount to the sum of 2684 livres.
Total amount of expenses, 1468 livres.
Balance, 1216 livres left after all debts have been paid, was given to the Sieur Roussillon, executor of above estate, by the Sr. Garic on orders of Honorable D'Abbadie.
(Signed) no signature
(2 pages)
Not listed in Louisiana Historical Quarterly.
YEAR 1764
BUNEL'S SUCCESSION STATEMENT.
Itemized statement of court cost for the settlement of the succession amounting to 550 Liv.
Expenses incurred for collections, doctor and notary fees funeral etc., 918 Liv.
Total 1468 Liv.
Said amount ordered paid by the testamentary executor upon receipt rendered by the Clerk of Council.
No Signatures.
Not printed in the Louisiana Historical Quarterly.
57/10
STATEMENT OF ACCOUNTS IN SUCCESSION OF SIEUR BUNEL GIVEN BY SR. GARIC.
Money received for sale of furniture, movables and immovables, etc., amount to the sum of 2684 livres. Total amount of expenses, 1468 livres. Balance, 1216 livres left after all debts have been paid, was given to the Sieur Roussillon, executor of above estate, by the Sr. Garic on orders of Honorable D'Abbadie.
(Signed) Garic, Clerk
(2 pages)
Not listed in Louisiana Historical Quarterly.
FRAGMENT OF A PETITION.
This seems to be a petition for collection of a Bill of Exchange amounting to 6,885# in piasters, eight years, 4 months past due, representing a one-sixth interest in a plantation sold defendant by plaintiff. Plaintiff alleges suffering great hardship by the non-payment of said Bill of Exchange such as having been unable to live as became a man of his position as well as having been deprived of the use of his 1/6 interest in his said plantation for 8 years. Plaintiff prays the Council for a judgment against said defendant for 6,885# together with damages for losses sustained by reason of the loss of the use of 1/6 interest in plantation sold defendant.
(Note) - No names are given in the petition, nor is it signed.
Not listed in Louisiana Historical Quarterly.
This is an itemized statement of account rendered by Mr. Garic, Chief Clerk of the Registry of the Superior Council, in charge of the collection of the proceeds of sale of property belonging to the Succession of the late Sieur Pradel, Lieutenant of ship of war. The total proceeds amount to 146,257# 16 "sols" 3 "deniers". The amount of expenses totals 143,624 # 7 "sols" 7 "deniers." Mr. Garic certifies that this statement is correct.
(Signed) Garic,
Clerk.
Sept. 13, 1764.
Verification in Duplicate
Undersigned verifies the fact that Garic has delivered to him his note of Sept. 13, 1764, for the balance remaining in his hands, for which he gives him a receipt and discharges him from all further obligation to said succession.
(Signed) Delachaise.
(Parts of pages have been torn from this document.)
Not listed in Louisiana Historical Quarterly.
MARRIAGE CONTRACT.
By Notarial act, Sieur Pierre Charles Jouet, surgeon, resident native of Agde, France, son of Sieur Jean Jouet, surgeon, and Dame Marie Horte,
and
Miss Marie Joseph Fossier, widow of Sieur Cormond, resident and native of this city, and daughter of Sr. Joseph Fossier and Dame Marie Perret.
Above parties enter into a contract of marriage stipulating the following clauses: Ceremony according to rites of Catholic Church.
Their properties movable and immovable to be administered according to the ordinance of acquests and gains of the custom of Paris.
Each responsible for debts contracted before marriage.
Future wife brings whatever reverts to her from her first marriage and that which will come to her from her late mother's succession.
Preciput - 1000 livres.
Future husband gives to future wife, 2000 livres prefixed dowry, principal to be held intact for her children. Testamentary allocation of community. Wife and children to renounce or accept community.
Her son by first marriage is to be raised and educated in Catholic faith. All maintenance and education is to be from interest of his share, without breaking into principal.
Signed by:
WITNESSES:
J. Mascicot
Fossier
G. Revoil son
Camaré
J. Maison
L. Mazange
Charles Jouet
Marie Joseph Fossier
Garic,
Notary
Registered in Folio 98, Superior Council.
Deverges - De Reggio - Ducro.
Garic,
Clerk.
Not printed in Louisiana Historical Quarterly.
YEAR 1764
CONTRACT OF MARRIAGE
By notarial act Sieur Louis Ducrest native of Arudy diocese of Oloron in Bearn France, son of Amante Francois Ducrest and Dame Jeanne Pousant and Miss Elenne Angelique Bellet native of New Orleans daughter of Jean Bellet and the late Marguerite Cartier.
Enter into a contract of marriage stipulating the following clauses:
Ceremony according to rites of Catholic church. They agree to community of acquests and gains according to custom of Paris.
Each responsible for own debts contracted before marriage.
Future wife brings to marriage her inheritance from Sieur Brosset, her uncle 1/3 of which goes to the community and remaining 2/3 to her and her heirs.
Future husband settles on future wife a jointure of 6000 livres of which the principal is to be held intact for children. In case of no children to revert to his heirs.
Above secured by a mortgage of all his properties.
Preciput-300 livres
Future wife and children have privilege of accepting or renouncing community.
They make a deed of gift to the survivor.
(Signed by)
Louis Ducrest-Helene Bellet-J. Bellet-Couprie
Toutant Beauregard-Cheval-M. Bonnemaison-L. Mazange
Bourgaux-Henry Gardrat-Garic Notary.
Registered Duverges DeReggio Ducros.
Pursuant to order rendered by the Judge of the Superior Council, Mr. de Kernion, commissioner appointed in this matter the Deputy Attorney General and the Clerk of the Registry repair to the room which had been occupied by the late Jean Tevenard, Carpenter, in the house of Mr. Boul, for the purpose of affixing seals to the effects left by the deceased and to take inventory of said effects, in order to protect the rights of those who might have an interest therein. No such effects to which seals could be affixed being found inventory was then proceeded to and completed. Inventory shows that the estate of Teveard consisted of a cypress bed and table, some wearing apparel, some bedding and a few miscellaneous articles. Also of several notes showing indebtedness of several different people for various amounts lent; also of one act of sale under Private signature showing purchase of the mulatto Piene by the deceased for the sum of #700. Mr. Boul declared that there was due him by the late Mr. Teveard the sum of 75# in letters of exchange for rent; Mr. Riviere declared he owed him 62# in rates of the colony; and Mr. Chelce claimed that there was due him the sum of 25# in letters of exchange for two cords of wood. Mr. Chelce declared he did not know how to sign.
(Sgd) St. Hermine.
Ducros
Delaplace
J. Maison
Tiene
Mr. Ducros, attorney for vacant estates, prays for order to affix seals to the effects left by Jean Tevenard carpenter who has just died intestate in this city. Petitioner also prays that inventory be taken of said effects for the benefit of his children, whom it is said are in France. Petitioner further prays for the appointment of a commissioner to act herein together with the attorney general.
'Sgd Ducros.
Sept. 15, 1764.
Order
Petition is referred to the attorney general by the undersigned judge.
'Sgd D'Abbadie.
Demands of attorney general.
Undersigned attorney general demands the granting of the foregoing petition, as prayed for.
'Sgd Lafreniere.
(cont'd.)
Mr. Ducros, attorney for vacant estates, prays for order to affix seals to the effects left by Jean Tevenard carpenter who has just died intestate in this city. Petitioner also prays that inventory be taken of said effects for the benefit of his children, whom it is said are in France. Petitioner further prays for the appointment of a commissioner to act herein together with the attorney general.
'Sgd Ducros.
Sept. 15, 1764.
Order
Petition is referred to the attorney general by the undersigned judge.
'Sgd D'Abbadie.
Demands of attorney general.
Undersigned attorney general demands the granting of the foregoing petition, as prayed for.
'Sgd Lafreniere.
(cont'd.)
POWER OF ATTORNEY.
By notarial act, Sieur Brassillier, tutor of the minors St. Laurent, grants a procuration to the Sieur Henry Gardrat giving him power and authority to collect all sums due to minors, give receipts, renew leases, file suits, etc., in fact to administer the estate to the best advantage of minors.
When money is collected, it is to be turned over to Sieur Brassillier. Gardrat's expenses are to be paid plus a commission of 5% on all sums collected.
(Signed) Brassillier
Witnesses: Garic, Notary
Boulet
L. Mazange
Registered: Deverges
DeReggio
Ducros
(2 pages)
Not listed in Louisiana Historical Quarterly.
62/29
YEAR 1764
RETURN OF SHERIFF
Undersigned sheriff makes his return showing service of notice of judgment on Mr. Loquet, ordering him to pay 204 livres to R. P. Dagobert or to appear before Mr. Dabbadie the same day to show cause why he refuses to satisfy this judgment rendered against him.
(Sgd) J. Maison.
Not entered in Louisiana Historical Quarterly.
4 pp
61/17
PETITION
Henry Pierre Gardrat in the name and as tutor of the minors Bunel, petitions Honorable D'Abbadie and says that Sieur Bunel put up the sum of 450 livres with the Clerk of Council for costs in his appeal against his wife from whom he wanted to be separated. As Sieur Bunel has died since and the case has not come for trial, Sieur Gardrat requests that Mr. Garic return the money for the children.
(Signed) Henry Gardrat
Sieur D'Abbadie, Director General, orders Garic to return above sum.
(Signed) D'Abbadie
Receipt from Sieur Gardrat to Mr. Garic for full amount of money returned.
(Signed) Henry Gardrat
Not listed in Louisiana Historical Quarterly.
64/29
Receipt
Captain Jean Baptiste Blanc of the ship "Le Phoenix" declares receiving from Pierre Lozillier the sum of 1,700 dollars.
(Signed) Bte. Blanc
(Document very faded, hardly legible).
Not listed in Louisiana Historical Quarterly.
Petitioner, Jn. Bapté, Chateau, merchant, acting in his own name as well as Sindic and attorney of the creditors of the succession of the late Mr. Bunel, after giving due explanation as to his authority to act herein, he sets out the claims of said creditors according to their rank and privilege. Those holding mortgages are ranked first. The names of creditors, date of the transaction, the amount and how payment was to be paid, being all set out and marked with a letter for identification of said claim. Following these, are those of ordinary creditors, and representing bills for merchandise, and notes due by the deceased for various amounts, all of which are set out in the same way as the privileged claims. Petitioner declaring that such is the respective rank of said creditors, and he prays that they will be thus recognized and that payment will be made in the shortest and most expeditious way possible, as well as in the least costly to the minors interested in this succession, and that there be an order for judicial sale of the immovables belonging to this succession up to the amounts of the debts herein and to pay the cost of said sale; that the proceeds of said sale be delivered to the tutor of the Bunel minors, or to Mr. Roussillon, the testamentary executor, and that the amount necessary to settle these
claims be then delivered to petitioner who shall furnish proper receipt, which receipt shall serve as a full discharge from all further obligation to the creditors of this succession.
(Sgd) Chateau.
At the foot of petition, Mr. Chateau adds several more claims and states that the statements of these creditors are attached to this petition (Note: These statements are not thereto attached)
(Sgd) Chateau.
Service accepted.
(Sgd) Gardrat.
Sept. 19, 1764.
ORDER
The foregoing petition is ordered referred to the Attorney General.
(Sgd) D'Abbadie.
Sept. 19, 1764.
DEMANDS OF ATTORNEY GENERAL.
The foregoing petition duly considered, Mr. Lafreniere, Attorney General, demands that all titles and papers concerning this succession be delivered to Mr. Gardrat, Guardian in Trust, performing the function of attorney ad lites for said minors, for his arguments and oppositions, the whole to be delivered to the commissioner herein for the making his report to undersign, as required by law.
(Sgd) Lafreniere.
(cont'd)
September 19, 1764.
ORDER.
Undersigned Judge orders the execution of the demands of the Attorney General.
(Sgd) D'Abbadie.
Not Listed in Louisiana Historical Quarterly.
YEAR 1764
PETITION
Sr. Hollier petitions the Superior Council to force Srs. Bonille and Tiour to pay freight costs on the cargo that he brought from Mobile stating that he left Mobile with said cargo belonging to them when a storm forced him to throw overboard part of the cargo in order to save his boat and his life. He returned to Mobile where the English Governor refused to let him continue his voyage until made two obligations to Srs. Bonille & Tiour for the lost cargo.
Petitioner requests them summoned to deliver said obligations, to be declared nul, and besides pay all costs and interests.
(Signed) L. Hollier
Granted to summon Srs. Stuart and Maxent, Bonille Correspondents,
(Signed) D Abbadie
1764
Sept. 22, Sheriff Maison delivers summons.
(Signed) J. Maison
1764
Sept. 24, Default against Sr. Stuart, resummoned and ordered to appear personally or by Procurator.
(Signed) D Abbadie
(cont'd)
Sheriff J. Maison delivers resummoned, failure to appear, will be compelled to by the Law's rights and rigor.
Not listed in Louisiana Historical Quarterly.
58/19
AGREEMENT AND RENUNCIATION
BY SIEUR BELLOT TO MR. AND
MRS. LOUIS DUCREST FOR THE
SETTLEMENT OF HIS PENSION.
Personally appeared before the attorney and
Royal Notary Sieur Jean Bellot, party of the
first part, and Jean Louis Ducrest, merchant,
and Miss Helene Angilique Bellot his spouse,
whom he duly authorized by these presents,
party of the second part; in the presence of
Sieur Touton Beauregard, heretofore tutor
of the said Dame Helene Bellot, to avoid all
discussions, concerning the pension of 500
livres annuily, that Helene Bellot must give
to Sieur Jean Bellot and Dame Cartier her
mother for life, according to the disposition
by diverse orders and last wish of Sieur Brossett,
of which the said Miss Bellot is legatee for
one half of the property left by him were of
common accord and agreed after careful consul-
tation to transact and annul the said pension
for the sum of 20000 livres once paid even
though Margurite Cartier his wife be dead to
reach a settlement.
Sieur Jean Bellot acknowledges having received
from the hands of Sieur Louis Ducrest and Miss
Helene Bellot his wife duly authorized the sum
of 20000 livres, presently counted out to him and
renouncing to all annual pensions which becomes
extinct and not to come, Sieur Jean Bellot promis-
ing having nothing more to demand from Mr. and
Mrs. Ducrest, whom he holds discharged, renouncing
to all rights and pretentions concerning the said
(cont'd)
pension in favor of his son-in-law and daughter, and that their property not subject to mortgage, in consideration of the sum given him to live for the rest of his life.
The said renunciation being purely and simply accepted by the said Mr and Mrs Louis Ducrest for the execution of which they established their domicile in this city, and Sieur Jean Bellot, in his house situated at Nancrabourg in Saintonge where all summons and writs and petitions must be made thus it was agreed and passed in the presence of Henry Gardrat and Mazange witnessed.
(witnesses)
L. Mazange
Henry Gardrat
J. Bellot
Louis Ducrest
Touton Beauregard
Garic, Notary.
Registered
E. Duverges
DeReggio
Ducros.
#62
#10
YEAR 1764
SEPT.21st.
RECEIPT & DISCHARGE OF SIEUR TOUTON BEAUREGARD BY SIEUR LOUIS DUCREST.
Before the undersigned notary, was present Sieur Louis Ducrest, in the name, and as having married Miss. Helene Bellot, who said and declared having received in ancient bill of the Colony from Sieur Touton Beauregard heretofore tutor of his wife the sum of 38000 livres coming to her from a legacy made by her late uncle Sieur Brossett, for which sum Sieur Ducrest holds Sieur Beauregard discharged.
Signed,
Touton Beauregard
Louis Ducrest
Garic, Notary
Witnesses:
Henry Gardrat
L. Mazange
Recorded:
Deverges
De Reggio
Ducros.
Not entered in Louisiana Historical Quarterly.
1 p
62/17
CONTRACT OF MARRIAGE.
By notarial act Sieur Pierre Duverges, secretary to Mr. D'Abbadie native of Bordeaux, son of Sr. Jacques Duverges and Miss Marie Francoise Rodier.
And
Miss Therese Anne Le Brun, native of Janzac in Saintonge France daughter of Sr. Jacques LeBrun, and Marie Anne Revvil. Enter into a contract of marriage stipulating the following clauses:
Ceremony according to rites of catholic church.
They agree to community of acqueste and gains according to custom of Paris.
Each responsible for debts contracted before marriage.
Preciput-1000 livres.
Future husband settles on future wife a jointure of 3000 livres, of which the principal is to be held intact for the children. In case of no children to revert to his heirs. Future wife and children have privilege of accepting or renouncing community.
There is a clause providing for lodging and maintenance of future wife by her brother-in-law and sister. This is in case husband is obliged to go to France, in his capacity as secretary to Mr. D'Abbadie. They make a deed of gift to the survivor.
Signed by
Duverges-Nanette Le Brun-Hardy de Boisblanc
(cont'd)
Joly-J. Songy-J. Vienne-Armant-Anne Joli-Henry Gardrat-L. Mazange, Garic, notary.
Aug. 11, 1765
Registered in Folio 97.
Signed
Garic, clerk.
Recorded
Duvergez
DeReggio
Ducros.
Not listed in the Louisiana Historical Quarterly.
64/10
JUDGMENT AGAINST THE CHEVALIER SUCCESSION.
Sieur A. L. Peichon, having bought a house at private sale from M. Chevalier, agrees to pay one hundred measures of flour, and two thousand livres. Due to want of credit, Chevalier cannot go on with the sale, and because Peichon cannot get possession of the house, he petitions Hon. d'Abbadie, first Judge of the Superior Council in Louisiana, to have the act of sale annulled, and to issue a summons to Sieur Peichon to show cause why he should not return the one hundred measures of flour and at their true value.
(Signed) Peichon
The Attorney General approves the petition.
(Signed) Lafreniere.
The Judge orders to annul the sale and to reimburse petitioner for the 100 measures of flour.
(Signed) Dabbadie.
Not printed in Louisiana Historical Quarterly.
PROMISSORY NOTE BY NOTARIAL ACT.
Dr. Bertrand Guichanduc, surgeon of this colony is maker of note which is payable to Miss Marie Joseph Adam, resident of this City.
The note matures one year after date (today) and is for 550 livres, payable in letter of exchange. No interest rate is mentioned. Secured by mortgage on maker's present and future property.
(Signed) Bnd Guichanduc
Marie Joseph Adam
Henry Gardrat) Wit-
L. Mazange ) nesses
Garic,
Notary Public.
Not printed in Louisiana Historical Quarterly.
CHARGES BY ATTORNEY-GENERAL
The Attorney General for the King makes additional charges against the negro Cimba and eleven others, based on statements made by Sr. Macarty, former King's Lieutenant and a resident at Cannes Brulées.
SUBJECT: Cannes Brulees, griffe, Criminal procedure
PERSONS: Macarty, Verret; slaves: Cimba, Louis
#1764092401
Not found in Louisiana Historical Quarterly
Alleging that Mr. Daubert has done to live under the British Rule and has abandoned his interest here, petitioner Jean Fantau, surnamed Cavalier, prays that the house which he sold Mr. Daubert on January 21, 1763, for 22,000# and on which there is a balance due and unpaid of 9,732# lo "sols" he sold to satisfy this claim, upon observing all the requirements of law and that the privileged creditors having liens on said house, as well as all other creditors of Mr. Daubert be paid with the surplus of the proceeds of said sale; after petitioner's claim is paid.
Unsigned.
Sept. 29, 1764.
Order
Undersigned Judge orders the foregoing petition submitted to the attorney general for his opinion.
Sgd. D'abbadie.
Oct. 1, 1764.
Consent of attorney general.
The foregoing premises herein duly considered; the undersigned, attorney general, consents to the sale of said house, as prayed for; said sale to
(cont'd)
to take place before such commissioner as shall be appointed, before the Deputy attorney general; the proceeds are to be deposited at the Registry and held there until the rank of the respective creditors shall be determined.
Sgd. Lafreniere.
Order.
Oct. 1, 1764.
Undersigned Judge orders the sale of the Daubart house and appoints Mr. de Kernion to preside at said sale together with the Deputy attorney general. The proceeds of said sale are ordered deposited at the Registry to be subsequently distributed as shall be decreed.
(Sgd. D'Abbadie.
Not listed in L. H. Q.
61/10
PROCURATION
By Notarial act Sieur Philippe Periche grants a procuration to the Sr. (Blank) giving him power and authority to bring to a conclusion all affairs connected with his inheritance from the Sieur Jacques Periche and Dame Louise Cherazelle, his father and mother, both natives of Grenoble in Dauphine.
He further empowers him to take an inventory of all goods movable, and immovable, in the succession.
To sell whatever he can, and to render an account to all the creditors.
To recover his privileged share left to him by his father, and now held by his brother, the Sieur Paul Periche, and, if necessary to institute all legal proceedings to cover same.
Witnesses: Gauvain fils L. Mazange
Signed by: Periche Garic,
Notary.
Registered - Duverges- De Reggio- Ducros.
Not printed in Louisiana Historical Quarterly. 64 (19)
Affidavit of
SIEURS DUMAS & GRIEUMARE
Owners of 1/3 of the Schooner
"LA NOTRE DAME de MONT CARMEL"
in their own name
and acting for
Sr. D. De Long, Merchant.
Affiants declare that they have sent to Sr. Dumas, merchant at Marseilles, insurance as follows:
| Description | Livres |
|--------------------------------------|--------|
| On their 2/3 interest in said schooner | 4,000 |
| " 2/3 " its cargo | 8,000 |
| Total | 12,000 |
Affiants further declare that they desire that their letter enclosing the foregoing and dated August 27th., addressed to Sr. Dumas, shall have its full force and effect, and they hereby approve and ratify all that the said Dumas shall do in the premises.
(Signed) Dumas & Grieumare
Daniel Delon
Couzin
Henry Gardrat
F. Mazange
Garic, Notary.
Not listed in Louisiana Historical Quarterly.
SIEURS DROUET, MERCHANTS
vs.
Sr. Gregoire, Captain of
the ship "Le Machault"
(Fournier & St. Pé, owners)
Report of arbitrators on the examination and appraisement made by them at the warehouse of Sieurs Drouet, of damages to seventeen bales of blankets which occurred on board the vessel "Le Machault".
The arbitrators fix the amount of damages at 3558 livres 9 sols 5 deniers.
(Signed) J. Vienne, Braquier,
Maxent, Olivier
Order to defendant to pay the sum decided on by the arbitrators, less freight due.
(Signed) Foucault
On separate sheets:
March 28, Receipt of J. B. Drouet for the sum
1765 of 3558 livres 9 sols 5 deniers.
76909
76908 Copy of acceptance of arbitration evidently by Captain Gregoire (unsigned except for certification of copy by J. Drouet).
Not listed in Louisiana Historical Quarterly.
Receipt for a Charity Fund.
Sums collected by sheriff of the Superior Council amounting to 437 livres, 4 sols, 4 derniers, in letters of exchange and 784 livres in money of the colonies, same to be given to a charity fund.
(Signed) Olivier de Vezin.
Not listed in Louisiana Historical Quarterly. |
Wiesław Krzemiński—a man of a great passion for fossil flies
AGNIESZKA SOSZYŃSKA-MAJ¹, KORNELIA SKIBIŃSKA² & KATARZYNA KOPEò
¹University of Lodz, Faculty of Biology and Environmental Protection, Department of Invertebrate Zoology and Hydrobiology, 90-237 Lodz, Poland
²Institute of Systematics and Evolution of Animals, Polish Academy of Sciences, 31-016 Krakow, Poland
✉ firstname.lastname@example.org; ✉ https://orcid.org/0000-0002-2661-6685
✉ email@example.com; ✉ https://orcid.org/0000-0002-5971-9373
✉ firstname.lastname@example.org; ✉ https://orcid.org/0000-0001-6449-3412
FIGURE 1. Wiesław Krzemiński, Natural History Museum in London, 2014 (photo A. Soszyńska-Maj).
Wiesław Krzemiński was born on 26 October 1948, in Oświęcim, south of Poland. In his youth he was an addicted book reader and developed his love for nature. After few years of playing in a big beat band he eventually focused on biology. Currently, he is a full time Professor and works in the Institute of Systematics and Evolution of Animals, Polish Academy of Sciences in Kraków (ISEA PAS) and the Pedagogical University in Kraków.
In 1976, Wiesław finished his master’s degree at the Department of Biology and Earth Sciences at the Jagiellonian University in Kraków under the supervision of Dr. Janusz Wojtusiak. His thesis considered the taxonomy
of the genus *Chionea*, a winter-active wingless fly of the family Limoniidae (Diptera). Since then his scientific interest has focused on nematoceran flies, mainly the Limoniidae, to which Wiesław became addicted all his life till now. In 1978 he was employed in the Institute of Systematics and Evolution of Animals, Polish Academy of Science (ISEA PAS). The first task of investigation on Antarctic fauna resulted in the next summer season spent at the Henryk Arctowski Polish Antarctic Station on King George Island. His first publication dealt with elephant seals. The Institute was, and is, a great place to work for Wiesław, and it gave him opportunities of expeditions to faraway countries.
Wiesław Krzemiński defended his PhD thesis on a Recent Limoniidae: “Eriopterinae (Diptera, Nematocera) of Poland” in 1981. Shortly after obtaining his PhD he became interested in fossil insects, beginning with Baltic amber inclusions and soon after with much older fossil imprints in sedimentary rocks. In 1993 he defended his habilitation thesis “Triassic and Lower Jurassic stage of the Diptera evolution” at the Faculty of Biology and Earth Sciences, Jagiellonian University in Kraków. In 2003 he received his state professor nomination and he started academic work, first at the Faculty of Biology and Agriculture, University of Rzeszów (2005–2009) and since 2010 at the Faculty of Geography and Biology, Pedagogical University in Kraków, where he currently works. He lectures on palaeontology and evolution and
conducts palaeontological field classes during which students collect fossil specimens and try to determine them on the spot.
The forty-years of scientific work of Wiesław Krzeminski has concentrated mostly on the systematics, evolution and phylogeny of the order Diptera, Nematocera and the last years he has become more interested in fossil Mecoptera. He works on fossil and recent materials. His main interest was the homology of wing venation within Anthiophora, and its significance to systematics and phylogeny. Among his scientific achievements is a description of the oldest Diptera from the Lower/Middle Triassic of France, *Grauvogelia arzvilleriana*. This representative of the extinct lineage ancestral to the Tanyderidae and Psychodidae, have been recently used to age calibration of whole the Diptera order. His long lasting passion are nematoceran flies in Baltic amber, which he has been collecting for decades, mainly at his own expense and on his own time. His activity has been connected also with other areas of palaeontology, the Carboniferous insects from Silesia, and Jurassic crabs from Polish localities. Easy and amiable attitude to the amateur collectors of fossils helped him to rediscover half-forgotten localities and to gain the large collection of ca. 7,000 Jurassic crabs, now the property of the ISEA PAS under the investigation of Polish and international teams. His collection of Paleozoic Palaeodictyoptera from Poland together with Jakub Prokop’s study from Czech gave backgrounds to some evolutionary hypothesis about insect wing origins.
In 1991, he and his wife, Ewa, organized in Kraków the International Conference on Tipulomorpha, and in 2001, the 2\textsuperscript{nd} International Conference on Fossil Insects; during the latter meeting both initiated the International Palaeoentomological Society. On Polish ground, Wiesław was co-founder of two intensively working sections of the Polish Entomological Society: Fossil Insects and Dipterological. His scientific work and passion was awarded with “The Cross of Merit” by the President of Poland, Medal of the President of the City of Gdańsk for
his dedication to promotion of Baltic amber and the city of Gdańsk as a World Capital of Amber, Medal of the Polish Entomological Society for his merit to the society, award of the Polish Academy of Sciences for his book “In amber trap”, “Honoris Gratia” medal of the President of Kraków for people distinguished for the city of Kraków, and recently an honorary member of the Polish Entomological Society in 2019. Till the end of 2019 he has authored almost 170 scientific publications, and has been a co-author of few books and some academic papers and chapters in academic books. He has promoted numerous bachelor and master theses and two doctoral dissertations. Thanks to his help, two habilitations considering fossil Limoniidae and one relating to Mecoptera have been initiated.
A great merit of Wiesław Krzemiński’s scientific activity in Poland was the establishment of the Natural History Museum on behalf of the Polish Academy of Sciences. The museum is situated in the art nouveau style building formerly being occupied by public baths at 9, Św. Sebastiana Street. Since 1990 Wiesław is the director of this Museum and has organized more than 70 exhibitions, mainly on fossil and living fauna and on nature protection. Between 1994 and 2009, Wiesław headed the Pro Natura Foundation, which supported the Museum by helping people dismissed from the Institute during obligatory staff reductions, and helped fund the introduction of the tortoise *Emys orbicularis* to water bodies in eastern Poland. The Museum also houses a collection of Baltic amber inclusions (*ca* 5,000 items), which is growing every year. He also took part in organizing the Natural History Museums in Bolestraszyce, the Wolin National Park, the Magura National Park, the Tatra National Park Museum, and the Museum of Nature, Crafts and Ethnography at Srokowo near Kętrzyn in the northern Poland.
During his countless trips over the years have included working in various collections worldwide, looking for new material for study, and meeting new friends were the main aspects of his work. His open and friendly personality enabled him cooperation with many colleagues from abroad, which has had, and still has, a great impact on Wiesław’s further studies. His skills in working up the fossil imprints were mastered under the supervision of the worldwide known Russian palaeontologists: Alex Rasnitsyn, Irina Sukacheva, Yura Popov, Vladimir Zherikhin; all became his lifelong friends; as well as Vladimir Blagoderov and Lena Lukashevich of the younger generation. Chen W. Young from Philadelphia helped Wiesław visit the most important American institutions in 1991. Chen also borrowed for him the Upper Triassic Diptera from the Yale University, at that time the oldest Diptera; one genus and a family was then named after his daughter Alinka. In 1992, thanks to Dr. Christophe Dufour, then head of the Musée National d’Histoire Naturelle in Neuchâtel (Switzerland), a joint exhibition on Baltic amber fauna, “Les phantômes de l’ambre”, was organized in Neuchâtel and later, in Kraków; a book of the same title was also published. Christophe and other colleagues from Switzerland helped him to publish his habilitation in the international journal; it was then a rare event in a still communistic country and helped Wiesław to gain international attention. Collaboration with Prof. Christine Dahl from Uppsala on fossil Trichoceridae resulted, in a joint monograph “Monograph of fossil Trichoceridae (Diptera), over 180 million years of evolution”. In the area of the recent fly study, Wiesław Krzeminski has always had close cooperation with Pjotr Oosterbroek, Herman de Jong, and Sigitas Podenas. Cooperation with well-known English palaeontologists, Ed Jarzembowski, Andrew Ross, Robert Coram as well as his close friend Jörg Ansorge from Germany, resulted in many important publications. As an active member of the World Amber Council, Wiesław participated in all meeting of the World Amber Council and in the International Fairs of Amber (Amberif) where he came to know many friends and collaborators, e.g., the famous Baltic amber collectors.
from Germany, Christel and Hans Hoffeins, and Jonas Damzen from Lithuania. Close scientific friendship with Dong Ren form Beijing in China succeeded in cooperation on a unique collection of Diptera and Mecoptera from the Upper Jurassic from the Inner Mongolia and also helped to win two consecutive grants for the studies on fossil Diptera and Mecoptera. Wiesław Krzemieński participated in the international project INTAS “The terrestrial fauna and flora of the Insect Bed, Isle of Wight: interpreting the climate near the Eocene/Oligocene boundary” as head of the Polish team, and the head of the Fossil Diptera Research Team. He also received financial support for his scientific research from the Polish government since 1994. Among others, in 2002–2004 he was a head of the project: “Phylogenetic position of key dipteran families in the light of paleontological, histological and cytological researches” supported by the State Committee of Scientific Research (3 P04C 108 22). In 2014 he gained support for a project funded by the National Science Center in Poland “Origin and phylogenetic relationships among fossil and recent Mecoptera” (2013/09/B/NZ8/03270) and since 2017 he has been a head of the project: “Mesozoic stage of evolution of the nematocerous Diptera in context of contemporary biogeographical changes; importance of this group to the evolution of the order” (2016/23/B/NZ8/00936).
He has worked with all the important fossil collections; among others: the Smithsonian Institution in Washington, D.C.; the American Museum of Natural History in New York; the Australian National Insect Collection in Canberra, Australia; the Muséum national d’Histoire naturelle, Paris, France; the Natural History Museum in London, England; the Ernst Moritz Arndt University of Greifswald, Germany; the Alava Museum of Natural Sciences, Spain; the Oertijd Museum, Boxtel, The Netherlands; the General Geoscience Centre of the University of Göttingen, Germany; the Jura Museum, Eichstätt, Germany; the Russian Academy of Sciences, Moscow, Russia; the Paleontological Institute, Capital Normal University, Beijing, China; the Institute of Geology and Palaeontology, Chinese Academy of Sciences, Nanjing, China. He has taken part in many official and private expeditions, among others, to Antarctica, Algeria, Libya, Tunisia, Venezuela, Columbia, Peru and Ecuador, North Korea, Vietnam, Australia, and across India from Nepal to Sri Lanka, New Zealand, and Brazil.
Privately, Wiesław married Ewa Krzemieńska in 1976, who became his companion not only in everyday life but also during his research work (see the list of publications). They have one daughter Alina. His close friend is another well-known fossil flies lover, Prof. Ryszard Szadziewski, privately a neighbour in the village in the Masurian Lake District where both friends have long scientific discussions during summer vacations.
Wiesław is not going to slow down, currently his new passion are nematocerous flies from Burmese amber. He has plenty of new research ideas that he wants to develop with his team.
Appendix. Publications of Wiesław Krzeminski (1978–2019)
1978:
1. Krzeminski, W. (1978) Genus *Chionea* Dalm. And *Niphadobata* Enderl. (Diptera, Limoniidae) from Poland. *Zeszyty Naukowe UJ, Prace Zoologiczne*, 24, 109–127 [In Polish].
1981:
2. Krzeminski, W. (1981) Southern elephant seal (*Mirounga leonina* L.) of Admiralty Bay (King George Island). Its number and activity during the molting season in summer 1978/79. *Polish Polar Research*, 2 (1–2), 143–152.
1982:
3. Krzeminski, W. (1982) Contributions to the taxonomy of the European species of *Chionea* Dalman (Diptera: Limoniidae). *Entomologica Scandinavica*, 13, 193–200. https://doi.org/10.1163/187631282X00110
4. Krzeminski, W. & Wierdaska, J. (1982) Species of the family Limoniidae (Diptera, Nematocera) new to fauna of Poland. *Przegląd Zoologiczny*, 26, 173–176 [In Polish].
1983:
5. Krzeminski, W. (1983) Trichoceridae of Poland (Diptera, Nematocera). *Polish Journal of Entomology*, 53, 129–138.
6. Krzeminski, W. & Skalski, A. (1983) *Pseudolimnophila siciliana* sp. n. from Sicilian amber (Diptera, Limoniidae). *Animalia*, 10(1/3), 303–307.
1984:
7. Krzeminski, W. (1984) Limoniidae of Poland (Diptera, Nematocera). Part I, subfamily Eriopterinae. *Acta zoologica cracoviensis*, 27 (20), 437–518.
8. Krzeminski, W. (1984) Limoniidae of Bulgaria (Diptera, Nematocera). I. *Acta Zoologica Bulgarica*, 24, 27–34.
9. Krzeminski, W. & Starý, J. (1984) A new species of *Baeoura* Alexander, 1924 (Diptera, Limoniidae) from Algeria. *Polish Journal of Entomology*, 54, 359–361.
10. Starý, J. & Krzeminski, W. (1984) A new species of *Idioecra* from Algeria (Diptera, Limoniidae). *Annotationes Zoologicae et Botanicae*, 159, 1–3.
1985:
11. Krzeminski, W. (1985) Limoniidae (Diptera Nematocera) from Baltic amber (in the collection of the Museum of the Earth in Warsaw). Part I. Subfamily Limoniinae. *Prace Muzeum Ziemi*, 37, 113–117.
12. Krzeminski, W. (1985) A representative of Trichoceridae (Diptera Nematocera) from Baltic amber (in the collection of the Museum of the Earth in Warsaw). *Prace Muzeum Ziemi*, 37, 119–121.
13. Kulicka, R., Krzeminski, W. & Szadziewski, R. (1985) Flies (Diptera Nematocera) from Baltic amber from the collection of the Earth Museum PAS in Warsaw. *Prace Muzeum Ziemi*, 37, 105–111 [In Polish].
1986:
14. Krzeminski, W. (1986) Psychopteridae of Poland (Diptera, Nematocera). *Polish Journal of Entomology*, 56, 105–131.
1987:
15. Krzeminski, W. & Teskey, H.J. (1987) New taxa of Limoniidae (Diptera: Nematocera) from Canadian amber. *The Canadian Entomologist*, 119, 887–892. https://doi.org/10.4039/Ent119887-10
16. Jabłotko, B., Krzeminski, W. & Zdzitowiecki K. (1987) Distribution and number of fur seals, *Arctocephalus gazella* (Peters, 1875) of King George Island (South Shetlands). *Acta zoologica cracoviensis*, 30(9), 119–136.
1988:
17. Krzeminski, W. & Kovalev, V. (1988) The taxonomic status of *Architipula fragmentosa* (Bode) and the family Eoaclididae (Diptera) from the Lower Jurassic. *Systematic Entomology*, 13, 55–56. https://doi.org/10.1111/j.1365-3113.1988.tb00228.x
1989:
18. Krzeminski, W. & Starý, J. (1989) Limoniidae of Bulgaria. II. (Diptera, Nematocera). *Polish Journal of Entomology*, 59, 253–279.
1990:
19. Krzeminski, W. (1990) Fossil Tipulomorpha (Diptera, Nematocera) from Baltic amber (Upper Eocene). Systematic position of *Pseudolimnophila (Baltolimnophila)* subgen. n. (Limoniidae, Hexatominae). *Polish Journal of Entomology*, 60, 51–58.
20. Krzeminski, W. (1990) Fossil Tipulomorpha (Diptera, Nematocera) from Baltic amber (Upper Eocene). Introductory part. Subfamily Lechirinae (Limoniidae). *Polish Journal of Entomology*, 60, 177–194.
21. Krzeminski, W. & Krzeminska, E. (1990) Tipulomorpha (Diptera) of the Middle Eocene deposits from Pesciara di Bolca near Verona (Italy). *Acta zoologica cracoviensis*, 33 (2), 495–499.
22. Krzeminski, W. & Zessin, W. (1990) The Lower Jurassic Limoniidae from Grimmen (GDR). *Deutsche Entomologische Zeitschrift, Neue Folge*, 37 (1–3), 39–43. https://doi.org/10.1002/mmnd.4810370113
1991:
23. Krzeminski, W. (1991) Anisopodidae, Blephariceridae, Limoniidae—Psychopteridae. In: Razowski, J. (Ed.), *Checklist of animals of Poland, Vol. II. Ossolineum, Polish Academy of Sciences, Wrocław–Warszawa–Kraków*.
24. Krzeminski, W. (1991) A first fossil *Helius* (Diptera, Limoniidae) from North America. *Acta zoologica cracoviensis*, 34 (1), 311–313.
25. Krzeminski, W. (1991) Revision of the fossil Cylindrotomidae (Diptera, Nematocera) from Florissant and White River, USA. *Paläontologische Zeitschrift*, 65 (3/4), 333–338. https://doi.org/10.1007/BF02989848
26. Krzeminski, W. & Freiwald, A. (1991) *Taxorhina (Cerastocheilus) caucasicensis*, a new species from the Middle Miocene of Stavropol (northern Caucasus, USSR) (Diptera, Limoniidae). *Paläontologische Zeitschrift*, 65 (1/2), 153–155. https://doi.org/10.1007/BF02985780
27. Freiwald, A. & Krzeminski, W. (1991) Cylindrotomidae (Diptera, Tipulomorpha) from the Paleogene of Bolsheya Svelodovnaya (Eastern Asiatic USSR). *Paläontologische Zeitschrift*, 65 (3/4), 339–334. https://doi.org/10.1007/BF02989849
1992:
28. Krzeminski, W. (1992) Triassic and Lower Jurassic stage of Diptera evolution. *Mitteilungen der schweizerischen entomologischen Gesellschaft*, 65, 39–59.
29. Krzeminski, W. (1992) Limoniidae (Diptera, Nematocera) from Dominican amber. I. Genus *Maloiphilus* Curtis, 1833. *Acta zoologica cracoviensis*, 35 (1), 107–111.
30. Krzeminski, W. (1992) The oldest Polynemura and their importance to the phylogeny of the group. *Acta zoologica cracoviensis*, 35 (1), 45–52.
31. Krzeminski, W. (1992) *Tipula* (s. lato) eva n.sp. from Cretaceous (East Asia)—the oldest representative of the family Tipulidae (Diptera, Polynemura). *Acta zoologica cracoviensis*, 35 (1), 43–44.
32. Krzeminski, W. & Gentilini, G. (1992) New information on Limoniidae from Monte Castellano, Italy (Upper Miocene). *Acta zoologica cracoviensis*, 35 (1), 87–95.
33. Krzeminska, E., Krzeminski, W., Haenni, J.-P. & Dufour, C. (1992) *Les phantomes de l’ambre*. Musée d’histoire naturelle, Neuchâtel, Switzerland [In French; a book on fauna in the Baltic amber].
1993:
34. Krzeminski, W. (1993) The systematic position of *Sibidocerites europaeus* Zeuner from the Upper Cretaceous of Scotland (Diptera: Tipulomorpha). *Annals Upper Silesian Museum, Entomology, Supplement*, 1, 77–80.
35. Krzeminski, W. (1993) Fossil Tipulomorpha (Diptera, Nematocera) from Baltic amber (Upper Eocene). Revision of the genus *Helius* Lepeletier et Serville (Limoniidae). *Acta zoologica cracoviensis*, 35 (3), 597–601.
36. Krzeminski, W. & Lukashevich, L. (1993) Ansorgiidae, a new family from the Upper Jurassic of Kazakhstan (Diptera, Psychopteromorpha). *Acta zoologica cracoviensis*, 35 (3), 593–596.
37. Krzeminski, W. & Zwick, P. (1993) New and little known Psychopteridae (Diptera) from the Palaearctic Region. *Aquatic Insects*, 15 (2), 65–87. https://doi.org/10.1080/0165042030361504
38. Krzeminska, E., Blagoderov, V. & Krzeminski, W. (1993) Ellidus, a new fossil family of the order Asymmionymorpha (Diptera). *Acta zoologica cracoviensis*, 35 (3), 581–591.
39. Blagoderov, V., Krzeminska, E. & Krzeminski, W. (1993) Fossil and Recent Anisopodomorpha (Diptera, Oligoneura): family Cramptonomyiidae. *Acta zoologica cracoviensis*, 35 (3), 573–579.
40. Starý, J. & Krzeminski, W. (1993) Additions to the list of Bulgarian Limoniidae and Pediciidae (Diptera). *Acta zoologica cracoviensis*, 35 (3), 569–572.
41. Starý, J. & Krzeminski, W. (1993) A new *Dicranota* from Bulgaria (Diptera, Pediciidae). *Acta zoologica cracoviensis*, 35 (3), 565–567.
42. Krzeminska, E., Krzeminski, W., Haenni, J.-P. & Dufour, C. (1993) *W buzrystownyj pupage*. Muzeum Przyrodnicze Instytutu Systematyki i Ewolucji Zwierząt PAN, Kraków, 141 pp. [In Polish].
1994:
43. Krzeminski, W., Krzeminska, E. & Papier, F. (1994) *Gravogogelia arzvillieriana* sp. n.—the oldest Diptera species (Lower/Middle Triassic of France). *Acta zoologica cracoviensis*, 37 (2), 95–99.
44. Krzeminski, W. & Krzeminska, E. (1994) A new species of *Cheilotrichia (Empeda)* from the Sakhalin amber (Diptera, Limoniidae). *Acta zoologica cracoviensis*, 37 (2), 91–93.
45. Krzeminski, W. & Krzeminska, E. (1994) *Procramptonomyia mariana*, a new species from the Upper Jurassic of Great Britain (Diptera, Anisopodomorpha, Procramptonomyiidae). *Acta zoologica cracoviensis*, 37 (2), 101–105.
46. Ansorge J. & Krzeminski, W. (1994) Oligonyphidae, a Lower Jurassic dipteran family (Diptera, Brachycera). *Acta zoologica cracoviensis*, 37 (2), 115–119.
47. Szadziewski, R., Krzeminski, W. & Kutscher, M. (1994) A new species of *Corethrella* (Diptera, Corethrellidae) from Miocene Saxonian amber. *Acta zoologica cracoviensis*, 37, 87–90.
1995:
48. Krzeminski, W. & Ansorge, J. (1995) New Upper Jurassic Diptera (Limoniidae, Eoptychopteridae) from the Solnhofen Lithographic
Limestone (Bavaria, Germany). *Stuttgarter Beiträge zur Naturkunde, Ser. B*, 221, 1–7.
49. Ansorge, J., & Krzeminski, W. (1995) Revision of *Mesoryphosa* Handlirsch and *Heterorhophus* Bode (Diptera: Anisopodomorpha) from the Upper Liassic of Germany. *Paläontologische Zeitschrift*, 69 (1/2), 167–172. https://doi.org/10.1007/BF02985982
**1996:**
50. Krzeminski, W. (1996) A revision of fossil *Megistocera* and *Brachyphemma* (Diptera: Tipulidae). *Polish Journal of Entomology*, 65, 275–278.
51. Krzeminski, W., & Krzeminska, E. (1996) Revision of *Laurentiptera gallica* from the Lower/Middle Triassic of France (Mecoptera: Lissophilidae). *Polish Journal of Entomology*, 65, 267–274.
52. Krzeminski, W., & Krzeminska, E. (1996) [History of a fly]. *Kosmos*, 45 (4), 701–714 [In Polish].
**1997:**
53. Krzeminski, W., & Judd, D. (1997) Family: Tanyderidae. In: Papp, L. & Darvas, B. (Eds), *Contributions to Manual of Palaeartic Diptera, Vol. 1*. Science Herald, Budapest, pp. 281–290.
54. Krzeminski, W., Krzeminska, E., Kubisz, D., Mazur, M. & Pawlowski, J. (1997) Preliminary report on a Pliocene fauna from western Hungary. *Studia Naturalia*, 10, 177–191.
**1998:**
55. Krzeminski, W. (1998) *Cytatromya freloi*, sp. nov., first representative of the family Cylindrotomidae in Baltic amber (Diptera, Tipulomorphia). *Polish Journal of Entomology*, 67, 303–308.
56. Krzeminski, W. (1998) *Hexatoma (Eriocera) serafini*, sp. nov., from Baltic amber (Diptera, Limoniidae). *Polish Journal of Entomology*, 67, 309–310.
57. Krzeminski, W. (1998) *Limonia* (s. str.) *skalskii*, a new species of Limoniidae (Diptera) from the Baltic amber (Eocene). *Polish Journal of Entomology*, 67, 299–301.
58. Lukashevich, E., Krzeminski, W., Ansorge, J. & Krzeminska, E. (1998) Revision of Eopychopterinae (Insecta: Diptera, Eopychopteridae). *Polish Journal of Entomology*, 67, 311–343.
**1999:**
59. Krzeminski, W. & Jarzembowski, E. (1999) *Aenue triassica* sp. n., the oldest representative of the family Chironomidae (Insecta: Diptera). *Polish Journal of Entomology*, 68, 445–449.
**2000:**
60. Krzeminski, W. (2000) New information on Limoniidae (Diptera: Tipulomorphia) from the Lower Cretaceous Santana Formation (northeastern Brazil). *Polish Journal of Entomology*, 69, 451–457.
61. Krzeminski, W. (2000) A new species and other representatives of the genus *Dicranomyia* (Diptera: Limoniidae) in the collection of the Museum of Amber Inclusions, University of Gdansk. *Polish Journal of Entomology*, 69, 347–353.
62. Krzeminski, W. (2000) Fossil Tipulomorpha from Baltic amber (Upper Eocene); a new species of *Dactylolabis (Idiolabis)* (Diptera: Limoniidae). *Polish Journal of Entomology*, 69, 247–250.
63. Krzeminski, W. (2000) The Oligocene Tipulomorpha (Diptera) from Bolshaya Svetlovodnaya (Eastern Asia, Russia). *Polish Journal of Entomology*, 69, 239–245.
64. Krzeminski, W. & Ansorge, J. (2000) On *Protothripsyceron* Handlirsch, 1920 (Diptera: Brachycera) from the Lower Jurassic of Germany. *Polish Journal of Entomology*, 69, 231–237.
65. Krzeminski, W. & Kozlowski, N. (2000) Review of Diptera palaeontological records. In: Papp, L. & Darvas,B. (Eds), *Contributions to Manual of Palaeartic Diptera, Vol. 1*. Science Herald, Budapest, pp. 535–564.
66. Dobosz, R. & Krzeminski, W. (2000) A new species of the Coniopterygidae (Neuroptera) from Baltic amber. *Polish Journal of Entomology*, 69, 219–224.
67. Soszyński, B., Palaczyk, A., & Krzeminski, W. (2000) Threats and future perspectives for protection of flies (Diptera) in Poland. *Wiadomości Entomologiczne*, 18 (Suppl. 2), 165–176 [In Polish].
**2001:**
68. Krzeminski, W. (2001) New fossil Tipuloidae (Diptera) from the Fur Formation of Denmark in the collection of the Natural History Museum in London. *Polish Journal of Entomology*, 70, 333–339.
69. Krzeminski, W. (2001) First record of the genus *Lipsothrix* Loew (Diptera: Limoniidae) in Baltic amber (Upper Eocene). *Polish Journal of Entomology*, 70, 329–331.
70. Krzeminski, W. (2001) A new species of Cylindrotomidae from Tasmania (Diptera, Nemocotera). *Polish Journal of Entomology*, 70, 121–125.
71. Krzeminski, W. & Lombardo, C. (2001) New fossil Ephemeroptera and Coleoptera from the Ladinian (Middle Triassic) of Canton Ticino (Switzerland). *Rivista Italiana di Paleontologia e Stratigrafia*, 107 (1), 69–78. https://doi.org/10.13130/2039-9427/5424
72. Krzeminski, W. & Ren, D. (2001) *Praemaacrochile chinensis* sp. n. from the Middle Jurassic of China (Diptera: Tanyderidae). *Polish Journal of Entomology*, 70, 127–129.
**2002:**
73. Krzeminski, W. (2002) Three new species of the genus *Helius* Lepeletier et Serville (Diptera, Limoniidae) from the Middle Caucasus of Stavropol (northern Caucasus, Russia). *Acta zoologica cracoviensia*, 45 (4), 317–320.
74. Krzeminski, W. & Krzeminska, E. (2002) Rhaetuniidae, a new family of the Diptera from the Upper Triassic of Great Britain (Diptera: Nemocotera). *Annales zoologici*, 52 (2), 211–213.
75. Ansorge, J. & Krzeminski, W. (2002) Lower Jurassic Tanyderidae (Diptera: Tanyderidae) from Germany. *Studia dipterologica*, 9 (1), 21–29.
76. Palaczyk, A., Soszyński, B., Klasa, A., Bystrowski, C., Mikolajczyk, W. & Krzeminski, W. (2002) Diptera (Flies). In: Glowinski, Z., [Red list of Threatened Animals in Poland. Flies.] Polish Academy of Sciences, Institute of Nature Conservation, Cracow, pp. 38–44 [In Polish].
77. Ren, D. & Krzeminski, W. (2002) Erythrocheilidae (Diptera) from the Middle Jurassic of China. *Annales zoologici*, 52 (2), 207–210.
**2003:**
78. Krzeminski, W. & Krzeminska, E. (2003) Triassic Diptera: review, revisions and descriptions. *Acta zoologica cracoviensia*, 46 (suppl. – Fossil Insects), 153–184.
79. Mostowski, M.B., Ross, A.J., Szadziewski, R. & Krzeminski, W. (2003) Redescription of *Simulium priscum* Westwood and *Pseudosimulium humidum* (Brodie) (Diptera: Rhagionidae) from the Purbeck Limestone Group (Lower Cretaceous) of England. *Journal of Systematic Palaeontology*, 1 (1), 59–64. https://doi.org/10.1017/S1477201903001020
**2004:**
80. Krzeminski, W. (2004) *Yalea*, a replacement generic name for *Yala* Krzeminski, 1992 (Diptera: Procrampomyniidae). *Acta zoologica cracoviensia*, 47 (3–4), 229. https://doi.org/10.31610/173491504783995771
81. Krzeminski, W. (2004) Fossil Limoniidae (Diptera, Tipulomorpha) from Lower Cretaceous Burmese amber of Myanmar. *Journal of Systematic Palaeontology*, 2 (2), 123–125. https://doi.org/10.1017/S1477201904001257
**2005:**
82. Krzeminski, W. & Ansorge, J. (2005) A new rhagionid fly from the Lower Jurassic of Germany. *Polish Journal of Entomology*, 74, 369–372.
83. Hannibal, J. & Krzeminski, W. (2005) A palaeosomatoid millipede (Archipolyopoda: Palaeosomatida) from the Carboniferous (Namurian A) of Silesia, Poland. *Polish Journal of Entomology*, 74, 205–217.
**2006:**
84. Klugen, J., Godunko, R.J. & Krzeminski, W. (2006) A new mayfly family (Insecta: Ephemeroptera) from Eocene Baltic amber. *Annales Zoologici*, 56 (1), 181–185.
85. Krzeminski, W. (2007) Blephuriceridae. In: Bogdanowicz, W., Chudzicka, E., Pilipiuk, I. & Skibińska, E. (Eds), [Fauna of Poland—characteristic and check list of species] Vol. 2, *Museum and Institute of Zoology, Polish Academy of Sciences*, Warszawa, pp. 19–20, 53–54 [In Polish].
86. Krzeminski, W. (2007) Mycetobiidae. In: Bogdanowicz, W., Chudzicka, E., Pilipiuk, I. & Skibińska, E. (Eds), [Fauna of Poland—characteristic and check list of species] Vol. 2, *Museum and Institute of Zoology, Polish Academy of Sciences*, Warszawa, pp. 34, 64 [In Polish].
87. Krzeminski, W. (2007) Anisopodidae. In: Bogdanowicz, W., Chudzicka, E., Pilipiuk, I. & Skibińska, E. (Eds), [Fauna of Poland—characteristic and check list of species] Vol. 2, *Museum and Institute of Zoology, Polish Academy of Sciences*, Warszawa, pp. 33, 63 [In Polish].
88. Krzeminski, W. (2007) A revision of Eocene Bittacidae (Mecoptera) from Baltic amber, with the description of a new species. *African Invertebrates*, 48 (1), 153–162.
89. Krzeminski, W. & Arillo, A. (2007) *Alava neli* n. gen. and n. sp.—the first Limoniidae (Diptera) from the Lower Cretaceous amber of Alava (Spain). *Alavesia*, 1, 11–13.
90. Perrichot, V., Nel, A. & Krzeminski, W. (2007) A new crane fly (Diptera: Limoniidae) from the Cretaceous amber of France. *Alavesia*, 1, 75–80.
**2008:**
91. Krzeminski, W. & Arillo, A. (2008) A new species, *Symplecta (Polloscopa) penasleri* n. sp. (Diptera, Limoniidae) from the Miocene of Spain. *Alavesia*, 2, 211–213.
92. Godunko, R.J., Neuman, C. & Krzeminski, W. (2008) Fossil mayfly collections of the Museum für Naturkunde, Humboldt University, Berlin. II. Redescription of *Baltameleus oligocaenicus* Demoulin, 1968 with notes on *Amelictides McCafferty*, 1991 (Insecta: Ephemeroptera) from the Eocene Baltic Amber. *Annales Zoologici*, 58 (1), 105–114. https://doi.org/10.31610/067.058.0105
93. Jaglar, M.K., Krzeminski, W. & Bilinski, S.M. (2008) Structure of the ovaries and follicular epithelium morphogenesis in *Drosophila* and its kin. *Development Genes and Evolution*, 218, 399–411. https://doi.org/10.1007/s00427-008-0233-0
**2009:**
94. Krzeminska, E., Krzeminski, W. & Dahl, C. (2009) *Monograph of fossil*
most ancient member of family Tanyderidae (Diptera) from the Lower Jurassic (Sinemurian) of England. *Zootaxa*, 3857 (1), 125–130. http://dx.doi.org/10.11646/zootaxa.3857.1.6
**2015:**
132. Krzeminski, W., Kania, I. & Durak, R. (2015) Anew species of *Dicranomyia* Stephens, 1829 (Diptera: Limoniidae) from Baltic amber (Eocene). *Neues Jahrbuch für Geologie und Paläontologie, Abhandlungen*, 277 (2), 167–174. https://doi.org/10.1127/njgpa/2015/0512
133. Krzeminski, W., Soszynska-Maj, A., Bashkuev, A.S. & Kopcé, K. (2015) Revision of the unique Cretaceous early Mecoptera from Koowarrna (Australia) with description of a new genus and family. *Cretaceous Research*, 52, 501–506. https://doi.org/10.1016/j.cretres.2014.04.004
134. Dong, F., Shih, C., Skibińska, K., Krzeminski, W. & Ren, D. (2015) New species of Tanyderidae (Diptera) from the Jiuulongshan Formation of China. *Alcheringa: An Australasian Journal of Palaeontology*, 39, 494–507. https://doi.org/10.1080/0311551X.2015.1041308
135. Gao, J., Shih, G., Kopcé, K., Krzeminski, W. & Ren, D. (2015) New species and revision of Pedicellidae (Diptera) from the Middle Jurassic of northern China and Russia. *Zootaxa*, 3963 (2), 240–240. https://doi.org/10.11646/zootaxa.3963.2.5
136. Krzeminski, E., Krzeminski, W., Fraunje, R.H.B., Van Bakel, B.W.M. & Jagt, J.W.M. (2015) Ontogenetic changes in two Late Jurassic gastrolirid hermit crabs (Crustacea, Decapoda, Anomura) from central Europe. *Journal of Systematic Palaeontology*, 14, 139–148. https://doi.org/10.1080/14772019.2015.1018968
137. Kania, I. & Krzeminski, W. (2015) Anew species of *Dactylolabis* (*Idiolabis*) Alexander, 1931 from the Eocene Baltic amber and its relationships among Dactylolabinae (Diptera; Limoniidae). *Palaeontologia Electronica*, 16, 1Aa_1, 1–5. https://doi.org/10.26879/468
138. Kania, I., Krzeminski, W. & Krzeminska, E. (2015) The oldest representative of the genus *Gononia* (Diptera, Limoniidae) from Lebanese amber (Lower Cretaceous); new subgenus and species. *Cretaceous Research*, 52, 516–521. https://doi.org/10.1016/j.cretres.2014.05.011
139. Oberprieler, S.K., Krzeminski, W., Hinde, J. & Yeates, D.K. (2015) First crane fly from the Upper Jurassic of Australia (Diptera: Limoniidae). *Zootaxa*, 4021 (1), 178–186. https://doi.org/10.11646/zootaxa.4021.1.8
140. Shih, C., Dong, F., Kania, I., Liu, L., Krzeminski, W. & Ren, D. (2015) A new species of Tipulidae (Diptera) from the Lower Cretaceous Yixian Formation of Liaoning, China—evolutionary implications. *Cretaceous Research*, 54, 98–105. https://doi.org/10.1016/j.cretres.2014.12.009
141. Soszynska-Maj, A. & Krzeminski, W. (2015) New representative of the family Panorpidae (Insecta, Mecoptera) from Eocene Baltic Amber with key to fossil species of genus *Panorpodes*. *Palaeontologia Electronica*, 18, 2A_33A, 1–7. https://doi.org/10.26879/546
**2016:**
142. Kania, I., Krzeminski, W. & Arillo, A. (2016) First representative of the genus *Helius* Lepeletier and Serville, 1828 (Diptera, Limoniidae) from the Lower Cretaceous Alava amber (Spain). *Cretaceous Research*, 63, 33–38. http://doi.org/10.1016/j.cretres.2016.02.018
143. Kopcé, K., Kania, I. & Krzeminski, W. (2016) New and little known crane-fly species of the genera *Helius*, *Elephantomyia* and *Toxorhina* (Diptera, Limoniidae) from Dominican amber and Mexican amber. *Palaeontologia Electronica*, 19, 2.26A, 1–14. https://doi.org/10.26879/593
144. Kopcé, K., Soszynska-Maj, A., Krzeminski, W. & Coram, R.A. (2016) A new hangnigfly (Insecta, Mecoptera, Bittacidae) from the Purbeck Limestone Group (Lower Cretaceous) of southern England and a review of Cretaceous Bittacidae. *Cretaceous Research*, 57, 122–130. http://doi.org/10.1016/j.cretres.2016.05.008
145. Nowakowski, P.G., Ren, A.J., Cook, E., Krzeminski, W. & Soszynska-Maj, W. (2016) A new family of scorpionflies (Insecta: Mecoptera) from the Lower Cretaceous of England. *Cretaceous Research*, 62, 44–51. http://doi.org/10.1016/j.cretres.2016.01.013
146. Pikryl, T., Kania, I. & Krzeminski, W. (2016) Synopsis of fossil fish fauna from the Hermanowa locality (Rupelian; Central Paratethys; Poland): current state of knowledge. *Swiss Journal of Geosciences*, 109, 429–443. https://doi.org/10.1007/s00105-016-0216-5
147. Soszynska-Maj, A., Krzeminski, W., Kopcé, K. & Coram, R. (2016) Phylogenetic relationships within the relict family Eomeropidae (Insecta, Mecoptera) based on the oldest fossil from the Early Jurassic (Sinemurian) of Dorset, southern England. *Journal of Systematic Palaeontology*, 14 (12), 1025–1031. http://doi.org/10.1080/14772019.2016.1139007
148. Zakrzewska, M., Krzeminski, W. & Gilka, W. (2016) Towards the diversity of non-biting midges of the tribe Tanytarsini from Eocene Baltic amber (Diptera: Chironomidae). *Palaeontologia Electronica*, 19 (2) 18A, 1–21. https://doi.org/10.26879/621
**2017:**
149. Krzeminski, W., Kopcé, K. & Kania, I. (2017) New and little known species from the genus *Leptotarsus* Guerin-Meneville, 1831 (Diptera: Tipulidae) from the Lower Cretaceous of Northern Brazil. *Cretaceous Research*, 78, 103–108. https://doi.org/10.1016/j.cretres.2017.05.032
150. Kopcé, K., Krzeminski, W., Skowron, K. & Coram, R. (2017) The genera *Archipogon* Handsch, 1906 and *Grinnemia* Krzeminski and Zesniak, 1998 (Diptera, Limoniidae) from the Lower Jurassic of England. *Palaeontologia Electronica*, 20.1.15A, 1–7. https://doi.org/10.26879/637
151. Prokop, J., Pecharová, M., Nel, A., Hörschemeyer, T., Krzeminska, E., Krzeminski, W. & Engel, M.S. (2017) Paleozoic nymphal wing pads support dual model of insect wing origins. *Current Biology*, 27, 1–6. https://doi.org/10.1016/j.cub.2016.11.021
152. Skibińska K., Krzeminski W. & Arillo, A. (2017) The first Tanyderidae (Diptera) from Lower Cretaceous Alava amber (Spain). *Historical Biology*, 31 (7), 872–878. https://doi.org/10.1080/08910965.2017.1398747
153. Soszynska-Maj, A., Kopcé, K., Müller, P., Gröhn, C. & Krzeminski, W. (2017) Cretaceous inclusions in Burmese amber throw a new light on the evolution of the Mecopteridae (Mecoptera). *Cretaceous Research*, 79, 191–198. https://doi.org/10.1016/j.cretres.2017.08.001
154. Staniszczek, A.H., Godunko, R. & Krzeminski, W. (2017) Anew fossil mayfly species of the genus *Borinquena* Traver, 1938 (Insecta: Ephemeroptera: Leptophlebiidae: Borinquenellidae) from Miocene Dominican Amber. *Annals of Palaeontology*, 67 (1) 113–119. https://doi.org/10.3161/00034541ANZ2017.67.1.013
155. Szadziewski, R., Krynicki, V.E. & Krzeminski, W. (2017) The latest record of the extinct subfamily Eoptychopterinae (Diptera: Ptychopteridae) from Upper Cretaceous amber of North Carolina. *Cretaceous Research*, 82, 147–151. https://doi.org/10.1016/j.cretres.2017.10.011
**2018:**
156. Krzeminski, W., Kania, I., Kopcé, K. & Okoń M. (2018) First *Dicranomyia* Stephens, 1829 (Diptera, Limoniidae) in Colombian copal. *Palaeontologia*, 1 (1), 65–79. https://dx.doi.org/10.11646/palaeontologym.1.1.9
157. Krzeminski, W., Soszynska-Maj, A., Kopcé, K. & Sukatsheva, I.D. (2018) The oldest representative of the family Austroporanopidae (Mecoptera) from the Lower Jurassic of Siberia. *Environmental Science Transactions of the Royal Society of Edinburgh*, 107, 151–155. https://doi.org/10.1017/S1755691017000214
158. Krzeminski, W., Kania, I. & Wojtoń, M. (2018) Anew Eocene *Dicranomyia* Schwenck, 1862 (Diptera, Limoniidae) from Baltic amber. *Environmental Science Transactions of the Royal Society of Edinburgh*, 107, 271–177. https://doi.org/10.1017/S1755691017000366
159. Kania, I., Krzeminski, W. & Stehner, F. (2018) The first representative of Tipulomorpha (Diptera) from Early Eocene Cambay amber (India). *Environmental Science Transactions of the Royal Society of Edinburgh*, 107, 263–269. https://doi.org/10.1017/S1755691017000433
160. Kania, I., Krzeminski, W. & Arillo, A. (2018) A new peculiar species of the genus *Helius* Lepeletier & Serville, 1828 (Diptera, Limoniidae) from Cretaceous Alava amber (Spain). *Earth and Environmental Science Transactions of the Royal Society of Edinburgh*, 107, 231–237. https://doi.org/10.1017/S1755691017000299
161. Kopcé, K., Ansorge, J., Soszynska-Maj, A. & Krzeminski, W. (2018) Revision of the genus *Mesotipula* Handsch, 1920 (Diptera, Limoniidae, Architipulinae) from the Lower Jurassic of Northeast Germany. *Historical Biology*, 32 (4), 500–507. https://doi.org/10.1080/08910965.2018.1503257
162. Kopcé, K., Soszynska-Maj, A., Gehler, A., Ansorge, J. & Krzeminski, W. (2018) Mecoptera and Diptera from the early Tertiary (Early Jurassic) deposits of Wolfsburg–Große Kley (Lower Saxony, Germany). *Environmental Science Transactions of the Royal Society of Edinburgh*, 107, 163–171. https://doi.org/10.1017/S1755691017000226
163. Kopcé, K., Krzeminski, W., Soszynska-Maj, A., Cao, Y. & Ren, D. (2018) A new species of *Orthobiattacus* (Mecoptera, Bittacidae) from the Middle Jurassic of Daohugou, Inner Mongolia (China). *Environmental Science Transactions of the Royal Society of Edinburgh*, 107, 157–162. https://doi.org/10.1017/S1755691017000251
164. Skibińska, K. & Krzeminski, W. (2018) Two new species of the genus *Daocothile* (Diptera, Tanyderidae) from Burmese amber. *Historical Biology*, 32 (3), 356–361. https://doi.org/10.1080/08910965.2018.1503257
165. Skibińska, K. & Krzeminski, W. (2018) New species of the genus *Similinannotanyderus* (Tanyderidae, Diptera) from the Myanmar amber. *Cretaceous Research*, 90, 56–59. https://doi.org/10.1016/j.cretres.2018.04.007
166. Soszynska-Maj, A., Krzeminski, W., Kopeć, K., Cao, Y. & Ren, D. (2018) Large Jurassic scorpionflies belonging to a new subfamily of the family Orthophlebiidae (Mecoptera). *Annales Zoologici*, 68 (1), 85–92. https://doi.org/10.3161/00034541ANZ2018.68.1.004
167. Soszynska-Maj, A., Krzeminski, W., Kopec, K. & Coram, R.A. (2018) Worcestobiidae—a new Triassic family of Mecoptera, based on species removed from the family Orthophlebiidae. *Environmental Science Transactions of the Royal Society of Edinburgh*, 107, 145–149. https://doi.org/10.1017/S1755691017000299
2019:
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169. Curler, G.R., Krzeminski, W. & Skibińska K. (2019) The first record of fossil Horaiellinae (Diptera: Psychodidae) from mid-Cretaceous amber of northern Myanmar. *Cretaceous Research*, 98, 305–315. http://doi.org/10.1016/j.cretres.2019.02.005
170. Dvrfák, T., Pecharová, M., Krzeminski, W. & Prokop, J. (2019) New archaeopteran insects from the Carboniferous of Poland: Insights into tangled taxonomy. *Acta Palaeontologica Polonica*, 64. http://doi.org/10.4202/app.00614.2019
171. Kania, I., Wojtoń, M. & Krzeminski, W. (2019) The oldest *Mycetobia* Meigen, 1804 (Diptera, Anisopodidae) from Upper Cretaceous amber on northern Myanmar. *Cretaceous Research*, 95, 302–309. https://doi.org/10.1016/j.cretres.2018.11.014
172. Kania, I., Wojtoń, M., Lukashevich, E., Stanek-Tarkowska, J., Wang, B. & Krzeminski, W. (2019) Anisopodidae (Insecta: Diptera) from Upper Cretaceous amber of northern Myanmar. *Cretaceous Research*, 94, 190–206. https://doi.org/10.1016/j.cretres.2018.10.013
173. Prokop, J., Krzeminska, E., Krzeminski, W., Rosowa, K., Pecharová, M., Nel, A. & Engel, M.S. (2019) Ecomorphological diversification of the Late Palaeozoic Palaeodiictyopterida reveals different larval strategies and amphibious lifestyle in adult. *Royal Society Open Science*, 6 (190460), 1–10. http://doi.org/10.1098/rsos.190460
174. Skibińska, K., Krzeminski, W. & Zhang, Q. (2019) A revised diagnosis of *Palaegaesum* Wagner (Diptera, Psychodidae, Bruchomyiinae) with description of two new species from Cretaceous Myanmar amber. *Historical Biology*, 1–11. https://doi.org/10.1080/08912963.2019.1607321
175. Soszynska-Maj, A., Krzeminski, W., Kopeć, K., Cao, Y. & Ren, D. (2019) New Middle Jurassic fossils shed light on the relationship of recent Panorpoidea (Insecta, Mecoptera). *Biological History*, 32 (8), 1081–1097. https://doi.org/10.1080/08912963.2018.1564747
176. Szadziewski, R., Dominik, P., Sontag, E., Krzemitski, W., Wang, B. & Szwedlo, J. (2019) Haematophagous biting midges of the extant genus *Culicoides* Latreille (Diptera: Ceratopogonidae) evolved during the mid-Cretaceous. *Zootaxa*, 4688 (4), 535–548. https://doi.org/10.11646/zootaxa.4688.4.5
177. Wojtoń, M., Kania, I., Krzeminski, W. & Ren, D. (2019) Phylogenetic relationships within the superfamily Anisopodoidea (Diptera: Nematocera), with description of new Jurassic species. *Palaeontology*, 2 (2), 119–139. https://doi.org/10.11646/palaeontology.2.2.4
178. Wu, S., Krzeminski, W., Soszynska-Maj, A. & Ren, D. (2019) New fossil representative of the genus *Helius* (Diptera, Limoniidae) from the little known and newly discovered locality Caergen Village of northeastern Tibetan Plateau (China). *Palaeontologia Electronica*, 22.1.2A, 1–8. https://doi.org/10.26879/817
179. Krzeminski, W., Blagoderov, V., Azar, D., Lukashevich, E., Szadziewski, R., Wedmann, S., Nel, A., Collomb, F.M., Waller, A. & Nicholson, D.B. (2019) True flies (Insecta: Diptera) from the late Eocene insect limestone (Bembridge Marls) of the Isle of Wight, England, UK. *Earth and Environmental Science Transactions of the Royal Society of Edinburgh*, 1–60. https://doi.org/10.1017/S1755691018000464
180. Kopeć, K., Soszyńska-Maj, A., Lukashevich, E. & Krzeminski, W. (2020) Review of the Mesozoic genus *Mesinipula* Handlirsch (Limoniidae, Diptera) from Asia extending its evolutionary history up to the Cretaceous. *Cretaceous Research*, 114 (2020) 104504. https://doi.org/10.1016/j.cretres.2020.104504
181. Krzeminski, W., Kania, I., Jordan-Stasiło, W., De Jong, H., Krzeminska, E. & Skibińska, K. (2020) The discovery of two new peculiar subgenera and two new species of the genus *Tipula* Linnaeus, 1758 (Diptera, Tipulidae) from Baltic Amber. *Acta Geologica Sinica*. https://doi.org/10.1111/1755-6724.14423.
182. Skibińska, K., Szadziewski, R., Kania, I. & Krzeminski, W. (2020) A new species of Bruchomyiinae (Diptera: Psychodidae) from Baltic amber. *Zootaxa*, 4838 (1): 147–150. https://doi.org/10.11646/zootaxa.4838.1.10
183. Ševčík, J., Krzeminski, W. & Skibińska, K. (2020) Intriguing and beautiful: *Adamacroera adami* gen. et sp. nov. from the Upper Cretaceous Amber of Myanmar represents a new subfamily of Keroplatidae (Diptera: Bibionomorpha). *Insects*, 11, 532. https://doi.org/10.3390/insects11090552 |
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AGENDA
CITY OF RICHARDSON - CITY PLAN COMMISSION
MARCH 6, 2012
7:00 P.M.
CIVIC CENTER – COUNCIL CHAMBERS
411 W. ARAPAHO ROAD
BRIEFING SESSION: 6:30 P.M. Prior to the regular business meeting, the City Plan Commission will meet with staff in Conference Room 206, located on the second floor, to receive a briefing on:
A. Discussion of Regular Agenda items
B. Staff Report on pending development, zoning permits, and planning matters
MINUTES
1. Approval of minutes of the regular business meeting of February 21, 2012.
VARIANCE
2. Variance 12-01 Richardson Village Shopping Center: Consider and take necessary action on a request for approval of a variance from Article III, Section 21-46(b), Lots and Blocks, of Chapter 21 of the City of Richardson Code or Ordinances to create a lot without frontage on a dedicated public street. The property is located north of Belt Line Road, on the east side of Plano Road. Applicant: Sarah Williamson. Staff: Israel Roberts.
PUBLIC HEARING
3. Zoning File 12-01: Consider and take necessary action on a request by James Poen, representing Richardson Saw and Lawnmower for approval of major modifications of the West Spring Valley PD Planned Development Standards related to improvements to an existing non-conforming 7,933 square foot building and related site improvements for property located at 804 S. Central Expressway. The property is currently zoned PD Planned Development. Applicant: James Poen. Staff: Chris Shacklett.
ADJOURN
The City Hall/Civic Center is wheelchair accessible. Any requests for sign interpretive services must be made 48 hours ahead of the meeting. To make arrangements, call (972) 744-4000, or (TDD) 1-800-735-2989.
I hereby certify that the above agenda was posted on the bulletin board at City Hall on or before 5:30p.m., Friday, March 2, 2012.
______________________________
Kathy Welp, Executive Secretary
Briefing Session
| # | Name/Location | Project Information | Status |
|---|--------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------|
| 1 | ZF 11-28 Lone Star Cold Storage 401 N. Grove Rd. | Consider and take necessary action for a request by Gene Millar, Team Group, Ltd., to rezone a 12.4-acre lot from I-FP(2) Industrial and I-M(1) Industrial to PD Planned Development for the I-FP(2) and I-M(1) Industrial Districts with modified development standards to accommodate the expansion of the existing cold storage facility at 401 N. Grove Road, northwest corner of Grove Road and Apollo Road. | City Plan Commission February 7, 2012 Recommended Approval
City Council February 27, 2012 Approved |
| 2 | ZF 12-02 Self-Storage Warehouse 528 W. Arapaho Rd. | A request by Howard L. Lawson, representing the Lawson Co., for a change in zoning from C-M Commercial with special conditions to C-M Commercial with special conditions and I-M(1) Industrial with a Special Permit for an indoor self-service warehouse with special conditions for a portion of 528 W. Arapaho Road (north side of Arapaho Road, west of Custer Road). | City Plan Commission February 21, 2012 Recommended Approval
City Council March 12, 2012 Tentative |
| 3 | ZF 12-01 Richardson Saw and Lawnmower 804 S. Central Expy. | A request by James Poen, representing Richardson Saw and Lawnmower for approval of major modifications of the West Spring Valley PD Planned Development Standards related to improvements to an existing non-conforming 7,933 square foot building and related site improvements for property located at 804 S Central Expressway. The property is currently zoned PD Planned Development (West Spring Valley PD). | City Plan Commission March 6, 2012 |
| 4 | ZF 12-03 Methodist Richardson Medical Center SE of President George Bush Turnpike & Renner Rd. | A request by Ken Hutchenrider, representing Methodist Richardson Medical Center, to rezone a 20.4-acre lot from I-M(1) Industrial with special conditions to PD Planned Development with special conditions for the expansion of the existing hospital campus at the southeast corner of President George Bush Turnpike and Renner Road. The property is currently zoned I-M(1) Industrial. | City Plan Commission March 20, 2012 Tentative |
| # | Name/Location | Project Information | Status |
|---|---------------|---------------------|--------|
| 5 | VAR 12-01 Richardson Village Shopping Center NE of Plano Rd. and Belt Line Rd. | A request for approval of a variance from the Subdivision and Development Code for permission to plat a lot without frontage on a public street. | City Plan Commission March 6, 2012 |
| 6 | Alta Creekside SE of President George Bush Turnpike & Custer Pkwy. | Site Plan, Landscape Plan and Building Elevations for Alta Creekside: A request for approval of a site plan, landscape plan and building elevations for a 162-unit multi-family complex. The 13.64-acre site is located at the southeast corner of President George Bush Turnpike and Custer Parkway.
Replat Lot 2B and 5, Block A of the Custer Court Addition: Consider and take necessary action for a request for approval of a replat of Lot 2A, Block A of the Custer Court Addition and an unplatted tract of land into two (2) lots for the development of a 162-unit multi-family complex on proposed Lot 5, Block A. The 14.87-acre site is located at the southeast corner of President George Bush Turnpike and Custer Parkway. | City Plan Commission February 21, 2012 Approved |
| 7 | Chicken Express NW of Lake Park Way & W. Campbell Rd. | Site Plan, Landscape Plan for Chicken Express: A request for approval of a site plan, landscape plan, and building elevations for development of a 3,182 square foot restaurant with a drive-thru. The 1.29-acre site is located at the northwest corner of Lake Park Way and Campbell Road.
Replat Lot 3A, Block 2 of the University World Addition: Consider and take necessary action for a request for approval of a replat of Lot 3, Block 2 of the University World Addition to dedicate easements for the development of a restaurant with a drive-thru. The 1.29-acre site is located on the northwest corner of Lake Park Way and Campbell Road. | City Plan Commission February 21, 2012 Approved |
| # | Name/Location | Project Information | Status |
|----|-------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------|
| 8 | Viva Dental | Revised the site plan to reflect the removal of the drive-thru canopy and to incorporate site, roof and exterior wall modifications. | Staff February 21, 2012 Approved |
| 9 | Church of the Epiphany | Revised the site plan to reflect the Construction of a 120 square foot storage building. | Staff February 23, 2012 Approved |
| 10 | Greenway Office Building | Revised the site plan to reflect the installation of carports over six (6) parking spaces on the south side of the 5-story office building. | Staff February 24, 2012 Approved |
| 11 | Campbell Road Shopping Center | Revised the site plan to reflect the location of an existing (18×18) sq. ft. wooden deck for outdoor seating near the southwest corner of the building. The existing deck will be expanded for an additional (18×13) sq. ft. Four (4) parking spaces will be eliminated to accommodate the existing deck and the proposed expansion. 271 parking spaces are required and 271 spaces are provided. | Staff February 28, 2012 Approved |
**RECENTLY ISSUED BUILDING PERMITS**
No recent Building Permits of significance.
Zoning/Special Permit
1. Lone Star Cold Storage, 401 N. Grove Rd. (ZF 11-28)
2. Self-Storage Warehouse, 528 W. Arapaho Rd. (ZF 12-02)
3. Richardson Saw and Lawnmower, 804 S. Central Expy. (ZF 12-01)
4. Methodist Richardson Medical Center, SE of President George Bush Turnpike & Renner Rd. (ZF 12-03)
Variance
5. Richardson Village Shopping Center, NE of Plano Rd. & Belt Line Rd. (VAR 12-01)
Plat/Concept/Development Plan
6. Alta Creekside, SE of President George Bush Turnpike & Custer Pkwy.
7. Chicken Express, NW of Lake Park Way & W. Campbell Rd.
Administrative Approval
8. Viva Dental, 722 W. Spring Valley Rd.
9. Church of the Epiphany, 421 Custer Rd.
10. Greenway Office Building, 2100 Lakeside Blvd.
11. Campbell Road Shopping Center, 605-6356 W. Campbell Rd.
Building Permit
No recent Building Permits of significance.
Agenda Item 1
The Richardson City Plan Commission met February 21, 2012, at 7:00 p.m. at City Hall in the Council Chambers, 411 W. Arapaho Road, Richardson, Texas.
MEMBERS PRESENT:
David Gantt, Chairman
Bill Hammond, Vice Chair
Gerald Bright, Commissioner
Janet DePuy, Commissioner
Marilyn Frederick, Commissioner
Barry Hand, Commissioner
Thomas Maxwell, Commissioner
Don Bouvier, Alternate
Eron Linn, Alternate
CITY STAFF PRESENT:
Michael Spicer, Director of Dev. Svcs.
Sam Chavez, Asst. Director of Dev. Svcs. – Planning
Susan Smith, Asst. Director of Dev. Svcs – Dev. & Eng.
Israel Roberts, Development Review Manager
Chris Shacklett, Planner
Pete Smith, City Attorney
Kathy Welp, Executive Secretary
BRIEFING SESSION
Prior to the regular business meeting, the City Plan Commission met with staff to receive a briefing on agenda items and staff reports. No action was taken.
REGULAR BUSINESS MEETING
Chairman Gantt advised that the order of the agenda items would be rearranged with Items 1, 4, and 5 going first; Items 2 and 3 next, and Item 6 last. He added that since Ms. Frederick was running a little late, he would assign one of the alternates to vote on the items until she was in attendance.
MINUTES
1. Approval of the minutes of the regular business meeting of February 7, 2012.
Motion: Commissioner DePuy made a motion to approve the minutes as presented; second by Commissioner Maxwell. Motion passed 7-0 (Commissioner Bouvier voted).
CONSENT AGENDA
All items listed under the Consent Agenda are considered to be routine by the City Plan Commission and will be enacted by one motion in the form listed below. There will be no separate discussion of these items unless desired, in which case any item(s) may be removed from the Consent Agenda for separate consideration.
2. **Site Plan, Landscape Plan, Building Elevations for Alta Creekside (companion to Item 4):** A request for approval of a site plan, landscape plan, and building elevations for a 162-unit multi-family complex. The 13.64-acre site is located at the southeast corner of President George Bush Turnpike and Custer Parkway.
3. **Site Plan, Landscape Plan for Chicken Express (companion to Item 5):** A request for approval of a site plan, landscape plan, and building elevations for development of a 3,182 square foot restaurant with a drive-thru. The 1.29-acre site is located at the northwest corner of Lake Park Way and Campbell Road.
Commissioner Bouvier asked to have Item 2 removed for separate consideration, and Chairman Gantt said each section of Item 2 would be voted on separately.
**Motion:** Commissioner Bright made a motion to approve Consent Agenda Item 3 as presented; second by Vice Chair Hammond. Motion passed 7-0 (Commissioner Linn voted).
*Note: Commissioner Frederick entered the chamber and joined the Commission at 7:15 p.m. during staff’s presentation of the item under separate consideration.*
SEPARATE CONSIDERATION
**Site Plan, Landscape Plan, Building Elevations for Alta Creekside (companion to Item 4):** A request for approval of a site plan, landscape plan, and building elevations for a 162-unit multi-family complex. The 13.64-acre site is located at the southeast corner of President George Bush Turnpike and Custer Parkway
Mr. Roberts stated the applicant was requesting approval to develop a 162-unit, two story apartment complex located at the southeast corner of President George Bush Turnpike (PGBT) and Custer Parkway. He added that the proposal included 19, two story apartment buildings, a one story, 5,200 square foot leasing center/club house/fitness center, a pool, outdoor kitchens/fire pits, arbors, seating areas and water features.
Mr. Robert reported that there had been a number of revisions to the plans since they were delivered to the Commission and highlighted those changes:
- Site Plan - the removal of the secondary access at the northeast corner of the site, and the addition of an emergency access point along Custer Parkway.
• Concept Plan – the proposed site plan generally conforms to the Concept Plan that was approved in November 2011.
• Landscape Plan -
o Change to area along PGBT by removing shrubbery from the areas where there is no “head in” parking and used only the berms. This allows the applicant to take that savings and plant trees in other locations.
o Removal of the secondary access point and three parking spaces allows the retention of 15 additional trees
o Redesign of the drainage swale and revised grading of the channel along northern property line.
o Creation of open amenity area with native stone benches from on-site excavated limestone massing.
o Additional new trees planted through drainage channel
o Addition of an emergency access point out onto Custer Parkway, which necessitated the removal of two parking spaces and revision of landscape material.
o Revised grading throughout channel and along Custer Parkway allowed for the addition of trees as well as saving some of the existing trees.
• Tree Survey –
o Original proposal proposed removal of 426 or 443 trees on site leaving 17 trees to be saved. Trees being removed were either damaged or being removed for drainage requirements.
o Revised proposed proposes removal of 406 of 443 trees on site saving 37 trees, 28 of which are on the City’s preferred tree list.
o Added 24 additional trees to be planted within the drainage channel and through the amenity area.
Mr. Roberts reported that the building elevations showed two-tone bricks, decorative bracketing, decorative garage doors, covered entryways, recessed balconies, and brick work over windows and brick window sills to break up the façade. He added that the leasing and clubhouse area would use the same materials as the proposed apartments.
Mr. Roberts closed his presentation by displaying the architectural drawings to illustrate the articulation in the buildings noting there was a 10-foot variation between the front and back of some of the façades, and on one of the longer buildings, there was approximately 22 feet of variation in the façade.
Commissioner DePuy asked if the Pradera Apartments were two or three story. She also wanted to confirm they were further off the PGBT than the proposed development.
Mr. Roberts replied he thought they were both two and three story buildings in the development, and acknowledged that the Pradera Apartments were located off Greenside Drive, adjacent to DART rail line.
Commissioner Hand asked staff how many apartments units were allowed per acre in the PD.
Mr. Roberts replied the PD allowed a maximum of 12 units per acre
With no further questions for staff, Chairman Gantt asked if there were questions for the applicant.
Commissioner Hand asked the applicant to talk about the history of the parent company that would be developing the site and about their business strategy as it pertained to transitioning the property.
Mr. Dallas Cothrum, representing Wood Partners, 900 Jackson Street, Dallas, Texas, replied giving a brief history of Wood Partners and Rosewood Partners, the owner of the property. He said that real estate tended to be very fluid so he could not say the companies would never sell their interest in the property, but he had worked with them on another project in Dallas that was comparable to the proposed project and they still own the same property.
Mr. Cothrum noted that 12 units to the acre made it a little more difficult to design a product that was not the typical garden style apartment, but he felt they had achieved a product that was more like a townhome with the use of masonry material, garages, increased articulation in the buildings, adding more trees, changing the nature of the creek, and rents at the top of the market.
Mr. Cothrum responded to a comment from the briefing session as to whether or not something else could be built on the property, and he said that another product could definitely be built there, but the developer would have the same problem that Wood Partners experienced with the creek dissecting the property. He added that it would not be very efficient for office space, and thought they were the only product that could turn the creek into a positive by making it a focal point.
Mr. Cothrum closed his comments by pointing out that the limestone in the rock outcropping would be harvested and used around the property on the berms for points of interest and as benches throughout the development. He reiterated that both Wood Partners and Rosewood Partners would do a quality product.
Commissioner Hand mentioned that the area in the City of Dallas mentioned by the applicant contained higher density properties with four and five stories. He also pointed out that along PGBT there were higher density projects with parking in the middle and wanted to know if the garden style apartments were not as productive, tax wise, as the higher density products.
Mr. Cothrum said the particular property they worked on was not the same density and the only item they requested from the City of Dallas was a parking space reduction to one per bedroom.
Regarding the higher density products with parking in the middle, Mr. Cothrum reported that in their discussions with staff and city management they were told a development of that density was not in the best interest of the surrounding residential neighborhoods. In addition, a development with more stories and interior parking would require a much larger product with more units to the acre.
Commissioner Hand asked if the developer would prefer a higher density.
Mr. Cothrum replied that because of the direction received from the City, they had focused their efforts on the proposed product and they and their lender were committed to the plan. He added that increasing the density by possibly adding a third floor would not help the product because they had found that third floor apartments do not really rent well in the market.
Commissioner Bouvier noted the Commission had been reviewing urban style, higher density projects over the past year and stated the amount of detail that was presented with the current application was lacking when compared to the previous submittals. He added that although the proposal was not unpleasant, he wanted to see more detail including who the targeted customers would be; cut through sections for the creek; and the construction material that would be used.
Commissioner Bouvier acknowledged that he was absent at the November 2011 meeting when the Concept Plan was approved, but said if he had been present he would have voiced a strong objection to what he considered to be garden style apartments. He added that if the Commission was satisfied with 12 units per acre, garden style apartments, then the applicant should provide the type of detail that would show that the final product will make a statement, especially at this gateway to the City.
Mr. Cothrum replied that Mr. Bouvier had some valid points, but they were developing a product under the existing zoning and the proposed design was not typical of a garden style apartment. He added that their pro-forma was showing a higher rent than their urban style project in Dallas and thought Mr. Bouvier’s suggestions about more density and more urban design were philosophical in nature.
Commissioner Bouvier stated he was not suggesting a more urban design, but pointed out that this request was coming on the heels of the Commission working on an urban style development just a mile east of this location and how they were told urban design would equal higher rents. He agreed that this location would probably not be suitable for an urban style density because of the topography, but suggested the applicant should provide more detail to ensure the product would be a top of the line and confirmed what the Commission was agreeing to.
Mr. Cothrum replied that Wood Partners and Rosewood Partners could be judged by their previous projects.
Commissioner Bouvier stated that the application was not specific to the applicant and could be used by any developer.
Mr. Cothrum replied the design was predicated at 12 units per acre and the lender was ready to fund the project and move forward. In addition, they had taken into consideration the existing zoning when making the revisions requested by staff.
Vice Chair Hammond stated he thought the product was a good use of the land and complimented the applicant on their plan and the efforts to save more trees and increase the amenities. He felt the proposed development was not a Transit Oriented and did not need to be designed in an urban style.
Commissioner DePuy said she thought the development was designed more like townhomes as opposed to garden style apartments, and agreed with the comments about not having three story apartments. She added that more detail would be nice, but did not have a problem with the elevations presented.
Commissioner Bouvier said he was not advocating an urban style development, but was simply pointing out that in previous cases before the Commission urban design had been presented as the type that would drive rents and get the type of tenant that everyone thought was appropriate for the area. However, in the absence of that option, Mr. Bouvier thought more detail was needed, including samples of the materials, and suggested the applicant come back before the Commission made a decision that would impact an important piece of real estate in the city.
Chairman Gantt asked if Mr. Bouvier had any issues with the landscape plan, or just with the building elevations.
Commissioner Bouvier replied that if the applicant was committed to doing a garden style apartment complex there was not much that could be done with regard to the juxtaposition of the buildings; however, he would prefer that the garages not face out toward PGBT.
In regard to the landscaping, Mr. Bouvier applauded the applicant for saving as many trees as they could, but felt there was insufficient information to determine whether the changes to the creek and the other items listed as amenities had received the proper treatment to truly be considered a true amenity.
Chairman Gantt agreed there were other Planned Developments in the City where the Commission had spent a large amount of time reviewing details, and thought the placement of the apartments seems strangely placed up against PGBT, but wanted to know if Mr. Bouvier could be specific about the type of detail he would like to see from the applicant other than the sample boards and paint.
Commissioner Bouvier replied that he would like to see what the actual materials looked like, to see what was up under eaves, and all the small details that drive the quality and guarantee that the product will be top line. As an example, he cited the lack of detail in the wrought iron fence as well as the lack of information for the creek, pool and other amenities. Mr. Bouvier stated that the Commission could not ensure a quality product would be built based on the material presented.
Commissioner Hand thanked the applicant for their investment in the City, but asked the Commission to take a step back and recognize that even with garages or Texas prairie style design, the development was still garden style apartments. He added that he lives in an area that is battling the end of life on garden style apartment and felt that looking forward this development would present the same type of problems and challenges.
Mr. Hand wanted to make sure the Commission understood he was not against multi-family developments and felt that some of the redevelopment corridors in the City would be best suited for this product, but pointed out that no matter how much had been invested by the applicant, it was the Commission’s charge to determine the best and highest use of the land, especially at this gateway to the City.
Chairman Gantt called for any further discussion or a motion on the site plan.
**Motion:** Vice Chair Hammond made a motion to approve the site plan for Item 2 as presented; second by Commissioner Bright. Motion passed 4-3 with Chairman Gantt and Commissioners Hand and Maxwell opposed.
Chairman Gantt called for any further discussion or a motion on the landscape plan.
**Motion:** Vice Chair Hammond made a motion to approve the landscape plan for Item 2 as presented; second by Commissioner DePuy. Motion passed 4-3 with Chairman Gantt and Commissioners Hand and Maxwell opposed.
Chairman Gantt called for any further discussion or a motion on the building elevations.
Commissioner Bouvier asked once more for the Commission to take note of the items mentioned in the discussion to add more quality and not make a decision without a guarantee beyond what had been currently presented.
**Motion:** Vice Chair Hammond made a motion to approve the building elevations for Item 2 as presented.
Commissioner DePuy asked if the Commission could request the applicant bring in building materials if the item was passed, and what would be the repercussions of that request.
Chairman Gantt replied that the item could be continued and a request made to have the applicant bring in samples of building materials.
Regarding the repercussions of the request, Mr. Gantt said it would delay the applicant’s ability to start construction, and Ms. Smith replied it did not cause a problem for the City, but suggested asking the applicant what the impact would be for them.
Commissioner DePuy asked that applicant to comment on her request.
Mr. Cothrum replied that they would not be able to close on the deal, which they were expecting to do by the end of the week. He stated that having materials board present would not provide any more detail and said he would be happy to answer any additional questions. In addition, Mr. Cothrum restated that their research predicted the product would lease for the highest amount in the City including the more urban design developments.
Commissioner DePuy said she did not have the same level of concern as that of Mr. Bouvier as far as quality, but was trying to offer a compromise regarding the materials.
Mr. Cothrum replied that waiting on a project was usually fine, but in this instance it was the lender that was requesting to close. He reiterated that they had worked closely with staff to make all the requested changes and improvements which demonstrated their commitment to do a quality product.
Chairman Gantt called for a second on the motion and Commissioner Bright seconded the motion.
Vice Chair Hammond said he thought the applicant had been very specific about the materials to be used and in his opinion having the materials would not make a difference.
Commissioner Bouvier stated he liked the earth tones and dark mortar proposed on the elevations, but wanted to know if the staff had seen and verified that the graphics accurately portrayed the colors.
Mr. Robert replied that the colors of the materials are the same the applicant has been proposing since the beginning and was an accurate depiction.
Commissioner Frederick pointed out there is a difference between a 30 year and a 50 year shingled roof, and both were listed as materials for the project, but said a 50 year roof would be preferable.
Mr. Cothrum replied that the leasing office would be roofed with 50 year shingles, and the apartment buildings would have 30 year shingles.
Chairman Gantt called for any further discussion, and with none called for the vote.
The motion passed 4-3 with Chairman Gantt and Commissioners Hand and Maxwell opposed.
**PUBLIC HEARINGS**
4. **Replat Lot 2B and 5, Block A of the Custer Court Addition (companion to Item 2):**
Consider and take necessary action for a request for approval of a replat of Lot 2A, Block A of the Custer Court Addition and an unplatted tract of land into two (2) lots for the development of a 162-unit multi-family complex on proposed Lot 5, Block A. The 14.87-acre site is located at the southeast corner of President George Bush Turnpike and Custer Parkway.
Mr. Roberts advised the replat Lot 2A, Block A and an additional 6.6-acre of unplatted land was to dedicate the easements necessary for the development of a proposed 162-unit apartment complex. He added that the replat complied with all the City’s subdivision and zoning regulations.
Commissioner Bouvier asked if the replat was approved, but Item 2 did not pass, what would happen to the replat.
Mr. Roberts replied that once a plat is approved it can be filed, and Ms. Smith added that the approval of the plat did not give the applicant any development rights.
Chairman Gantt stated it was his understanding that if a replat complied with the City’s ordinances, the Commission was obligated to pass the replat.
Mr. Roberts replied that was correct.
With no further questions for staff, Chairman Gantt opened the public hearing.
No statements were made in favor or opposed and Chairman Gantt closed the public hearing.
**Motion:** Commissioner Bright made a motion to approve Item 4 as presented; second by Vice Chair Hammond. Motion passed 7-0 (Commissioner Linn voted).
5. **Replat Lot 3A, Block 2 of the University World Addition (companion to Item 3):**
Consider and take necessary action for a request for approval of a replat of Lot 3, Block 2 of the University World Addition to dedicate easements for the development of a restaurant with a drive-thru. The 1.29-acre site is located on the northwest corner of Lake Park Way and Campbell Road.
Mr. Roberts reported that the replat dedicated water line and electric easements for the development of a proposed 3,100 square foot drive-thru restaurant.
Commissioner Hand asked if the replat complied with all the City’s subdivision and zoning regulations and Mr. Roberts replied that it did.
With no further questions for staff, Chairman Gantt opened the public hearing.
Mr. Eric Sealey, Pogue Engineering, 1512 Bray Central Drive, McKinney, Texas, stated he was available for any questions the Commission might have. No questions were asked.
No other statements were made in favor or opposed and Chairman Gantt closed the public hearing.
**Motion:** Commissioner DePuy made a motion to approve Item 5 as presented; second by Commissioner Bouvier. Motion passed 7-0 (Commissioner Bouvier voted).
6. **Zoning File 12-02:** Consider and take necessary action for a request by Howard L. Lawson, representing the Lawson Company, for a change in zoning from C-M Commercial with special conditions to C-M Commercial with special conditions and I-M(1) Industrial with a Special Permit for an indoor self-service warehouse with special conditions for a portion of 528 W. Arapaho Road, north side of Arapaho Road, west of Custer Road.
Mr. Shacklett advised that the applicant was requesting to rezone 4.7 acres located at the northwest corner of Arapaho and Custer Roads. The rezoning would cover the northeastern 3.49-acres from C-M Commercial to I-M(1) Industrial with a Special Permit for a self-service warehouse leaving the remaining 1.2 acres to be rezoned back to C-M Commercial and developed and used in accordance with the regulations for C-M Commercial District.
Mr. Shacklett gave a brief history of the site noting that in November 2011, the Commission reviewed a similar request with a change from C-M Commercial to IM-1 Industrial with a Special Permit for a self-service warehouse that included outdoor storage of motor vehicles. The Commission recommended approved the request, but the City Council denied the request, without prejudice, stating they did not think the outdoor vehicles storage was appropriate for the site.
Mr. Shacklett noted that the applicant was requesting the same self-service warehouse with 422 units located within the existing 65,000-square foot building; however, they had removed the outdoor vehicle storage on the east side of the property and were asking for a 6,000-square foot future building expansion that would accommodate an additional 60 units. He added that if the expansion was built, additional landscape areas would be added to ensure the site met or exceeded the City’s requirements.
In addition, Mr. Shacklett pointed out that the applicant was providing a fire lane on the east side of the building, and the 1.2 acres on the southwest portion of the lot would remain under C-M Commercial zoning.
Mr. Shacklett concluded his presentation stating that should the Commission approve the request, the motion should include the conditions noted in their case packet.
Commissioner Maxwell asked how the 20-foot setback affected the proposed expansion and would it apply to all four sides of the building.
Mr. Shacklett replied the special condition granted a 20-foot setback along the north property line for the existing 65,000-square foot building, which validated only just the portion of the building that currently encroached into the normal 60-foot setback.
Commissioner Maxwell asked if the turnaround for the fire lane was necessary because a normal fire lane was 24 feet and the fire trucks would have a problem getting around the building.
Mr. Chavez replied that it was necessary because the fire trucks needed to be within 200 feet of any point in the building for coverage and the turnaround made that possible.
Commissioner Maxwell asked for clarification of the 20 year guaranteed term versus what rights the City would have as far as recalling or revoking the Special Permit.
Mr. Chavez replied the applicant was requesting an initial 20 year Special Permit with two five year extension; however, it did not limit the City’s ability to reconsider the permit at any time. In addition, the applicant had originally requested the City keep track of the redevelopment in the area and at the time the permits for construction reached 50%, the City would notify the applicant so they could begin their exit strategy, however, this requirement would create an administrative burden.
Commissioner DePuy stated that the 20 year limit on the Special Permit seemed excessive, and wanted to know if removing the section referring to the City keeping track of the redevelopment in the area would decrease the burden on the City.
Mr. Chavez replied that it was not the normal time frame and stated the typical time frame was from a five to seven year time limit and suggested the applicant may be able to answer why the 20 year limit was important to them.
Mr. Shacklett added what was being removed by staff from the applicant’s proposed language was the requirement to track all development in what could be the W. Arapaho Redevelopment and Reinvestment study area.
Commissioner DePuy asked if the expansion took place, would there be sufficient parking to meet the City’s requirements.
Mr. Shacklett replied the applicant was required to have 28 parking spaces, and since the entirety of the lot counts towards the building and they have over 200 with 88 of those within the 3.47 acres.
Commissioner Hand asked staff to define redevelopment and if it was explained in the application.
Mr. Shacklett replied the applicant requested the use of the word, but the staff’s proposed special conditions would remove that term.
Commissioner Hand suggested it was not realistic to assume that 45 acres of the 80-90 acres in the Redevelopment/Reinvestment area would have to redevelop to make the plan viable, thought the application had been by written to totally favor the applicant and discouraged redevelopment on Arapaho Road. He felt it was counter-intuitive when the City had been working so hard to redevelop property to approve an item like this.
Mr. Hand added that he had been the lone dissenting vote the last time the project was before the Commission and he would vote against it again.
Mr. Chavez noted that the language referenced to by Mr. Hand was contained in the applicant’s request, but had been removed in staff’s recommendations to the Commission.
Commissioner Hand said it would help to define it a little better not to be dealing with the redevelopment language.
With no further questions for staff, Chairman Gantt opened the public hearing.
Mr. Bill Dahlstrom, representing The Lawson Company, 901 Main Street, Dallas, Texas, stated he thought the proposal was an opportunity to make good use of a vacant building, and highlighted some of changes made in the current application from the previous submittal including a time limit, limit of I-M(1) uses to C-M Commercial uses, removal of all outdoor storage and display, and landscaping that exceeds the City’s requirement.
Mr. Dahlstrom explained the language referenced by Mr. Hand was proposed to accommodate redevelopment and thought that redevelopment would be good for the area. He added that they thought if sufficient redevelopment took place in the future, and it was at a point that allowed redevelopment of all the properties, it could be taken into consideration at the time of the five year extension request.
Mr. Dahlstrom concluded his presentation by pointing out they had addressed comments from the City Council and added four items that made the application more restrictive and were requesting approval.
Chairman Gantt asked why the applicant was requesting 20 years for their Special Permit considering that most permits are granted for five or seven, especially with the applicant stating they were in favor of redevelopment along Arapaho Road.
Mr. Dahlstrom replied that their original request was for 30 years, but they had reduced to 20 years with two 5 year extensions so it would help recoup their investment. He added that the investment in the structure would be significant and he did not think 20 years was out of the question for the type of facility.
Commissioner Linn asked if the sale of the property was contingent upon approval of the Special Permit, as it was in the November 2011 submittal.
Mr. Dahlstrom said he assumed it was the same.
Mr. Richard Ferrara, 405 N. Waterview, Richardson, Texas, explained he was a consultant working with the owner of the property, Legacy Texas Bank, and advised the bank and the new owner that they had an obligation to be aware of the redevelopment in the area and not be a hindrance, at which point the owner said they would only be in the area as long as they were not in the way.
Commissioner Bright asked if the property had changed ownership from the bank to the new owner.
Mr. Ferrara replied that it had not and the sale was subject to approval of the rezoning and Special Permit.
Mr. Richard Ramey, representing Legacy Texas Bank, 707 E. Arapaho Road, Richardson, Texas, pointed out that many of the surrounding lots had recently sold to multiple parties for retail and restaurant uses and felt it was unlikely the property would be redeveloped for at least 10 to 15 years.
Chairman Gantt asked if Mr. Ramey could comment on the 20 year term request.
Mr. Ramey explained that the bank was giving a 25 year amortization on the property, but was willing to accept the risk of 20 years if the applicant had to repurpose the property at that time. He added that 20 years presented the bank with a reasonable amount of time to recoup their investment.
Mr. David Beatty, representing Northrich Baptist Church, 201 Mistletoe, Richardson, Texas, stated the church was in favor of the original submittal and they were continuing their support with the new submittal.
No other comments were made in favor or opposed and Chairman Gantt closed the public hearing.
Commissioner Maxwell asked for clarification on staff’s recommendation regarding the 20 year term. He wanted to know if item 1B was taken out, and no time limit was imposed, would the Special Permit run indefinitely, or if at the end of the 20 year period the permit would either terminate or the applicant could request a five year extension.
Mr. Shacklett replied that without the time limit the Special Permit would run indefinitely, but that either situation, the City could reconsider the permit at any time.
Commissioner Hand asked why the site was being rezoned to I-M(1) Industrial. He also wanted to know if the property was no longer used as a warehouse, would it have to be rezoned to another zoning district.
Mr. Shacklett replied that the Comprehensive Zoning Ordinance only allows self-service warehouses by Special Permit in an Industrial District; therefore, the zoning change was necessary.
Regarding rezoning the property if it was no longer a self-service warehouse, Mr. Shacklett replied that the property would retain its right to the Special Permit unless it was revoked, but and it would retain its right to uses allowed in the C-M Commercial District.
Chairman Gantt asked for confirmation that the use rights only applied if they were awarded a Special Permit, and that the zoning would remain with the property even if the current applicant was no longer in business.
Mr. Shacklett replied that the current request was not tied to a specific entity, and would remain with the property for the specified time frame.
Commissioner Hand asked if the City had ever reconsidered a Special Permit.
Mr. Shacklett and Mr. Chavez replied that they did not know of that happening in the time they had been with the City.
Commissioner Hand reiterated that he thought the submittal was counter-intuitive to redevelopment.
Mr. Smith suggested a change to the wording of the special condition to ensure it was clear that the renewal process would require the owner to go back through the zoning process should the Commission choose to approve the request. He stated item 1B should read: “The Special Permit may be renewed for two additional time periods for five (5) years each upon submittal of a new application by the property owner representative,” and insert “in compliance with the procedure for a change in zoning district classification,” which means the owner would have all the underlying uses in an Industrial District.
Chairman Gantt disagreed and said that the uses would be allowed in accordance with the zoning regulations for the C-M District.
Mr. Smith replied that if the Commission granted a change in zoning from C-M Commercial to I-M(1) Industrial with a Special Permit for self-service warehouse, then the base zoning had been changed from Commercial to Industrial, which includes all the underlying uses.
Mr. Chavez reported that the language in the conditions was taken from approved and adopted language of a previous zoning case where it was zoned to a district to allow a use, but developed under the special uses of the desired district. He added that the request did rezone the property to industrial, but restricted the uses and the development standards to C-M Commercial.
Mr. Smith stated that the developer had offered to make the zoning change from C-M Commercial to I-M(1) Industrial that would terminate at 20 years so the Commission could conditionally grant the change in zoning for the Special Permit. He added that during the 20 year term, the underlying I-M(1) Industrial District uses would remain.
Commissioner Hand asked if it was possible to tie the Special Permit to the owner.
Mr. Chavez replied that it was possible and had to be included in the motion.
Chairman Gantt asked if the Commission had any other questions regarding the application besides the question of the underlying zoning.
Commissioner Bouvier asked what would happen is the self-service warehouse left the property before the end of the 20 year term; would it revert to C-M commercial standards.
Mr. Dahlstrom stated that he and Mr. Smith had come to a compromise and that as the special conditions were written, there is only one additional use allowed and that is of the storage and C-M uses under the Industrial District. He suggested the applicant would be agreeable to allow the C-M restrictions to survive the 20 year term and after that term the only uses allowed would be C-M Commercial.
Chairman Gantt explained that Mr. Bouvier was asking if the Commission allowed the zoning, as proposed, during the Special Permit period, and the Commission ever recalled the permit, would the zoning revert back to straight C-M Commercial.
Mr. Smith replied that if the Council ever directed the Commission to rezone the property back to straight commercial, or to eliminate the Special Permit, the Commission could change the zoning classification. He added that the Commission could add to the proposed language that the only use allowed would be self-service warehouse and the C-M Commercial uses allowed in the Industrial District, which should give the City adequate protection against the applicant or a subsequent owner trying to bring in some other industrial uses.
Commissioner Hand asked if the suggested condition of tying the Special Permit to the applicant would be included.
Chairman Gantt concurred that the Special Permit should be tied to the applicant, but said if the zoning was changed to I-M there was still the risk that if the applicant left the property the zoning would allow Industrial uses. He noted that Mr. Smith’s wording would help restrict that possibility.
Mr. Shacklett explained that the staff was stating in special condition number one that not just the stated C-M uses would be allowed in I-M(1) Industrial, but all C-M Commercial uses (i.e., building, height and area regulations).
Mr. Smith suggested some additional language should be added: “The use of the property shall be limited to a self-service warehouse and all non-industrial uses allowed in the C-M Commercial District.”
Mr. Ferrara said he thought the way to word the condition was that the Special Permit allowed all the uses of the C-M Commercial District, and in granting the Industrial zoning, it is exclusive to only self-service warehouse and exclusive of any additional uses that occur in light industrial zoning that do not occur in the commercial zoning.
Mr. Smith stated that the intent was to allow C-M Commercial District uses and also the self-service warehouse for a period of 20 years. So the additional condition should state: “the use of the property shall be limited to a self-service warehouse and other uses allowed in the C-M Commercial District.”
Commissioner Hand stated he was not going to vote in favor of the application, but thought it was worth saying he appreciated the malleability the applicant had shown with their new request.
**Motion:** Commissioner Bright made a motion to recommend approval of Item 6 as presented in the revised pages 4 and 5 handed out by staff in the briefing session with the addition of the word “Permit” on item 1B; second by Commissioner Bouvier.
Mr. Smith asked if the motion should include “in compliance with the procedure for a change in zoning district classification” after the word representative.
Mr. Bright concurred with that change.
Commissioner Frederick seconded the motion.
Mr. Smith asked if the special conditions should include “that the use of the property shall be limited to self-service warehouse and uses allowed in the C-M Commercial District.”
Commissioner Bright replied that he thought that issue was already included in item 1B.
Mr. Shacklett replied that was the question as to whether or not special condition number one that states “shall be zoned I-M(1) with a Special Permit for self-service warehouse and shall be developed and used in accordance with the zoning regulations for the C-M Commercial District. He felt that statement covered the fact that there was a Special Permit and everything else was per the C-M District regulations.
Mr. Smith said he preferred the language that “The use of the property shall be restricted to a self-service warehouse and uses allowed in the C-M Commercial District.” so there is no question as to the intent.
Commissioner Bright said he was open to Mr. Smith’s revision and suggested it should be listed as item 1F, and Commercial Frederick concurred with the revision.
Motion passed 5-2 with Chairman Gantt and Commissioner Hand opposed.
**ADJOURN**
With no further business before the Commission, Chairman Gantt adjourned the regular business meeting at 9:17 p.m.
__________________________
David Gantt, Chairman
City Plan Commission
Agenda Item 2
Attachments:
1. Staff Report
2. Locator
3. Applicant’s Statement
4. Variance Exhibit
5. Sample “Restrictive Easement Agreement” language
6. Notice of Variance Request
7. Notification List
8. Notification Map
CITY PLAN COMMISSION
BACKGROUND INFORMATION
March 6, 2012
Variance 12-01
SUMMARY
Owner: Gemini Real Estate Advisors
Applicant: Sarah Williamson, Kimley-Horn
Project Name: Richardson Village Shopping Center, located north of Belt Line Road, on the east side of Plano Road
Request: Approval of a variance to create a lot that does not front on a dedicated public street as required for all lots in Article III, Section 21-46(b) of Chapter 21 (Subdivision and Development Code) of the Code of Ordinances.
The request allows proposed Lot 6; occupied by LA Fitness, to be platted as a separate lot and sold to meet the property owner’s intent to align the value of the remaining balance of the property with its current financing terms.
CPC Action:
Recommendation to the City Council
The City Plan Commission may recommend approval of the request as presented, recommend approval with conditions or deny the applicant’s request.
Should the variance request be approved by City Council, a replat of the subject property and revised site and landscape plans will be required to be submitted by the applicant for consideration by the Commission.
Earliest City Council Agenda: March 26, 2012
Notification:
This request is not a public hearing and specific notification is not required by State law. As a courtesy, adjacent property owners that may be affected by the variance request received written notification.
Correspondence:
No written correspondence has been received to date.
**DEVELOPMENT SUMMARY**
**Land Area:**
- 6.65-acres (289,502 square feet)
- Proposed Lot 2F: 2.50-acres (108,814 square feet)
- Proposed Lot 5: 2.18-acres (94,789 square feet)
- Proposed Lot 6: 1.97-acres (85,900 Square feet)
**Zoning:**
(C-M) Commercial District
**Existing Development:**
Retail/Restaurant/Health Club
**Adjacent Land Use/Zoning:**
- North: Apartments/A-950-M
- East: Retail, Restaurant/LR-M(2) Local Retail and Apartments/A-950-M
- South: Retail, Restaurant, Auto Repair/C-M Commercial
- West: Retail/Restaurant/C-M Commercial
**BACKGROUND INFORMATION**
**Article III, Section 21-46(b) [Lots and Blocks]:**
The referenced article requires all lots to front on dedicated public or approved private streets. As proposed, Lot 6 will not have frontage on Plano Road or Belt Line Road and does not meet the requirement; however, existing mutual access easements will provide access to the future lot.
Since 2001, only one (1) variance has been granted to allow a lot to be platted without frontage on a public or private street. In April 2010, 1st International Bible Church received a variance to plat lots without street frontage to consolidate various illegally subdivided tracts of land. The subject site also had existing mutual access easements that provided access to the subject lots.
In 2006, the site received a ZBA variance to reduce the required landscape percentage from 10% to 5% as an element of an overall redevelopment program for the center. As shown on the variance exhibit, three (3) additional landscape areas are being installed on the south and east sides of the building for proposed Lot 6 to satisfy the minimum landscape area requirement of 5% or 4,295 square feet. The new landscape areas and the existing landscape areas account for 4,310 square feet of landscape area, thereby exceeding the minimum required amount by 15 square feet.
In 2010, City Council tabled a variance request by the property owner to create a flag lot for the subject site. City Council expressed concerns of how future maintenance of the site and the desire for continued harmonious design of the center’s appearance would be maintained with the potential for multiple ownership of the center through further “parceling” of the lot. To date, the property owner has not pursued the variance and staff has asked the property owner for formal withdrawal of the request.
As a response to those concerns, the owner intends to create a “Restrictive Easement Agreement” or “Protective Covenants” that will mandate appearance and maintenance responsibilities of current and future property owners. The covenants will then be filed in the Deed Records of Dallas County. Attached is the sample language the owner has used at other retail centers to ensure for maintenance and continued appearance conformity.
University Village Shopping Center
VAR 12-01
Richardson Village Subdivision Variance
Statement of Request
Gemini Richardson Village, LP is requesting a variance from the City of Richardson to subdivide a parcel which currently contains LA Fitness at the northeast corner of the intersection of Beltline Road and Plano Road. This particular subdivision would create a lot lacking frontage on a public street, thus necessitating the variance request.
Gemini purchased the property in 2006 when it was in complete disrepair by the previous ownership group. We spent approximately $17 million to purchase and revitalize the property, including a new building for LA Fitness, a new tenant shops building totaling 14,280 square feet, and a complete exterior renovation to the remaining buildings on the property.
With the economic collapse that began in 2008, the leasing activity came to a halt and the property lost approximately 35% of its value. Gemini refinanced the property at a substantial loss in 2010, staving off certain foreclosure by the previous lender. The current financing terms are ultimately unsustainable long-term.
For the reasons mentioned above, Gemini requests a variance to subdivide the LA Fitness building and create a stand-alone parcel. The reason for this is the value that a stand-alone LA Fitness would create is substantially more than an LA Fitness anchored shopping center with tenant shop buildings that are not fully leased. There is a large amount of capital searching for the credit type single-tenant buildings like LA Fitness.
While we understand the city has had concerns regarding the ‘parcelization’ of these types of properties for reasons of cohesiveness, please remember that the city has required a Shared Parking Restriction Agreement and we would further protected the property with a Restrictive Easement Agreement which will outline specific requirements for the appearance and upkeep of the property and run with any future conveyance.
This is demonstrated by the fact that Gemini had subdivided and sold the Goodyear building to the Goodyear operator 18 months ago and sold the Chase building parcel about 8 months ago. To the outside world, there is no physical evidence that these properties are currently under separate ownership.
Gemini plans to maintain the tenant shop building for the near future but would seek to divest of the LA Fitness to align the value of the property with the current financing terms. This will eliminate the inherent risks of foreclosure based on the unsustainable financing currently in place.
The worst case for this property would be that it becomes a bank REO or a sale of the entire shopping center to one owner at a discount. Allowing this will open up the possibility of a sub-standard ownership entity such as the previous ownership group, and ultimately deteriorate the appearance of the entire property.
NOTES:
1. 2ND WARNING: SAME AS NO. DATED FEBRUARY 15, 2006
2. 3. VARIANCE TO THE ALLOPED 32 BUILDING HEIGHT FOR A 48' HIGH LIGHT POLE (ALLOWED UP TO 32 BUILDING HEIGHT)
CITY COUNCIL, VARIANCE CASE #46-91, DATED MARCH 30, 2006 CHAPTER 16, ARTICLE 6, SECTION 16-1105 TO PERMIT ASPHALT PAVEMENT ON THE SITE INSTEAD OF CONCRETE PAVEMENT
3. VARIANCE CASE #82, DATED MARCH 20, 2006 CHAPTER 16, ARTICLE 6, SECTION 16-1105 TO ALLOW A 10% REDUCTION IN THE NUMBER OF REQUIRED PARKING SPACES FOR AN EXISTING SITE (48 SPACES) AND A NEW ENTERING SITE (84 SPACES), REGARDLESS OF HOW IT IS DISTRIBUTED
4. VARIANCE CASE #45-91, DATED MARCH 30, 2006 CHAPTER 16, ARTICLE 6, SECTION 16-1105 TO ALLOW A 10% REDUCTION IN THE NUMBER OF REQUIRED PARKING SPACES FOR AN EXISTING SITE (48 SPACES) AND A NEW ENTERING SITE (84 SPACES), REGARDLESS OF HOW IT IS DISTRIBUTED
5. VARIANCE CASE #45-91, DATED MARCH 30, 2006 CHAPTER 16, ARTICLE 6, SECTION 16-1105 TO ALLOW A 10% REDUCTION IN THE NUMBER OF REQUIRED PARKING SPACES FOR AN EXISTING SITE (48 SPACES) AND A NEW ENTERING SITE (84 SPACES), REGARDLESS OF HOW IT IS DISTRIBUTED
SITE PLAN - LOTS 2F, 5 & 6, BLOCK 2
University Village No. 2
BUILT UPON 6.65 ACRES
SITUATED IN DALLAS COUNTY, TEXAS
DATE: FEBRUARY 6, 2012
OWNER/APPLICANT:
MARY HARGRODER SURVEY, ABSTRACT NO. 574
CITY OF RICHARDSON, DALLAS COUNTY, TEXAS
ENGINEER/SURVEYOR:
Christopher L. Lubach
16790 Bridgeview Commons Parkway
Richardson, Texas 75082
Phone: 972-721-8800
Fax: 704-895-7944
Contact: Christopher Lubach
EXHIBIT
SAMPLE “RESTRICTIVE EASEMENT AGREEMENT” LANGUAGE, REGARDING
MAINTENANCE AND BUILDING APPEARANCE, AS PROVIDED BY THE OWNER.
Building Plan Approval Requirement. It is the intent of Declarant that the improvements located on each Outparcel and Future Development blend harmoniously and attractively with the Shopping Center improvements. Accordingly, no Owner shall construct any buildings or other improvements on an Outparcel or Future Development (or make any additions, alterations or modifications to any improvements) on any Outparcel or Future Development until the following items (collectively the “Plans and Specifications”) have been approved in writing by Declarant:
1. A site plan showing the location and dimensions of all buildings and the landscaping, paving (roadway, sidewalks and parking), signage and other improvements to be constructed or installed on the Outparcel and/or Future Development;
2. Plans showing the exterior elevations of all sides of the building improvements, landscaping, paving (roadway, sidewalks and parking), and signage and other improvements to be constructed or installed on the Outparcel and/or Future Development, and;
3. Specifications describing the principal building materials and colors to be used on the exterior of the proposed buildings (which exterior finishes shall be architecturally harmonious with those used in the Shopping Center Improvements as determined by Declarant, in its sole discretion), exterior lighting (which shall be identical to the decorative fixtures used on the Shopping Center Tract), paving and landscaping placement and materials (which shall also be consistent with those used in the Shopping Center Improvements as determined by Declarant, in its sole discretion).
Maintenance Standard. After development of the Shopping Center Tract, each Outparcel and Future Development shall be maintained by the Owner of the Outparcel or Future Development until developed as either paved parking, seeded with grass or other landscaping materials as approved by the Declarant, and shall be regularly mowed and- otherwise maintained in a first class manner and kept free of weeds, debris, trash and underbrush.
1. After development of each Outparcel and Future Development, the Owner of that Outparcel or Future Development shall maintain or cause to be maintained its Outparcel or Future Development and any improvements located thereon in good order and condition, which obligation shall include, but shall not be limited to, the following:
1.1 Keeping and maintaining the exterior of all buildings and all sidewalks, walkways, roadways and paved parking surfaces in a good, safe, clean and slightly condition;
1.2 Removing promptly, to the extent reasonably practicable, snow, ice, surface water and debris;
1.3 Keeping all directional signs, pavement signs and striping distinct and legible;
1.4 Maintaining, repairing and replacing outside area lighting fixtures, bulbs, tubes and ballasts;
1.5 Caring for and replanting all landscaped and planted areas so as to not allow dead or unsightly plants to remain within the Outparcel or Future Development, as the case may be;
1.6 Repairing any damage or breakage to improvements located beneath the pavement on its Outparcel or Future Development and serving solely that Outparcel or Future Development, and;
1.7 Keeping its Outparcel or Future Development clean, orderly, sanitary and free from objectionable odors and from termites, insects, vermin and other pests.
2. If the Owner of any Outparcel or Future Development fails to maintain or cause to be maintained its Outparcel or Future Development in good order and condition as set forth in this Declaration, and such failure continues for a period of thirty (30) days after that Owner (the "Responsible Owner") has been given written notice specifying the nature of the default (provided, however, that no notice shall be required in an emergency), then the Declarant or Owner of the Shopping Center Tract shall have the right to go on that Outparcel or Future Development to perform any necessary maintenance or repairs at the expense of the Responsible Owner. If the Declarant or Owner of the Shopping Center Tract performs maintenance or repairs on any Outparcel or Future Development under this Section, the Responsible Owner shall be deemed to have contracted with the Declarant or Owner of the Shopping Center Tract for that work, and, in the event the Responsible Owner shall not promptly reimburse the Declarant or Owner of the Shopping Center Tract for the costs of such work, the Declarant or Owner of the Shopping Center Tract shall be entitled to file and enforce a mechanic's lien against the interest of the Responsible Owner in its Outparcel or Future Development for the cost of that work, and to recover the cost of that work in an action at law against the Responsible Owner, all in accordance with the applicable mechanics lien laws of the State of Texas.
3. If the Owner of the Shopping Center Tract fails to maintain or cause to be maintained in good order and condition any roadways located on the Shopping Center Tract which provide direct access between any Outparcel or Future Development, and such failure continues for a period of forty-five (45) days after the Owner of the Shopping Center Tract has been given written notice by the Owner of an Outparcel or Future Development specifying such failure to maintain, then the Owner providing such notice shall have the right to go on the roadways of the Shopping Center Tract as applicable, to perform any necessary maintenance or repairs at the expense of the Owner of the Shopping Center Tract. If the Owner of an Outparcel or Future Development performs such maintenance or repairs pursuant to this Section, the Owner of the Shopping Center Tract shall be deemed to have contracted with the Owner of such Outparcel or Future Development for that work, and in the event the Owner of the Shopping Center Tract shall not promptly reimburse the Owner of such Outparcel or Future Development for the costs of such work, the Owner of such Outparcel or Future Development shall be entitled to file and enforce a mechanics against the Shopping Center Tract for the cost of that work, and to recover the cost of that work in an action at law against the Owner of the Shopping Center Tract, all in accordance with the applicable mechanics lien laws of the State of Texas. All amounts paid by the Owner of the Shopping Center Tract to the Owner an Outparcel or Future Development hereunder shall qualify and be treated as CAM Expenses subject to the provisions of this Declaration.
4. Declarant shall have the right to enter upon an Outparcel or Future Development at reasonable times, and subject to the reasonable security requirements of the Occupant of the Outparcel or Future Development, for the purpose of inspecting the Outparcel or Future Development to determine compliance with the maintenance requirements under this Section.
General Standards. Each Owner shall comply with, and require its tenants and subtenants to comply with, any rules and regulations adopted by Declarant in its sole and absolute discretion concerning sanitation, handling of trash and debris, loading and unloading of trucks and other vehicles, and safety and security within the Real Property. Without limiting the generality of the foregoing, each Owner shall comply with the following rules:
1. All television antennas, satellite dishes and any other mechanical equipment shall be located and screened so as not to be visible to the public. The height of the screen wall and the materials used to Screen the trash handling area shall be approved by the Declarant.
2. All trash and garbage shall be stored in adequate containers within the Owner’s Parcel, and the containers shall be maintained in a clean and neat condition, and located and screened so as not to be visible to the public and so as not to create any health or fire hazard.
3. All trash and garbage shall be removed at regular intervals at Owner’s expense.
4. No papers, trash or garbage of any kind shall be burned in or about any Parcel.
5. No handbills or other advertising matter shall be distributed by any Owner in or around any portion of the Real Property outside the Owner’s Parcel.
6. No exterior amplification or similar devices, and no advertising medium which may be heard or seen outside of the Real Property, such as flashing lights, search lights, loudspeakers, phonographs, television or radio broadcasts, shall be used in any Parcel. Provided, however, this restriction shall not apply (i) to signs that have been approved as set forth in this Declaration, or (ii) to speakers on drive-through windows or gas pumps, that have been approved by the Declarant.
NOTICE OF VARIANCE REQUEST
RICHARDSON CITY PLAN COMMISSION
An application has been received by the City of Richardson for variances to Chapter 21, Subdivision and Development Ordinance.
VAR No./Name: VAR 12-01/ Richardson Village Shopping Center
Property Owner: Gemini Real Estate Advisors
Applicant: Sarah Williamson, Kimley-Horn and Associates, Inc.
Location: Northeast Corner of Plano and Belt Line Roads
Request: Request approval of a variance from the Subdivision and Development Code:
1. VAR 12-01: Article III, Section 21-46(b) [Lots and Blocks]: permission to plat a lot without frontage on a public street.
The City Plan Commission will consider this application on:
TUESDAY, MARCH 6, 2012
7:00 p.m.
City Council Chambers
Richardson City Hall, 411 W. Arapaho Road
Richardson, Texas
As courtesy, adjacent property owners who may be affected by this request are receiving written notification of this meeting; as such ownership appears on the last approved city tax roll.
PROCESS FOR PUBLIC INPUT: This item is not a public hearing and specific notification is not required by State law.
While all interested persons are invited to attend the meeting, those wanting their views to be made a part of the public record, may send signed, written comments, referencing the file number above, prior to the date of the hearing to: Development Services Department, P.O. Box 830309, Richardson, TX 75083.
The City Plan Commission may recommend approval of the request as presented, recommend approval with additional conditions or recommend denial. Final approval of this application requires action by the City Council.
AGENDA: The City Plan Commission agenda for this meeting will be posted on the City of Richardson website the Saturday prior to the meeting. For a copy of the agenda, please go to: http://www.cor.net/DevelopmentServices.aspx?id=11512
For additional information, please contact the Department of Development Services at 972-744-4240 and reference this variance number.
Date Posted and Mailed: February 24, 2012
| Company Name | Address | City, State, Zip Code |
|------------------------------------|----------------------------------|--------------------------------|
| PEEK PROPERTIES | Po BOX 12146 | DALLAS, TX 75225 |
| DATAFAX CORPORATION | 179 N. PLANO RD STE B | RICHARDSON, TX 75081 |
| LAMOYNE JACK MARTIAL ARTS | 1938 PALISADE CT | ALLEN, TX 75013 |
| FUDO CAPITAL LLC | 340 PEMBERWICK RD | GREENWICH, CT 06831 |
| WIN & WIN INC | 129 N. PLANO RD. | RICHARDSON, TX 75081 |
| SERVAIS PPTIES | 429 VIA LIDO NORD | NEWPORT BEACH, CA 92663 |
| SJ CHRISTENSEN ENTERPRISES | 834 MORNINGSIDE TRAIL | PLANO, TX 75094 |
| GEMINI RICHARDSON SQ LP | 200 PARK AVEE. S. #1305 | NEW YORK, NY 10003 |
VAR 12-01 Notification Map
Richardson Village Shopping Center
150 N. Plano Road
Agenda Item 3
Attachments:
1. Staff Report
2. Zoning Map
3. Aerial Map
4. Oblique Aerials Looking South and East
5. Zoning Exhibit (Exhibit B)
6. Site Photos (Exhibits C-1 through C-3)
7. Applicant’s Statement
8. Notice of Public Hearing
9. Notification List
Approval of major modifications to the development standards of the West Spring Valley Planned Development District for building and site improvements related to an existing non-conforming 7,933-square foot building and 0.66-acre site located at 804 S. Central Expressway; north of Spring Valley Road, on the west side of Central Expressway.
James Poen – Richardson Saw & Lawnmower/James Poen – JBZ Asset Management, L.P.
Central Expressway: Freeway/Turnpike; 250,000 vehicles per day on all lanes, northbound and southbound, south of Campbell Road (2010).
The site is located in the West Spring Valley Corridor PD, which was approved in June 2011. The District was adopted as part of the West Spring Valley Corridor Reinvestment Strategy and established a pedestrian-oriented district with an infrastructure of streets and buildings that are flexible in terms of use to attract ongoing reinvestment.
Future Land Uses of Surrounding Area:
North: Enhancement/Redevelopment
South: Enhancement/Redevelopment
East: Enhancement/Redevelopment
West: Enhancement/Redevelopment
EXISTING ZONING:
PD Planned Development (Ordinance No. 3839).
TRAFFIC/INFRASTRUCTURE IMPACTS:
The proposed improvements will not have an impact on the surrounding roadway system or the existing utilities in the area.
STAFF COMMENTS:
Background:
The 7,933-square foot building was previously occupied by Four Seasons Sunroom and was purchased by the owner of Richardson Saw & Lawnmower in 2011. The current Richardson Saw & Lawnmower facility is located directly south of the subject site and can no longer support its growing business; therefore, they will be expanding their business on the subject site. The new facility will accommodate additional retail and office activities and no changes are proposed to building’s footprint.
The proposed use for the subject property meets the definition of a “hardware store” as defined in the Comprehensive Zoning Ordinance. The subject property is located within Area B of the West Spring Valley Planned Development District (the District) which allows hardware stores that do not exceed 10,000 square feet per building by right.
Although the subject hardware store is allowed by right, the applicant is proposing to make several changes to the building’s exterior and site that require approval of Major Modifications as defined in the District. In accordance with the District, a Major Modification may be approved by the City Council after recommendation from the Commission. A Major Modification includes changes to the District that are expressly identified as a major modification or any other modification that is not identified as a Minor Modification within the District.
The structure and its site elements are considered non-conforming; therefore, changes to the site and structure are prohibited unless the site is being brought into full compliance with the PD. Maintenance and repair of non-conforming site elements and structures are allowed, but since the applicant is proposing to make changes to site elements and the structure that are not considered maintenance or repair items, the approval of the following major modifications is required.
Proposed Major Modifications:
Overall, the applicant is requesting nine (9) major modifications for the subject property. Exhibit “B” reflects the proposed list and the location of where each change will occur. The following describes the proposed modifications and reasons for the request:
1. **Add an 8-foot roll up door on the north side of the building** – The addition of the roll up door accommodates the movement of merchandise in and out of the building.
2. **Add steel protection bollards at two (2) locations (north and west sides of the building) as indicated on Exhibit “B”** – The applicant is proposing to install the steel protection bollards adjacent to the roll up doors for building security. A steel bar can be placed between the two (2) bollards to prevent a vehicle from running into the doors.
3. **Remove the existing windows on the north side of the building and replace with brick** – The applicant feels the windows present security issues to the building due to their current state of disrepair and proposes to remove them and infill with brick as well as painting the brick to match the rest of the building.
4. **Paint existing exterior walls and mansards (north and east elevations) to match the west and south elevations** – The District allows repainting of structures if they were painted prior to the adoption of District’s development standards but only for maintenance or repair purposes. The previous owner started to paint the building in 2011, but never completed the building’s north and east elevations; therefore, they are not allowed to be painted and are required to remain in their natural brick finish. The applicant desires to finish painting the subject elevations to match the remainder of the building for aesthetic purposes.
5. **Remove existing asphalt paving and replace with new concrete paving** – The applicant is proposing to replace failing asphalt paving in three (3) areas on the site as depicted on Exhibit “B”. The City requested the applicant replace the asphalt with concrete at the southeast corner of the property. The applicant has agreed to do this as part of the other proposed site improvements.
6. **Remove the existing wooden dumpster screen with a new 7-foot tall CMU screening wall** – The applicant desires to replace the wooden screen with a masonry screening wall to comply with the City’s dumpster screening standards. A Major Modification is required since this is not considered maintenance or repair.
7. **Remove the existing door on the north side of the building and infill with brick** – The applicant is proposing to remove the existing door for security purposes. The area will be filled with brick and painted to match the remainder of the building.
8. **Remove existing light fixtures** – The applicant proposes to remove two (2) roof-mounted lights at the northwest and southwest corners of the building. He states the removal is for aesthetic purposes and because the lights provide no benefit for the business.
9. **Add new fluorescent strip light fixtures to the existing soffit** – The applicant is proposing to add ten (10) fluorescent light fixtures to provide an increased level of security and to meet today’s energy efficiency standards. The Major Modification is required because the District does not allow fluorescent lighting (except for fluorescent bulbs in standard light sockets) to be used for exterior lighting.
Should the Commission recommend approval of the applicant’s request, the proposed major modifications as conditioned below, will only apply to the items being requested as enumerated on Exhibit B. In addition, the proposed modifications will not be applicable to future additions or to future redevelopment of the site. At the time of redevelopment, the site would be required to fully comply with the District standards or seek additional Major Modifications as permitted in the District.
Correspondence: As of this date, no correspondence has been received.
Motion: The Commission will be making a recommendation to the City Council regarding this request. The Commission may approve the request as presented, add, amend or delete the requested modifications, or recommend denial of the request.
Should the CPC recommend approval of the applicant’s request as presented, the motion should include the following special conditions:
1) The following Major Modifications shall only apply to the items below, which are depicted and enumerated as Numbers 1 through 9 on Exhibit “B”:
(a) Addition of an 8-foot wide by 10-foot tall roll up door to the north elevation.
(b) Installation of steel protection bollards in front of the roll up doors on the north and west elevations of the building.
(c) Removal of existing windows on the north elevation of the building. The opening shall be back-filled with brick, and said brick shall be painted to match the building elevations.
(d) Painting of the existing exterior wall & mansard roof on the north and east building elevations to match the remainder of the building elevations.
(e) Replacement of the existing asphalt paving with concrete paving in accordance with City Design Standards for paving of parking areas.
(f) Replacement of the existing wooden dumpster screening fence with a minimum 7-foot tall CMU dumpster screening wall with steel gates, which shall be constructed in accordance with the City’s Dumpster Screening Design Standards.
(g) Removal of the existing door on the north elevation. The opening shall be back-filled with brick, and said brick shall be painted to match the building elevations.
(h) Removal of the existing light fixtures mounted on top of the northwest and southwest corner of the building.
(i) Addition of new strip fluorescent light fixtures underneath the existing soffit.
Council Hearing Date: Should the Commission recommend approval of the applicant’s request, the earliest possible City Council hearing date is March 26, 2012.
ZF 12-01 Zoning Map
Updated by: zelleg Date: January 24, 2011
File: DSMapping\cases\2010\ZF1201\ZF1201 zoning.mxd
This product is for informational purposes and may not have been prepared for or be suitable for legal, engineering, or surveying purposes. It does not represent an on-the-ground survey and represents only the approximate relative location of property boundaries.
SUBJECT PROPERTY FOR ZONE CHANGE
ZF 1201 Aerial Map
Updated By: bellesg Date: January 24, 2012
File: GIS/Mapping/Cases/ZF/2012/ZF1201/ZF1201 ortho.mxd
This product is for informational purposes and may not have been prepared for or be suitable for legal, engineering, or surveying purposes. It does not represent an on-the-ground survey and represents only the approximate relative location of property boundaries.
Refer to Exhibit B for Reference to Numbered Modifications
Existing Richardson Saw & Lawnmower
Oblique Aerial Looking South
Refer to Exhibit B for Reference to Numbered Modifications
Oblique Aerial Looking East
DECEMBER 2011 SCOPE OF WORK
1. ADD 8'-0" ROLL UP DOOR.
2. ADD STEEL POSITIVE DRIVE THRU BOLLARD, 2 LOCATIONS.
3. REMOVE EXISTING WINDOWS, INFILL WITH BRICK.
4. PAINT EXISTING WALLS AND MANSARDS TO MATCH WALL ON WEST & SOUTH ELEVATIONS.
5. REMOVE EXISTING ASPHALT PAVING AND REPLACE WITH NEW CONCRETE PAVING.
6. REMOVE EXISTING WOOD DUMPSTER SCREEN AND REPLACE WITH NEW 7'-0" TALL CMU WALL, WI STEEL GATES, (Per City Standards).
7. REMOVE EXISTING DOOR, IN FILL WITH BRICK AND PAINT TO MATCH ADJACENT WALL.
8. REMOVE LIGHT FIXTURE: (2 LOCATIONS)
9. ADD NEW FLUORESCENT STRIP LIGHT FIXTURES TO EXISTING SOFFIT, 10 TOTAL FIXTURES.
D OWNER: James Born, Principal
Richardson Saw & Lawnmower
802 South Central Expwy
Richardson, Texas 75080
Phone 972-235-2086
Exhibit B - Part of Ordinance
ZONING EXHIBIT
ZF 12-01
Feb. 24, 2012
01/03/2012 GENERAL
SHEET S-1
1 - Add 8-foot wide roll up door
2 - Add steel protection bollards in front of roll up door
3 - Remove windows/fill with brick
4 - Paint existing exterior walls to match remainder of building
5 - Remove existing asphalt and replace with concrete paving
7 - Remove door/fill with brick
8 - Remove light fixture
9 - Add new fluorescent strip light fixtures to soffit
804 S Central Expy - February 2012
2 - Add steel protection bollards in front of roll up door
5 - Remove existing asphalt and replace with concrete paving
8 - Remove light fixture
9 - Add new fluorescent strip light fixtures to soffit
West Elevation
Exhibit C-1
6 - Remove existing wood screen and replace with 7-foot tall CMU screen wall with steel gates
Existing Dumpster Screen
804 S Central Expy - February 2012
9 - Add new fluorescent strip light fixtures to soffit
Lighting to be Replaced
Exhibit C-2
4 - Paint existing exterior walls to match remainder of building
5 - Remove existing asphalt and replace with concrete paving
Southeast Elevations
804 S Central Expy - February 2012
Looking North at South Elevation and Failing Driveway
Exhibit C-3
January 16, 2012
City of Richardson Development Services Department
411 W. Arapaho Road, Room 204
Richardson, Texas 75080
RE: 804 S. Central Expressway Suite 804 Richardson, Texas 75080
(Richardson Saw & Lawnmower) request for major modification in the West Spring Valley PD
To Whom It May Concern,
Please let this letter reflect the items that Richardson Saw & Lawnmower would like to get approved on our building located @ the above referenced address as listed below.
1. Add 8’0” wide x 10’0” tall roll up overhead door to North elevation of building.
2. Add steel protection bollards at (2) locations as indicated on drawing.
3. Close existing window & infill with new brick & paint to match existing.
4. Paint existing exterior walls & mansards to match walls on West & South elevations.
5. Remove existing asphalt parking lots in (3) areas with new concrete as indicated on drawing.
6. Remove existing wooden dumpster screen & replace with new CMU walls & steel gates painted to match building concept.
7. Close existing door & infill with new brick & paint to match existing.
8. Remove light fixtures. (Two locations)
9. Add new fluorescent strip fixtures to existing soffit. (10 Total Fixtures)
*Roof is in progress of being replaced because it is beyond repair after inspection was done.
If you have any questions or need further information, please call me at 972-235-2086.
Thank you.
James Poen
Richardson Saw & Lawnmower
An application has been received by the City of Richardson for a:
**MAJOR MODIFICATION**
| File No./Name: | ZF 12-01 / Richardson Saw & Lawnmower |
|----------------------|---------------------------------------|
| Property Owner: | James Poen / JBZ Asset Management L.P. |
| Applicant: | James Poen / Richardson Saw & Lawnmower |
| Location: | 804 S. Central Expressway (See map on reverse side) |
| Current Zoning: | PD Planned Development (West Spring Valley PD) |
| Request: | Major modifications of the West Spring Valley PD Planned Development Standards related to improvements to an existing non-conforming, 7,933-square foot building and related site improvements for property located at 804 S Central Expressway. The property is currently zoned PD Planned Development (West Spring Valley PD). |
The City Plan Commission will consider this request at a public hearing on:
**TUESDAY, MARCH 6, 2012**
7:00 p.m.
City Council Chambers
Richardson City Hall, 411 W. Arapaho Road
Richardson, Texas
*This notice has been sent to all owners of real property within 200 feet of the request; as such ownership appears on the last approved city tax roll.*
**Process for Public Input:** A maximum of 15 minutes will be allocated to the applicant and to those in favor of the request for purposes of addressing the City Plan Commission. A maximum of 15 minutes will also be allocated to those in opposition to the request. Time required to respond to questions by the City Plan Commission is excluded from each 15 minute period.
Persons who are unable to attend, but would like their views to be made a part of the public record, may send signed, written comments, referencing the file number above, prior to the date of the hearing to: Dept. of Development Services, PO Box 830309, Richardson, TX 75083.
*The City Plan Commission may recommend approval of the request as presented, recommend approval with additional conditions or recommend denial. Final approval of this application requires action by the City Council.*
**Agenda:** The City Plan Commission agenda for this meeting will be posted on the City of Richardson website the Saturday before the public hearing. For a copy of the agenda, please go to: [http://www.cor.net/DevelopmentServices.aspx?id=13682](http://www.cor.net/DevelopmentServices.aspx?id=13682).
For additional information, please contact the Dept. of Development Services at 972-744-4240 and reference Zoning File number ZF 12-01.
Date Posted and Mailed: 02/24/12
ZF 12-01 Notification Map
Updated by: zelleeg Date: January 24, 2012
File: D:\Mapping\Cases\2/2012/ZF1201/ZF1201_notification.mxd
This product is for informational purposes and may not have been prepared for or be suitable for legal, engineering, or surveying purposes. It does not represent an on-the-ground survey and represents only the approximate relative location of property boundaries.
| Name | Address | City, State, Zip Code |
|-----------------------------|----------------------------------------------|----------------------------------------|
| ST PAUL THE APOSTLE CATHOLIC CHURCH | 760 10233 CE LTD % LOUIS H LEBOWITZ | BARGER JOHN EDWARD 780 S FLOYD RD |
| | 3915 LEMMON AVE | RICHARDSON, TX 75080-7403 |
| | DALLAS, TX 75219-3735 | |
| | 4311 W LOVERS LN # 200 DALLAS, TX 75209-2803| |
| POEN RONALD W & ANGELA | CENTRE SQUARE JOINT VENTURE | ZAVERI IMTIAZ A 796 S FLOYD RD |
| 802 S CENTRAL EXPY | 1225 DUBLIN RD | RICHARDSON, TX 75080-7403 |
| RICHARDSON, TX 75080-7413 | COLUMBUS, OH 43215-1024 | |
| JBZ ASSET MANAGEMENT LP | SERVICE KING PAINT & BODY | NOWAK JAMES E & CHERYL J |
| 810 S CENTRAL EXPY | 808 S CENTRAL EXPY | 2406 CLUB CREEK BLVD |
| RICHARDSON, TX 75080-7416 | RICHARDSON, TX 75080-7413 | GARLAND, TX 75043-1467 |
| JAMES POEN | JAMES POEN | |
| JBZ ASSET MANAGEMENT, L.P. | RICHARDSON SAW & LAWNMOWER | |
| 788 S FLOYD ROAD | 788 S FLOYD ROAD | |
| RICHARDSON, TX 75080 | RICHARDSON, TX 75080 | |
ZF 12-01
Notification List |
October 6, 2017
VIA E-MAIL
email@example.com
Re: Data Breach Notification: Catholic United Financial: NAIC #57053
To Whom It May Concern:
This firm represents Catholic United Financial, a Minnesota domiciled fraternal benefit society, located at 3499 Lexington Avenue North, St. Paul, Minnesota 55126. Catholic United Financial is not licensed to transact insurance in Washington, but has members who now reside in your state following their policy having been lawfully issued in a state where the Company is licensed.
On September 6, 2017, Catholic United Financial became suspicious that there may have been an attack on its web server and was concerned that such an attack may have led to the unauthorized access to personally identifiable information of Catholic United Financial's members. On that same day, Catholic United Financial hired outside forensic investigators to assess the situation and determine whether such a breach had occurred. Catholic United Financial immediately removed all potential access to personally identifiable information on its web server and secured the web server from any possible further attack.
On September 20, 2017, the forensic investigator issued its final report which concluded that Catholic United Financial's web server had been subjected to SQL injection attacks by an unknown person(s). The forensic investigator further found that Catholic United Financial's web server experienced unusually high traffic on July 31, and August 26, 27, and 28 of this year, consistent with an attack. Further analysis revealed that SQL injection attacks also occurred prior to those dates, and that such attacks may have allowed unauthorized access by attackers to personally identifiable information of Catholic United Financial members as of November 12, 2016, when member social security numbers were uploaded to the web server. At this time, Catholic United Financial believes that 704 individuals who provided it with Washington addresses (including the deceased and those that did not potentially have their social security numbers exposed), may have had their data compromised.
In response to this attack, Catholic United Financial has notified local law enforcement as well as the FBI, and is cooperating in their investigations. Catholic United Financial is also hardening its security with the help of outside experts to ensure similar attacks cannot be successful in the future.
Catholic United Financial is providing written notification to all of its members, whether impacted by potential exposure of their social security numbers or not. It will also be notifying
family members of its deceased members who may have had their personal information compromised. Presently the notices are planned to be mailed to consumers on October 6, 2017. There are several slight variants on the notice letter depending on the recipient (e.g., whether their social security number was compromised or not, whether they are deceased, whether they are minors, and to comply with particular disclosure requirements in a specific state). We are attaching a sample copy of the notification letter that will go out to living members who had their social security number potentially compromised.
In conjunction with KROLL, a nationally known data security and breach notification firm, Catholic United Financial will provide guidance to all of its current and former members regarding the breach and how to protect themselves from possible identity theft. Catholic United Financial is offering through KROLL and free to all those notified 24 months of the following: credit monitoring, fraud consultation, and identity theft restoration for all living adults; fraud consultation and identity theft restoration in relation to the deceased; and for minors, minor identity monitoring, fraud consultation, and identity theft restoration. Instructions regarding how to access these services are explained in detail in the sample consumer notification letter attached hereto.
Catholic United Financial takes this matter very seriously both as a victim and as an institution dedicated to its members. If you require any additional information beyond what is provided in this letter, please contact me directly.
Sincerely,
Stinson Leonard Street LLP
David D. Axtell
cc: Harald Bormmann,
Chief Executive Officer
Catholic United Financial
Notice of Data Breach
Dear <<MemberFirstName>> <<MemberLastName>>,
Since 1878, Catholic United Financial has been your trusted partner in helping you manage your personal finances and in contributing to the financial well-being of our Catholic communities. We have earned your trust in those 139 years. It is with that in mind that we are letting you know that third-party criminal activity may have allowed unauthorized access to some of our members’ personal information. While the finances of our Association were never at risk, some member personal information may have been compromised. Within one day of our becoming aware that such an incident may have occurred, we took action to completely shut down our website, thus closing off any future attempts at such illegal activity. We also immediately hired an outside forensic team to investigate what may have occurred and the member data that may have been accessed. We are now restoring our website with even-more enhanced security measures and programming. I want you to know that we take our responsibilities as your financial partner extremely seriously, and our response to this incident will demonstrate our strong commitment to our members. Please read the notice below; we look forward to assisting you as we respond to this intrusive action.
What happened?
On September 6, 2017, Catholic United Financial became suspicious that there may have been an intrusion on its web server and was concerned that such an intrusion may have led to the unauthorized access to personally identifiable information of Catholic United Financial’s members. On that same day, Catholic United Financial hired outside forensic investigators to assess the situation and determine whether such an intrusion had occurred. Catholic United Financial immediately removed all potential access to personally identifiable information on its web server and secured the web server from any possible further intrusion.
On September 20, 2017, the forensic investigator issued its final report which concluded that Catholic United Financial’s web server had been subjected to SQL injection attacks by an unknown person(s). Such attacks may have allowed unauthorized access by attackers to certain personally identifiable information of Catholic United Financial members as of November 12, 2016. We estimate that approximately 127,310 current and former members, whose on-file addresses indicate they live in a variety of locations including in your state, may have had their personal information containing Social Security numbers accessed, including approximately 7,356 deceased members. Out of an abundance of caution we are notifying all current and former members including the families of the deceased and those that did not have their Social Security numbers potentially compromised and offering all of them the identity monitoring detailed in this letter.
In response to this incident, Catholic United Financial has notified the Ramsey County, Minnesota sheriff as well as the FBI, and is cooperating in their investigations. This notice was not delayed at the request of law enforcement.
What information was involved?
Our records indicate that member first names, last names, mailing addresses, dates of birth, email addresses, insurance policy information, and Social Security numbers were potentially accessed by unauthorized individuals. Other information, such as your beneficiary information and login credentials were not accessed.
What we are doing.
Catholic United Financial is hardening its security with the help of outside experts to ensure similar intrusions cannot be successful in the future. Online services are being restored only after such hardening has been completed for that service. At this time, Catholic United Financial has not yet determined its own time and cost required to rectify this situation, but is committed to providing you with the information and services stated in this letter.
To help relieve concerns and restore confidence following this incident, we have secured the services of Kroll to provide identity monitoring at no cost to you for two years. Kroll is a global leader in risk mitigation and response, and their team has extensive experience helping people who have sustained an unintentional exposure of confidential data. Your identity monitoring services include Credit Monitoring, Fraud Consultation, and Identity Theft Restoration.
Visit my.idmonitoringservice.com to activate and take advantage of your identity monitoring services.
You have until February 8, 2018 to activate your identity monitoring services.
Membership Number: <<Member ID>>
To receive credit services by mail instead of online, please call 1-833-202-7414. Additional information describing your services is included with this letter.
What you can do.
Please review the enclosed “Additional Resources” section included with this letter. This section describes additional steps you can take to help protect yourself, including recommendations by the Federal Trade Commission regarding identity theft protection and details on how to place a fraud alert or a security freeze on your credit file. Should you become the victim of identity theft, or if you would like more information regarding how to protect yourself from identity theft, we encourage you to visit the FTC’s identity theft website at https://www.identitytheft.gov/.
For more information.
If you have questions, please call 1-833-202-7414, Monday through Friday from 8:00 a.m. to 5:00 p.m. Central Time. Please have your membership number ready.
Protecting your information is important to us. I sincerely apologize for any inconvenience this may cause you. Nothing is more important to us than our members. We trust that the services we are offering to you demonstrate our continued commitment to your security and satisfaction.
Sincerely,
Harald E. Borrmann
President, CEO, and Chair of the Board
Catholic United Financial
3499 Lexington Avenue North, St. Paul, Minnesota 55126
1-800-568-6670
Contact information for the three nationwide credit reporting agencies is:
**Equifax**, PO Box 740241, Atlanta, GA 30374, www.equifax.com, 1-800-685-1111; Fraud Division: 1-800-525-6285
**Experian**, PO Box 2104, Allen, TX 75013, www.experian.com, 1-888-397-3742
**TransUnion**, PO Box 2000, Chester, PA 19016, www.transunion.com, 1-800-888-4213; Fraud Division: 1-800-680-7289
**Free Credit Report.** It is recommended that you remain vigilant for incidents of fraud and identity theft by reviewing account statements and monitoring your credit report for unauthorized activity. You may obtain a copy of your credit report, free of charge, once every 12 months from each of the three nationwide credit reporting agencies.
To order your annual free credit report please visit www.annualcreditreport.com or call toll free at **1-877-322-8228**.
You can also order your annual free credit report by mailing a completed Annual Credit Report Request Form (available from the U.S. Federal Trade Commission’s (“FTC”) website at www.consumerftc.gov) to:
Annual Credit Report Request Service, P.O. Box 105281, Atlanta, GA 30348-5281.
**For Colorado, Georgia, Maine, Maryland, Massachusetts, New Jersey, Puerto Rico, and Vermont residents:** You may obtain one or more (depending on the state) additional copies of your credit report, free of charge. You must contact each of the credit reporting agencies directly to obtain such additional report(s).
**Fraud Alert.** You may place a fraud alert in your file by calling one of the three nationwide credit reporting agencies above. A fraud alert tells creditors to follow certain procedures, including contacting you before they open any new accounts or change your existing accounts. For that reason, placing a fraud alert can protect you, but also may delay you when you seek to obtain credit. You may contact any of the above credit reporting agencies or the Federal Trade Commission for more information on how to place a fraud alert.
**Security Freeze.** You have the ability to place a security freeze on your credit report.
A security freeze is intended to prevent credit, loans and services from being approved in your name without your consent. To place a security freeze on your credit report, you may be able to use an online process, an automated telephone line, or a written request to any of the three credit reporting agencies listed above. The following information must be included when requesting a security freeze (note that if you are requesting a credit report for your spouse, this information must be provided for him/her as well): (1) full name, with middle initial and any suffixes; (2) Social Security number; (3) date of birth; (4) current address and any previous addresses for the past five years; and (5) any applicable incident report or complaint with a law enforcement agency or the Registry of Motor Vehicles. The request must also include a copy of a government-issued identification card and a copy of a recent utility bill or bank or insurance statement. It is essential that each copy be legible, display your name and current mailing address, and the date of issue. The credit reporting agencies may charge a fee to place a freeze, temporarily lift it or permanently remove it. The fee is waived if you are a victim of identity theft and have submitted a valid investigative or law enforcement report or complaint relating to the identity theft incident to the credit reporting agencies. (You must review your state’s requirement(s) and/or credit bureau requirement(s) for the specific document(s) to be submitted.) For more information on placing a security freeze, you may contact any of the above credit reporting agencies or the Federal Trade Commission.
**For Massachusetts residents:** The fee for each placement of a freeze, temporary lift of a freeze, or removal of a freeze is $5.
**Federal Trade Commission and State Attorneys General Offices.** If you believe you are the victim of identity theft or have reason to believe your personal information has been misused, you should immediately contact the Federal Trade Commission and/or the Attorney General's office in your home state. You may also contact these agencies for information on how to prevent or avoid identity theft.
You may contact the **Federal Trade Commission**, Consumer Response Center, 600 Pennsylvania Avenue, NW, Washington, DC 20580, www.ftc.gov/bcp/edu/microsites/idtheft/, 1-877-IDTHEFT (438-4338).
**For Maryland residents:** You may contact the Maryland Office of the Attorney General, Consumer Protection Division, 200 St. Paul Place, Baltimore, MD 21202, www.oag.state.md.us, 1-888-743-0023.
**For North Carolina residents:** You may contact the North Carolina Office of the Attorney General, Consumer Protection Division, 9001 Mail Service Center, Raleigh, NC 27699-9001, www.ncdoj.gov, 1-877-566-7226.
**For Rhode Island residents:** You may contact the Rhode Island Office of the Attorney General, Consumer Protection Unit, 150 South Main Street, Providence, Rhode Island 02903, http://www.riag.ri.gov, firstname.lastname@example.org, 1-401-274-4400.
Reporting of identity theft and obtaining a police report.
For Iowa residents: You are advised to report any suspected identity theft to law enforcement or to the Iowa Attorney General.
For Massachusetts residents: You have the right to obtain a police report if you are a victim of identity theft.
For Oregon residents: You are advised to report any suspected identity theft to law enforcement, the Federal Trade Commission, and the Oregon Attorney General.
For Rhode Island residents: You have the right to file or obtain a police report.
TAKE ADVANTAGE OF YOUR IDENTITY MONITORING SERVICES
You’ve been provided with access to the following services¹ from Kroll:
Single Bureau Credit Monitoring
You will receive alerts when there are changes to your credit data—for instance, when a new line of credit is applied for in your name. If you do not recognize the activity, you’ll have the option to call a Kroll fraud specialist, who can help you determine if it’s an indicator of identity theft.
Fraud Consultation
You have unlimited access to consultation with a Kroll fraud specialist. Support includes showing you the most effective ways to protect your identity, explaining your rights and protections under the law, assistance with fraud alerts, and interpreting how personal information is accessed and used, including investigating suspicious activity that could be tied to an identity theft event.
Identity Theft Restoration
If you become a victim of identity theft, an experienced Kroll licensed investigator will work on your behalf to resolve related issues. You will have access to a dedicated investigator who understands your issues and can do most of the work for you. Your investigator can dig deep to uncover the scope of the identity theft, and then work to resolve it.
¹ Kroll’s activation website is only compatible with the current version or one version earlier of Internet Explorer, Chrome, Firefox, and Safari. To receive credit services, you must be over the age of 18 and have established credit in the U.S., have a Social Security number in your name, and have a U.S. residential address associated with your credit file. |
THE INSURANCE MARKETPLACE®
NATIONAL MARKET DIRECTORY OF EXCESS, SURPLUS, SPECIALTY LINES & INDUSTRY SERVICES
TWENTY 18
Reservation Deadline: September 14, 2017
Publication Date: December 2017
Edition Media Kit
Published by The Rough Notes Company Inc. since 1963 • www.insurancemarketplace.com
What is IMP... published since 1963 it is a National Market Directory of Excess, Surplus, Specialty Lines & Industry Services.
Who does IMP reach... in print it is mailed to over 40,000 independent insurance agents across the country in December of each year. It is also published on the Internet and receives more than 20,000 hits a month from agents looking for a specialty market.
Why do agents use IMP... it is the industry standard for finding specialty coverages that list providers by state, region and nation. It also has a section of Lloyd’s Qualified Representatives. If agents can’t find a market we have a IMP toll free number and fax. Our highly trained IMP experts will help locate the right market and product for the coverage they need.
What unique about IMP... Each specialty coverage category listing is followed by a definition of the coverage so the agent can better understand the complexity of the coverage. There are more than 700 coverage categories updated quarterly online.
What are the benefits of advertising...
Your advertisement not only appears in the directory mailed to over 40,000 agencies but the directory is published on the Internet for FREE. Therefore, your "storefront" is free with your advertisement in IMP, which can also appear next to the specialty product category for instant recognition.
Other advertising benefits...links from your advertisement to your home page so agents can contact you directly. You can position your own video in your ad or we will help you create your own video at a reduced cost.
Where will IMP be distributed...other than being mailed to agencies and published on the Internet, we distribute the directory at the following conference Target Markets, NetVu, Applied Systems, LAAIA, AAMGA, NAPSLO, RIMS, Big I and PIA state conventions.
For more information on The Insurance Marketplace please see the following pages of the media brochure.
Connect with your specialty products and markets for top agents nationwide
Table of Contents
The Insurance Marketplace (printed version samples)
Excess & Specialty Lines Newsletter ........................................... 5
Category Definitions .................................................................. 6
Company Directory .................................................................... 7
National Listings ....................................................................... 7
Regional Listing Options ............................................................. 7
2018 Insurance Marketplace
Advertising Rate Card ................................................................. 12
Mechanical Requirements ......................................................... Inside Back Cover
The Insurance Marketplace Online ............................................. 8-9
Video, Animation and Banner Ad Options ................................. 9
Rough Notes Digital Services ..................................................... 10-11
Advertising Contact Information .............................................. Back Cover
New Category Listings in the 2018 IMP
| Category Code | Description |
|---------------|--------------------------------------|
| 821 | Welders |
| 822 | Private Flood |
| 823 | Agritainment/Agritourism |
| 824 | Charter Schools |
| 825 | Court Reporter |
| 826 | Durable Medical Equipment Distributing |
| 827 | Durable Medical Equipment Rental |
| 828 | Durable Medical Equipment Manufacturing |
| 829 | Welding Supplies Sales and Distribution |
| 830 | Toy Manufacturers |
| 831 | Medical Device Manufacturing |
| 832 | Medical Device Distributing |
| 833 | Female Reproductive Services |
puts your specialty front and center!
Connect instantly with agents who need your specialty products. Be confident that polished, knowledgable professionals on the IMP customer service team will help insurers find top-tier providers like you for solutions to manage their challenging and unique risks.
Agents connect with IMP toll free via phone or fax or e-mail. Our highly-trained IMP experts will locate the right market and product for the coverage they need. In turn, you will get value, customers and RESULTS! Let our team get you connected!
Boost your sales power with a message in THE INSURANCE MARKETPLACE®
As the agent’s #1 specialty market directory, THE INSURANCE MARKETPLACE puts you in front of agency decision makers—and delivers top returns on your advertising dollar.
The Perfect Package.
Start with your print ad in IMP—strategically placed in your chosen category—and know that your message is reaching 43,000 verified agent readers who use IMP to find quality specialty markets like yours.
For just the cost of your print ad, you get exclusive access to IMP’s powerful kit of business-building tools—absolutely FREE!
Your own Digital Storefront on the IMP Web site—FREE! And you can update your storefront at any time—FREE!
Details of your new or enhanced programs in the monthly IMP Specialty Market Cybercast—FREE!
Plus these great IMP discounts:
A discounted 60-second video with your buy of a full-page or half-page ad
Special discount on your program video on RN/TV
Excess and Specialty Lines is a monthly newsletter also posted on our homepage and this deals with a specialty lines topic and we interview the experts in the field to gain their insights.
Agents want to
In THE INSURANCE MARKETPLACE for 2018...
The retail agent’s trusted source for specialty products!
Condominiums
Condominiums
A condominium association is a legal entity made up of individual unit-owners who own their individual living spaces but who jointly share ownership and responsibility for maintenance and upkeep of common areas. Condominiums can present unusual and sometimes complex insurance problems with respect to property, liability, crime, and workers compensation coverages for the condominium buildings and operations. These underwriters insure this class of business:
Contractor Controlled Insurance Plan (CCIP) aka Contractor’s Wrap-Ups
General contractors may purchase liability and workers compensation insurance for all operations on a specific construction project including those performed by subcontractors. Many states have criteria for approving such programs and they must meet certain minimum cost requirements. The use of wrap-ups brings all construction insurance costs and coverages into a single workers compensation policy and a single CGL policy which eliminates differences in coverage and non-concurrency of limits and policy language. These specialists underwrite wrap-ups:
Concise, accurate descriptions of each category help agents understand the exposures their clients face and the coverages they need.
Advertisers get FREE listing in IMP and a FREE Storefront
The IMP National Market Directory lists providers for more than 700 coverage categories, with more to be added for 2018.
Agents will find your website, email, phone, and other contact info in the IMP Company Directory, which precedes the National Market Directory.
Each of the five regional sections of IMP features two groups of listings: (1) Excess-Surplus Lines and Specialty Offices and (2) Lloyd’s Qualified Representatives based in the United States. When appropriate, your specialty coverages are listed here.
Lloyd’s Qualified Representatives
These listings represent Lloyd’s Qualified Representatives who have been approved by the Underwriting Authority, London. Each office place on at least $50 or $100M in size of liability exposure and accepts business directly with Lloyd’s each year through a formalized process. Lloyd’s Qualified Representatives are not underwriter. Information was furnished to us by these firms through questionnaires provided for that purpose.
* Indicates a company has binding authority from a London broker.
**2018 Edition**
**Illinois**
- All Risks, Ltd. - Chicago, IL
401 W. State St., Ste. 205, Unit K, Chicago, IL 60610
P: 312-649-6178
F: 312-649-6179
www.allrisksllc.com
Email: email@example.com
*All Risks - Home Office, Saint Valley, IN*
**Indiana**
- AllRisks Insurance Services, Inc. - Indianapolis, IN
6800 Raymore Crossing, Suite F, Evansville, IN 47711
P: 812-486-0001
F: 812-486-0002
www.allrisksins.com
Email: firstname.lastname@example.org
*AllRisks Insurance Services, Inc. - Indianapolis, IN*
*AllRisks - Home Office, Indianapolis, IN*
**Iowa**
- All Risks, Ltd. - Des Moines, IA
700 Eagle Road, Ste. 210, Ft. Wayne, IN 46825
P: 260-488-6178
F: 260-488-6179
www.allrisksllc.com
Email: email@example.com
*All Risks - Home Office, Saint Valley, IN*
**Michigan**
- AllRisks Insurance Services, Inc. - Grand Rapids, MI
4400 S. Dixie Hwy., Ste. 100, Grand Rapids, MI 49504
P: 616-220-0001
F: 616-220-0002
www.allrisksins.com
Email: firstname.lastname@example.org
*AllRisks Insurance Services, Inc. - Grand Rapids, MI*
*AllRisks - Home Office, Indianapolis, IN*
**Minnesota**
- AllRisks Insurance Services, Inc. - Minneapolis, MN
1000 1st Ave. N., Ste. 100, Minneapolis, MN 55401
P: 612-341-0001
F: 612-341-0002
www.allrisksins.com
Email: email@example.com
*AllRisks Insurance Services, Inc. - Minneapolis, MN*
*AllRisks - Home Office, Indianapolis, IN*
IMP CONNECT ONLINE
YOUR DIGITAL FREE STOREFRONT
Links 43,000 agents nationwide to your storefront and then directly to your website
IMP + Your message = Power Connection
THE INSURANCE MARKETPLACE 2018
- Published on the Rough Notes website at www.roughnotes.com
- 24/7 access through our acclaimed agents’ resource, Producer Online, www.ultimateinsurancelinks.com
- Connect with agents 24/7, 365 days a year.
- Remote access - from work, home or travel.
Design your IMP Digital Storefront with banner ads and animation
BUILD YOUR BUSINESS WITH IMP
The ultimate Specialty Market Power Tool
IMP Banner & Storefront Rates
Storefront (free to advertisers) - $2,000
Banner in category - $1,000
Must place print ad in IMP to be eligible for banner ads
Show your Program Video on your Storefront
Top Agents are looking for you! Make sure they find your products! Dynamic videos and banner advertisements will help you make the connection quickly, efficiently with agents that need your specialty. It’s time to SHINE!
Polish your message! Let it SHINE in a banner
www.insurancemarketplace.com
Rough Notes Digital Services professional video creators will write, tape, edit, and produce a video starring YOU, your brand, your programs and products. Visual demonstration is the ideal way to connect with agents searching for products that will serve their specialty risks and needs of their clientele. Boost your visibility in IMP—let us create a high-impact video to impress agents with your offering. No hassle! Your way!
- Green screen technology
- Affordable and hi-definition
- Video packages start at $3,000
- One-stop, state-of-the-art, turnkey service
- Studio or on-location
- Web design, search engine optimization (SEO)
Contact: Eric Hall at 1-800-428-4384 or firstname.lastname@example.org
Sell
Communicate
Educate
Entertain
Smile! Your prospects are watching!
Market Directory
Guaranteed Position
Placement within, adjacent to or facing a specific coverage category in the National Market Directory:
10% extra space charge.
Covers
2nd (Inside Front) Extra 15% of space rate
3rd (Inside Back) Extra 10% of space rate
4th (Outside Back) Extra 15% of space rate
Preprinted Inserts
Up to four pages Available and commissionable
Over four pages Available and commissionable
Postcard Available and commissionable
Multiple Advertisement Discounts
Because *The Insurance Marketplace* is a business placement guide to specialty lines coverages and services, you may wish to advertise in more than one coverage category. If so, your price and savings will vary depending on the number of standard size units. Please ask your advertising representative for details.
Color
(Note: 2-color = Black + one PMS Color)
Metallic/Fluorescent ........................................... $835
Each Matched (PMS) Color.................................... $825
Online Insurance Marketplace Banner Ads
Call for pricing: (800) 428-4384
| Black/White | 1 Region | 2 Regions | 3 Regions | National |
|-------------|----------|-----------|-----------|----------|
| Full Page | $6,965 | $9,750 | $12,535 | $15,240 |
| 2/3 Page | 4,560 | 6,385 | 8,210 | 11,225 |
| 1/2 Page | 3,535 | 4,950 | 6,365 | 8,550 |
| 1/3 Page | 2,800 | 3,920 | 5,040 | 5,800 |
| 1/4 Page | 2,115 | 2,960 | 3,805 | 5,100 |
| 1/6 Page | 1,410 | 1,975 | 2,540 | 3,555 |
| 2-Color | 1 Region | 2 Regions | 3 Regions | National |
|---------|----------|-----------|-----------|----------|
| Full Page | $7,790 | $10,575 | $13,360 | $16,065 |
| 2/3 Page | 5,385 | 7,210 | 9,035 | 12,050 |
| 1/2 Page | 4,360 | 5,775 | 7,190 | 9,375 |
| 1/3 Page | 3,625 | 4,745 | 5,865 | 6,625 |
| 1/4 Page | 2,940 | 3,785 | 4,630 | 5,925 |
| 1/6 Page | 2,235 | 2,800 | 3,365 | 4,380 |
| 4-Color | 1 Region | 2 Regions | 3 Regions | National |
|---------|----------|-----------|-----------|----------|
| Full Page | $7,990 | $10,775 | $13,560 | $16,415 |
| 2/3 Page | 5,585 | 7,410 | 9,235 | 12,400 |
| 1/2 Page | 4,560 | 5,975 | 7,390 | 9,725 |
| 1/3 Page | 3,825 | 4,945 | 6,065 | 6,975 |
| 1/4 Page | 3,140 | 3,985 | 4,830 | 6,275 |
| 1/6 Page | 2,435 | 3,000 | 3,565 | 4,730 |
(Regions include 1–5)
Region 1—Connecticut • Maine • Massachusetts • New Hampshire
• New Jersey • New York • Pennsylvania • Rhode Island
• Vermont
Region 2—Alabama • Delaware • District of Columbia • Florida • Georgia
• Kentucky • Maryland • Mississippi • North Carolina
• South Carolina • Tennessee • Virginia • West Virginia
• Puerto Rico • U.S. Virgin Islands
Region 3—Illinois • Indiana • Michigan • Minnesota • Ohio • Wisconsin
Region 4—Arkansas • Colorado • Iowa • Kansas • Louisiana • Missouri
• Nebraska • New Mexico • Oklahoma • Texas
Region 5—Alaska • Arizona • California • Hawaii • Idaho • Montana
• Nevada • North Dakota • South Dakota • Oregon • Utah
• Washington • Wyoming
Commissions and Policies
Standard 15% commission is allowed to recognized advertising agencies if invoice is paid within 30 days. We reserve the right to hold advertisers and/or agencies jointly and severally liable for payment.
Advertising may be rejected for any reason if, in our judgment, it is inconsistent with the best interests of the insureds, the insurance industry or its agents and brokers. *The Insurance Marketplace* and its publisher, The Rough Notes Company, are held harmless from any claims or suits that might arise.
Shipping Information
Material to: Tricia Cutter
*The Insurance Marketplace*
The Rough Notes Company, Inc.
11690 Technology Drive
Carmel, IN 46032-5600
Phone: (800) 428-4384 or (317) 582-1600
Deadlines
Publication: December 2017
Reservations: September 14, 2017
Materials: September 21, 2017
Ad Sizes and Requirements
Magazine Trim Size
8-1/8” x 10-7/8”; Safety=1/4” from trim dimensions
Bleed Sizes (INCLUDES BLEED—USE THIS SIZE FOR BLEED ADS)
Page—8-1/4” x 11-1/8” (trims to 8-1/8” x 10-7/8”)
Spread—16-1/2” x 11-1/8” (trims to 16-1/4” x 10-7/8”)
(No additional charge for bleed)
Screen: 150 line screen
Printing & Binding: Web Offset/Perfect Bind
Material Requirements
Hi-resolution PDF for print preferred
Contact: Tricia Cutter
(800) 428-4384 ext. 1019
for instructions on submitting ad files.
*Ad change policy:* It is not the policy of The Rough Notes Company to change a client’s ad in any way. All ads should be submitted as per the specifications described in the material requirements section above. However, upon written request, and in order to facilitate the production of *The Insurance Marketplace* directory, The Rough Notes Company will at no charge make minor changes to ads submitted by our clients. The Rough Notes Company will not guarantee or warrant these changes and will be held harmless in the event that these changes are not printed correctly. The client is responsible for full payment of the advertising space.
Connect with our Advertising Representatives
THE INSURANCE MARKETPLACE®
Eric Hall
Executive Vice President - Advertising
National Sales Director
Toll Free (800) 428-4384, ext. 1022
Ph (317) 816-1022
Fax (317) 816-1000
email@example.com
Marc Basis
Vice President
National Sales Director - Benefits Advertising
Toll Free (866) 461-3045
Ph (561) 740-8110
Fax (561) 740-8101
firstname.lastname@example.org
The Rough Notes Company, Inc. |
FEARFUL FUTURES:
Cultural Studies and the Question of Agency in the Twenty-First Century
Art Center Kobe, Kobe, Japan | June 01–03, 2018
Organised by IAFOR in association with the IAFOR Research Centre at Osaka University and IAFOR’s Global University Partners
“To Open Minds, To Educate Intelligence, To Inform Decisions”
The International Academic Forum provides new perspectives to the thought-leaders and decision-makers of today and tomorrow by offering constructive environments for dialogue and interchange at the intersections of nation, culture, and discipline. Headquartered in Nagoya, Japan, and registered as a Non-Profit Organization (一般社団法人), IAFOR is an independent think tank committed to the deeper understanding of contemporary geo-political transformation, particularly in the Asia Pacific Region.
INTERNATIONAL
INTERCULTURAL
INTERDISCIPLINARY
iafor
Mr Mitsumasa Aoyama
Director, The Yūfuku Gallery, Tokyo, Japan
Lord Charles Bruce
Lord Lieutenant of Fife
Chairman of the Patrons of the National Galleries of Scotland
Trustee of the Historic Scotland Foundation, UK
Professor Donald E. Hall
Herbert J. and Ann L. Siegel Dean
Lehigh University, USA
Former Jackson Distinguished Professor of English and Chair of the Department of English
Professor Arthur Stockwin
Founding Director of the Nissan Institute for Japanese Studies & Emeritus Professor
The University of Oxford UK
Professor Chung-Ying Cheng
Professor of Philosophy, University of Hawai‘i at Manoa, USA
Editor-in-Chief, The Journal of Chinese Philosophy
Professor Steve Cornwell
Professor of English and Interdisciplinary Studies,
Osaka Jogakuin University, Osaka, Japan
Osaka Local Conference Chair
Professor A. Robert Lee
Former Professor of English at Nihon University, Tokyo from 1997 to 2011, previously long taught at the University of Kent at Canterbury, UK
Professor Dexter Da Silva
Professor of Educational Psychology, Keisen University, Tokyo, Japan
Professor Georges Depeyrot
Professor and Director of Research & Member of the Board of Trustees
French National Center for Scientific Research (CNRS) & L’Ecole Normale Superieure, Paris, France
Professor Johannes Moenius
William R. and S. Sue Johnson Endowed Chair of Spatial Economic Analysis and Regional Planning
The University of Redlands School of Business, USA
Professor June Henton
Dean, College of Human Sciences, Auburn University, USA
Professor Michael Hudson
President of The Institute for the Study of Long-Term Economic Trends (ISLET)
Distinguished Research Professor of Economics, The University of Missouri, Kansas City
Professor Koichi Iwabuchi
Professor of Media and Cultural Studies & Director of the Monash Asia Institute, Monash University, Australia
Professor Sue Jackson
Professor of Lifelong Learning and Gender & Pro-Vice Master of Teaching and Learning, Birkbeck, University of London, UK
Professor Sir Geoffrey Lloyd
Senior Scholar in Residence, The Needham Research Institute, Cambridge, UK
Fellow and Former Master, Darwin College, University of Cambridge
Fellow of the British Academy
Professor Keith Miller
Orthwein Endowed Professor for Lifelong Learning in the Science, University of Missouri-St.Louis, USA
Professor Kuniko Miyanaga
Director, Human Potential Institute, Japan
Fellow, Reischauer Institute, Harvard University, USA
Professor Dennis McInerney
Chair Professor of Educational Psychology and Co-Director of the Assessment Research Centre
The Hong Kong Institute of Education, Hong Kong SAR
Professor Brian Daizen Victoria
Professor of English
Fellow of the Oxford Centre for Buddhist Studies
Professor Michiko Nakano
Professor of English & Director of the Distance Learning Center, Waseda University, Tokyo, Japan
Professor Thomas Brian Mooney
Professor of Philosophy
Head of School of Creative Arts and Humanities
Professor of Philosophy and Head of School of Creative Arts and Humanities, Charles Darwin University, Australia
Professor Baden Offord
Professor of Cultural Studies and Human Rights & Co-Director of the Centre for Peace and Social Justice
Southern Cross University, Australia
Professor Frank S. Ravitch
Professor of Law & Walter H. Stowers Chair in Law and Religion, Michigan State University College of Law
Professor Richard Roth
Senior Associate Dean, Medill School of Journalism, Northwestern University, Qatar
Professor Monty P. Satiadarma
Clinical Psychologist and Lecturer in Psychology & Former Dean of the Department of Psychology and Rector of the University, Tarumanagara University, Indonesia
Mr Mohamed Salaheen
Director, The United Nations World Food Programme, Japan & Korea
Mr Lowell Sheppard
Asia Pacific Director, HOPE International Development Agency, Canada/Japan
His Excellency Dr Drago Štambuk
Croatian Ambassador to Brazil, Brazil
Professor Mary Stuart
Vice-Chancellor, The University of Lincoln, UK
Professor Gary Swanson
Distinguished Journalist-in-Residence & Mildred S. Hansen Endowed Chair, The University of Northern Colorado, USA
Professor Jiro Takai
Secretary General of the Asian Association for Social Psychology & Professor of Social Psychology
Graduate School of Education and Human Development, Nagoya University, Japan
Professor Svetlana Ter Minasova
President of the Faculty of Foreign Languages and Area Studies, Lomonosov Moscow State University
Professor Yozo Yakota
Director of the Center for Human Rights Affairs, Japan
Former UN Special Rapporteur on Myanmar
Professor Kensaku Yoshida
Professor of English & Director of the Center for the Teaching of Foreign Languages in General Education, Sophia University, Tokyo, Japan
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
ISSN: 2187-4751
© The International Academic Forum 2018
The International Academic Forum (IAFOR)
Sakae 1-16-26-201
Naka Ward, Nagoya, Aichi
Japan 460-0008
ww.iafor.org
| Title | Authors | Pages |
|----------------------------------------------------------------------|----------------------------------------------|---------|
| The Development of Traditional Tourism to Inherit Cultures and Local Wisdom of Ethnicity Groups in Kanchanaburi Province, Thailand | Tuntates Unchun, Bunjoon Ong | pp. 1 - 9 |
| Creating Peace: Contemplative Practices as an Agency for Peace | Alexandre Avdulov | pp. 11 - 16 |
| Cultural Waves, Cultural Tourism and Cultural Integration in East Asia | Yoo-Soo Hong, Hui-Wen Chen | pp. 17 - 29 |
| Dominican Churches in the Cagayan Valley. Town Building in the Mountains: A Travelogue | Janet C. Atutubo | pp. 31 - 54 |
| Teaching Portuguese as a Host Language for Immigrants/Refugees in Situations of Social Vulnerability in Goias/Brazil | Paula Graciano Pereira, Suelene Vaz da Silva, Mirelle Amaral de Sao Bernardo | pp. 55 - 65 |
| Policing the Others: Cultural Studies of Police Work in Relation to Human Rights Politics in Hong Kong | Angus Siu-Cheong Li | pp. 67 - 77 |
| How Foreign Muslim Students Changed Their Attitude toward Japanese Academic Environment after a Culture Assimilator | Yu Sengoku, Yumiko Ito, Minami Matsumoto, Masahiro Watari | pp. 79 - 89 |
| Adaptation and/as Agency in Margaret Atwood’s Hag-Seed (2016) | Nishevita Jayendran | pp. 91 - 101 |
| Malasakit: The Filipino Face of God’s Mercy | Marites Rano Redona | pp. 103 - 112 |
| Interior Environmental Design Conveying Local Socio-Cultural Identity | Natapon Anusorntharangkul, Yanin Rugwongwan | pp. 113 - 120 |
| The Changing Lighting of Classroom for the Different Learners’ Background | Preechaya Krukaset | pp. 121 - 130 |
| The Cultural Heritage Architecture of Luang Prabang: The Role in Tourism and Preservation Sectors | Yanin Rugwongwan | pp. 131 - 144 |
| Title | Author(s) | Pages |
|----------------------------------------------------------------------|----------------------------------|---------|
| Texts in the Open — The Gezi Parki Protests in Istanbul | Roman Glass | 145 - 152 |
| Comparison on Effective of Outlining Material in Batik Painting Between Paraffin Wax-Resist and Gel Wax-Resist Technique | Sarath Simsiri | 153 - 162 |
| The Analysis of Japanese Youth and Their Perspectives on National Identity on Twitter: #韓国□人になりたい #I want to be Korean | Natthaya Parinyanat | 163 - 178 |
| Bangkok Graphic Design Culture Communication | Supatra Lookraks | 179 - 187 |
| Deep Demand Study of Taipei's Healthy Breakfast Eaters | Li-Chieh Chen, Chan-Li Lin | 189 - 196 |
| Reading Girls’ Agency: The Pillow Book and Flower Tales, Past and Future | Yu Umehara | 197 - 203 |
| Unveiling and Activating the “Uncertain Heritage” of Chinese Knotting | Yuxin Yang | 205 - 216 |
The Development of Traditional Tourism to Inherit Cultures and Local Wisdom of Ethnicity Groups in Kanchanaburi Province, Thailand
Tuntates Unchun, Srinakharinwirot University, Thailand
Bunjoon Ong, Srinakharinwirot University, Thailand
Abstract
This research aimed to study the identities of the ethnicity groups in Kanchanaburi province in order to define the recommendations for inheriting cultures and local wisdom. Moreover, to guideline for the development of traditional tourism to support the quality of life of the local community. Sangkhlaburi district and Thong Pha Phum district were defined to be the study area. Data collection of this qualitative research were observation and semi-structured interviewing from 40 key informants who were chosen by snowball sampling. The key informants consisted of the headman of two villages, local people who lived within the area more than 10 years, tour agencies and entrepreneurs, tourists and visitors. The result found that there are two tribes of ethnicities, which effected to cultural tourism and community-based tourism, are the Mon and the Karen (Sgaw Karen). Nowadays, two districts in Kanchanaburi province are known as one of tourist attractions. Both Thong Pha Phum district and Sangkhlaaburi district, people made their living naturally from surrounding and natural resources which benefited the local communities such as agriculture, fishery, and forest utilization. The culture of Mon’s food was similar to the Karen that their living always relied on the biodiversity of nature. It was a crucial factor which benefited the communities for inheriting their culture and local wisdom from their ancestors. However, some feature identities of two tribes were also be the important factors to support traditional tourism or community-based tourism as well. The development of traditional tourism was also the important process that can encourage both local community and visitors to increase their awareness through tourist activities.
Keywords: Traditional tourism, Ethnicity, Kachanaburi (Thailand)
Introduction
Thailand is a land of multicultural societies especially the boundary area between the neighbor country. Kanchanaburi province is one of the important areas located in the western part of Thailand nearby the boundary between Thai and Burma, where has a plenty of cultural and natural resources. Kanchanaburi province consists of five districts (Amphoe) nearby the boundary between Burma as Sangkhlaburi, Dan Makhamtia, Thong Pha Phum, Sai Yok, and Muang. With the surrounding of the area, there are numerous mountainous landscape, greenery forest, and also there is the river to be the borderline between Thai and the southern part of Burma. When the summer came, the river was waterless; therefore, people could walk across the river between two countries. For these reasons, the cultural influences of populations in Kanchanaburi province were affected by the diversity of ethnicities for example traditional clothes, folks, traditional food, and local wisdom, vernacular houses, and ways of life (Deepadung et al., 1998).
Nowadays, the original cultures of local people are faded by many factors. Some young generations want to immigrate to the city such as Bangkok or civilized cities. Meanwhile, the growth of tourism is widely spreading, and Kanchanaburi is also the primary destination of tourists. One of the kinds of favorite tourism is traditional tourism or ethnic tourism in Sangkhlaburi district where is the Mon community and Thong Pha Phum district where is the Karen community, especially Ban E-Tong. Therefore, the study of the identities of the authentic cultures and local wisdom of ethnicity groups in Kanchanaburi is so crucial to encourage an awareness of local people and push the uniqueness of cultures and local wisdom of the minorities to become the feature tourism resources for developing the route of cultural and traditional tourism.
Terms of Definition
- Traditional tourism: One of the types of tourism which attracts visitors to come to a tourism destination by putting the feature tradition and unique cultures or events in marketing plans (Gurniwan et al., 2016).
- Mon: The ethnicity group existed in Southern Burma and Thailand. The Mon settled in many regions of Thailand such as Bangkok, Samut Sakorn, Lopburi, Uthai Thani, Ratchburi provinces including smaller groups are found in Samut Songkhram, Petchburi, Chachoengsao, Kanchanaburi, etc. Today, Mon in Sangkhlaburi district at Kanchanaburi province attract visitors to visit their community, and Sangkhlaburi is known as one landmark of tourist places of Kanchanaburi’s destinations.
- Karen (Pwo Karen): Pwo Karen are the Karen people who live in Burma and Thailand. They mainly live on both sides of the Thai-Burmese borderline along the Tanen Range (a.k.a Daen Lao or Loi Lar) and the Dawna Range. This includes several Northern and Western provinces of Thailand, especially Kanchanaburi province.
The Study Area
The study area of this research are Sangkhlaburi and Thong Pha Phum (two districts of Kanchanaburi where is located in the western part of Thailand and nearby the boundary between Thai and Burma).
Figure 1: Locations of the study area
The sample populations
The researcher defines the populations of key informants from the ethnicity groups within the study area (Burusphat, et.al., 2011 & NSO, 2017). They consist of Thais (the most population - approximately 90% of all), Karen, Mon, Lao Krang and Lao Viang. This research focuses on two main groups of ethnicities as Mon and Karen because they play an important role in tourist resources to attract visitors. The snowball sampling is used for the sampling technique. Therefore, 40 key informants consist of the ethnicity groups such as Karen and Mon who live in the study area for more 10 years, the headman of two sites, local entrepreneurs, and visitors.
Methodology
The ethnographic methodology is the main method of this study. There are three modes of data collection in ethnography: observation, interviewing and archival research (Angrosino, 2007):
- Observation: Participant observation is unique in that it combines the researcher’s participation in the lives of the people under study while also maintaining a professional distance (Fetterman, 2010). According to Angrosino (2007), observation is the act of perceiving the activities and interrelationships of people in the field setting.
- Interviewing: Interviewing is the process of directing a conversation to collect information (Angrosino, 2007) by using semi-structured interviewing forms. For in-depth interviewing, informants were selected from Mon and Karen people within the communities such as the headman of the villages, local sages, stakeholder groups,
including Karen population within the villages by using mixed sampling techniques as a snowball sampling and a homogenous sampling. A total of 40 qualitative interviews were conducted. On the same time, the observation also undertaken as always both participatory and non-participatory observation. All data collection will involve the older and newer generation. The main topic of interviewing is about the identities of tribes both the Mon and the Sgaw Karen within Kanchanaburi province. Furthermore, the information about the development of traditional tourism, cultural tourism, and community-based tourism are also mentioned in the process. The period of observed time is in July, 2017.
For the data analysis, after gathering all data, the main analysis technique is a content analysis. The output of this analysis primarily took the form of verbal descriptions and explanations.
**Results**
The results of this study can summarize into three main topics as 1) the surrounding of the study area 2) the identities between the ethnicities within the study area, and 3) recommendations for the development of traditional tourism. For each issue will display as below:
1. **The context of the ethnicities within the study area**
- **Sangkhlaburi district**
The area is the land where comprises multicultural races such as Thai, Mon, Lao, and Karen (Sgaw Karen). The Mon in Kanchanaburi province especially Wangka village, which visitors perceive as Burmese Mon’, differ from other regions in Thailand for example language, a way of life, and traditional clothes. Wangka village is a semi-permanent Mon settlement located in the Thai borderlands. Members of this community migrated into Thailand after World War II because of political conflicts among various ethnic insurgents (Dhienpanya et. al, 2004). Most villagers in Wangka are engaged in small tourism business, labor, trading or fishing. With the difference of cultural geography, the Mon within Sangkhlaburi district also live in harmony with the river living (e.g. floating houses and fishery in the river) and make their living with natural resources. The main occupations of local community in Sangkhlaburi district are agriculture, fishery, and forest utilization. However, a number of young generations of the Mon are hired as migrant work men in the industrial provinces located on the periphery of Bangkok (Wongpolganan, 2007). Although there are many ethnicities in Sangkhlaburi district, the Mon have become the most unique group and the dominant segment of the population in the village which effect to the development and generating incomes for the area because people perceive that the Mon community in Sangkhlaburi is the stunning tourist attraction. From the statistic information about the quantity of tourists visiting Sangkhlaburi, there are many tourists for each year. Many tourists are interested in Mon’s living and want to take their leisure time with the river and mountainous scenery.
Moreover, Wat Wangka Wiwaikaram, which was founded by venerable Abbot Luang Pho Uttama, a Mon monk who has many influences for the Mon populations. Because of Luang Pho Uttama, his religious followers in Thailand Both Thais and Mons
donated and supported his attention to build a bridge for connecting the relationship between Mons in Kanchaburi and Mons in Wangka villages known as ‘Mon Bridge or Sapan Mon in Thai’. Nowadays, the Mon Bridge is one of the most attractive landmarks of Sangkhlaburi which visitors define it is the main destination to visit there.
**-Thong Pha Phum district**
Thong Pha Phum district covers an area of 3,655 km$^2$. It is located in the Tanao Sri mountain range and bounded on the north by Sangkhlaburi district of Kanchanaburi province. Within the area, there are a plenty of natural resources because it covers one of the parts of the western complex forest of Thailand. The important water resource is the Khwae Noi River. Moreover, there are also Thong Pha Phum, Lam Khlong Ngu, Khuean Srinagarindra, and Khao Laem National Parks found in the area. Therefore, the dominant surrounding of Thong Pha Phum district is the village in the midst of greener complex forest.
Karen (Pwo Karen) is the most population within the area. By traditional, the Karen are subsistence farmers, so Karen in Kanchanaburi learn to adapt their way of life for tourism.
2) The identities between the ethnicities within the study area
Table 1: The differences between the ethnic identities
| The identities | Sangkhlaburi | Thong Pha Phum |
|----------------|---------------------------------------------------|--------------------------------------------------|
| 1. Tribe | Thai, Mon, Lao Viang, and Lao Krang | Thai and Karen |
| 2. Surrounding | There are three rivers flowing through the village which are the Chongkaria, Bikli, and Runtee river. | Mountainous landscape and evergreen forest |
| 3. Attraction | Mon bridge and Mon cultures | Foggy village of Karen and local community enclosed with the evergreen forest |
| 4. Occupation | Fishery, tourism entrepreneur, and selling souvenirs | Tourism entrepreneur, selling souvenirs, agriculture, and laborer |
| 5. Religious | Buddhist or Christian | Buddhist, Christian, or Animism |
| 6. The uniqueness of costume | Mon: using Tanaka for face cosmetics | Traditional clothes (color and adornments) |
| 7. Vernacular house | - Floated bamboo house
| - Wooden house
| - Modern mortar houses and homestay | - Wooden house
| - Mortar house and homestay |
| 8. Food and local products | - Curry noodle in Mon style
| - White water fish products
| - Desserts which are made from peanut and sesame
| - Tanaka powder
| - Traditional clothes | - Agricultural products such as peanut, sesame, and upland rice
| - Forest products such as bamboo shoots, mushroom, and herbs |
| 9. Ways of life | Related to the river living | Related to forest utilization |
| 10. Tradition | SongKran Mon (New Year Ceremony) at Wat Wangka Wiwekkaram on April | Karen New Year on April |
3) Recommendations for the development of traditional tourism
Traditions or festivals become an important role in attracting visitors to come a tourism destination, as many destinations put the uniqueness of traditions and festivals on the marketing plan in forms of promotion and advertising. There are many benefits of the identity for the local community such as economic, infrastructure, and cultural development (Getz, 2008). Cultural tradition and events are usually taken place in a landscape or natural setting of the local community. The cultural landscape includes the tangibles value and intangible value associated with natural places (Zeppel, 2010). Inheriting the culture and local wisdom could be motivated by developing and participating in cultural events or local way of life.
As for inheriting cultures and local wisdom for the next generation should have conducted in the family first. Based on the interviews, young generation are quite not concerned their cultures and want to make more money from other occupations more than making a living within the area. Therefore, it is so important to start at the local young generation.
How to develop traditional tourism in the study area
- encourage the awareness of local people through training about the values of their cultural heritage - create an tourism activity to increase the participation between local people and tourists
- develop tourism products to get the qualification and international standard
- offer supported budgets to improve the ethnicity accommodation and environment
- promote the valuable culture and the feature tradition as the annual activities
- develop human resources of tourism industry by supporting local community to be the interpreter their cultures and local wisdom by themselves
- should put traditional tourism activities such as Songkran of Mon festival or Karen New Year ceremony in a marketing plan of the national tourism policy or local government
Conclusion
The identities of cultures is one of the attractive tourism resources. Generally, tourism management plan put them in terms of tourism resource management, however, tradition, local festivals, and events could be used as the source of tourism potential because they have many abilities to attract visitors. Cultural inheritance is not a duty of local people or community only but includes visitors, government, entrepreneurs, and all related stakeholders.
Acknowledgements
I would like to thank Srinakharinwirot University for funding this project as a part of the supported funds in 2016 and I also want to thank all key informants for giving all their cooperation.
References
Angrosino, M. (2007). Doing ethnographic and observational research. Thousand Oaks, CA: Sage.
Burusphat, S., Deepadung, S., Sutatatdecha, S., Aadsamiti, N., Patpong, P. & Sritapong, P. (2011). Ethno-linguistic maps of the western region of Thailand. Journal of Language and Culture, Vol. 30 No. 2
Deepadung, Sucharitluk, Pornthip, Usupparat, and Dumsaad, Prapasri. (1998). Encyclopedia: Mon. Research Institute for Languages and Cultures of Asia, Mahidol University.
Dhienpanya, Paphatsaun and others. 2004. Community Rights: The Case of the Effects of the Construction of a Gas Pipeline on Indigenous Mon Communities and Mon Immigrant Communities at Sangkhlaburi District of Kanchanaburi Province. Bangkok: Satfour.
Fetterman, D.M. (2010). Ethnography: step-by-step, 3rd ed. Applied social research methods series; 17.
Getz, D. (2008). Event tourism: Definition, evolution, and research. Tourism Management, 29(3), 403–428.
Gurniwan K.P., Heri P.D.S., Rini, A, & Gitasisiwara. (2016). Traditional Festivals: A Tourism Development Contribution for Cultural Inheritance. South East Asia Journal of Contemporary Business, Economics and Law, Vol.11, Issue 2 (Dec.)
National Statistical Office, Thailand (NSO). (2017). The statistics of population in Kanchanaburi province.
Wongpolganan, J. (2007). Mon Nationalism and the Invention of Traditions: The Case of the Mons in their Diasporic Communities. MANUSYA: Journal of Humanities 10.1, 50 – 71 p.
Zeppel, H. (2010). Managing cultural values in sustainable tourism: Conflicts in protected areas. Tourism and Hospitality Research, 10(2), 93–115.
Contact email: firstname.lastname@example.org
Creating Peace: Contemplative Practices as an Agency for Peace
Alexandre Avdulov, Saint Mary’s University, Canada
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
Encounters with beauty can serve as an engaging and powerful agency for peace. Over the past few decades, the interest in the contemplative practices of world wisdom traditions has been expanding. Higher education has also incorporated these “inner sciences”, as they are often called. Contemplative practices foster a more compassionate understanding of the behavior and values of others, especially those who are unlike us. They are transformational practices and open ways to improve intercultural understanding. Transcending the limits of a traditional classroom, they offer a new dimension to contemporary learners. As students from different cultural backgrounds cross paths while studying in other countries, intercultural learning becomes an additional focus of their study abroad. An increasing interest from international as well as Canadian students in contemplative practices offers an opportunity to expand existing courses, to connect curriculum with real life, to go beyond the curriculum to offer all students a common shared experience. Getting students physically and emotionally involved in the learning process gives them better spatial and temporal awareness as well as awareness of each other. Sensory engagement offers students the therapeutic effects of cultural experience as well as better understanding of the subject. Research confirms that contemplative forms of inquiry can offset the constant distractions of our modern cultural environment. Thus, creative teaching and learning methods that integrate the ancient practice of contemplation innovatively meet the particular needs of today’s students and teachers by assuaging their fear of the future by focusing on the present.
Introduction
Over the past five decades the interest in the contemplative practices of world wisdom traditions has been steadily expanding (blossoming) all through the Western culture. According to the 2003 survey on transformative and spiritual dimensions of higher education conducted by the Fetzer Institute, 90% of respondents from a wide range of post secondary institutions, stated that contemplative and spiritual dimensions of learning are “important” or “very important”. Contemplative practices foster a more compassionate understanding of the behavior and values of others, especially those who are unlike us. They are transformational practices and open ways to improve intercultural understanding. The rapid development of communication technology in recent years, the extreme hike in the so called “click-mentality” and the high dependence on social media and the internet among young people has resulted in the lack of actual human communication and their inability to successfully use their body-mind and fully engage all their senses. Under these circumstances, the importance of additional ways of learning for younger people is obvious and we, as educators, need to open up the walls of a traditional classroom to innovative methods and strategies.
Contemplative practices in higher education
Over the past two decades, interest in the contemplative practices of world wisdom traditions has been steadily blossoming in the West. Though partially rooted in world religions, such practices as mindfulness, meditation, and awareness are being used as secular, pan-spiritual forms of activity. They are rather connected to the fact that we are all humans rather than to the fact that we all belong to different cultural, religious and language backgrounds. Contemplation can be seen as a spiritual experience, however, it is not constrained by it and can have an entirely secular tone. So rather than separate us, contemplative practices bring people of different backgrounds to understanding their similarities and offer connecting bridges to our collective mind. There is vast amount of evidence that contemplative practices help to alleviate stress and increase productivity, self-respect, confidence and overall wellbeing. That’s why executives in many fields and disciplines recognize the potential of contemplative practice for their employees, and thus for the success of their businesses. Duerr points out that contemplative practices have an even greater potential. “At a time when there is widespread inability to respond effectively to situations that seem overwhelmingly large and complex, a cadre of leaders is conducting an inquiry – often inspired by the insights gained from their own meditative practice – into how more sustainable forms of change might evolve out of environments where contemplative awareness is nurtured.”(Duerr, 2004) According to the 2003 survey on transformative and spiritual dimensions of higher education conducted by the Fetzer Institute, 90% of respondents from a wide range of post secondary institutions, stated that the contemplative and spiritual dimensions of learning are “important” or “very important”. (www.fetzer.org) This is an important number, overwhelmingly stating the need for contemplative opportunities for students, not only as extracurricular activities but also right at the core of the course. Contemplative practices help students to develop better attention and to alleviate fear. They also offer additional ways to deal with anxiety, to increase motivation and to help to build self-confidence. Attention need not necessarily focus on just one thing. Even though we are told that multitasking is virtually impossible since the human brain can only focus on one thing at the time,
humans are multifunctional organisms that breath, walk, think, smell, taste, hear and see, often at the same time. Mindful attention constitutes panoramic awareness of space and time within and without.
Teaching in Eastern traditions is often compared to “pointing to the moon”. All the teacher can do is to point the way but it is up to the student himself/herself to learn. The teacher is simply the one who guides the students to the sources of knowledge. Relations between teacher and student are likened to the one between a chick still in the egg and the mother hen pecking the egg to help the chick break out. The hen can peck all over the egg with no result and so can the chick. Only when and if their efforts coincide from both sides of the shell at one place, can the chick get out of the shell and begin a new life.
**Mindfulness as a teaching and learning competency**
Contemplative practices could be included as methods of teaching in practically any discipline since they foster focus, presence and multiple awareness. Contemplative methods of learning are fully applicable to other areas of learning. Learning through observation and inquiry-based discovery is fundamental. Learners are responsible for their knowledge and are regarded as co-creators of knowledge, where the teacher is a guide but also a co-inquirer. Contemplative practices offer a well-tested foundation for the development of contemplative pedagogical methods fully applicable to any area of learning and teaching, including curriculum studies. These teaching methods cultivate deepened awareness, focus, concentration and insight. Contemplation helps to discover other ways of knowing, experiencing and being. It complements traditional methods of liberal arts education. As Tobin Hart states, “Inviting the contemplative simply includes the natural human capacity for knowing through silence, looking inward, pondering deeply, beholding, witnessing the contents of our consciousness…. These approaches cultivate an inner technology of knowing…” (Hart, 2009) Contemplative pedagogy aims to cultivate deepened awareness, to stop the habitual noise of the mind and to open the inner sources of self. They nurture mindfulness as a way to relate to the reality. Contemplative reading, reflective aesthetics, cultivation of compassion, panoramic awareness, spontaneity, refined perception, multi-sensorial learning awaken the natural capacity of using one’s mind by re-establishing connection with the inner landscape. Contemplative forms of inquiry go beyond particular learning context and are especially useful today to balance dispersed attention needed to deal with the modern digital culture. Contemplative arts-based teaching methods innovatively meet the essential needs of learners of today.
Mindfulness can be considered another important competency for both teachers and learners. According to Ted Aoki, teachers exist in the “zone of between” (Aoki, 2005, p. 161). They are constantly building bridges between the two curriculum worlds that created on paper outside the actual classroom and the one that unfolds in the presence of the students in real life. They are bridging this gap and at the same time they maintain awareness of the constant gap between the two. Moreover, they expand this space by entering the state of “not knowing” and expanding learning beyond knowing and into experiencing and simply being. They transform the classroom into a community of learners.
Contemplation as “another way of knowing” has been recognized across time, cultures and disciplines as essential to the pursuit of knowledge and wisdom. Students from the widest spectrum of disciplines across the university have a great interest in contemplative practices. The inclusion of mindfulness expands existing courses beyond-curricular activities that offer the common experience aimed to connect curriculum with real life.
**Contemplative practices in the classroom: students’ response**
My experience in including contemplation directly in the classroom activities consist of courses on Japanese language and culture I teach at Saint Mary’s University in Halifax, Canada. While I include some language into my culture courses and some culture into my language courses, they are distinctly different classes, though complementary. Interestingly, one student noted that I was “a completely different person” in these two different subjects. After analyzing students’ responses to including elements of contemplation into the learning process, I realized that students particularly appreciated the opportunity to participate, to have hands-on learning opportunities, to be able to foster “the ability to observe details carefully”, to learn by experience, and to “gradually learn how to engage all senses”.
“I felt like I was actually taking something out of the course for me, not just my degree.”
“I feel like I’ve incorporated new aspects/ideals into my life that’ll remain with me forever.”
“The idea of truly seeing each moment and not wasting time thinking of what is to come was very useful for my life… It showed me that there is more to things that one can see on the surface… It is an amazing experience, and one that should be taken advantage of.”
Conclusions
While contemplative practices are directed inward, they also inspire curiosity and expand inter-cultural understanding. They help to develop a more compassionate view of the behavior and values of others, especially of those who are unlike us. They facilitate acceptance of and compassion towards the other. In turn awareness of the other and of the world also cultivates insight and inward exploration. When we are mindful we view situation from different perspectives, see information presented as fresh, new; we attend to the context and finally create new categories through which this information can be understood.
Research confirms that these contemplative forms of inquiry can offset the constant distractions of our multi-tasking, multi-media cultural environment. Thus, creative teaching methods that integrate the ancient practice of contemplation innovatively meet the particular needs of today’s students and teachers.
References
Ackerman, D. (1995). Natural History of Senses, New York: Vintage Books
Aoki, T. (2005). (1986/1991) “Teaching as indwelling between two curriculum worlds.” In *Curriculum in a new key: the collected works of Ted T. Aoki*. William Pinar & Rita Irwin (Editors), (pp. 159-166), Mahwah, NJ: Lawrence Erlbaum
Castile, R. (1971). The Way of Tea, NY and Tokyo: John Weatherhill, Inc.
Cooper, M. (1995). The Early Europeans and Chanoyu, *Chanoyu Quarterly*, no. 81
Delors, J. (1996). Learning: the Treasure Within, Paris: UESCO
Duerr, M. (2004). A Powerful Silence, The Centre for Contemplative Practices in American Life and Work, http://www.contemplativemind.org/archives/834
Fisher A. (2010). The Way of Tea, Tuttle Publishing
Heart T. (2009).
Langer E. (1989). Mindfulness, Boston: A Merloyd Lawrence Book, Da Capo Press
Langer E. (1997). Power of Mindful Learning, Boston: A Merloyd Lawrence Book, Da Capo Press
Cultural Waves, Cultural Tourism and Cultural Integration in East Asia
Yoo-Soo Hong, Institute for Creative and Innovative Development, South Korea
Hui-Wen Chen, Wenzao Ursuline University of Languages, Taiwan
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
Cultural integration can contribute to substantially reducing international conflicts. In this study, we examine how popular cultural waves and tourism (or cultural tourism in particular) in Japan, Korea and Taiwan have been facilitating multi-cultural integration in East Asia during the last two decades. Japan’s popular culture was the first wave to gain momentum in this region during the 1980s and 1990s. Then since the late 1990s, the Korean pop culture has become the major wave through the 2000s. Taiwan and the rest of Greater China are emerging as the next wave generator. The four countries comprising Northeast Asia, including China, have steadily increased tourism and cultural exchanges. These cultural exchanges are extended to Southeast Asia and other regions across the world. However, their intensity and degrees have been somewhat different from each other. Recently, research and discourse about a new East Asian form of cultural regionalism have been proliferating from multiple disciplines. Based on extensive research, we conclude and propose four facilitators or conditions should be met for maximizing benefits of all nations and people involved in these exchanges: well-developed and easy-to-use cyber/social networks, free trade among the involved countries, sustained growth of the middle class, no serious political conflicts among or between the involved countries. In this context, this paper examines the possibility and conditions of cultural hybridization resulting from cultural integration. Several hybrid Asian Waves can emerge if current trends continue, and co-production of cultural products substantially increases as cultural imperialism is collectively avoided.
Keywords: cultural integration, popular cultural wave, East Asia, hybridization, Asian Wave
Cultural Integration for Reducing Conflicts
Ethnic groups, societies, and states with different cultures, may often be in a serious conflict if the cultural values they have are extremely different from each other, or beyond the point of tolerance. Conflicts result not only from cultural factors, but also by political, economic, ideological factors, and so on. However, culture affects these other factors directly or indirectly so that culture can be regarded as the most influential cause of conflicts.
Surprisingly for some, cultures can also be the main player of conflict resolution. If the cultures are peace-oriented, cultural conflicts are minimized and they contribute as a mediation player for those conflicts that were resulted by non-cultural factors. If the difference between cultures is minor or different cultures are accepted as a beneficial factor to enrich another’s culture, or coexistence is possible, conflicts would be minimal.
Through its history, like other regions in the world, East Asia\(^1\) has experienced many inter-state and intra-state conflicts. In recent periods, during the cold war period in particular, the region observed many serious conflicts. As countries in East Asia have successfully achieved economic development, substantial reduction of inter-state conflicts and ethnic conflicts have been observed.
Regional integration mainly strives for economic co-prosperity among the countries in the region, political stability and peace. In East Asia, there have been many attempts to institutionalize regional integration. However, the ASEAN seems to be the only successful institution for Southeast Asians currently. Although there have been proliferating FTAs, these are hardly regarded as encompassing regional institutions, but only piecemeal institutions from the viewpoint of the region as a whole.
The conflict between South Korea and North Korea, Senkaku Islands (Daoyu Dao) Dispute, Dokdo (Liancourt Rocks) Dispute, and the South China Sea Dispute are just a few examples of current inter-state conflicts. As migration of foreign workers and international marriages are increasing, cultural conflicts among different ethnic groups have been increasing in many countries. In spite of diversified religions in the region, religious conflicts are limited.
With this background, this paper discusses cultural regionalism in East Asia. The fundamental issue we pursue here is whether East Asia can realize a modern type of cultural integration. If it can, then how? To explore the issue, first, we clarify the concept of culture adequate for our discussion purpose. Second, we discuss approaches to cultural integration. Third, popular cultural waves and cultural tourism, two on-going phenomena, are reviewed for their roles in cultural integration occurring
\(^1\) In this paper we define East Asia differently than conventional geographic usage. We define East Asia as the sum of Northeast Asia and South East Asia, where Northeast Asia consists of China, Mongolia, Korea, Japan and Taiwan. In this paper, Korea means Korea as a whole or South Korea only, depending on the context. If necessary, instead of Korea, South Korea is used.
in the region. Finally, considerations for the facilitation of cultural integration by these forces are pointed out.
Culture is a difficult concept to define as indicated by the existence of more than 100 conceptual definitions (Spencer-Oatey, 2012). Thus, the concept we present here may not necessarily be the best but nevertheless useful for our discussion in this paper. Culture is: A set of intangible and tangible views of the world and interpretations of life, based on which the principles of living are derived, taught, inherited and shared by a group of people. Different groups of people may have different cultures. Depending on the nature of their culture, different cultures may cause conflicts or harmony between them.
The process and result of the confluence of different cultures is called cultural integration in the broad sense. There are three distinguished phenomena in terms of cultural integration: Cultural integration in the narrow sense, multiculturalism, and cultural hybridization. Cultural integration in the narrow sense is the exchange of cultures or interaction between cultures without losing the essence of each one’s own culture. Multiculturalism is the coexisting of different cultures within a society as they are. Multiculturalism is similar to cultural integration, but different in that cultures are not necessarily exchanged. Cultural hybridization involves the mixing of cultures so that a new hybrid culture emerges, while some elements of the original culture are lost and new elements are added or created.
Like water, cultures are fluid and moving with persistent molecular and large scale interactions within the culture itself and with outside cultures. Cultural hybridization requires a cultural mixing or mingling much like the flows of rivers sometimes merge. When cultures overlap like rivers merging, resistance or barriers to external flows may exist. If they are not powerful enough to completely block external flows while protecting local culturees from being overwhelmed by external contacts, cultural hybrid or cultural mixing occurs (Hassi & Storti, 2012). It is often observed that inter-regional cultural hybridization is a byproduct of globalization, where external and internal flows of cultures interact to create a third kind of hybrid culture.
This paper focuses on the implications of East Asia’s pop-culture waves and cultural tourism on its recent cultural integration. It is assumed that with all other things being equal, increasing consumption of a foreign popular culture or inbound cultural tourism from another culture implies that the foreign culture is well accepted by the local people, which means that acculturization may be greater than any sense of xenophobia or cultural conflicts by these local people against the foreign culture.
A fundamental question occurs. Will these spread of popular cultural waves eventually result in a popular cultural hybridization in East Asia? The same question arose for the cultural tourism industry in East Asia. We examine how pop culture waves and tourism in general, and cultural tourism in particular in Japan, Korea and Taiwan, have been facilitating multi-cultural hybridization in East Asia during the last two decades.
Waves of Popular Culture and Cultural Integration
Although Japanese pop culture swept over East Asia in the 1980s, nowadays other waves of popular culture such as Taiwan Wave (Tairyu), the Korean Wave (Hallyu), Hong Kong Wave, etc. are also spreading over East Asia. Among these, the Korean Wave is the most peculiar one.
During the 1980s and 1990s, Japan’s popular culture gained momentum as the first wave in East Asia. Even before this period, it had already been rapidly and widely spreading over the region and beyond. Hong Kong and Taiwan also gained high popularity in the 1980s and 1990s, respectively. Since the late 1990s, Korean pop culture has become the major wave through the 2000s. Including the earlier starters, Hong Kong and Taiwan, Greater China could be the next wave generator. The four countries comprising Northeast Asia, including China, have steadily increased cultural exchanges and tourism among themselves. In particular, these cultural exchanges have been extended to Southeast Asia and other regions across the world.
Recently, research and discourse about East Asian cultural regionalism have been proliferating in the literature. Shim introduced the discourse of the role of the Korean Wave as a cultural hybridization facilitator in East Asia (Shim, 2006, 2011, Yum & Shim, 2016). In particular, Shim (2017) claims that the Korean Wave phenomenon has been offering an alternative to Western cultural imperialism across Southeast Asia. According to Shim, this was possible thanks to such factors as cultural proximity and appearances between Korean and Asian peoples. Korean pop culture has gradually spread over Southeast Asia and Korean cultural products contributed to the regional cultural hybridization through “complex cultural processes and practices”, making people aware of their sociocultural conditions and their hidden potential.
Ryoo (2009) claims that the Korean wave is an indication of new global and local cultural transformations. “This phenomenon especially signifies a regionalization of transnational cultural flows as it entails Asian countries’ increasing acceptance of cultural production and consumption from neighboring countries that share similar historical and cultural backgrounds, rather than from politically and economically powerful others”.
Otmazgin is perhaps the most active contributor to the literature of cultural regionalism in the context of East Asia (Otmazgin, 2013, 2014, 2016). His view is summarized as follows:
- Urban middle class people in East Asian countries are the main consumers of popular cultural products.
- Producers of cultural products and the media in the region are increasing collaboration.
- The majority of the people in the region share similar cultural values
- Cultural assimilation, confluence and hybridization in popular culture have been increasing
- Cultural regionalism should be highlighted.
Hong & Chen (2017) have a broader and deeper view on cultural regionalism in East Asia than Otmazgin. They explored whether an integrated Asian popular culture that
emerges from the interactions between supply and consumption of cultural products, will eventually form a new East Asian cultural space. They claim that East Asia, based on its region-wide successful economic development and cultural interactions, will form a new transnational cultural space, sharing common values for the coming age. Interaction or circular reinforcement between regional economic integration and regional cultural integration is also emphasized. The essential view is that the hybridization of popular culture will deepen and intensify the development of the cultural integration in the region. In this process, the role of cultural entrepreneurs and learning are emphasized.
The influence of a pop culture wave is not confined to popular culture only. In fact, it encourages the consumption of related cultural and non-cultural products and services, such as tourism and so on. For example, a Korean daily newspaper, Choi (2017, December 1) reported the following: In Japan, the third largest cosmetics market in the world, the wind of K-Beauty blows strongly. In 2016 Japan imported 182.65 million USD of color and skincare cosmetics from Korea, the highest amount from Korea in Japanese history. In 2017, over a 10 percent increase was expected. A Japanese newspaper reported that this is the third Korean Wave invasion to Japan since the first K-Drama boom in 2003 and K-Pop boom by SNSD and Big Bang in 2010. These phenomena are not only for Japan, but for East Asia as a whole.
Of course, there are criticisms, worries and negative repercussions about the Korean Wave, just like the Japanese Wave before. Korean performers and producers are well aware of these, and are careful not to upset the sensitivities of local people. Especially, producers try to adjust content to the local situation and culture, by remaking a co-production with local producers and performers, and other kinds of collaboration. As a typical means of cultural hybridization, co-production in the popular culture has been increasing in East Asia. The authors Otmazgin & Ben-Ari (2013) report various co-production cases of films, dramas, pop songs, etc., in the region. Cultural entrepreneurs who combine aesthetic values with economic values are the core players in collaboration through interaction, networking and learning for market creation and expansion.
The fact that the popularity of the Korean Wave continues to increase implies that the positive effects far exceed the negative effects. In this paper we reemphasize that the phenomena happening in the popular culture in the region are not confined in the popular culture only. It represents the phenomena happening to the East Asian culture as a whole. For example, in tourism the similar phenomena are happening. Popular culture and tourism, for example, are reinforcing each other in the region.
The role of media and information and communication technology (ICT) is crucial for cultural hybridization. We may even say they are the most important facilitators. Through an interview survey of foreign students studying in Korea, Kim, Yun & Yoon (2009) found that “the Internet has become the hybridized space where, without synthesizing differences, the students could manage complex interactions of cultural norms and values and could carry out an uninhibited cultural navigation amid the distinct yet connected zones”.
Cultural Tourism and Cultural Integration
Tourism is one of the most important industries in the 21st century. According to the World Tourism Organization (UNWTO, 2010), over the past six decades, tourism has experienced continued expansion and diversification to become one of the largest and fastest growing economic sectors in the world. East Asia and the Pacific have been particularly fast in the world’s emerging regions, with a rapid 6% average annual growth since 2000. This observation is also applicable to the more recent period.
The world tourism model has shifted from recreational tourism, to cultural tourism, to creative tourism, while they are not mutually exclusive. As the subset of recreational tourism, cultural tourism is concerned with a traveler’s engagement with a country or region’s culture -- specifically the lifestyle and history of the people, their art, architecture, religions, and other elements that shape their way of life.
Recreational tourism in general, and cultural tourism in particular, increases the understanding and interaction with other cultures. Often there are cultural conflicts between tourists and the local hosts and residents. However, in the case of cultural tourists, they generally respect the destination’s culture and the local people’s way of living, so that cultural conflicts are minimized compared to recreational tourists. Furthermore, cultural tourism facilitates cultural exchanges and learning, which is favorable for cultural harmonization and even for cultural hybridization.
Empirical literature on the favorable effect of cultural tourism on cultural integration is scarce. We simply assume here that *ceteris paribus*, the positive effects on cultural exchange or acculturalization result in increasing trends of tourism. Statistically controlling the effects of other factors such as increasing income and political factors, however, is very difficult, if not impossible.
The degree of cultural hybridization by tourism between the three countries - Korea, Taiwan and Japan - is hard to measure statistically. During the period from 2009-2017, the trends of inbound tourists between these countries have shown steady increases as indicated in Table 1, although there were some temporal disruptions.
Table 1. Trends in Inbound Visitors by Country (Thousand person)
| | Japan | Korea | Taiwan |
|-------|----------------|---------------|---------------|
| | Korean | Taiwanese | Japanese | Taiwanese | Japanese | Korean |
| 2007 | 2,600.7 | 1,385.3 | 2,236.0 | 140.1 | 1,164.4 | 222.3 |
| 2008 | 2,382.4 | 1,390.2 | 2,378.1 | 320.2 | 1,084.9 | 247.8 |
| 2009 | 1,586.8 | 1,024.3 | 3,053.3 | 380.6 | 999.0 | 164.2 |
| 2010 | 2,439.8 | 1,268.3 | 3,023.0 | 406.4 | 1,078.5 | 213.8 |
| 2011 | 1,658.1 | 994.0 | 3,289.1 | 408.2 | 1,293.0 | 239.7 |
| 2012 | 2,042.8 | 1,465.8 | 3,518.8 | 548.2 | 1,432.3 | 259.1 |
| 2013 | 2,456.2 | 2,210.8 | 2,747.8 | 544.7 | 1,420.1 | 348.1 |
| 2014 | 2,755.3 | 2,829.8 | 2,280.4 | 643.7 | 1,633.6 | 525.0 |
| 2015 | 4,002.1 | 3,677.1 | 1,837.8 | 518.2 | 1,625.9 | 655.9 |
| 2016 | 5,090.3 | 4,167.5 | 2,297.9 | 833.5 | 1,894.2 | 881.2 |
| 2017 | 7,140.2 | 4,564.1 | 2,311.4 | 925.6 | 1,898.9 | 1,054.7|
Sources: Arranged by the authors from the following original sources: Japan Tourism Agency, Tourism Whitepaper, Korea Tourism Organization, Taiwan Tourism Agency
The disruptions in 2008 to 2010 in Japan and Taiwan seem due to the global financial crisis and disruptions in 2011 and 2012 in Japan are due to the Great East Japan Earthquake in March 1, 2011 in Japan. The setback of tourists from Japan to Korea since 2013 seems due to diplomatic disputes between Korea and Japan’s Abe Government, although there is a weak sign of recovery. The minor fall of the tourist number from Taiwan to Korea in 2013 and 2015 seem due to economic factors in Taiwan. The tourist numbers as outliers are shown with gray marks in the table.
Unfortunately, we cannot distinguish the number of cultural tourists out in the table. All that we can say is that, with the assumption of *ceteris paribus* and that the growth rate of cultural tourists is at least the same as or higher than the growth rate of the total tourists, we can say the trends in cultural tourists between these three countries have been increasing. This may imply cultural tourism has been affecting more positively than negatively in cultural interactions between tourists and locals.
Waves of popular culture have a positive influence on cultural tourism, and vice versa. According to a poll conducted by the Korea Tourism Organization in 2017 (Bernama, 2017, November 2)), more than half of 3,199 foreign tourists from China, Japan, the United States, Hong Kong, Taiwan, Thailand, Malaysia and Singapore to South Korea chose their destination for the influence of the Korean Wave. Allowing multiple choices, 55.6 percent of the tourists picked South Korea after watching TV dramas and films. Another 36.8 percent said they chose South Korea after watching travel programs on TV. The poll also said 28.4 percent made their decision based on postings on social networking services, while 26.5 percent chose South Korea by recommendations of their acquaintances. Introductions and reviews on travel-related internet sites influenced 24.4 percent of the visitors. After arriving in South Korea, 67.2 percent of people indulged in shopping. 52.1 percent enjoyed food-related activities, 51.3 percent visited cultural and historic sites, followed by nature-related activities at 36.4 percent, relaxation at 20.8 percent, festivals and performances at 11.7 percent and the Korean Wave-related activities at 11.5 percent. This poll vividly shows the influence of a popular culture on tourism. Not only in the Korean case, but
also many reports confirm the influence of cultural experience on tourism activities and the increasing popularity of cultural tourism (OECD, 2009).
There are also negative effects of leisure tourism in general, and cultural tourism in particular, on local cultures. The cultural products on the markets are often not authentic but disguised. Local cultural heritages may lose authenticity. However, genuine cultural tourists tend to enjoy authentic cultures and the positive effects far exceeding the negative effects in most cases. In East Asia, there have been many cultural conflicts. Especially the ratio of internal cultural conflicts have been much higher than that of other areas and the ratio of inter-state (i.e. international) cultural conflicts have been much lower than other areas in the world except for the Cold War period (Croissant & Trinn, 2009). This observation implies that in order for cultural tourism in East Asia to contribute to conflict resolution in the region, it should not trigger intra-stae cultural conflicts.
**Necessity and Direction of East Asian Cultural Integration**
We are concerned with the form of cultural integration going on in East Asia, whether it is a just cultural integration in the narrow sense, or multiculturalism or cultural hybridization. All three forms seem to be happening, but the axis is gradually moving toward the last, i.e., cultural hybridization. Several reasons for this are pointed out:
- Cultural change is dynamic and hybridization is the most dynamic form.
- East Asia is a dynamic region, changing fast in many dimensions. Culture is one of them.
- Changes are interactive and reinforcing. Culture is not an exception.
- East Asia shares a wide range of similar cultural values already.
- Asian people in general and East Asian people in particular have the aspiration to be regarded as having a non-inferior culture, if not a superior one in the world.
- Cultural regionalism based on a cultural hybridization is interactively reinforcing other kinds of institutional regionalism.
The case of ASEAN renders many useful implications. ASEAN is the only comprehensive institution for regional integration in East Asia, although it covers only South East Asian nations and invites three East Asian countries - China, Japan and Korea - as observers in the name of ASEAN plus Three (APT). Its grand plan towards 2020 includes the ASEAN Socio-Cultural Community Plan, which shows the goal and reliability of ASEAN cultural regionalism as well as East Asian cultural regionalism (Vejjajiva, 2015).
What are the expected benefits of the cultural hybridization in the region? First of all, it can reduce culture-based conflicts and other kinds of conflicts as well in the region. It is a well-known fact that under one culture, less conflicts are happening than multi cultures because similar cultural values are shared among the constituency. Second, it will enhance the soft power of East Asia as a whole in the world. Third, it will also increase the economic benefits to the region.
If the social costs of cultural conflicts are outweighed by the benefits of cultural integration, as we pointed out in Section I, it is safely said that cultural regionalism in
the form of hybridization is a desirable course in East Asia. However, there are several conditions that need to be satisfied for the achievement. Four facilitators or conditions should be met for maximizing benefits of all nations and people involved in this process.
First, well-developed and easy-to-use cyber/social networks and media should be provided. Although we focused on the role of cultural wave and cultural tourism in this paper, in fact, we should also acknowledge that the role of media and information and communication technology (ICT) is crucial for cultural dissemination and hybridization. In fact, without these, popular cultural waves in East Asia could not have spread so fast in and beyond the region. Thus, their role should be strengthened. Some countries in the region need rapid improvement of ICT infrastructure.
Second, more free trade among the involved countries facilitates cultural integration. For example, FTAs include agreements on IPRs, which facilitate technological transfer and cultural transfer as well. The same observations are also applicable to tourism. Economic regionalism and cultural regionalism are interactively reinforcing each other.
Third, not only the growth of the middle class should be sustained, but also the income of people should be more equitable in each country. Cultural exchange or hybridization among only urban middle classes can be a cause of cultural conflicts within a country, in addition to economic conflicts. The spillover effects are effectively working when the income level among groups in a country is relatively equal.
Fourth, no serious political conflicts should discourage cultural interactions between involved countries. Political intervention can have positive influence as well as negative influence on the cultural hybridization and development of cultural regionalism. The recent THAAD-related conflicts between South Korea and China are a typical case for this.\(^2\)
---
\(^2\) As an economic threat against South Korea’s deployment of the US THAAD (Terminal High Altitude Area Defense), China blocked market access of major South Korean entertainment activities and business such as popular products and tourism. Some examples are as follows, but not limited to:
- **Entertainment:** Shortly after the THAAD announcement, several events featuring South Korean pop music and actors were suspended or cancelled without any explanation. CCTV banned the airing of popular South Korean TV shows. Other blockings followed suit.
- **Consumer Products:** In January 2017, China banned sales or imports of some South Korean products such as foods and entire shopping mall sales, especially the sale of products at Lotte Marts in China because Lotte provided the South Korean government with the base land for the deployment of THAAD. Korean car producers in China saw a drastic drop of car sales.
- **Tourism:** Package tours to South Korea were banned by the Chinese government, which resulted in a significant blow to Korea’s tourism. For example, only 254,930 Chinese tourists visited, down from 758,534 in June 2016, a 66 percent drop compared to the previous year. (Meick & Salidjanova, 2017, based on news reports)
Fifth, no cultural imperialism is allowed to emerge. Today, culture is the main element of soft power of a country. Competition among cultures, especially popular cultures may be desirable, but domination of one culture or hegemony is dangerous and harmful to destroy harmonious cultural integration. As discussed by Hong & Chen (2017), considering different abilities and endowments among countries, it is possible that a leader country or a group of leading countries for the venture may emerge. Two contrasting approaches are conceivable: the dominant cultural wave approach and the strategic collaboration approach. In other words, because the distribution of cultural power among countries in the region is asymmetric and skewed, there is a possibility that a dominant player will emerge. If the dominant player would be tempted to exercise cultural imperialism, the nature and process of the new EA cultural regionalism would be problematic. Thus, the formation of strong strategic alliances among countries is the key success factor, although it may require a longer time.
Asia is known for a region where many conflicts occurred in the past. It is obvious that recently cultural regionalism has been solidifying in East Asia. Encouraged by this, we may consider the possibility of cultural integration in the region in the long run, if cultural imperialism is collectively avoided.
**Conclusion**
This paper has examined the possibility and conditions of cultural hybridization resulting from cultural interaction in East Asia. Culture is like a double-edged sword. It can be a source of cultural conflict, and it can be a driver of cultural harmonization. Since culture is the basis of social life, it can contribute not only to cultural conflict resolution, but also other kind of conflict resolutions. It can be observed that international cultural harmonization through hybridization can contribute to substantially reducing international conflicts.
Three cases of cultural harmonization (peaceful coexistence of different cultures) are conceivable: cultural integration in the narrow sense, multiculturalism, and cultural hybridization. Cultural integration in the narrow sense is the exchange of cultures without losing own cultural elements. Multiculturalism is the coexistence of multiple cultures within a society or a nation. Cultural hybridization is the mixing or mingling of different cultures. In the process of hybridization, some of one’s own cultural elements are lost and new elements are obtained. Among these three, cultural hybridization is more effective for cultural harmonization.
However, there are several conditions to be satisfied for the achievement of harmonious cultural hybridization or integration in the broad sense. Based on extensive review and research, we propose five facilitators or conditions for maximizing the benefits of nations and people involved in the cultural integration in the broad sense:
1. Well-developed and easy-to-use cyber/social networks
2. Free trade among the involved countries
3. Sustained growth of the middle class and equitable income distribution
4. No serious political conflicts among or between countries
5. No cultural imperialism or pursuing hegemonic cultural power.
Even if these conditions are met, needless to say, cultural integration in East Asia or cultural regionalism in general, has a long way to go. We never know what would happen in the process, but the history of the last several decades indicates that an optimistic prospect of the future is more plausible.
References
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**Contact email**: email@example.com
Dominican Churches in the Cagayan Valley, Town Building in the Mountains: A Travelogue
Janet C. Atutubo, University of Santo Tomas, The Philippines
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
Located in the northeastern most part of the Philippines, the valley is between the Cordillera and Sierra Madre Mountain Range, the longest mountain ranges of the country. The valley is crossed by the country’s longest river which the Spaniards named as the Rio Grande de Cagayan. The Dominican friars worked hand in hand with the Spanish soldiers in the colonization of place. Perseverance, bravery, industriousness and sheer luck gradually chipped the resistance of the native population who were nomadic and headhunters. Initially made of available light materials, Churches were constructed along strategic areas. These were later replaced with durable stones and adobe and were constructed by the native population. The trail of the Dominican churches built is also a narrative of the building of towns, following the colonial rule, reduccion, along the banks of the river. Using a travelogue, this shows how the population accepted Catholicism, settled down, and engaged in agriculture and trade. Lands were claimed from the forests for agriculture, crops were introduced for food and export, schools and government institutions were established, literacy is high, migration from other parts of the country increased the population, roads, bridges and other infrastructures are constantly built. Cagayan Valley today is a progressive place, a manifestation of the great labor of the Dominican Order hand in hand with the native population as they strive towards progress.
Keywords: reduccion, friars, travelogue
Introduction
The objective of this paper is the presentation of the active participation of the native Filipinos in the making of their history. Common to Southeast Asian experience is a significant length of time of western colonization, in the case of the Philippines, this started in 1565 that lasted until June 12, 1898. Though all of the countries of the region attained their independence, but in most literatures, it is always the activities of the colonizers that is narrated, usually justifying their colonization and dishing out to the readers the achievements of the colonizers. The presence and the activities of the natives are totally silenced, ignored or presented as undesirable, something that has to be suppressed or a disturbance to the civilized society (Dery, 2006). In presenting the Catholic churches, built during the Spanish colonization to glorify another colonial tool – Roman Catholicism, what the researcher desires to present is that these churches were built by the natives. From the time the native population heeded the call of the Spanish friar to start construction, the building and rebuilding of the edifices until its present form, using the abundant local materials and using the bountiful native labor, these are the manifestations of their religiosity, these were creations of the ordinary Filipinos. In doing so, the activities of the ordinary, colonized Filipinos during the Spanish colonization is given a voice, a space to be known.
Geography
From Google maps
Located in the northeastern most part of the Philippines, Cagayan Valley is surrounded by the Sierra Madre Mountains on the east and the Cordillera Mountains on the west while the valley is crossed by the country’s longest river, Cagayan River (Salgado, 1997).
**Spanish Conquest**
The area were populated by tribal people who were fiercely independent of each other. There were as many dialects spoken in the area as there were tribal groups, examples are the Kalingas, Gaddangs, Isinayes, Itawes, Kianganes, Ibalois and others (Fernandez, 1975).
The successful evangelization of the province is always pointed out as one of the greatest achievements of the Dominicans which was achieved after very long perseverance, bravery, industriousness, sacrifices, death, sometimes sheer luck and good timing on the part of the missionaries. The number of various dialects, the nomadic lifestyle, their propensity for headhunting, the rugged and unknown geographic terrain all posed seemingly unconquerable hurdles to the young, European missionaries. Even the great *conquistadore*, Capt. Juan Salcedo, facing the rugged coasts, the vast mountains thickly covered with impenetrable forests, he chose to skip the area and did not undertake the conquest of the land (Malumbres, 1918).
It was another *conquistadore*, Juan Pablo Carrion, who was ordered to expel the Japanese pirates who built forts at the mouth of the Ibanag River. He successfully expelled the Japanese pirates and undertook the arduous conquest of the inhospitable lands. He later brought the province of Cagayan Valley under Spanish conquest (Aduarte, 1693). Initially assigned to the Augustinian Order, it was the Dominican friars who patiently coaxed the people of Cagayan to live peacefully among themselves, give up their arms, practice agriculture and submit to the Catholic faith.
The Spaniards built *reduccion* in identified areas. To attain peace and order in the conquered territories, the Laws of the Indies was implemented. The houses were ordered constructed within the hearing distance of the bell. The natives were ordered to go to church and their children to go to school. The Spanish administrators, usually a soldier or an official were allowed to collect tribute. In the identified settlements, streets were specifically identified, each house had a space for garden and a space for animals. Natives were forcibly transferred in the Spanish selected areas to enforce political, economic and social supervision (Reed., 1978). These settlements are called *reduccion*.
Natives were passive, indifferent, some were curious, lukewarm in their reception of the gospel, some native rose in arms, so many Spanish soldiers and friars were killed but gradually, the people were convinced of the goodness of the Dominican priests. Churches made of bamboo and nipa or whatever native materials were used for construction. The patience, perseverance and goodness of the early missionaries brought conversion to the natives, gradually establishing mission areas.
Churches were constructed in the *reduccion* sites by the native population, using the native labor and natural resources, towns gradually grew around these churches.
Since the trip undertaken started from Manila, the narrative of this travelogue starts from the southern most part of the Cagayan Valley.
**Spanish Churches of Cagayan Valley**
Dupax del Sur Church, San Vicente, an 18th c. Baroque Church located at Barangay Dopaj, Dupax, Nueva Vizcaya, Philippines. Dupax started as a mission by the Dominican priests to convert the Isinays in 1602 (Hornedo, 2002). Picture from Google images.
In the next two slides, arrival was nighttime, the market, public school, government offices, like any *reduccion*, surrounded the church.
Personal pictures
The Santa Catalina and St. Dominic Churches
It was September 8, 1739 when a group of Dominican missionaries landed in Turayong, a barangay of this town which was later named Cauayan. From the very start of their mission work, the missionaries managed to convert to the Christian Faith some 140 Gaddangs, the pioneer inhabitants of this city (Hornedo, 2002).
It was September 8, 1739 when a group of Dominican missionaries landed in Turayong, a barangay of this town which was later named Cauayan. From the very start of their mission work, the missionaries managed to convert to the Christian Faith some 140 Gaddangs, the pioneer inhabitants of this city (Hornedo, 2002). Pictures from Google images.
Parish of Our Lady of Atocha, Alicia, Isabela. In Spain, Atocha was a place of imprisonment of Christians during the Moorish rule. Even at that time, Atocha was a Dominican parish in Madrid, Spain. This place was assigned to the Dominicans, its original name was Angaran. Its original site was in the Magat River, a strategic place where the conquistadores staged their attacks against the Ilongots. The Dominican missionaries decided to build the Angaran town in 1745 on this site. In 1885, a brick
church was constructed to serve as refuge for the natives against the Ifugaos. Data from the Our Lady of Atocha Church. Personal pictures.
In 1741, Dominicans in Manila declared Cauayan, Isabela a parish, Our Lady of the Pillar.
The Gaddangs and other migrants made Cauayan their homes. The initial constructed was completed in 1843. Data from the parish church. Personal pictures.
Nuestra Señora del Pilar, Cauayan, Isabela
Schools, government offices, commercial establishments surround the Church. Personal pictures.
San Matias Parish Church, found in Tumauini, Isabela. Built in 1783, this church of stone has a cylindrical bell tower (Hornedo, 2002). Personal pictures.
Schools, government offices, residential homes and commercial establishments surround the Tumaiuni Church. Personal Pictures.
The Ruins of the Church of San Pablo.
The Church of San Pablo, Isabela, this was built in 1624 has a very tall, six layers bell tower. It is a church in ruins but there is another church built within the ruins.
The Church of San Pablo, Isabela, this was built in 1624 has a very tall, six layers bell tower. It is a church in ruins but there is another church built within the ruins. Government offices and residential houses surround the ruins (Hornedo, 2002). Personal pictures.
San Jacinto was originally a hermitage built by the Dominicans in 1604. The land and its surrounding areas were turned over to the Paulinian Sisters of Chartres to establish a Catholic school for girls in Cagayan Valley in 1907 (Hornedo, 2002). Personal pictures
Tuguegarao Cathedral
Also known as the St. Peter Metropolitan Cathedral parish church. This is the biggest church in the Cagayan Valley. The Dominican priests arrived in the valley in 1600 and started evangelization. The Diocese of Nueva Segovia was created in 1595, Fr. Miguel de Benavides, O.P. was its first Bishop, the founder of the University of Santo Tomas (Fernandez, August 1975). Picture from Google images.
The St. Peter Metropolitan Cathedral parish church.
Personal pictures
Basilica Minore de Nuestra Señora de Piat
In 1604 the Dominicans brought the image of Our Lady of the Rosary from Macau. It was initially installed in Lallo, this image was later transferred to Piat in 1622. (Fernandez, 1975). Picture from Google images
In 1604 the Dominicans brought the image of Our Lady of the Rosary from Macau. It was initially installed in Lallo, this image was later transferred to Piat in 1622. Personal picture.
One of the oldest and remotest areas of evangelization, the Saint Raymund de Penafort, Church of Malaeug was administered by the Dominicans in 1608. Construction of the Church started in 1617. (Fernandez, August 1975).
Personal pictures.
St. James the Apostle Church, Iguig
The Church in Iguig, St. James Apostle, located in an elevated land but right beside the river banks of the Cagayan River. Today, it has bigger than human life sculptures scattered at its backyard. Personal pictures.
St. Philomena Church, Alcala, Cagayan
Picture from Google images.
Shrine of Our Lady of the Rosary, Aparri, Cagayan
Personal picture
Spanish Capt. Juan de Salcedo reached Buguey. He found a very active and prosperous fishermen town of Ibanags. He continued with the conquest of Cagayan Province but left behind Dominican friars. The people built this church which was named St. Anne Church. Its convent was said to have the biggest library in the Dominican province of Cagayan but it was burned in 1732. (Data from St. Anne Church) Personal picture.
Ruins of San Jacinto de Polonio. These are on the banks of the Cagayan River. Personal pictures.
San Jacinto de Polonio. The Church was rebuilt but its bell tower is said to be the oldest, built in 1595. Bell towers were important not only for the announcement of religious rituals but also for warnings in cases of invasions. (Data from the San Jacinto de Polonio Church).
Lallo, Cagayan was the seat of the parish of Nueva Segovia. Initially, this was a Spanish military headquarters and was called Nueva Segovia, in honor of Segovia, Spain, the place of its conqueror, Juan Pablo Carron. Nueva Segovia became a Dominican mission in 1596. (Salgado, 1997). Picture from Google images.
The Dominicans planted this evangelical cross more than 400 years ago, this is found right in front of the Lallo Church.
Personal pictures.
Conclusion
The pilgrimage to the various centuries old Spanish Churches and the use of secondary sources, these two endeavors fulfill the objective of this paper which is to highlight the activities of the native Filipinos during the period of colonization. The Spaniards may have left, the *reduccion* is no longer practiced but there are towns that were built from the foundations of the *reduccion*, places which were built and populated by the native population. The Churches are still standing, these are still useful because, like the Spanish period, these were kept alive by the religiosity of the native population. These edifices are still relevant because Catholic celebrations are still held and are patronized by the Filipinos until today. The innate religiosity of the Filipinos caused the people to volunteer their services to build the Churches and the same religiosity keeps the relevance of these ancient buildings. Even the young people seek comfort and heartily participate in the activities of the Catholic Church, thus retaining the relevance not only of the edifice but also of the faith until today.
References
Aduarte, Diego, O.P. (1640). *Historia de la Provincia del Santisimo Rosario de la Orden dPredicadores en Filipinas, Japon Y China*. Madrid: Departamento de Misionologia Española.
Dery, Luis Camara. (2006). *Pestilence in the Philippines. A Social History of the Filipino People, 1571-1800*. Quezon City: New Day Publishers.
Fernandez, Pablo O.P. (August 1975). Dominican Apostolic Labors in Cagayan Valley. *Boletin Eclesiastico de Filipinas*. Vol. XLIX, No. 550.
Halili, Maria Christine N. (2010). *Philippine History*. Second edition. Manila, Philippines: Rex Book Store.
Hornedo, Florentino H. (2002). On the Trail of Dominican Engineers, Artists and Saints in the Cagayan Valley and Batanes. Manila, Philippines: University of Santo Tomas Publishing House.
Malumbres, Julian, O.P. (1918). *Historia de Cagayan*. Manila: UST Press.
Reed, Robert R. (1978). *Colonial Manila: The Context of Hispanic Urbanism and Process of Morphogenesis*. Berkeley: University of California Press.
Salgado, Pedro V., O.P. (1997) Rebellions of Cagayan Valley During the Spanish Times. *Justitia*. Vol. 4: 1997. Bahay Dominiko, Sta. Mesa Heights, QC: Commission on Justice and Peace Dominican Province of the Philippines.
Contact email: firstname.lastname@example.org
Teaching Portuguese as a Host Language for Immigrants/Refugees in Situations of Social Vulnerability in Goias/Brazil
Paula Graciano Pereira, Federal Institute of Education, Science and Technology of Goias (IFG), Brazil
Suelene Vaz da Silva, Federal Institute of Education, Science and Technology of Goias (IFG), Brazil
Mirelle Amaral de Sao Bernardo, Federal Institute Goiano (IF Goiano), Brazil
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
This paper aims at presenting a project held at Federal Institute of Education, Science and Technology of Goias (IFG), Brazil, which works with vulnerable immigrants/refugees in Goiania and surrounding cities. These people come to Goias in search of better conditions of life and depend on the Portuguese language as an instrument of social and labor insertion. For this reason, this project has two main goals: to provide college students (teachers-to-be) with teaching education and experience, and to improve the acquisition of Portuguese as a host language (PHL) by immigrants/refugees, i.e., as an instrument of mediation between immigrants/refugees and society, allied in the process of adaptation and belonging to the new environment. The team is composed of linguists, professionals from the fields of arts, health, human rights, psychology, hospitality and computer science and by under-graduate students of Portuguese and Dance. The activities are organized in three parts: (1) training workshops for the students on immigrant rights, health, culture, cultural conflicts, and teaching-learning theories of PHL, and (2) PHL and culture classes and for immigrants/refugees, taught by students under the supervision of linguists/teachers; (3) lectures and workshops for the participants on various topics. Immigrants living in Goias face significant difficulties in terms of integration, particularly regarding entry into the labor market. These difficulties translate into a high rate of unemployment, downward professional mobility and a process of loss of self-esteem and social exclusion. This project is relevant as an attempt to minimize these difficulties and help immigrants/refugees adaptation/integration process.
Keywords: immigrants, refugees, hosting, PHL, teaching-learning, teacher education.
Introduction
This project, by means of a course of Portuguese as a Host Language (PHL), is aimed at immigrants in vulnerable situations, especially Haitians, who are based in Goiania (capital of Goias state, in Brazil) and surrounding cities. These people depend on language as an instrument of social and labor insertion. For this reason, the main objective of the project is to improve the acquisition of the Portuguese language, facilitating the integration of immigrants and improving life quality for these people. In addition, partnerships with other campi and community members provide workshops on health and civil and labor rights, as well as psychological support and cultural activities such as performing arts and dance.
The Portuguese course is based on the communicative approach of language teaching (ALMEIDA FILHO, 1993) and on Freire’s Critical Pedagogy (FREIRE, 1970; 1982; 1995; 1997) and uses the methodology of language teaching for specific purposes (BRUNTON, 2009; CELANI, 1988, 2005a, 2005b, 2009a; HUTCHINSON; WATERS, 1987; RAMOS, 2005, 2009), since the main objective is to meet the urgent linguistic needs of participants in specific situations, such as job application, interaction in the work environment, medical appointments, commercial transactions, among other communicative contexts.
Although the number of immigrants residing in Goias is relatively small compared to other Brazilian states, this group faces significant difficulties in terms of integration, and in particular, entry into the labor market. Immigrants have a limited knowledge of the Portuguese language and are often victims of racism and discrimination. These difficulties translate into a high rate of unemployment among them, in downward mobility paths and in a process of loss of self-esteem and social exclusion, which has worsened over the years and which reflects in the society in which they are inserted. The relevance of this project is still due to the fact that other areas of knowledge are also included besides teaching PHL: arts, health, human rights, psychology, hospitality and information technology. For each of these areas, a professional hold lectures and workshops and, as the language of communication is Portuguese, the heart of the project, teaching PHL, assumes its main role, the host.
From this perspective, we hope, by the end of the project, that the participants will be able to communicate in Portuguese in specific situations of social interaction, making this language the means to assume their places in the society of Goias. We also believe that the participants may have a better life quality, since they will have acquired important knowledge to their daily lives in the country that received them, but that still lacks actions to actually welcome them.
In addition, this project offers students of Portuguese Language and Dance the opportunity to broaden the process of academic-pedagogical formation by experiencing didactic practice and expanding the scope of action as future teachers. For the Portuguese Language degree students, the teaching of PHL is already part of the curricular matrix of the degree course in at IFG. Thus, their participation in this project may enrich the theoretical curricular component of the course with the teaching in practice, helping them to legitimize knowledge and the integration between theory and practice.
Immigration and the relevance of PHL learning-teaching
Immigration is a natural and very old activity which has always been within humanity. Whether for economic, political, religious, social, cultural, gender reasons or even due to natural disasters, thousands of people have left their homeland in search of shelter in different countries. In recent decades, immigration figures in Brazil have significantly grown (BARRETO, 2010; SAO BERNARDO, 2016).
Usually, immigrants face, in addition to difficulties with language, local culture and customs, financial, emotional, health problems and prejudice. Not knowing the language is the biggest barrier to integration and integration into the host society. There are institutions throughout the country developing actions to meet the need to acquire the Portuguese language, even if they are not sufficient for the demand. Most of these actions are established by civil society and Brazilian public universities, since the government, although facilitating the entry of immigrants to the country, does not usually offer other types of support to these people, which makes it difficult for them to have access to language courses, due to the high prices and expenses.
In this way, when we refer to the target language as the host language, we go beyond the notion of a foreign language or a second language. For the adult public, newly immersed in a linguistic-cultural reality not previously experienced, the language use is linked to a various kinds of knowledge, such as knowing how to act and what to do, and the new linguistic-communicative tasks that must be carried out in that language, as well as the possibility of becoming a citizen of this place, culturally and politically conscious, participating as a subject of society. Grosso (2010, p. 71) explains the choice of the host language concept, defining the relationship between the language and the context to which it applies "action oriented, the host language has a know-how that contributes to a real interaction, everyday life, the conditions of life, social conventions and other things that can only be understood in a bidirectional relation".
The author also argues that "when the host language is operationalized in teaching-learning content, its scope goes far beyond the professional domain" (GROSSO, 2010, p.61), however, this level is extremely important for the integration of the individual to the new society. Thus, the communicative needs are linked to tasks and situations that diverge from the culture of origin and that permeate various sectors of life, such as education, work, health, housing, personal relationships etc. However, the concept of host language, as well as teaching and learning this language, to our understanding, also refers to
the emotional and subjective prism of the language and the conflicting relationship in the initial contact of the immigrant with the host society, judging by the vulnerability that these people face when they arrive in a foreign country with the intention of staying in that place. Similarly, we refer to the role of the teacher, whose function in this context is to try to ease the initial conflict between learner and language, allowing him / her to begin to see it as an instrument of mediation between him and the society that receives him / her and perceive it as an ally in the process of adaptation and belonging to the new environment, which is not home. Still,
language can be used as an instrument of fight and transgression. (SAO BERNARDO, 2016, p. 66)
Many cases have been reported in Brazil of immigrants working in conditions similar to slavery, and this is often due to lack of knowledge of the language and, consequently, they do not understand their civil and labor rights, which leads them to situations of vulnerability. Silva (2017) attests the inhumane conditions of Bolivian immigrants living in the metropolitan region of Sao Paulo, especially in relation to housing, food and work. In this study, the lack of proficiency in the Portuguese language makes routine activities difficult, such as renting a place to live, seeking medical care, access to schools and, as mentioned, entering the job market. This situation is also observed by institutions such as the Immigrant Pastoral of Goiania and INTERREL, which serve vulnerable immigrants in Goias.
The project is designed to help participants develop intercultural communicative competence by acquiring linguistic competence and critical cultural awareness, evoking critical thinking and developing autonomy. The contents are chosen based on the themes of greater impact on the social insertion of these people. In this way, the purpose of the course is to help the participants understand how the host society is organized in relation to work, housing, health, gender relations, as well as to support them in the fight against oppression and cultural domination. The curriculum design is developed from a variety of authentic images and texts of different genres, related to the themes mentioned above as well as You can enter: Brazilian Portuguese for refugees, material designed by UNHCR (United Nations Agency for Refugees) and available for free.
**The project**
As already mentioned before, the project’s main goal is to assist in the integration of immigrants in situations of vulnerability in the community of Goias state and to provide students under a degree in education with teaching experience. We also aim at:
- Improving the linguistic performance of the participants so that they can integrate more effectively in order to facilitate the search for employment, improve the relations in the work environment and in other social instances;
- Informing the participants about the rights and duties of immigrants in Brazil, guide them regarding documentation, labor rights and other legal needs;
- Informing the participants about how the Brazilian public (free) health system works, as well as on issues related to personal hygiene, diseases common to the region, among other subjects;
- Offering psychological support to the group, with the intention of minimizing cultural conflicts and problems of integration to the society that welcomes them;
- Promoting artistic and cultural integration between immigrants and the host society at times aimed at the development of activities that value the culture of origin of these people, as well as presenting cultural elements from Brazil and the state of Goias;
- Integrating the training in Portuguese Language and Dance courses to the classroom practice in a context of teaching PHL;
• Developing partnerships with members of the internal and external community aiming at the development of activities in a multidisciplinary perspective;
• Promoting artistic and cultural events that comprehend the culture of immigrants and the host society;
• Promoting and participating in academic, cultural and social events to publicize the project, the actions of the team and to encourage the immigrants to report their experiences, with presentation of papers and publications of articles and other academic genres.
The project team is formed by 15 members and is coordinated by the International Relations Bureau of IFG. The staff is divided into four groups:
1. Coordinator and assistant, who work at the International Relations Bureau and are also Professors of Linguistics and International Relations;
2. Professors from the Federal Institutes of Education, Science and Technology of Goias and Goiano, who all hold Master and/or PhD degrees in Linguists, Dance, Tourism and Hospitality, Arts, Law, International Relations and other fields;
3. Professionals form partner companies, such as psychologists, doctors, nurses, computer engineers and technicians etc.;
4. Students of the Portuguese Language and Dance degrees.
The project is structured into three phases: 1) an initial phase of training; 2) the PHL course itself; 3) lectures and workshops. Before the initial phase, the coordination took care of the administrative work such as designing and registering the project, contacting the Professors and partners, approaching the immigrants and the paper work attached to it.
In the initial phase, three students from the Portuguese Language degree and one student from the Dance degree have earned a scholarship. Other students are volunteers. All of them have received theoretical and practical training to be teachers of immigrants, the target audience of this project. Linguistics Professors work in the scope of theories and methodological approaches to language teaching, creation of teaching materials, assessment, culture(s) and diversity. The Arts Professors work with the application of the performing arts and dance in favor of the social insertion of the immigrants in Goias / Brazilian community, via artistic-cultural themes. The professors are also the students’ tutors/counselors, accompanying both the preparation and the execution of the classes, as well as the learning process of the participants and the interrelations of this process with the improvement in social, cultural and affective skills in the community.
The PHL course is taught by the students of the Portuguese Language Course, whereas artistic and cultural activities are carried out by students of the Dance degree course. There are four groups of 30 students and the classes take place at the Goiania Campus of IFG twice a week. Classes last 1 hour and 40 minutes and happen in the evenings or on Saturdays. The total length of the PHL course is 240 hours, being it split in 4 groups with 60 hours of lessons each. The classes are taught by the students, in pairs, and accompanied by the Professors.
The scholarship students and volunteers coming from the Portuguese Language course were grouped in pairs. The Dance student does not have a specific partner. She
is always forming a trio, adding her work and expertise to the pair of Portuguese students.
This procedure aims to ensure that all 4 groups experience artistic and cultural activities during the course. The option of working in pairs relies on the perspective of building a pedagogical identity of partnership, in which a student-teacher supports and is supported by another student-teacher during the pedagogical practice, following the socio-constructive premises of authors such as Vygotsky (1998) and Figueiredo (2006).
As the PHL classes advance and the participants grow more capable and confident in the use of Portuguese to interact, lectures in areas of their interest are given by professionals from partner companies. In the fields of health, law, psychology, hospitality and computer science, there are lectures for the students and lectures and workshops for the immigrants, with specific approaches for each group considering the perspective of (in)forming and performing. The focus of the workshops and lectures is mainly on issues related to personal hygiene, diseases common in Goias, access to the Brazilian Public Health System card, vaccines; rights and duties of the immigrant, ranging from obtaining documents to themes such as slave labor; cultural conflicts, interpersonal and affective relations and qualification for the labor market in the field of hospitality. For the computer skills part, basic concepts are worked out, focusing on the use of three Microsoft applications: Word, Power Point and Excell.
**At the moment**
The first phase of the Project has already been concluded, i.e., all the students have gone under training and the activities and materials have been planned and created. The PHL course is undergoing and we have been able to notice great interest from the participants. Two cultural activities have occurred depicting traditional a Goias dance called “Catira” and a workshop on Brazilian traditional music and dance called “Ciranda”. All these activities, including have been registered in photographs and/or video, as well as written reports. These registers and reports will later become research data.
As for the monitoring and data registering of the activities, some instruments and strategies have been implemented:
- By the coordinator and assistant:
- a spreadsheet of actions and goals was created so that, at each stage, there is an evaluation by the coordination of what has been achieved;
- frequent meetings with the team are held to care for the goals and actions which were not successful;
- a descriptive written record of the actions developed is made, with the aid of photographic and/or audio and video record of the activities.
- By the Professors:
- an initial questionnaire was designed by the Professors and applied to the students to identify the knowledge about immigrant communities, PHL teaching and interculturality;
- a questionnaire for the participants was designed in their mother tongues (French, Creole or others) in order to obtain indications of how they live in Goias and their expectations regarding the PHL course;
- training, classes, cultural activities, and reflective sessions have been audio and/or video recorded and photographed to analyze the progress of activities, generate data for cultural-academic events and use of this data for presentations and future publications, always respecting ethics in the collection and use of data.
- By the students:
- the questionnaire mentioned above was answered;
- a journal entry has been written about every class taught, to register actions, impressions, expectations, and reflections;
- reflective sessions, through stimulated recall, have been held in orientation meetings, recorded in audio, to promote critical reflection on teaching
- By the participants:
- an initial questionnaire was answered in their mother tongue;
- written reports have been written on the cultural activities and also on their impressions regarding the PHL course.
The chart below summarizes the phases of the project and what has already been done in order to monitor and collect data for future research.
| Phase | Responsible | Actions |
|----------------|-------------|-------------------------------------------------------------------------|
| Pre-project | Coordination| Administrative work: design and register, contacts, paper work |
| Training | Coordination| Spreadsheet of actions and goals; meetings; written, photographic and video record |
| | Professors | Questionnaires for students; orientation and tutoring; written, photographic and video record |
| | Students | Training; material development |
| PHL course | Coordination| Spreadsheet of actions and goals; meetings; written, photographic and video record |
| | Professors | Questionnaires for participants; orientation and tutoring; written, photographic and video record |
| | Students | Classes; journal; reflective sessions |
| | Participants| Questionnaire; classes activities |
Figure 1: Project phases and actions.
The project has been going on for about 8 months now and is planned to last for one more semester.
**Next steps**
The PHL course is planned to continue for about 3 more months. As the lessons advance and the participants’ knowledge increases, the first workshop on civil an
immigrant rights is scheduled for the second semester, although some legal support has been provided to those who have asked for it. In the field of health, the participants have had some assistance in getting access to the public health system. The other lectures and workshops will probably take place in the following months too.
As for the monitoring and data registering of the activities, some instruments and strategies have been implemented:
- By the coordinator and assistant:
- keep up with the spreadsheet of actions and goals;
- continue with the team meetings;
- keep recording data;
- design and apply to the team members a questionnaire in the SWOT model to collect data about the good/bad aspects of the project;
- SWOT analysis by the end of the semester;
- Final evaluation by the end of the project.
- By the Professors:
- keep up the tutoring;
- maintain records and collect data;
- design and apply a final questionnaire to students on their experience and impressions;
- design a final questionnaire for the participants on their experiences and the good/bad aspects of the project;
- answer the SWOT questionnaire;
- participate in the midterm and final evaluation.
- By the partners:
- design and conduct lectures and workshops;
- provide the participants with assistance and advice;
- answer the SWOT questionnaire.
- By the students:
- keep up the classes and reflective sessions;
- answer the final questionnaire designed by the Professors;
- answer the SWOT questionnaire;
- apply the final questionnaire to the participants.
- By the participants:
- continue writing reports and participating in all the activities;
- answer the final questionnaire.
The chart below summarizes the phases of the project and what has already been done in order to monitor and collect data for future research.
| Phase | Responsible | Actions |
|---------------------|--------------|-------------------------------------------------------------------------|
| Lectures and | Coordination | Spreadsheet of actions and goals; meetings; written, photographic and |
| workshops | Professors | video record; |
| | Partners | Lectures and workshops; assistance |
| | Students | Classes; journal; reflective sessions |
| | Participants | Classes activities |
| Evaluation | Coordination | SWOT questionnaire; SWOT evaluation |
| | Professors | Questionnaires for students and participants; SWOT questionnaire; SWOT |
| | | evaluation |
| | Partners | SWOT questionnaire |
| | Students | Final questionnaire; SWOT questionnaire |
| | Participants | Final questionnaire |
Figure 2: Future phases and actions
**Conclusion**
Facing the gigantic refugee crisis that ravages the whole world is an urgent matter that every citizen from every country should be concerned with. It is not just a matter of placing people in a different region, but, first and most important, providing them with conditions to start over in a different culture. Migration is an activity as old as humanity. However, this may not be an excuse for a lack of interest and solidarity. Immigrants, especially refugees from poor and/or devastated communities, are human beings with all the rights to live in peace, this being not only the absence of war or misery. They also possess all the abilities to contribute to a better world and should be treated with the due respect and dignity. With this project, we intend to contribute, even if it is just a very small part, for the construction of social justice and equality.
References
ALMEIDA FILHO, J. C. P. (1993). *Dimensões Comunicativas no Ensino de Línguas*. Campinas: Pontes Editores.
BARRETO, L. P. T. (Org.). (2010). *Refúgio no Brasil*: a proteção brasileira aos refugiados e seu impacto nas Américas. 1 ed. Brasília: ACNUR, Ministério da Justiça.
BRUNTON, M. (2009). An account of ESP – with possible future directions. *English for Specific Purposes*: issue 3, n. 24, v. 8. Disponível em: <http://www.esp-world.info/Articles_24/An%20account%20of%20ESP.pdf>. Acesso em: 26 out. 2016.
CELANI, M. A. A. et al. (Org.). (1988). *The Brazilian ESP project: an evaluation*. São Paulo: CEPRIL.
______. (2005a). Introduction. In: CELANI, M. A. A. et al. (Org.). *ESP in Brazil: 25 years of evolution and reflection*. Campinas, S.P.: Mercado de Letras, p. 13-26.
______. (2005b). the ESPcialist 19/2. A retrospective view of an ESP teacher education programme. In: CELANI, M. A. A. et al. (Org.). *A abordagem instrumental no Brasil*: um projeto, seus percursos e seus desdobramentos. Campinas, S.P.: Mercado de Letras, p. 393-408.
______. (2009a). Revivendo a aventura: desafios, encontros e desencontros. In: CELANI, M. A. A. et al. (Org.). *A abordagem instrumental no Brasil*: um projeto, seus percursos e seus desdobramentos. Campinas, S.P.: Mercado de Letras, p. 17-31.
FREIRE, P. (1970). *Pedagogia do oprimido, paz e terra*. Rio de Janeiro.
_____ (1982). *Ação cultural para a liberdade*. Rio de Janeiro: Paz e Terra.
_____ (1995). *À sombra desta mangueira*. São Paulo: Olho dágua.
_____ (1997). *Professora sim, tia não: cartas a quem ousa ensinar*. São Paulo: Olho dágua.
FIGUEIREDO, F. J. Q. de. (2006). *A aprendizagem colaborativa de línguas*. Goiânia: Editora da UFG.
GROSSO, M. J. R. (2010). Língua de acolhimento, língua de integração. *Horizontes de Linguística Aplicada*, v. 9, n.2, p. 61-77.
HUTCHINSON, T.; WATERS, A. (1987). *English for Specific Purposes*: a learning-centred approach. Cambridge: Cambridge University Press.
RAMOS, R. de C. G. (2005). Instrumental no Brasil: a desconstrução de mitos e a construção do futuro. In: FREIRE, M. M.; ABRAHÃO, M. H. V.; BARCELOS, A. M. F. (Org.). *Lingüística Aplicada e Contemporaneidade*. Campinas, S.P.: Pontes Editores e ALAB, p. 109-123.
______. (2009). A história da abordagem instrumental na PUCSP. In: CELANI, M. A. A. et al. (Org.). *A abordagem instrumental no Brasil*: um projeto, seus percursos e seus desdobramentos. Campinas, S.P.: Mercado de Letras, p. 35-45.
SAO BERNARDO, M. A. (2016). *Português como língua de acolhimento*: um estudo com imigrantes e pessoas na situação de refúgio no Brasil. 206f. Tese (Doutorado em Linguística) – Centro de Educação e Ciências Humanas, Universidade Federal de São Carlos, São Carlos.
SILVA, S. de S. (2017). *Do estado plurinacional da Bolívia para o Brasil*: um estudo da situação sociolinguística de um grupo de bolivianos que vivem na região metropolitana de São Paulo. Tese (Doutorado em Letras e Linguística) – Faculdade de Letras, Universidade Federal de Goiás, Goiânia.
VYGOTSKY, L. S. (1998). *A formação social da mente*. São Paulo: Martins Fontes.
**Contact email**: email@example.com; firstname.lastname@example.org
Policing the Others: Cultural Studies of Police Work in Relation to Human Rights Politics in Hong Kong
Angus Siu-Cheong Li, Hong Kong Baptist University, Hong Kong
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
In contributing to the “reinvention of Cultural Studies” (Grossberg, 2006, p. 8), this paper makes an attempt in building up the linkage between human rights and Cultural Studies by analyzing the alleged human rights violation by police towards ethnic minorities in Hong Kong. This study focuses on the controversial Limbu Case, in which a Nepalese man named Dil Bahadur Limbu was shot dead by a police constable in Hong Kong on March 17, 2009 (court case codes: CCDI 298/2009, HCAL 85/2010, DCPI 570/2012). By conducting a court case analysis in conjunction with cultural theory and legal theory, this study employs critical race theory to decode the discourses of racialization and public order often found in racially biased cases of police abuse. Other than a combined cultural-legal analysis, this paper engages with the media representations of encounters between police officers and ethnic minorities in Hong Kong, especially the local newspaper portrayals of crime-related incidents in which South Asians are depicted to be involved in. The cultural-legal and representational analyses allow us to look into the highly-technical discourses in the legal system as well as to deconstruct representations in shaping the public discourse.
Keywords: Police, Race and ethnicity, Human rights, Hong Kong
Problematizing Human Rights and Police
Human rights, as a notion which relates to every one of us in today’s world, in many ways shields us from the exploitation of human dignity, inequality, and abuse of freedom. However, why is the discussion of human rights in relation to police significant in particular? Police, as known as the law enforcement, are the ones who act as the bridge between the criminal justice system and the people (Greene, 2010). For instance, if police arrest people arbitrarily, which suspends the arrestees’ freedom of movement, the rights of the innocent civilians will be taken away. Therefore, given that police officers are granted more power in carrying out their tasks when compared to the civilians, doubts sometimes arise to question if there is a case of police abuse of power which endangers the civilians’ enjoyment of rights.
By all accounts, criminologists, especially those with a legal and frontline police work experience background, have made attempts to outline the complexity, contradiction and blind spot in relation to the discussion of police and legality (e.g. Brown, 1927; Greene, 2010; Kleinig, 1998; McAdams, Dharmapala, & Garoupa, 2015; Skolnick, 2011). Although most of them do not address the politics between police and human rights directly, the groundwork done by these scholars provides us a spectacle to look into the setting of the tension when one makes a claim of police abuse of power which endangers the rights of civilians. While many works look into the cases of police abuse of power and the violation of due process, Skolnick (2011) makes an attempt to offer a more fundamental understanding of the relationship between police and law. He puts forward that there is a dilemma between rule of law and social order in police work. The rule of law which Skolnick (2011) refers to is, in general, the spirit of due process, impartiality, fairness and aims not to convict innocent people in the context of policing. It is contended that if police do not adhere to the principle of legality, the difficulties faced by them will be increased (Skolnick, 2011). It is because the law does not only serve as an instrument for the police to maintain the preferred public order, the law itself also does define the work of the police. As being called as “law enforcement”, police power is granted by law and the police have to act in accordance to law, which offers them the authority to impose law by arresting the people who act against the law. In other words, police serve the law and at the same time their authority is given by law (in a technical aspect). Therefore, police have to be answerable to the law and their actions are expected to be within the law. It would be illegitimate for them to enforce the law while they act beyond the law. To put it in another way, police are required to maintain the social order under the condition that they are restrained by law, and civilians being under the protection of individuals’ rights.
In the design of criminal law, one can discern the tension between the goal of social order and the constraint for law enforcement. It is in our knowledge that criminal law contains a collection of laws which aims to maintain the social order. This collection of law is known as the substantive part of the criminal law, while there is another part of the criminal law which monitors the conduct of the state agents in “processing citizens who are suspected, accused, or found guilty of crime” (Skolnick, 2011, p. 6). For that reason, the design of the criminal law suggests that the goal of social order maintenance is required to be achieved under the condition that civilians’ rights and liberties being protected (Alexander & Ferzan, 2009; Cross, 2010; Skolnick, 2011). The contradiction faced by police—to exercise their extra power and at the same time restraining themselves is inserted by the lawmakers who observed the contradictory nature of law enforcement. In our everyday life, we always say the police function to maintain “law and order” of a community, creating an impression that law and order are coherent concepts in its nature—that through policing, the two concepts
can be proliferated together. Yet, the two parts of criminal law shows us the tension between law and order, that the criminal law functions to balance the two concepts. Moreover, to achieve either one of the concepts, the other one can be ignored (Skolnick, 2011). To achieve a preferred order from the perspective of the state, the “law” (or rule of law) is not necessarily an important instrument. In another way around, the respect of rule of law or legality does not necessarily bring us social order. In some states where the law enforcement and governments showing full respect to the spirit of rule of law does not guarantee them a preferred order. In view of this, the discussion of law and order, therefore, has to be articulated to the discourse of rights—how can the order be maintained however at the same time in respect of people’s rights? In addition to this, does it mean that the goal of achieving order with the instrument of law enforcement in its nature exploiting human rights?
As a result, given that the role of the police is to enforce laws in order to preserve social order, the observed violation of human rights is constructed into a reasonable act in which it serves the convenience of the maintenance of social order. It is also because of this, when there is an alleged case of police abuse of power which assaults civilians’ human rights, there is always an obscurity in claiming there is actually a human rights assault. Rather, it is always claimed by the pro-police side that the cases of alleged human rights violation by police are merely “tough forms of policing” which are required to handle specific parties or individuals (Uildriks & van Reenen, 2001). Yet, the deterrent effect of the questionable police practices is doubtful, in which statistics and previous studies are unable to show that an increase in the number of cases of questionable police handling suspects or civilians would result in a decrease in crime rates (Bayley, 2002). Moreover, Bayley (2002) argues that the form of policing which contains seemingly human rights violations in many ways does no good to the legitimacy and the accountability of a police force, in which he points out that the root of crime has little to do with law enforcement but it is the social policy which creates social problems and as a result making people to violate the laws. In other words, no matter how hard police try, from his point of view, crimes cannot be reduced no matter how hard the law enforcement tries to make an impact via a so-called tougher law enforcement.
In the context of police, it appears that “human” rights, as rights which supposedly enjoyed by all “humans”, can compromise when it encounters the consideration of public order. It is the temporary balance, or “temporary stabilities” (Grossberg, 2010, p. 41), which leads to the case of someone who is with a darker skin like Dil Bahadur Limbu was shot dead by a police officer. In which, I believe that a mixture of cultural-legal and representational approach can help us to make a step closer to understand the very unique conjuncture.
**The Limbu Case**
The Limbu Case is chosen to demonstrate the intertwined contestation between human rights, police practice, and race and ethnicity in Hong Kong. The incident triggered a hitherto largest number of ethnic minorities to go onto the street and to protest in Hong Kong (Lai, 2017). It was an afternoon on March 17, 2009, a woman complained about a man urinating on a hillside in Ho Man Tin, opposite to the estate Lok Man Sun Chuen there. It was reported that a police constable arrived at the scene on his own shortly after the complaint was made and met the man he was looking for, which was Dil Bahadur Limbu (Lo, 2009b). Then, the police constable stopped Limbu and tried to check his identity but it was told that Limbu said he did not have an identity card and attempted to leave (Lee, 2009a; Lo, 2009b). The police officer did not let Limbu go and it was disclosed that Limbu punched the officer so that he could escape from the hillside (Lo, 2009b). After that, the police constable claimed that he tried to
use his pepper spray to subdue Limbu but he failed and the whole bottle of spray was used up (however, in the coroner’s inquest, it was found that half of the bottle of pepper spray had not been ejected), while Limbu picked up a wooden chair nearby and attempted to hit the officer (Lee, 2009b; Lo, 2009b). It was therefore reported that the policeman was forced to step back and fell on the ground when Limbu kept using the weapon to beat him (Lo, 2009b). At the same time, the baton of the police officer was dropped so the police lost his two weapons: the baton and the pepper spray. After that, the officer pulled his gun and fired two shots, the first missed and the second one got into Limbu’s head (Lo, 2009a, 2009b; Lung, 2009). The police officer and Limbu were sent to the hospital. While the police constable had his arm and back injured, Limbu died six hours after being taken to the hospital (Lo, 2009a, 2009b; Lung, 2009).
Three courts were heard regarding the Limbu Case, namely the coroner’s court (CCDI298/2009), high court (HCAL85/2010) and district court (DCP1570/2012). In this paper, the coroner’s court case, which came with a lawful killing verdict will be analyzed. The jury came up with a verdict that Limbu was lawfully killed by police constable Hui, while they dismissed the other two options: a manslaughter and an open verdict. In the coroner’s inquest, it was guided by the coroner that in arriving at a verdict of lawful killing, the jury must be sure that the police officer truly held the belief that he was facing an imminent danger and had to open fire in order to preserve his life or that of other individuals; and, the use of force must be proportionate and necessary. The concept of lawful killing can be made reference to Article 8 of Cap. 212 Offences against the Person Ordinance (OAPO), it states that there is an option as “excusable homicide”, that “No punishment shall be incurred by any person who kills another by misfortune or in his own defence, or lawfully in any other manner.” Jackson (2003, p. 560) puts it with different wording, that “in the lawful exercise of rights of self-defence or crime prevention, or as a matter or necessity, or as a lawful means of disciplining and correcting…” that a lawful killing verdict should stand. For this reason, to arrive at a verdict of lawful killing, the jury in the coroner inquest has to believe that police constable Hui truly “held the belief that he was facing an imminent danger and had to open fire in order to preserve his life or that of other individuals or that of others”, and the firing was proportionate and necessary.
**The Right to Life**
Hence, being the deceased, Limbu’s right to life was taken away by the police officer. In one of the most respected documents, the Universal Declaration of Human Rights (hereafter UDHR), the right to life is stated to be protected. Under UDHR Article 3, it defines the very basic right of the “human”. The UDHR states it in a very plain and simple way (in terms of legal writing), which it writes “Everyone has the right to life, liberty and security of person”. In addition to the UDHR, being one of the two sons of the UDHR, the International Covenant on Civil and Political Rights (hereafter ICCPR) Article 6\textsuperscript{ii} further elaborates the spirit stated in the UDHR Article 3.
On a local level, the right to life is protected by local laws. The constitution of Hong Kong, the Hong Kong Basic Law Article 28\textsuperscript{iii} and the Hong Kong Bill of Rights Ordinance Article 2\textsuperscript{iv} cover the right to life of the Hong Kong residents. Since the right to life is granted, the Limbu case led to a coroner’s inquest in order to look into whether the death of Limbu was an “arbitrary deprivation” of life.
Hong Kong Basic Law Article 28:
The freedom of the person of Hong Kong residents shall be inviolable.
No Hong Kong resident shall be subjected to arbitrary or unlawful arrest, detention or imprisonment. Arbitrary or unlawful search of the body of any resident or deprivation or restriction of the freedom of the person shall be prohibited. Torture of any resident or arbitrary or unlawful deprivation of the life of any resident shall be prohibited.
Yet, by looking closer to the legal writing of these articles which aim to safeguard the right to life, it is found that the right to life is put in black and white in a “negative” way. Rights can be categorized into positive rights and negative rights. While positive rights require the states to take measures actively to grant its citizens’ rights, negative rights do not require the states to do anything actively to guarantee its citizens’ negative rights (David, 2014; Piper, 2006). The right to life as a negative right, which means that the state does not have to do anything actively to safeguard that of the citizens. Also, the wording “no one”, instead of drafting “everyone” in the article imposes a condition and a state of exception for the right to life. To put it in another way, the right to life of the citizens cannot be taken away “arbitrarily” as referred to the articles but rather, it can be taken away in a non-arbitrary and well-reasoned way in the judiciary.
As a consequence, the right to life is not a definite right, that it is granted in any situation. Corresponding to this, there is such a category of lawful killing, which is the verdict arrived by the jury in the coroner inquest of the Limbu Case. A killing to be categorized as a lawful killing when it is “in the lawful exercise of rights of self-defense or crime prevention, or as a matter of necessity, or as a lawful means of disciplining and correcting” (Jackson, 2003, p. 560). The act described as a lawful killing, therefore, is done for the purpose of self-defense or crime prevention, which aims to discipline and correct, and the act of lawful killing is seen as a right here, to be exercised by someone. To take someone’s life under the definition of lawful killing is not merely an act but it is actually an exercise of rights.
**The Court**
In assessing the Limbu Case, the coroner guided the jury to arrive at one of the three verdicts, namely a lawful killing, a manslaughter and an open verdict. The jury thus had to carry out an exercise of necessity test and proportionality test, in which to look into whether the use of force by police constable Hui was necessary and proportionate during he confronted Limbu.
However, it is found that the way the coroner guided the jury was differently from other killing cases. Below is quoted from the summing up of the inquest:
“Therefore, you must bear in mind that you have to judge police constable Hui’s action based on what he believed the danger was. You also have to remember that you cannot expect a person to precisely measure the level of force to be applied when he is situated in an intense moment when he needs to protect himself. If the attack faced by him is more serious, his position would be more hard-pressed. If you determine that the person being attacked believes or might truly believe that he has to protect himself, and his act does not exceed what he truly and instinctively believes what he has to do, then these would be a very strong evidence—in showing that his use of
force is reasonable in terms of proportionality.” (Summing up of CCDI298/2009, p.5, emphasis added) (translated by the author)
In this quoted passage, the coroner required the jury to imagine the death of Limbu from the perspective of the police constable. Unlike other killing cases, it is discerned that the coroner put an emphasis on the notion of danger, which he assumed that the situation faced by the police constable was a dangerous one. Therefore, the coroner asked the jury to bear in mind that it was an extreme situation and that when a person is in such a situation, an inaccurate measurement of the level of force can be excused, as he put “you cannot expect a person precisely measure the level of force to be applied when he is situated in an intense moment when he needs to protect himself”. That is, the situation is unimaginable for everyone except for the police constable himself. If the coroner guided the jury in such a logic, what was the reference point for the jury to judge whether the police constable’s decision of shooting and the death of the deceased were in all a case of lawful killing? How is one expected to imagine the situation of another person, while one is told that the imagined situation is, in fact, unimaginable because it is an extremely dangerous situation, which means to imagine the unimaginable? It is for this reason, that the jury at the end decided not to dismiss the possibility that the firing was proportionate and necessary, and in other words, the death of Limbu was a “proportionate and necessary death”.
The logic of hyper dangerous work environment of police officers legitimates a decision of shooting as if a shooting is proportionate and necessary. James Fyfe’s (2015) notion of “split-second syndrome” offers us a critical understanding of the logic of arriving a judgment that “the decision of opening fire by police officers is reasonable”. The split-second syndrome reveals the commonly asserted nature of police versus civilians confrontations, namely “urgent, involuntary and public relationship between police officers and clients”, and these altogether create a high potential for violence (Fyfe, 2015, p. 525). In particular, police officers are usually situated in an urgent setting and are exposed to potential dangers, in which the police officers are involuntary in the sense that they are being called to the scene and they have no choice at all. Moreover, the public relationship between police officers and civilians always creates an antagonistic atmosphere for the confrontation, which leads to a high possibility of using violence. These factors in contributing to a nature of police work are contended to explain the use of violence by police officers.
However, looking into the reasoning of police shooting cases, the split-second syndrome uncovers the assumptions being held behind supporting the decision of police shooting. According to Fyfe (2015), there are mainly three assumptions held in such a legitimizing process:
1. Every case is a unique case and as a result, there are no comparable situations.
2. Due to the stresses and emergence, one should expect a high chance of inappropriate decisions
3. So long as a citizen has, no matter intentionally or otherwise provoked a police officer at the instant, he, rather than the police officer should be viewed as the cause of any injuries or damages”
The logic debunked by the split-second syndrome offers us an understanding of the Limbu Shooting Case. The meaning-making process of understanding shooting case is that the uniqueness of the situation has to be stressed and only police constable Hui should be held accountable for the decision of firing. Therefore, police officers in this sense are posited to a
vulnerable position in their everyday work, yet they are granted more power, which includes the use of deadly force, and are expected to protect the civilians. Since the state agents help us maintaining the public order, we are asked to understand the challenges faced by police officers, in which they risk their safety to protect us from dangers by throwing themselves into dangers. In terms of rights, the police officer’s right to life is contested with the right to life of the deceased. And since the police officer has a feeling of being in danger, he can take someone’s life, in which he did not intend to take someone’s life but the deadly force used by him had the possibility of taking one’s life for the “exercise of rights of self-defence or crime prevention, or as a matter or necessity” as accordance to the Article 8 of the Cap. 212 OAPO and Jackson (2003). All in all, the decision of shooting, given the assumption that police officers are always in extreme situations and the uniqueness of situations, the decision of shooting is thus an incontestable decision in this logic.
In the discussion of human rights, one cannot ignore the very notion of “human” in human rights. The famous notion of “the right to have rights” by Hannah Arendt (1986) reminds us of the making of the “natural man”, who is being stripped of all other legal entitlements. Mr. Limbu, a born and raised ethnic Nepalese Hong Konger, however, with an unknown kind of status, where the right to life, the most fundamental right to enjoy any other right was being taken away.
**Media Representations**
In addition to doing a cultural-legal analysis, the media representations are also resources which provide us a part of the picture that how the conjuncture is formulated, to understand cases like the Limbu Case that a darker skinned person got killed by police take place in Hong Kong. In the portrayals of the Limbu Case, it is found that there are racialized depictions circulated in the mainstream media in Hong Kong. By putting forward racialization, it refers to assigning racial meanings to situations which race does not act as a basis or a determining condition of the event, or the process of appropriating fixed meanings to a specific race (Downing & Husband, 2005; Omi & Winant, 2015). For instance, there is a newspaper article published on the next day of Limbu’s death, titled “The ‘Curry Clan’ Shows No Concern to Pepper Spray” (in Chinese 食咖喱一族當胡椒噴霧有到). By drawing an association between the visible skin color of Limbu and curry, the newspaper article constructs the incident as a racial event. The article interviewed a police superintendent, who asserted that there are three types of people being immune to pepper spray, namely people with mental illness, drunk people and people who love eating spicy food (“The ‘Curry Clan’ Shows No Concern to Pepper Spray,” 2009). Besides, the article interviewed a general practitioner who puts forward that South Asians’ biological features resist the functions of pepper spray. These depictions take advantage of Limbu’s race so as to construct a biological explanation for the escalation of force in the confrontation. This is exactly how racism was made into a mainstream discourse in the present days—through scientific knowledge, which in itself is a race project and creates a racial hierarchy.
Other than referring to the biological explanation, another newspaper article tries to correlate skin color and the public safety of the territory. An article titled “‘Human Snake Bombs’ Destroy the Public Safety of Hong Kong” (in Chinese 人蛇「炸彈」損港治安) can well demonstrate that. The article makes claims on the refugee issue in Hong Kong. The logic is to see all darker skinned people as refugees and jobless people, and therefore the burden of the city. The article does not look into the shooting case itself but to quickly identify Limbu as a refugee in the city and to put forward the concern of the presence of “refugees” in the
territory, which may the public order of Hong Kong at risk (Chiu, 2009). These discourses altogether try to legitimize the decision of shooting via racializing Limbu by drawing the audience’s negative imaginations of the South Asians in Hong Kong to a seemingly close danger in the audiences’ everyday life. These discourses create an othering effect against the South Asians like Limbu in Hong Kong. In media representations, the case is made into a racial case, which all sorts of racialization happening in the circulation of meanings, while whether race was a determining factor was never raised in the court. It displays us with a disconnection in the circulation of meanings between the legal sphere and the media sphere. It can be a deracialized event somewhere and while it can also be a racialized event somewhere else.
Therefore, the Limbu case, in my mind, can demonstrate how an anti-essentialist approach would fall into the trap of misreading the problem by defining a case as a racial case whenever this is an ethnic minority involved. Rather, it might be the temporary balance of law and order, plus the media construction altogether be the temporary stabilities, which make it understandable that what form of policing is it in Hong Kong which leads to similar cases that a darker skinned person got killed by police.
**Conclusion**
A great deal of energy has been invested in analyzing the fact of police violation of human rights. These efforts, of course, are valuable in providing us the picture of the landscape of policing in different places. However, I believe that we have to first understand the fundamental relationship between police and human rights (or “law and order”). Through looking into the Limbu Case from the perspective of Cultural Studies, one should refuse to fall into the anti-essentialist position automatically (for instance, seeing race as the problem whenever there is a racial minority involved). Rather, we should seek the “anti-anti-essentialist” position, to craft and update the context, which in other words, to study the conjuncture (Grossberg, 2010, p. 22). And in this paper, it is my hope that through offering an analysis with the tool of rights imagination, it can help us to make a step closer to understand what kind of policing in Hong Kong that leads to incidents like the killing of a darker skinned person Limbu, which at the end being regarded as a lawful killing. However, this, of course, requires a multidimensional methodological inquiry, which is yet to be done.
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i Police abuse of power is not a phenomenon confined to only a particular region. And similar to how police rationalize their “tough policing strategies” in other parts of the world, police officers in Hong Kong find the notion of human rights as an obstacle in their day-to-day duties. Allan Jiao (2007) in his work “The Police in Hong Kong” provides an overview of different aspects of the police force in Hong Kong. In the chapter “Rights and Obligations”, it looks into the enactment of the Hong Kong Bill of Rights, and its impacts on policing in Hong Kong. In order to have an empirical aspect of the influence of the Hong Kong Bill of Rights on police work, Jiao (2007) interviewed some police officers. One of the officers says:
“Who need human rights? Criminals do. Do you need human rights? No, because you don’t violate the law. Police deal with criminals, offenders… Citizens have rights and ask for explanations now. If arrest procedure is not right, offenders cannot be prosecuted.” (p. 112)
The excerpt shows us an antagonistic attitude held by the officer towards people’s right to claim rights. The claim of human rights is treated as an excuse of criminal activities and can be a way to escape from the punishment of the criminal justice system. Furthermore, the claim of rights also adds burdens on law enforcement that once an officer fails to follow due process, the suspect can be free from trials. It poses a worry that the spirit of legality might outweighs the goal of maintenance of social order which results in threatening the public safety.
i ICCPR Article 6:
1. Every human being has the inherent right to life. This right shall be protected by law. No one shall be arbitrarily deprived of his life.
2. In countries which have not abolished the death penalty, sentence of death may be imposed only for the most serious crimes in accordance with the law in force at the time of the commission of the crime and not contrary to the provisions of the present Covenant and to the Convention on the Prevention and Punishment of the Crime of Genocide. This penalty can only be carried out pursuant to a final judgement rendered by a competent court.
3. When deprivation of life constitutes the crime of genocide, it is understood that nothing in this article shall authorize any State Party to the present Covenant to derogate in any way from any obligation assumed under the provisions of the Convention on the Prevention and Punishment of the Crime of Genocide.
4. Anyone sentenced to death shall have the right to seek pardon or commutation of the sentence. Amnesty, pardon or commutation of the sentence of death may be granted in all cases.
5. Sentence of death shall not be imposed for crimes committed by persons below eighteen years of age and shall not be carried out on pregnant women.
6. Nothing in this article shall be invoked to delay or to prevent the abolition of capital punishment by any State Party to the present Covenant.
ii Hong Kong Basic Law Article 28:
The freedom of the person of Hong Kong residents shall be inviolable.
No Hong Kong resident shall be subjected to arbitrary or unlawful arrest, detention or imprisonment. Arbitrary or unlawful search of the body of any resident or deprivation or restriction of the freedom of the person shall be prohibited. Torture of any resident or arbitrary or unlawful deprivation of the life of any resident shall be prohibited.
iii Hong Kong Bill of Rights Ordinance Article 2:
Right to life
1. Every human being has the inherent right to life. This right shall be protected by law. No one shall be arbitrarily deprived of his life.
2. Sentence of death may be imposed only for the most serious crimes in accordance with the law in force at the time of the commission of the crime and not contrary to the provisions of this Bill of Rights and to the Convention on the Prevention and Punishment of the Crime of Genocide. This penalty can only be carried out pursuant to a final judgment rendered by a competent court.
3. When deprivation of life constitutes the crime of genocide, nothing in this article shall authorize the derogation in any way from any obligation assumed under the provisions of the Convention on the Prevention and Punishment of the Crime of Genocide.
4. Anyone sentenced to death shall have the right to seek pardon or commutation of the sentence. Amnesty, pardon or commutation of the sentence of death may be granted in all cases.
5. Sentence of death shall not be imposed for crimes committed by persons below 18 years of age and shall not be carried out on pregnant women.
6. Nothing in this article shall be invoked to delay or to prevent the abolition of capital punishment in Hong Kong.
[cf. ICCPR Art. 6]
Original text in Chinese: 「所以你哋要謹記，你哋必須憑許警員真心相信佢有乜嘢危險，你判斷咁嘅行動。你哋亦要謹記唔可以期望一個人嘅保護自己嘅激動時刻當中，仲可以精確咁樣衡量需要幾多武力才足以自衛，如果佢受到嘅襲擊係愈嚴重嘅，佢嘅處境就會變得愈愈窘迫，如果你哋判斷受襲嘅人相信或者可能真心相信佢係必須保護自己嘅，而佢所做嘅亦唔超出佢真心和本能被認為係佢須要做嘅嘅，咁樣呢啲就係一個非常有力嘅證據，嘢顯示佢所用嘅武力嘅程度上係合理嘅。」
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How Foreign Muslim Students Changed Their Attitude toward Japanese Academic Environment after a Culture Assimilator
Yu Sengoku, Shinshu University, Japan
Yumiko Ito, Pusat Bahasa Teikyo, Malaysia
Minami Matsumoto, University of Kuala Lumpur, Malaysia
Masahiro Watari, University of Kuala Lumpur, Malaysia and Shibaura Institute of Technology, Japan
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
The number of Muslim students from abroad is increasing after Japanese Government’s plan launched in 2008 to accept around 300,000 international students in Japan. In this research, we aim to create “a culture assimilator”, a kind of cross-cultural training consisting of questions, answers and commentaries, which is instructive for helping their religious practice and supporting their study in Japan. We conducted our culture assimilator for Malaysian Muslim students who had already started their study in Japan. We report the results of the analysis based on the survey. According to their answers, at most 30% students did not know coping strategies in critical incidents suggested in our culture assimilator. This meant our culture assimilator was instructive enough to support them. We also found from their comments they did not compromise their study for their religious practice, on the contrary, coped with difficulties flexibly within the limits of their faith. Though they got high marks in our culture assimilator as a whole, they selected wrong answers concerning “obligation” to some questions. To investigate how our culture assimilator influenced their attitude toward Japanese academic environment, we executed the same questionnaires before and after conducting our culture assimilator. By comparing their responses, we found a new response category “About Religion” in the latter answers, which included negative remarks about Japanese people’s attitude toward religion. They also learned to prefer easy communication like greetings to get along with Japanese people, and the ratio of “Apology” decreased dramatically in a category “Self-help” after our culture assimilator.
Keywords: Islam, foreign Muslim students, culture assimilator, coping strategies, difficulties, religious practice, flexibility, obligation, easy communication, apology
Introduction
Because of the Japanese Government policy called "300,000 International Student Program", the number of international students studying in Japan has been increasing, and their countries of origin and culture background are diversifying. In particular, the number of international students from Islamic countries has continued to increase from 2013, and it exceeded 13,000 in 2017.
(https://www.jasso.go.jp/about/statistics/intl_student_e/index/html)
Nakano, Okunishi and Tanaka (2015, pp. 137-151) pointed out that some Muslim international students felt difficulties in their social lives in Japan when they tried to adjust themselves to Japanese lifestyle and culture. In the adjustment, though there is a report (Tanaka and Straum, 2013, pp. 1-9) which shows Muslim international students can respond flexibly without pushing religious needs forcibly, another research (http://www.jaise.org/njdl.cgi?file=2016%92S%93%96%95%AA%89%C8%89%EF%95%F1%8D%90%8F%91.pdf) reports the ability of their assimilation and cooperation toward host societies has decreased than before.
Using critical incidents, which are cases caused by cultural differences, we developed and improved an intercultural training material "culture assimilator" (Fiedler et al., 1971, pp. 95-102) for Malaysian Muslim students. Today Malaysia is the second largest international student supplier for Japan in Islamic countries. In culture assimilator, critical incidents between different cultures are presented as episodes and appropriate interpretation for critical incidents are chosen from the prepared choices by answerers. The cause of misunderstanding and friction are examined by reading commentaries, and that deepens the understanding of both of the target culture and the self-culture. We let Malaysian Muslim students answer our culture assimilator and hope they make good use of our culture assimilator for helping their religious practice and supporting their study in Japan.
We are aware of one previous study by Nakano and Tanaka (2015, pp. 83-92), in which the authors developed a culture assimilator for Japanese students who accepted Muslim international students. Though the target of training “accepting and accepted” is opposite, the essential aim of their study and ours are the same. That is mature understanding and assimilation of Japanese university students and Muslim international students. Our culture assimilator seems to be the first study that helps Muslim international students studying in Japan.
Our research consists of five segments, the first phase is in which the prototype of our culture assimilator was made, the second phase is the implementation of the prototype of our culture assimilator, the third phase is in which our modified culture assimilator was made, the fourth phase is the implementation of our modified culture assimilator and the fifth phase is the evaluation of the investigation. In the present paper, only the last three phases are reported.
Method of Our Culture Assimilator
We had already conducted the prototype of our culture assimilator, e.g. trial culture assimilator, for Malaysian Muslim students in our previous work.
(http://www.jaise.org/njdl.cgi?file=2016%92S%93%96%95%AA%89%C8%89%EF%95%F1%8D%90%8F%91.pdf). After the execution of the trial culture assimilator, 4 subjects were added as new critical incidents to our modified culture assimilator, e.g. “Taking a Bath”, “Terrorism”, “Liquor” and “Assemble”, based on the evaluation and recommendation of Malaysian Muslim lecturers who had studied in Japan as international students. In addition, contexts of wrong choices were diversified in order to let Muslim students can choose the best answer among multiple choices from educational point of view. Similar choices in contexts are puzzling and not similar choices in contexts will show distinct differences in choices for answerers. The contexts of wrong choices were divided into 4 categories, and wrong choices were placed not to be overlapped to each other in terms of contexts if possible. Each category is shown at Table 1 below.
Table 1: 4 categories of wrong choices
| Causal attribution toward mere personality |
|------------------------------------------|
| Causal attribution toward discrepancy between the actual religious practice and the knowledge on Japanese people, the culture of Japan or the culture of universities in Japan |
| Causal attribution toward discrepancy between the actual religious practice and the misjudging by Muslim international students on a situation |
| Causal attribution toward discrepancy between the actual religious practice and the Japanese ignorance of Islam which is understood mistakenly by Muslim international students |
Albert (1983, pp. 186 - 217) pointed out that culture assimilator could cause misunderstanding because it described questions and commentaries only by words. Misumi (1997, pp. 75-95) thus generated her culture assimilator using videos for those who were not able to read Japanese well and to understand the situation of the questions clearly at words at a first glance. Answerers of the culture assimilator were shown episodes by videos. Misumi also intended to show the cause and the motivation of misunderstanding by videos in commentaries. Taken the above as reference, one piece of illustration was added to each question as well as to each commentary for better visualization of the scene condition in our modified culture assimilator. The illustrations were made in order not to induce answerers to the correct or wrong answers intentionally for fair experiment.
We reviewed all the expressions of questions and commentaries which were succeeded in our modified culture assimilator after the execution of our trial culture assimilator. We added more commentaries so that Muslim students can obtain as many coping strategies as they can for their religious practice and study in Japan.
In order to prevent generating stereotypes of new prejudice by answering assimilator, we did not limit only one absolute correct answer, but only showed one possibly correct answer and referred to other possible answers. However, we designated only one answer per each question to generate the model of thinking from the most probable correct answer.
In addition, two newly added Japanese language teachers supervised Japanese expressions for answerers’ better understanding in our modified culture assimilator. Furthermore, in the process of making our modified culture assimilator, the level of Japanese grammar was restricted to below JLPT (Japanese-Language Proficiency
Test) N1 and N2 (N1 is the most difficult level and N5 is the easiest) and vocabularies with N3 level or below were used. Unknown vocabularies for students were attached with English translations.
Table 2 shows the subjects of each critical incident from Q1 to Q15, including the newly added Q12 to Q15 in our modified culture assimilator. The subjects from Q1 to Q11 remained the same as our trial culture assimilator. Each question was classified into either category A or B, those were "The occurrence of cultural friction due to the disharmony between Islamic religious practice and culture of Japanese and of universities in Japan" (Category A) and "The occurrence of cultural friction due to the Japanese ignorance of Islam" (Category B).
Table 2: Subjects of each critical incident from Q1 to 15 in our modified culture assimilators
| Category A | Category B |
|-------------------------------------------------|-------------------------------------------------|
| Q1: Difference between Islamic-style toilet and Japanese-style toilet | Q7: Misunderstanding of fasting in Islam by Japanese |
| Q2: Correct method to clean oneself before praying | Q8: Celebrating the end of Ramadan (fasting month) ceremony |
| Q3: Time to pray and classes | Q9: Prohibition of body contact with unmarried women to men |
| Q4: When a seminar is set on Friday afternoon | Q10: Prohibited food consumed by Muslims |
| Q5: Opportunity to go on a pilgrimage in class days | Q11: Uploading casual dressing images of women through SNS apps |
| Q6: Attitude of Japanese university students toward religion conflict | Q12: Being naked in onsen (hot springs) |
| Q15: Relationship between Muslim assembly and local communities | Q13: Being called as a terrorist |
| | Q14: Unwilling to approach liquor |
Besides our modified culture assimilator, the same free-comment questionnaires were conducted before and after our modified culture assimilator to compare how impressions and attitudes of Muslim international students toward Japanese university staffs and Japanese students changed by the execution of our modified culture assimilator.
We asked Malaysian Muslim international students in Japan to answer our modified culture assimilator. Students categorised in Batch A spent more than 1.5 years in Japan and students in Batch B more than 0.5 years. A total of 54 answers were received and analysed.
First, we explained the purpose of our modified culture assimilator to Malaysian Muslim international students and asked them cooperation of answering it through the email. They were invited to a website (composed in Google Form) according to URL attached to the email. The purpose of the research was explained in the website again. Then the free-comment questionnaires were performed there to survey the impressions and attitudes for Japanese university staffs and Japanese students. Execution of our modified culture assimilator was similar to the execution of the previous questionnaires survey. On the website the purpose of our modified culture
assimilator and how to answer it were explained, and then total of 15 questions were shown. A piece of illustration was added below each question to visualize the situation of the scene. A piece of illustration was also added to the page of answers and commentaries appeared in the next page of questions. In the end of each commentary, the answerers were asked to select “yes” or “no” to confirm whether they completely knew or did not know the coping strategies indicated in commentaries. Furthermore, they were asked to answer optional free comments. The interface of website of our modified culture assimilator is shown in Figure 1. After the execution of our modified culture assimulators, the free-comment questionnaires were performed once again.
Figure 1: Interface of our modified culture assimilator
Result and Analysis
Table 3 shows the correct answer rate for each question and the rate of whether there were any coping strategies not known to each commentary in our modified culture assimilator.
Table 3: Result of our modified culture assimilator
| Q | Batch | Choice 1 | Choice 2 | Choice 3 | Choice 4 | any coping strategies not known | no coping strategies not known |
|-----|-------|----------|----------|----------|----------|---------------------------------|-------------------------------|
| Q1 | A | 0% | 0% | **96%** | 4% | 4% | 96% |
| | B | 3% | 0% | **97%** | 0% | 10% | 90% |
| Q2 | A | **96%** | 0% | 0% | 4% | 17% | 83% |
| | B | **100%** | 0% | 0% | 0% | 3% | 97% |
| Q3 | A | 0% | 0% | 0% | **100%** | 13% | 88% |
| | B | 0% | 0% | 0% | **100%** | 7% | 90% |
| Q4 | A | 4% | **75%** | 8% | 13% | 8% | 92% |
| | B | 3% | **93%** | 0% | 3% | 13% | 83% |
| Q5 | A | 0% | 0% | **96%** | 4% | 13% | 88% |
| | B | 0% | 0% | **100%** | 0% | 0% | 97% |
| Q6 | A | 4% | **75%** | 4% | 13% | 29% | 67% |
| | B | 0% | **90%** | 3% | 7% | 13% | 80% |
| Q7 | A | 0% | 4% | **88%** | 8% | 8% | 92% |
| | B | 0% | 0% | **97%** | 3% | 13% | 83% |
| Q8 | A | 13% | **83%** | 4% | 0% | 8% | 92% |
| | B | 3% | **93%** | 0% | 0% | 0% | 97% |
| Q9 | A | **54%** | 0% | 0% | 46% | 25% | 75% |
| | B | **57%** | 0% | 0% | 43% | 17% | 80% |
| Q10 | A | 21% | **63%** | 0% | 17% | 13% | 88% |
| | B | 13% | **60%** | 0% | 27% | 17% | 80% |
| Q11 | A | 4% | 13% | **79%** | 0% | 8% | 83% |
| | B | 3% | 17% | **80%** | 0% | 10% | 87% |
| Q12 | A | 21% | **67%** | 8% | 0% | 13% | 83% |
| | B | 3% | **97%** | 0% | 0% | 10% | 87% |
| Q13 | A | 4% | 0% | **96%** | 0% | 13% | 83% |
| | B | 3% | 0% | **93%** | 0% | 20% | 70% |
| Q14 | A | **46%** | 8% | 29% | 17% | 29% | 71% |
| | B | **60%** | 7% | 23% | 7% | 30% | 63% |
| Q15 | A | 0% | 0% | 0% | **96%** | 17% | 83% |
| | B | 0% | 0% | 0% | **97%** | 17% | 77% |
According to the results, the students got more than 80% correct answer rate in average for each batch except for Q9, 10 and 14. Therefore, it is likely that many of them understood appropriately the situations where critical incidents occurred and they can behave well in such situations as a whole. However, the correct answer rate for Q9 was not high. Wrong answers concentrated in Choice 4, “Because handshake is a normal way of greeting people in Japan.”, as is the case in our trial culture assimilator. For Q10, both batches were not able to come to 80% in the correct answer rate, which was the same as in our trial culture assimilator. Wrong answers concentrated in Choice 4, “You have to receive presents in Japan.”. For Q14, newly added to our modified culture assimilator, wrong answers concentrated in Choice 3, “You have to attend the party if you are invited.” These three questions shared similarity with inducing answerers to wrong choices where they emphasized Japanese norm by mistake, in the way of expressing “You have to … in Japan” and “… normal
... in Japan”. Even for Q11, wrong answers concentrated in Choice 2, “It is normal for Japanese to upload photos taken in any party on SNS.”, where Japanese norm was emphasized mistakenly. This tendency was also seen in our trial culture assimilator. It is worth noting that answerers were induced to such wrong choices. The students, who did not spend long days in Japan, may pay so much attention to Japanese norm that they believed they had to adjust themselves excessively to the Japanese norm. For Q6, however the correct answer rate was only 60% or below for each batch in our trial culture assimilator, it was much better in our modified culture assimilator. It is likely that the students understood the critical incident in Q6 after they experienced such situation as “Students in Japanese universities are not willing to talk about ethnic problems, politics or religious”, or they learned such information without experiencing in Japan. It can be said that their experiences improved the correct answer rate.
In each commentary, some coping strategies were not known to answerers. The percentages of their existence ranged from 8% to 30%. This means there is a possibility that any commentary in our modified culture assimilator was instructive enough to support answerers. The rate, however, differed among each commentary, we should thus consider deleting questions and commentaries which had low rate for whether there were any coping strategies not known, and enriching commentaries which had high rate.
Looking at free-comment descriptions for each question, some students had already practiced the methods we proposed in our modified culture assimilator, e.g. Q1 commentary: Let’s use water in a plastic bottle if you want to wash your body in toilet., we thus confirmed they improved the way of using toilet and wudu (performing ritual cleaning before prayers) in Japanese universities environment. Our modified culture assimilator is probably a measure where they are able to confirm their own practice. For Q3 and 5, when it was difficult for them to balance their religious practice with their classes in Japanese universities, they did not comprise their study for their religious practice, on the contrary, coped with difficulties within the limits of faith, e.g. “Islam does not force us to follow the religious practice” and “Islam encourages us to study”. Q3 and 5 showed much higher correct answer rate than others, almost all Malaysian Muslim students in Japan may thus be able to resolve such unbalance in themselves cleverly. In addition, they were able to cope flexibly with difficulties when they faced conflicts between their religious practice and their study in Japanese universities, e.g. “If I trouble professors and my colleagues in going back to my country for Ramadan holidays, then I shall not go back to my country.” and “If I am given non-haral foods, then I receive them firstly and think about the event later”.
As a whole, the students never described it was difficult for them to select correct answers in our modified culture assimilator, which may suggest that diversification of context in wrong choices should be effective. The description “Japanese in commentaries is difficult” or “Japanese in commentaries is hard to understand” vanished completely from optional free comments in our trial culture assimilator and the description “Questions are easy to understand” emerged in our modified culture assimilator, which may also suggest that visualization by illustrations and reexamining Japanese should be effective to some extent for the students.
Analysis of Free-Comment Questionnaires before and after Our Modified Culture Assimilator
In this section, we analyze answers of both of the free-comment questionnaires before and after our modified culture assimilator. In order to investigate the change of Malaysian Muslim international students’ impressions and attitudes toward staffs and students in Japanese universities, we performed the same questionnaires for them before and after our modified culture assimilator. By comparing both answers of the questionnaires, we intended to confirm the change before and after the execution of our modified culture assimilator. We made our questionnaires in reference to those in Nakano and Tanaka (2015, pp. 83-92). We replaced the word “Muslim” in questionnaires of Nakano and Tanaka (2015, pp. 83-92) by “Japanese” in our questionnaires because they developed a culture assimilator for Japanese students who accepted Muslim international students and we wanted to develop a culture assimilator for Muslim international students who studied in Japan.
Using KJ method (Kawakita, 1967), we classified the answers of the questionnaires by some categories. If an answer included multiple descriptions to be classified into different categories, then we divided the descriptions into proper pieces and classified them into proper categories. For example, an answer “The Japanese are very serious, but they are also shy” was decomposed into a category “Positive” (former part of the answer) and another one “Negative” (latter part of the answer). Table 4 below shows the questionnaires, the categories of answers and the ratio to each category.
Table 4: Questionnaires, categories of answers and ratio to each category
| Q1: What do you think about Japanese people? |
|---------------------------------------------|
| Categories of answers before our modified culture assimilator | Categories of answers after our modified culture assimilator |
| Positive : 51%, Negative : 44%, Neutral : 5% | Positive : 38%, Negative : 33%, About religion : 13%, Neutral : 11%, Other : 5% |
| Q2: What is the best way to make a good relation with Japanese teachers and students in Japanese universities? |
|------------------------------------------------------------------------------------------------------------------|
| Categories of answers before our modified culture assimilator | Categories of answers after our modified culture assimilator |
| Approach from myself : 84%, To act together : 6%, Taking action before the problem occurs : 6%, Other : 4% | Approach from myself : 71%, To act together : 15%, Taking action before the problem occurs : 6%, Other : 9% |
| Q3: What is the most important approach for troubles with Japanese teachers or students at Japanese universities? |
|------------------------------------------------------------------------------------------------------------------|
| Categories of answers before our modified culture assimilator | Categories of answers after our modified culture assimilator |
| Consultation for solution : 69%, Self-help effort : 25%, Other : 6% | Consultation for solution : 56%, Self-help effort : 33%, Other : 11% |
In Q1, a new category "About religion" appeared after our modified culture assimilator. Answers classified into the category were all negative remarks, e.g. “Japanese people are ignorant of Islam”. This is probably because Muslim students have clearly recognized Japanese’s ignorance of Islam through our modified culture
assimilator. It can be said that our modified culture assimilator played a role of letting them be conscious of the religious side of Japanese. On the other hand, they also believed that if they explained Islamic customs correctly, then Japanese people would understand them well.
In Q2, the proportion of simple communication answers such as "Speak", "Greeting" and "Showing Smile", which was categorized in the category "Approach from myself", was increased from 49% to 71% in the category “Approach from myself” after implementing our modified culture assimilator. This result probably shows Muslim international students started to consider simple communications were more effective for Japanese faculty, staffs and students to get along well after the execution of our modified culture assimilator.
In Q3, the most frequent answers in the category "Self-help efforts" before our modified culture assimilator were "apologize". After our modified culture assimilator, however, the answers were decreased to less than half of the same category "Self-help effort" though the proportion of "Self-help effort" increased from 25% to 33% slightly. Regarding this point, each explanation in our modified culture assimilator recommended "explain and talk" rather than "apologize" as a way to cope with trouble. It seems that the students were influenced by this fact. The same tendency was also seen in Q1 remarks.
**Questionnaires for Japanese Lecturers**
In the studies by Nakano, Okunishi and Tanaka (2015, pp. 137-151) and Nakano and Tanaka (2015, pp. 83-92), they summarized the results of their culture assimilator conducted for Japanese university students who had intercultural contact with Muslim international students. Their culture assimilator was generated from the past studies based on interviews with Muslim international students in Japan. In short, the Muslim students were informants. They gathered informants’ difficult experiences and confusion faced in their daily lives so that the collected evidences were illustrative of the contents validity in their culture assimilator. Following their studies, we conducted free-comment questionnaires for Japanese lecturers who involved in education for Malaysian Muslim students both in Japan and Malaysia in order to get to know how they thought about difficult experiences and confusion caused by Muslim students. Using the results as a base, we examined the contents validity in our modified culture assimilator. Table 5 shows the details of questionnaires.
| Q1 | Have you ever had any feeling of surprise, stress, discomfort, strangeness or difficulties with Islamic culture and behavior of Muslim students? |
|----|----------------------------------------------------------------------------------------------------------------------------------|
| Q2 | Have you ever faced any interpersonal difficulty with Muslim students? If you have, how did you cope with it? |
| Q3 | Are you making any efforts to repress yourself against any difficulty with Muslim students or trying to adjust yourself to them? |
| Q4 | Considering all the facts, are you satisfied with your relationship with Muslim students? |
We obtained responses from 7 Japanese lecturers. Some of their responses showed similarity to some critical incidents in our modified culture assimilator as follows. For
Q1, “Mecca pilgrimage takes priority over school duty among Malaysian Muslim lecturers.” and “Toilet is wet all the time.” For Q3, “We avoid shaking hands with Muslim women.”, “We avoid religious topics including mentioning Islam itself and comparing Islam with other religions” and “We avoid topics of foods and drinks during the fasting period.” These references were also seen as critical incidents in our modified culture assimilator, we can thus say that our modified culture assimilator contains Japanese lecturers’ realistic difficulties and confusion in Malaysian Muslim environment. In this respect, it seems that our modified culture assimilator shows a valid approach to select critical incidents.
On the other hand, some responses included references which were not seen in critical incidents in our modified culture assimilator. For Q1, it was remarkable that lecturers were surprised at simple Muslim customs and traditions, e.g. “Muslim students are all very devout,” and “They have a custom of eating with hands.” For Q2, a lecturer introduced his shocking story, “A student excused himself from his cheating because of his God’s instruction.” For Q3, there was a lecturer who believed it was natural that we should adjust to other customs on intercultural communication. For Q4, “I set a boundary naturally between Malaysian Muslim students and us Japanese because there are great differences in customs.” and “I feel thankful to Muslim students because they know very well about Japan and they do not take the taboo serious when I speak of it.” These actual experiences and opinions received from Japanese lecturers can be the grounds for new modified culture assimilator and further discussion. We consider incorporating more appropriate critical incidents, questions and choices from the references.
**Conclusion**
In this research, we developed and improved our culture assimilator for Malaysian Muslim international students who studied at Japanese universities. We can say that the modification of our culture assimilator ensured the validity of the contents according to the results of our modified culture assimilator and of the questionnaires for Japanese lecturers. Free-comment questionnaires before and after our modified culture assimilator also revealed psychological changes in the students and how our culture assimilator affected the changes.
Our culture assimilator was designed only for Malaysian Muslim international students in Japan. Taking it into consideration that increasing and diversifying of Muslim international students in Japan are now on going, developing and improving culture assimilator for other Muslim international students will be useful for both Muslim students and Japanese academic staffs and students. In addition, students who got higher marks in a culture assimilator does not necessarily behave well in the actual situation. We will keep a follow-up survey for the students who answered our culture assimilator. Through this research and practice, we would like to contribute to mature understanding of Malaysian Muslim international students and Japanese university students with respect to Japanese university environment.
References
Albert, R. D. (1983). The intercultural sensitizer or cultural assimilator: a cognitive approach. In D. Landis and R. W. Brislin (Eds.), Handbook of Intercultural Training, 2, (pp. 186-217). New York: Pergamon Press.
Fiedler, F. E., Mitchell, T., and Triandis, H. C. (1971). The culture assimilator: An approach to cross-cultural training. Journal of Applied Psychology, 55(2), 95-102.
“International Students in Japan” by Japan Student Services Organization: https://www.jasso.go.jp/about/statistics/intl_student_e/index/html
Jiro Kawakita. (1967). Hassouhou-Souzouseikaihatsunotameni. Tokyo: Chuko Shinsho.
Kyoko Tanaka and Stephane Strahm. (2013). Preparation of Multicultural Environment by Japanese University – From Viewpoint of Cooperation with Muslim Students. Web Magazine Ryugaku Koryu, 28, 1-9. (Japanese)
“Research Subcommittee for Faculty of International Students 2016” by Japan Association for International Student Education: http://www.jaise.org/njdl.cgi?file=2016%925%93%96%95%AA%89%C8%89%EF%95%F1%8D%90%8F%91.pdf
Sachiko Nakano and Tomoko Tanaka. (2015). Intercultural Education about Muslim Culture Assimilators for Japanese Students. Journal of International Students Education, 20, 83-92. (Japanese)
Sachiko Nakano, Yuri Okunishi and Tomoko Tanaka. (2015). Social Life Difficulties of Muslim Students in Japan. Journal of Humanities and Social Sciences, 39, 137-151. (Japanese)
Tomoko Misumi. (1998). The Video Production of Culture Assimilators for Japanese Language Classrooms. Intercultural communication studies, 10, 75-95. (Japanese)
Contact email: firstname.lastname@example.org
Adaptation and/as Agency in Margaret Atwood’s *Hag-Seed* (2016)
Nishevita Jayendran, Tata Institute of Social Sciences (TISS), India
Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
This paper probes the conflict between the past and present and the manifestations of agency in novelistic adaptations. The argument draws on Margaret Atwood’s *Hag-Seed* (2016), which is an adaptation of Shakespeare’s *The Tempest* (1610-1611). Marked by a shift in time, space and genre, *Hag-Seed* is postmodernist in its self-consciousness and intertextuality as it re-envisions, structurally and thematically, a prior work. *Hag-Seed* recounts the revenge orchestrated by the protagonist Felix, a playwright and director, who is ousted from his position by his rival Tony before his production of *The Tempest*. Twelve years after his forced retirement, Felix produces the play with a cast of prison inmates, laying a trap for Tony to extract revenge. While the theme of revenge driving *Hag-Seed*’s plot resembles Shakespeare’s *Tempest*, the depiction of Miranda in Atwood’s *Hag-Seed* departs from Shakespeare’s. Felix’s daughter is dead and appears as a spirit-child through the novel, an imprint of the past that is laid to rest only through a successful performance of *The Tempest* in the present. In the process, agency appears at points of tension, in the plot and novelistic structure, when the present/Self/novel reinvents itself using the past/Other/play as a point of reference. By extending the implications of *Hag-Seed*’s Miranda as a metaphor for the conflicting, fragile yet tenuous relationship between the past, present and future to the study of the novelistic adaptation of a 17th century English play in the 21st century, this paper considers the ways in which fictional representation mobilises agency.
Keywords: Adaptation, agency, intertextuality, representation.
[T]here must be something particularly appealing about adaptations as adaptations.
Part of this pleasure, I want to argue, comes simply from repetition with variation, from the comfort of ritual combined with the piquancy of surprise. Recognition and remembrance are part of the pleasure (and risk) of experiencing an adaptation; so too is change.
(Hutcheon 2006)
In 2015-2016, Hogarth Shakespeare Project invited a number of authors to choose a Shakespearean play and “revisit it in the form of a prose novel” (Atwood 2016) to commemorate William Shakespeare’s 400th death anniversary. This brought together leading international authors like Anne Tyler, Howard Jakobson, Jeannette Winterson and Margaret Atwood, among others, to render novelistic adaptations of Shakespearean works. The nature of this commission clearly characterizes the novels as adaptations that draw on a prior text consciously and transfigure them to suit the contemporary contexts of their production.
This paper argues that novelistic adaptations enable agency when they retain dialogism in their structure. Dialogism promotes multiple interpretations by underscoring the heteroglossic possibilities contained in creative works. To examine the manifestations of agency in postmodernist novelistic adaptations, I study Margaret Atwood’s *Hag-Seed* (2016) that is, as stated in the subtitle, “The Tempest Retold” in the 21st century. For the purpose of this paper, I approach agency as an act of individuality, originality and creative freedom that reflect, alike, in the structure and theme of the novel. *Hag-Seed* registers a spatio-temporal-generic shift, thereby problematizing the implications of agency within a culture that suspects claims to authenticity and originality in creative works.
This paper is divided into three parts. The first part explores the implications of overlaps with and departures from Shakespeare’s 17th century play in *Hag-Seed*’s novelistic plot, within the context of adaptations. The second part reviews theoretical approaches to adaptations and intertextuality, drawing on the work of Linda Hutcheon, and focusing on one particular instance of re-presentation of a Shakespearean character in the novel. In the third part, I extend these discussions to novelistic representation and examine select narrative features to consider the way intertextuality heightens metafictionality and self-consciousness and enables agency at points of tension arising from multiple interpretations of the work.
**Adaptation: On Convergences and Departures**
Atwood’s *Hag-Seed* is an explicitly stated retelling of Shakespeare’s *The Tempest*. Shakespeare’s *The Tempest* is set on a magical island, with Prospero, his daughter Miranda and his slave Caliban as its human residents. Following a gale started magically by a sprite Ariel that washes ashore Prospero’s antagonist, Antonio and his crew, Prospero enacts a revenge to reclaim the dukedom from which he was forcefully evicted by Antonio. Prospero’s daughter Miranda remains his sole reminder of the past and a tool that he uses to reclaim his lost dukedom.
Despite the spatio-temporal-generic shift in the novelistic plot, *Hag-Seed*’s reflection of the original play is reinforced in multiple ways – through the plot, through postmodernist narrative techniques and through paratexts – that lend the novel to a study of adaptation and agency. Felix, the Director of the Makeshiweg Theatre Festival, is an eccentric, imaginative and volatile personality with a quick temper, who re-envisiones and directs Shakespearean plays in 21st century Canada. He is in the process of directing Shakespeare’s *The Tempest*, which is, according to him, his best effort when he is ousted from his position by his aide Tony who takes over the company. A victim of power politics, Felix goes into exile under the name of F. Duke\(^1\), and starts teaching Shakespeare to prison inmates as part of an adult literacy campaign called the Fletcher’s Correctional Program. Here, he plans his revenge by directing and re-enacting his interrupted play, *The Tempest*, before his rivals Tony and Sal, imprisoning them through a play within a play, and extracting their promise to have him reinstated as the Director. In this respect, the theme of *Hag-Seed* resembles that of *The Tempest*, where a disinherited lord sent into exile uses the power of drama on a magical island to trap and seek revenge from his antagonists. The play and the novel end, alike, with the return of the lord to his throne. At the level of theme, *Hag-Seed* qualifies as an adaptation of *The Tempest*. The nature of its adaptation of the original play is, however, complex.
The influence of *The Tempest* is evident in many aspects of the novel, an instructive instance of which is characterisation. Felix has a late marriage and a young child, when his wife dies. Even as he mourns her death, he is attached to his daughter whom he names Miranda. Felix identifies with Prospero, the middle aged widower to a young infant. “Miranda: what else would he have named a motherless baby girl with a middle-aged doting father?” (Atwood, 2016, p. 14).
Like Prospero, further, Felix is immersed in his work and artistic endeavor of conjuring magical worlds through dramatization, words and visual extravaganza on stage. This depth of involvement however causes him to lose his daughter at three, when Miranda dies of meningitis. Consumed by grief and guilt, Felix is convinced that the only way to immortalize Miranda is through *The Tempest*. As an art form, the play would erase the past by making it a perpetual present, and resurrect Miranda every time it is performed. Felix envisions this as a tribute to his daughter, which results in his taking an interest in directing the play with renewed urgency.
This *Tempest* would be brilliant: the best thing he’d ever done. . . . It was like the Taj Mahal, an ornate mausoleum raised in honour of a beloved shade, or a priceless jeweled casket containing ashes. But more than that, because inside the charmed bubble he was creating, his Miranda would live again. (Atwood, 2016, p. 17)
The connection between the past and the present is reinforced when Felix starts hallucinating, imagining Miranda growing up. Envisioning her thus requires Felix to construct her through his vision, juxtaposing the Miranda of the past with his requirements in the present. He remarks to himself, for instance, that Miranda is at an
\(^1\) There is a Shakespearean echo in Felix’s choice of *nom de plume*. While the initial ‘F’ indicates his first name Felix, the last name ‘Duke’ references Prospero, the Duke of Naples who is overthrown and goes into exile. The parallels become more intense as we see Felix identify closely with Prospero as a middle-aged single father wronged by his subordinate.
awkward age of adolescence and yet remains sweet, pure and docile. This re-visioning is a self-conscious act, as Felix realizes that what he creates is not a real child but a representation. Miranda acts as a metaphor for what the past can mean in the present as a fragile yet irrevocable link. She functions, therefore, as an extended metaphor for what adaptations signify. There emerges, in the process, a tension between the current and the original artefact. This tension is visible in several instances in the novel as Shakespeare’s play is adapted to the current conditions of its re-presentation.
**Adaptation, Intertextuality and Possibilities: Interpreting Ariel**
Adaptations are marked, according to Linda Hutcheon, by their ubiquity and “self-consciousness” where “art is derived from other art; stories are born of other stories” (Hutcheon, 2006, p. 2). Stories, when retold in different media, adopt the characteristics of that medium. Assuming that form and content of representations together contribute to meaning, adaptations present possibilities of sometimes significant deviations from the original. Herein lies one point of locating agency in adaptations, as prior content is remade within contemporary contexts. At the same time, moments of adaptations are also moments of tension where artistic agency is governed by an underlying fidelity to the prior text. Hutcheon says that
> the stories [adaptations] relate are taken from elsewhere, not invented anew. Like parodies, adaptations have an overt and defining relationship to prior texts, usually revealingly called “sources”. Unlike parodies, however, adaptations usually openly announce this relationship. (Hutcheon, 2006, p. 3)
Not surprisingly, intertextuality characterizes adaptations. As adaptations travel across time and space they register a “repetition without replication” (Hutcheon, 2013, p. xvi) that correspondingly influence the meaning of the new story\(^2\). The poetics and politics of structuralist discourse correspondingly colour adaptations. Adaptations, it can be argued, derive from the parole of a prior text as they display local langues. Their structures contain within them an implicit differential of meaning as comparison with the original becomes inevitable.
Atwood’s *Hag-Seed* confronts this paradox as it demonstrates, through its novelistic representation, avenues for agency within adaptations. Shakespeare becomes a motif through the novel, signposting intertextuality as an undercurrent in adaptation. Intertextuality in turn illustrates the principles of Bakhtinian dialogism whereby texts are constantly negotiating meaning with other texts within the novelistic structure. This entails polyphony and heteroglossia that makes the work dynamic.
A case in point is the interpretation of Ariel, an “elemental spirit” (Atwood, 2016, p. 102) in Shakespeare’s *Tempest*, by the Fletcher Correctional Players. Initially, the players do not want to enact Ariel since he is, in their opinion, effeminate. Felix
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\(^2\) In the Preface to the second edition of *The Theory of Adaptation* (2013), Hutcheon discusses the way new media and advancements in technology have promoted not simply wider dissemination of adapted works but also new ways for their creation and consumption. A result of this is that “‘adaptation becomes a strategy of participation. Rather than develop wholly new works, audiences take ownership over existing media, adapting the stories, shows, and films that they most identify with’” (Moore, quoted in Hutcheon 2013, xxv). Democracy and dynamism, it can be argued, define the process of adaptations in contemporary culture and offer possibilities for agency.
anticipates their resistance and recasts the character within the cultural context of the 21st century in a manner that the inmate-actors identify with greater ease. As criminals in a culture driven by machismo, the Fletcher Correctional actors inhabit a space of exhibitionism and masculine prowess. Male bravado and toughness is integral to their self-perception as virile individuals. Felix’s interpretation locates Shakespeare’s Ariel within the cultural materialism of the present – of superheroes, aliens and vegans in the 21st century (“January – March 2013”), underscoring the play of Self/novel/present versus the Other/play/past dichotomies in the reconstruction.
Felix’s de/re-construction proceeds through two steps. Felix first decontextualizes Ariel, viewing the character through his qualities and the functions he performs in Shakespeare’s play. He tells his players:
“So, before sticking on a label, let’s list his qualities. What sort of a creature is he? First, he can be invisible. Second, he can fly. Third, he has superpowers, especially when it comes to thunder, wind and fire. Fourth, he’s musical. But fifth, and most important.” He pauses again. “Fifth: he’s not human.” He gazes around the room. . . . “Let’s suppose that Ariel is real in some way,” says Felix. . . . “Suppose you’d never heard of this play, and all you knew about this being called Ariel was what I told you about him. What kind of a creature have I just been describing?” (Atwood, 2016, p. 102, emphases mine)
Next, he requires the players to see Ariel as a “function” in the play. When he says,
“In our play, then, Ariel is the character Ariel, but he’s also the special effects,” says Felix. “Lighting, sound, computer simulation. All of that. And Ariel needs a team, like the team of spirits he’s in charge of in the play.” Light is dawning: they love fooling with computers, on the rare occasions when it’s possible for them (Atwood, 2016, p. 104)
Felix urges his students to widen their vision of the character by actively re-interpreting him.
Through the two step process, Felix links the past and the present in a manner similar to keeping the memory of Miranda alive. This process involves self-consciousness, acknowledging that a work is being transfigured. Subsequently, when Felix asks, “‘So who wants to be on Team Ariel?’” . . . Every hand in the room goes up. Now that they grasp the possibilities, they all want to be on Team Ariel.’ (Atwood, 2016, p. 105, emphasis mine)
Possibilities are signaled through the ‘supposes’ that open doors of dialogue. The Fletcher Correctional players and their director take ownership of the work as they restructure it for the contemporary audience. It is noteworthy that Felix is not merely transfiguring the Shakespearean character but also making the character accessible to his present audience since the play is being performed “now”.
Adaptations in this respect depend on possible ranges of interpretations mobilised through re-conceptualisation, rather than correspondence, of meaning\(^3\). Hutcheon’s observation in her Preface to the second edition to *The Theory of Adaptation* becomes relevant at this point where she notes that unlike the emphasis on fidelity that characterized debates on adaptations in the late 20\(^{th}\) and early 21\(^{st}\) century, contemporary cultures of mass media necessitate a change in criteria for evaluating success of adaptations. This could include “popularity, persistence, or even diversity and extent of dissemination for criteria of success” (Hutcheon, 2013, p. xxvi).
One consequence is that the adaptation becomes dynamic and leads to the creation of spaces of possibilities\(^4\). At the same time, dialogism with the past is accompanied by the awareness that the original source of the work cannot be totally disrupted. Consequently, acts of agency entail a) negotiating these tensions to articulate a current unique interpretation within a prior context and b) recognizing that one’s interpretation is a perspective that cannot foreclose the possibility of alternative perspectives. This approach can mobilise dialogism, polyphony and heteroglossia in the process of adaptation.
Similar possibilities are signaled through fictional representation that deploys narrative techniques to mobilise dialogism and eschew closure.
**Intertextuality and Dialogism: Possibilities in Novelistic Representation**
In this section, I look at the possibilities signposted by the paratexts (the title, epigraphs, prologue and epilogue) and diegesis as fictional techniques that foreground intertextual possibilities in the novel.
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\(^3\) Atwood, remarking on the creative process of writing the novel, says that she sets the plot in a town in Canada in 2013 where an annual Shakespeare Festival did take place. Her choice of setting it in prison was also because prison forms a pervasive trope in *The Tempest*. Further, Canadian prisons have correctional programs and literacy drives to equip the prisoners with skills to help them when they leave prison, as do prisons in UK, USA and Italy (Atwood 2016). Shakespeare, Atwood states, has been taught in some of these programs. The convergence of these facts enabled her to envision an adaptation that exploits the trope of imprisonment at multiple levels in the novel – of Felix bound to his past and the memory of his daughter; of Caliban and the inmates bound by legality and laws; of art and adaptations bound to a pre-existing past. Breaking these bonds and becoming free is one way of expressing agency. To be able to do this, dialogue and interpretation become critical and is signposted by *The Tempest*, which for Atwood is open-ended, concluding with more questions than neat resolutions.
\(^4\) Dynamism arises through cultural exchange and collision of meanings across time and space. That literary texts are cultural artefacts is fundamental to Felix’s understanding of Shakespeare, evident in his description of the way Shakespeare has been reconstructed through memory: “‘He was simply an actor-manager trying to keep afloat. It’s only due to luck that we *have* Shakespeare at all! Nothing was even published till he was gone! His old friends stuck the plays together out of scraps – bunch of clapped-out actors trying to remember what they’d said, after the guy was dead!’” (Atwood, 2016, p. 52, 53). The absence of a single original text keeps the Shakespearean works fluid and opens up the space of possibilities for future interpretations. As Felix muses during the course of a discussion with his students on the nature of the curse words used in the play, “Equally useless to tell them that ‘suck’ in Shakespeare’s time did not have the many derogatory meanings it has since acquired, *because it has those meanings now, and now is when they’re putting on the play.*” (Atwood, 2016, p. 102, emphases mine). Similarly, he tries to explain to them that tortoise was considered abusive in the 17\(^{th}\) century since it referred to someone who is slow. The connotations have however changed in the last four centuries.
The Title
Gerard Genette, in his discussion of paratexts\(^5\), suggests that a thoughtful use of title serves to enhance the layers of meaning within a text. Titles act as triggers of interpretation, since they are the entry points to the text for meaning making. Some titles are straightforward, like Flaubert’s *Madame Bovary*, which directly signposts the theme of the novel. Others are cryptic, like Umberto Eco’s *The Name of the Rose*. For Genette, a good title should “embroglio” (Eco, quoted in Genette, 1988, p. 720), teasing the reader and leading them towards an intellectual adventure, rather than barricading ideas.
*Hag-Seed* acts as a deceptive title, raising the readers’ expectations only to disrupt them. The name “Hag-seed” is attributed to Caliban, Prospero’s slave and the native of the magical island, in *The Tempest*. Using *Hag-Seed* as the title of a novel would suggest to the reader that the work is about Caliban. Perhaps a more adventurous reader may factor Prospero into their assumptions of the novelistic theme. The subtitle (“The Tempest Retold”) reinforces this idea as it explicitly connects the novel with the play. Retelling at the same time suggests that the current work may not be an exact replication of its dramatic original but offers fresh constructions of meaning. The title raises expectations in the reader of what they might encounter in the work and acts as the first frame of interpretation, influencing readerly response in meaning making. *Hag-Seed* however disrupts these expectations since the novel deals, not with Caliban, but with Prospero/Felix. The pointed use of Caliban’s name therefore performs several functions.
First, it establishes an implicit relationship with a prior text (*The Tempest*) thereby characterizing the novel as an adaptation. Second, it frames its relationship with the past as not derivative but disruptive, thereby underscoring the tension between the novel and Shakespeare’s play. Third, the choice of title indicates agency, equally, at the authorial and audience levels. By naming the work after Caliban, the novel signals a deliberate choice by the text-external author. At the same time, the ensuing ambiguity in signification suggests that the reader must actively engage with the work to co-construct meaning.
Paratexts: The Epigraphs, Prologue and Epilogue
The dialogism between *Hag-Seed* and *The Tempest* is underscored through the three epigraphs, the Prologue (“Screening”) and the Epilogue (“Set Me Free”). The three epigraphs in the novels are quotes from Sir Francis Bacon, Charles Dickens and Percy Bysshe Shelley. Bacon’s quote from “On Revenge” reads, “‘This is certain, that a man that studieth revenge,/ keeps his own wounds green, which otherwise/ would heal, and do well.’”. Taken from Charles Dickens is the quote: “‘... although there are nice people on the stage, there are some who would make your hair stand on end.’”. The quote by Shelley are from “Lines Written Among the Euganean Hills”: “Other flowering isles must be/ In the sea of Life and Agony:/ Other spirits float and flee/ O’er that gulf . . .”. The epigraphs work dialogically as they highlight the theme
\(^5\) Genette defines the paratexts as those entities in a work that occupy the boundaries of the text. While they do not comprise the body of the work, they play a role in influencing meaning and interpretation of the work. Some examples of paratexts are the title, the epigraphs, dedications, prefaces, prologues and epilogues.
of revenge, keeping wounds open deliberately to allow festering of the sense of wrong, the motif of performance and representation as art constructs reality and the human condition of living in a state of agony and sorrow while questing for happiness and peace. These suggestive meanings shape the interpretation of the novel, supported by the Prologue and the Epilogue that frame the novelistic plot.
The Prologue\(^6\) begins *in media res* and at a climactic moment, as the players at Fletcher Correctional capture the antagonists, Tony and Sal. The Epilogue, with its title “Set Me Free” that provides a synopsis of Shakespeare’s *Tempest* aligns with the third epigraph from Shelley’s work, signposting arrivals and freedom. “Set me free” are also the last three words uttered by Prospero in *The Tempest*, indicating freedom from bondage. The nature and position of the Epilogue in the novel urges the question: what is it that is set free through adaptations – the prior work with its ossified interpretations or the current work that is bound to the prior text as source? As a quest for spaces of freedom and creativity in a postmodern world, articulating the self is a self-conscious act of agency.
Intertextuality, reinforced by the title, epigraphs, prologue and epilogue, is sustained through narrative perspective within novelistic representation.
**Diegesis: The Question of Perspective**
The interplay of points of view, and the fluid use of second and third person narrative voice in the novelistic structure are two instances that foreground the metafictional nature of the work.
Consider the following passage for an interplay of perspective.
The first few weeks were a little rough, granted. Felix and Shakespeare had needed to work their way uphill over some fairly thorny ground, and Felix discovered that he was less prepared for the conditions inside than he’d thought he would be. He’d had to assert his authority, draw a few lines in the sand. At one point he’d threatened to walk out. There’d been some quitters, but those who’d stayed had been serious, and in the event the Fletcher Correctional Shakespeare class was a hit. In its own modest way, it was cutting edge; it was also, *you could say* – and Felix did say it to his students, explaining the term carefully – avant-garde. It was cool. After the first season, guys lined up for it. (Atwood, 2016, p. 54, emphasis mine)
While the passage begins with the third person, signaling an omniscient narrator and an implied author, the use of the second person “you” indicates an implied audience or reader. This direct address to the reader as interpreter of the text infuses dynamism
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\(^6\) According to J. A. Cuddon, the prologue is the “opening section of a work; a kind of introduction which is part of the work and not prefatory. It was common in drama in the 17\(^{th}\) and 18\(^{th}\) c., when it was often in verse. Occasionally found in novels. In plays the prologue is usually a Chorus (*q.v.*)” (Cuddon, 1999, p. 703). This definition places the beginning of the play within the frame of the plot. The link to drama is retained in *Hag-Seed* as we see the Fletcher Correctional Players sing the song of Caliban as they imprison Tony and Sal. Equally instructive is Cuddon’s comment that the prologue is part of the work. One of the functions the prologue performs in *Hag-Seed* is to provide a critical lens for viewing the events that unfold in the plot. Since the prologue is a play depicted *in media res*, it serves the additional purpose of reinforcing the intertextuality of the novel.
in meaning making by evoking a sense of performance. At the same, it introduces a tension in the act of interpretation. Conventionally, third person omniscient narrators control the meaning of the text, evident most strongly in the Victorian novels. An omniscient, omnipotent narrator possesses God-like power and remains the sole determinant of meaning in the novel. Postmodernist novels challenge this discourse by suggesting that omniscience is not always infallible. The use of a second person perspective disrupts the authority of the third person narrative. As the dominant voice in oral traditions, the second person perspective invites audience’s involvement as co-creators of the story with the storyteller. In this instance, the deliberate use of the phrase “you could say” encourages the reader to form an opinion on Felix’s projection of his plays as avant-garde. While the reader may or may not agree with this interpretation, enabling the reader to take decisions undermines the authority of the omniscient narrator as the sole determinant of meaning and establishes subjectivity of the narrative.
Another technique used to effect dynamism in the narrative is through an interplay of the intradiegetic and extradiegetic narrative voices. Extradiegetic narratives register an omniscient external narrative voice, while intradiegetic narratives are those told through characters within the novel. The shift between the intradiegetic and the extradiegetic narrative voices in the plot causes shifts in focalization, taking us in and out of the thoughts of characters. This problematises absolute meanings and underscores the role of perspective in representation. The description of the death of Felix’s three-year-old daughter Miranda is a case in point.
So he was on his own with his newborn daughter, Miranda. Miranda; what else would he have named a motherless baby girl with a middle-aged, doting father? She was what had kept him from sinking down into chaos . . . But then, at the age of three . . . High fever. Meningitis. They’d tried to reach him, the women, but he’d been in rehearsal with strict orders not to be interrupted and they hadn’t known what to do. When he finally got home, there were frantic tears, and then the drive to the hospital, but it too late, too late. (Atwood, 2016, p. 14–15).
The narrative is in third person but moves from an external to an internal focalization, giving a glimpse of Felix’s thoughts. His reasons for naming his daughter Miranda, his despair over her loss come across with immediacy as he grapples with two successive personal tragedies, first losing his wife and then his daughter. Shifting the narrative perspective to his thoughts and actions personalizes representation. At the same time, by shifting between intra- and extra-diegesis, the novelistic structure becomes dynamic and metafictional, enabling (inter)textual play that performs critical functions in meaning making. How do these metafictional devices enhance the dialogism of the text? Bakhtin’s statements on the novelistic structure become relevant at this point.
In *The Dialogic Imagination*, Bakhtin argues that the novel, as a form, is inherently dialogic because the discourse of the novel always begins *in media res*. As a newly emergent form that compares and contrasts with the epic (and other traditional genres of writing), the novel intervenes in pre-existing discourses on the literary imagination. As a result, any form of representation exists as a dialogue between the new and the
pre-existing discourse, making them intertextual. Multiple meanings, or heteroglossia, and multiple voices, or polyphony, characterize the dialogic imagination of the novel.
**Some Concluding Remarks: Adaptation and/as Agency**
Adaptation presupposes an original work that influences the construction of the work and its interpretation by the reader. If we define agency as an act of individuality, originality and creative freedom, then agency in an adapted work presents a challenge. *Hag-Seed* offers an instructive insight into the way adaptations can enable agency through dialogism where interpretative acts create possibilities of meaning making and reject closure.
Tension characterizes possibilities in adaptation: between perceptions of the past and present, the spatio-temporal and generic shifts. Dialogue is located within these tensions of constructing and critiquing meaning. Like Felix’s Miranda who holds the threads of the past and the present by remaining alive in/because of his imagination, present acts of adaptation depict the current vision of their creator as a dialogic acknowledgement of their debt to the past. Agency can be located within the negotiations that accompany these textual encounters in adaptations.
References
Atwood, Margaret. (2016). *Hag-Seed or The Tempest Retold*. London: Hogarth Press.
----. (24th September 2016). “A Perfect Storm: Margaret Atwood on rewriting Shakespeare’s Tempest”. https://www.theguardian.com/books/2016/sep/24/margaret-atwood-rewriting-shakespeare-tempest-hagseed. Accessed on 9th May 2018.
Bakhtin, Mikhail. (1981). *The Dialogic Imagination: Four Essays*. Translated by Michael Holquist. Edited by Caryl Emerson and Michael Holquist. Austin: University of Texas.
Cuddon, J. A. (1999). *Dictionary of Literary Terms and Literary Theory*. London: Penguin.
Genette, Gerard. (1988). Structure and Functions of the Title in Literature. *Critical Inquiry*, 14.4, 692-720. http://www.jstor.org/stable/1343668.
----. (1991). Introduction to the Paratext. *New Literary History* Probings: Art, Criticism, Genre, 22.2, 261-272. http://www.jstor.org/stable/469037.
Hutcheon, Linda. (1989). *The Poetics of Postmodernism*. London: Routledge.
----. [2006] (2013). *A Theory of Adaptation*. London: Routledge.
**Contact email**: email@example.com; firstname.lastname@example.org
Malasakit: The Filipino Face of God’s Mercy
Marites Rano Redona, University of Santo Tomas Graduate School, Philippines
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
This paper explores the relationship between the inclusive attitude of Jesus as the face of God’s mercy in the gospels and the Filipino cultural value Malasakit. God’s mercy is fully revealed and expressed in Jesus’ inclusive love among the outcasts during His time. Malasakit, a Filipino core value, embodies the Filipino’s outmost concern for others manifested in the Filipino social and cultural concept of kapwa. Employing Chupungco’s Dynamic Equivalence, this paper argues that the inclusive attitude of Jesus in the Gospels, which Pope Francis highlighted in his Apostolic Exhortation on Joy of Love (Amoris Laetitia), finds its dynamic equivalent in the Filipino cultural value Malasakit. It claims further that the Pope’s teaching on God’s Mercy, and, in particular, the principle of inclusivity is a challenge to the Catholic Church, Filipinos and other nations to become inclusive communities, sharing Malasakit to all and thus becoming God’s face of Mercy.
Keywords: Malasakit, Mercy, inclusive love, Amoris Laetitia, irregular situations
Introduction
To regard someone as merciful implies that the person is loving, compassionate, forgiving, selfless and caring. Being merciful is the best compliment a person could ever receive from others. On the other hand, someone is “merciless” if the person demonstrates brutality, revenge, hatred and evil desires on others.
In the Gospel of Luke it says “be merciful just as your Father also is merciful”\(^1\) As God’s children, Christians are called to be merciful by being kind, humble, meek and patient…all these reflect who God is.
Pope Francis, as the Vicar of Christ on earth, always emphasizes mercy as he speaks on behalf of the whole Catholic Church. He asserts that mercy allows Christians to understand God and themselves better and this will prompt them to recognize and help those who are most in need. His message in *Amoris Laetitia* (joy of love) is to make everyone know that, in spite of the fact that couples in irregular situations have fallen outside the bounds of a valid sacramental marriage, they must be recognized as God’s children, must be loved and helped by the Church.
Last 2016, when the Pope visited the Philippines with the theme “Mercy and compassion”, the Filipinos recognized him as articulated by Archbishop Socrates Villegas, the former CBCP President as “Our compassionate shepherd who comes to show his deep concern for our people who have gone through devastating calamities, especially in the Visayas. He comes to confirm us in our faith as we face the challenges of witnessing the Joy of the Gospel in the midst of our trials. This is an eloquent way of showing mercy and compassion.” His presence to all Filipinos especially to those in Visayas was truly God’s merciful presence.
As a nation, the Filipinos have experienced great trials. But their faith is always strengthened by their innate ability to recognize the presence of God in the face of such. Herewith, the cultural value “malasakit” becomes a compendium if not a second nature that Filipinos always find handy in dealing with pressing events of daily life.
Although “malasakit” has no exact translation in the English language, Filipinos can interpret it in a number of ways based on how it is used. For instance, *malasakit* means showing sincere care, concern, compassion, or empathy. They can also regard *malasakit* to their strong close family ties. Filipinos treat others as if they are members of the family. This ‘others’ is what they call *kapwa*.
**Root of Malasakit**
Being concerned for others is rooted in the Christian thought that “God’s mercy transforms human hearts; it enables them, through the experience of a faithful love, to become merciful in return”\(^2\) What is it about God's mercy that makes Filipinos more merciful in return? In human relationships, when person knows that “s/he is loved and others offered mercy to him or her by others, it will really manifest in the way they
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\(^1\) Luke 6:36
\(^2\) Pope Francis. Message for Lent 2016 “I Desire Mercy, And Not Sacrifice”
relate with others as well. This is a universal truth on human relationships and this truth perhaps can also be applied in their relationship with God and fellow Filipinos.
*Malasakit* is the Filipino Face of God’s mercy. There are many Filipino cultural values that can describe Filipinos as a people but the author chooses *malasakit* as their outstanding value that can best concretize God’s mercy not only to their fellow Filipinos but to the whole world.
**God’s mercy…God having a heart for the miserable**
St. Augustine understands the Latin origin of mercy (*misericordia*) as “God’s grace that moves every human person from a *miseria ad misericordiam* (from misery to mercy). *Misericordia*, two words with a singular meaning, *miser* miserable and *corcordis* is heart. Thus, mercy or *misericordia* is “having a heart for the miserable.”\(^3\). Therefore, mercy is nothing less than love’s response to misery. God’s loving heart breaks into every man’s story and He redeems them from a life of pain and suffering.
God is “the Father of mercies and the God of all consolation”\(^4\) and He is “rich in mercy”\(^5\). It has in it the compassionate grace from the source of all goodness which is given to an undeserving person. God’s love is shown in the misery of human life.
**Jesus’ inclusive love, the Face of God’s mercy**
The Christian bible attests that Jesus incarnates God as the merciful Father. Pope Francis writes: “Mercy finds its most noble and complete expression in the Incarnate Word. Jesus reveals the face of the Father who is rich in mercy.”\(^6\) In Jesus of Nazareth, mercy has become living and visible. Jesus’ entire life and “His person is nothing but love, a love given gratuitously…. The signs He works, especially in the face of sinners, the poor, the marginalized, the sick, and the suffering, are all meant to teach mercy. Everything in Him speaks of mercy. Nothing in Him is devoid of compassion”\(^7\). In Jesus’ preaching using parables, he tells stories about God’s infinite mercy: “The Prodigal Son”\(^8\), “The Lost Sheep”\(^9\), “The Lost Coin”\(^10\). These parables deal with ‘lost’, and ‘found’, and the joyful celebration at the end of each parable that reflects the great joy of God. These parables contain the message of repentance and conversion. It speaks who God is. It is an invitation to enter into the mind of God who seek those who have lost their way to God because of sin. At the same time a call to repent and return to God.
In Jesus’ dealing with His people, He was often seen seating at the table with the sinners and outcasts. An opposite attitude was seen among the religious Jewish leaders, the Pharisees. Their rigid observance of purity, their own sense of what God demands of them and the fear of exposing themselves with the affairs of the world,
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\(^3\) Stravinskas, P. (2016). “First grace of mercy is the grace of conversion”
\(^4\) 2 Corinthians 1:3
\(^5\) Ephesians 2:4
\(^6\) Pope Francis, Message For World Mission Day 2016 “Missionary Church, Witness Of Mercy”
\(^7\) Pope Francis. (2015 December 8). *Misericordiae Vultus*
\(^8\) Luke 15:11-32
\(^9\) Luke 15:1-7
\(^10\) Luke 15:8-10
made them to close their doors to those who are impure and critique those who relate to them. Jesus is often judged of eating with them.\textsuperscript{11}. He defends Himself saying: “It is not the healthy who need a doctor, but the sick. I have not come to call the righteous, but sinners to repentance.”\textsuperscript{12} Jesus, the Son of the merciful God knows that every human person is weak and vulnerable. He is aware that they are prone to errors and mistakes. He is aware that they are bound to commit sin. He knows that they can get sick and that they can fall down. God’s mercy is shown in the realities of life most often filled with human weaknesses. The many encounters of Jesus with those presented as “outcasts” have a common message: they are welcome in the Lord’s Table. The experience of meeting Christ gives them the joy and peace that only the mercy of the Lord can offer. Jesus is the good news given to the broken hearted, He is the face of the Father’s mercy to those who are thirsty and hungry of God’s love. He is the good Shepherd who looks at them with love, listens to them with love and leads them to the truth with love. It is a comforting joy to realize that “no one is excluded from the joy brought by the Lord”\textsuperscript{13}.
**Malasakit as a Filipino expression of God’s mercy**
The Filipinos are known for their strong family ties. This family-centeredness provides an important understanding of sense of belonging, stability and security. It is from their families that the Filipinos instinctively tie their sense of self-identity. Three local big television networks named their televiewers as \textit{kapatid} (sibling/brother/sister), \textit{kapuso} (one heart), \textit{kapamilya} (one family).
**Challenges to Malasakit**
This closeness to their families moves them to be person oriented but this orientation at times is based on oneself and one’s kin. It enables them to be personal in relationship, loyal to their family, humane and considerate, respectful and polite. Although it is a positive value, still it makes a Filipino difficult in making judgment. In choosing good from evil, one has the tendency to consider what would this decision bring him or her in return. Also there is an emphasis on whom you know and who knows you rather than a person does. Those who are not within the “family” are strangers and should be regarded with suspicion and care. This highlights the Filipinos’ tendency to be regionalistic as expressed in “kanya-kanya; atin-atin; kayo-kayo” mentality (self-serving attitude that generates feeling of envy and competitiveness towards others). A possible influence of having close family ties, regionalistic attitude is evident in the way they relate with others. In most cases, the Filipinos give their trust to those they know, a certain feeling of security comes as one relates more with classmates, co workers, neighbors and to those belonging to one’s own region. This can be the reason why as a nation its difficult for them to be united. A tendency to be influenced by own kin’s or family’s decision is also a glaring reality. In spite of their weakness to have inclination to accommodate only those who belong to their group, still, it shows how Filipinos are basically a relational people. For Jocano, providence or \textit{bahala na} attitude in Filipino context in its negative sense has been condemned as a sign of the pessimistic attitude among the Filipino people. Providence seems to be understood as \textit{kapalaran} (fate), and \textit{swerte}
\textsuperscript{11} Matthew 11:19
\textsuperscript{12} Luke 5:31-32
\textsuperscript{13} Pope Paul VI (1975, May 9). \textit{Gaudate Domino}
(lucky). This attitude is a passive resignation to the will of God. On the other hand, Jose de Mesa affirms *bahala in* its positive sense as an “attitude of hopeful risk-taking as an expression of human freedom to choose its future. He says that *bahala na* which is a passive attitude can be offset by genuine caring effort, *malasakit* which is for Jo de mesa refers to the kind of concern that exerts painful efforts to achieve its purpose. This value can communicate God’s care and concern to today’s Filipinos”\(^{14}\)
**Extensions of Malasakit**
The Filipino value of *makatao* or personalism is visibly expressed in Filipinos’ choice for services and concerns with personal touch. It is noted that good personal relationships done in the spirit of dialogue can solve any problem immediately.\(^{15}\) This is visible in any group or community to which they belong.
Filipinos are also known for their being *maawain* (compassionate). As a people, they are generally aware of their history and real life situations. Thus, they think subjectively and is easily affected by the unfortunate situation of others. This explains the Filipino’s tendencies to side with the ‘underdogs’ (anybody who is considered a victim) according to their own perceptions of being a victim.
Another trait that is exceptional among the Filipinos is their hospitality. It shows the people’s capacity to love and accept their visitors at their homes even if the nation’s history of colonization was very painful for them.
*Bayanihan* highlights the care of Filipinos for one another and their willingness to serve the community.\(^{16}\) This *Bayanihan* spirit manifests Filipinos’ concept of extending help to others in moments of need. Furthermore, the *bayanihan* spirit is still alive and has been showed in many ways, such as when natural calamities strike. Filipinos will go out of their way to help their *kababayans* (fellow men) in need.
Furthermore, in studying *Malasakit* one should take note of *kapwa* “other” as its foundational concept which is literally translated as “other person”. Filipinos use this word to refer not only for strangers but to all relatives, next-door neighbors, and friends. It is a word that embraces all relationships. That’s why they say ‘kapwa-tao’ fellow human being, ‘kapwa manggagawa’ fellow worker, ‘kapwa estudyante’ fellow student. As noted, Filipinos love their family and this love is extended to friends, and other people they considered *hindi na iba* or strangers to them. It defines the Filipinos as naturally compassionate. It empowers them to support others without asking for anything in return. In general, Filipinos are known for their heartfelt concern, nurturing spirit and caring touch. The demands for the overseas workers are one concrete example of these traits.
---
\(^{14}\) Jocano, Asal p.11
\(^{15}\) Jocano, Asal p 11
\(^{16}\) The concept of *Bayanihan* is traced back to in the Philippine tradition which can be observed in rural areas, wherein the town’s people were asked especially the men to lend a hand to a family who will move into a new place. The relocation does not only involves moving the family’s personal belongings but most importantly it concerns the transfer of the family’s entire house to a new location. A traditional Filipino house (*Bahay Kubo*) is made of indigenous materials such as bamboo and *nipa/anahaw* leaves.
Besides the different studies on Filipino cultural traits by different Anthropologists and Psychologists, an observation was recognized and confirmed by Dr. Roberto Mayorga, a former ambassador of Chile to the Philippines. Concern for others is a noble quality to give Filipinos “strength in times of crisis, a resilient and hopeful spirit and human compassion that prompts them to reach out to *kapwa* during times of calamities.”\textsuperscript{17}
**Malasakit the Dynamic Equivalent of God’s mercy**
Anscar Chupungco, OSB, an expert in “serving God with public and communal worship”\textsuperscript{18} (liturgy), asserts that there is a “dynamic equivalence between faith and culture”\textsuperscript{19} Dynamic equivalence is one of the methods of liturgical inculturation used in the translation of the bible and liturgical inculturation. It “re-expresses the living language of a local community by replacing the elements of the gospel value that has an equal value in the culture of the people, and hence can suitably transmit the message intended by the gospel”\textsuperscript{20} It asserts that there are elements of Jesus’ inclusive love as face of God’s mercy and *malasakit* that cultivate self emptying love, communion and personal accountability. Therefore, Filipino Catholic Christians, by depicting from the richness of their culture, can be authentic messengers of God’s mercy from the examples of Jesus’ inclusive attitude.
The closest equivalent Filipino words for mercy are *awa* and *habag*. Both are everyday human experiences where the heart is touched from within. Where *awa* and *habag* are states of high emotions, there is a better cultural trait where mercy is not fleeting and triggers the heart towards action. Mercy runs deeper than a personal feeling of pity. Mercy, therefore, finds concrete expression in the Filipino cultural value *Malasakit*. It is defined by Jocano as a Filipino’s solicitous concern and selfless service to others. It is a combination of the two Filipino words *sakit* and *malasin*. *Sakit* pertains to any physical, emotional or mental pain or disease. *Malasin* on the other hand means to notice or to look at it intently. Anyone who has *malasakit* towards others, then, is one who worries over somebody else’s sorrow, grief and pain and does something to take them away. This person has this sense of responsibility towards others.\textsuperscript{21} The question is when does the person begin to have *malasakit* towards others? It happens when the person begins to identify himself with others and set aside his own personal interests for someone else’s well-being, needs and concerns. As a relational people, Filipinos drawn their *malasakit* to others from their own personal experiences of *malasakit*.
Indeed, *malasakit* begets *malasakit* It presupposes a proactive response of self to another.
\textsuperscript{17} Canares-Yamsuan, C. (2015, December 2). “Concern for others is an outstanding Filipino trait—and this book is out to prove it”
\textsuperscript{18} Maxwell-Stewart, C. Fr. ( 1996, July). *Faith Magazine* “Liturgy: What Does It Mean?”
\textsuperscript{19} Anscar, Chupunco, OSB, “Filipino Religious Culture and Liturgical Inculturation” in *Liturgy for the Filipino Church: A Collection of Talks of Anscar J. Chupungco, OSB given at the National Meeting of Diocesan Directors of Liturgy (1986-2004)*, 10
\textsuperscript{20} Anscar J. Chupungco, OSB, (2016, September). “LITURGICAL INCULTURATION The Future That Awaits Us”
\textsuperscript{21} Phildom. (2017, August) ‘Dominican Mission Month’.
As a lived cultural value of God’s mercy, *malasakit* wears many different faces. Lack of opportunities and poverty are the main drivers why many Filipino leave their families and work abroad. The desire to secure a better future for their children drives many parents to put their own lives at risk in the hands of unscrupulous, illegal recruitment agencies, and abusive foreign employers. The same goes with workers or employees who are willing to work extra hours to finish the responsibility given to them and would exercise prudence in their decisions in the use of company resources in cash or in kind.
Jesus’ table fellowship is a fellowship of welcoming people. There is an element of care and concern for those who regarded as outcasts and sinners in the society. In *malasakit*, an OFW who gives the concern identifies himself or herself to their loved ones who are in need of financial support, thus the ‘other’ person is not actually the ‘other’ but an extension of oneself. The Filipino overseas workers best exemplify the best of Filipino culture which is the face of mercy Christ wears.
Moreover, the downpour of assistance and support to affected families after typhoon Yolanda or storm Haiyan is another face of mercy where Filipinos from all walks of life, and from other countries, stood hand in hand, shoulder to shoulder to give beyond what they have. This is indeed a realization that nobody is too poor to have nothing to share.
The attitude of *malasakit* moves the person to do something to alleviate the person from his or her present difficult situation, Jesus’ words of inviting people to dine with him is the first step to affirm their uniqueness as a person and their willingness to receive His grace. *Malasakit* mirrors Jesus’ attitude of care and concern for those who are in need. It is the Filipino’s way of saying God cares\(^{22}\). This care manifests itself in God’s Divine providence. Therefore, *malasakit* is a grace from God that enables a Filipino to act with *malasakit* on others. The source and origin and initiative of *malasakit* is God. It cultivates self-emptying love like Jesus who reached out to the outcasts, being one with others recognizing them as children of God also and an exercise of freedom to make a choice to offer and receive help and therefore a personal accountability. In this way, the cultural value *malasakit* becomes a Christian value as well.
**CONCLUSION**
It is without doubt that God’s mercy is fully revealed in Jesus’ inclusive love. Jesus indeed is the face of God’s mercy. Any encounter with Jesus then, is and, always will be, an experience of inclusive love. Therefore, only a love that gives oneself like Jesus can make *malasakit* a true cultural value that bears the face of God’s mercy. It is Divine love in action.
In the final words of Jean Valjean in *Les Miserables*, he said: “To love another person is to see the face of God”.
**References**
\(^{22}\) De Mesa, J. (2003). Why Theology is Never Far From Home? p. 163
Books
Almario, Virgilio S., (2010). *UP Diksyunaryong Filipino Binagong Edisyon*. Diliman Quezon city, Philippines: Anvil Publishing Inc.
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Andres, Tomas D., (1988). *Managing by Filipino Values*. Sta. Mesa, Manila, Philippines: Our Lady of Manaoag Publishers.
Anscar, Chupunco, OSB, (2004). “Filipino Religious Culture and Liturgical Inculcation” in *Liturgy for the Filipino Church: A Collection of Talks of Anscar J. Chupungco, OSB given at the National Meeting of Diocesan Directors of Liturgy (1986-2004)*, ed. Josefina M. Manabat, SLD. Manila: San Beda College, Graduate School of Liturgy
Brown, Raymond E. S.S., & Fitzmyer, Joseph, S.J, and Murphy, Roland E.(2016). *New Jerome Biblical commentary*. India: O.Carm Theological Publications.
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David, P., DD, Bp. & Tomen, N. (2016). *The Gospel according to Juan/a*. Manila: St. Pauls Publishing
Dela Rosa, Rolando, OP. (2014). *We Become What We Love*. Espana, Manila, Philippines: UST Publishing House Inc.
Jose de Mesa. (2003). *Why Theology is Never Far From Home?* Manila, Philippines: De La Salle University Press. P 163
Gorospe, Vitaliano R., (1988). *Filipino Values Revisited*. Manila, Philippines: National Bookstore, Inc.
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Landa, Jocano., (1992). *The Experience Core of Filipino Value System*. Quezon city, Philippines: Punlad Research House.
Moloney, Francis J., (1997). *A Body Broken for a Broken People: Eucharist in the New Testament*. Peabody: Hendrickson Publishers.
Francis, Pope (19 March 2016). *Amoris Laetitia: Post Symodal Apostolic Exhortation on love in the family (Study Edition)*. Makati, Philippines: Word and Life Press.
Zaccarias, Mattam, SDB. (2008). *The Gospel According to St. Luke, the Voice of the Beloved*. Mumbai: St. Paul Training School.
Journals
Velankanni, Francis. (2007). The Eucharist and Table Fellowship in the New Testament. *East Asian Pastoral Review volume 44 number 2*.
Walatka, Todd. (2016). The Principle of Mercy: Jon Sobrino and the Catholic Theological Tradition. *Theological Studies, 96-117*.
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Stats, Katherine V., (2016). "Seeing God's 'Welcome Table': Images of the Church for an Inclusive Ecclesiology". Seattle Pacific Seminary Theses 6. Retrieved from http://digitalcommons.spu.edu/spseminary_etd/6
Garcera, G., DD, Abp. (2017, January). *The Filipino Families in the light of Amoris Laetitia*. Retrieved from https://worldmissionmagazine.com/archives/december-2016/filipino-families-light-amoris-laetitia
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Pope Francis. “I desire mercy, and not sacrifice” (*Mt 9:13*). *The works of mercy on the road of the Jubilee*. 4 October 2015. 11 April 2018. Http://m.vatican.va/content/francescomobile/en/messages/lent/documents/papa-francesco_20151004_messaggio-quaresima2016.html.
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Interior Environmental Design Conveying Local Socio-Cultural Identity
Natapon Anusorntharangkul, King Mongkut’s Institute of Technology Ladkrabang, Thailand
Yanin Rugwongwan, King Mongkut’s Institute of Technology Ladkrabang, Thailand
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
Interior Environmental Design Conveying Local Socio-cultural Identity explains the importance of local identity linked to society and way of life in the past which is a heritage of remaining faith. Especially, reflecting the plan can be transferred to the interior environment design process and pattern allowing for communicating the emotion and unique atmosphere of the local culture. This study aimed to study the Local Socio-cultural Identity elements can reflect the interior environmental design, the related features of the interior environment and Local Socio-cultural Identity. A case of Tourist Accommodation, the perceptual factors affect the interior environment conveying the Local Socio-cultural Identity, and guide design elements of the interior environment expressing the Local Socio-cultural Identity. Moreover, this research advocates the philosophy that businesses must develop marketing strategies that not only address the needs of consumers but also safeguard the local identity. Preservation and study of such resources contribute to overall social wellbeing through understanding and appreciation of the past within a social context and environment. By mean of the organisation of the space, time, interaction, communication, and cue. Especially noteworthy are explaining the importance of local identity linked to society and way of life in the past which is a heritage of faith reflected in the plan which transferred to the design process and pattern. The point of view has the goal creative integrate the interior environment and how to design development from local identity for historical and culture that inherited through the designing process.
Keywords: Sufficiency Economy, Cultural heritage management, Local Socio-Cultural Identity, Interior Environmental Design
Introduction
The importance of Thai cultural heritage management is an intellect that combines the architecture conservation, community conservation, heritage, tradition and culture. All focus on the knowledge integration of inheritance and preservation to improve the position and capability of the people in the country. It also creates a valuable knowledge base which can be applied and develop the appropriate technology into various areas of the country. In particular, how to learning and enhancement of the local wisdom of the people in that area that become the commercial and public benefit. Including, development of quality of life wherewith using resources and local area networks effectively. All that said is the ability to develop the economy including the development of knowledge and local wisdom to be the basis for community economic development. It also focuses on the development of industrial productivity and service. It covers tourism by developing sustainable tourism resources, eco-tourism and creative tourism. It based on the philosophy of Sufficiency Economy that is balanced and sustainable development. Thailand has an environment with the various natural attractions and abundant history. For instance, Ban Chiang community in Nong Han district, Udon Thani Province, northeastern Thailand which town is UNESCO registered as a World Heritage. The archaeological site of Ban Chiang has been a world heritage site since 1992. It settled from the Neolithic to the Iron Age. It is most famous for its red painted pottery etc. Many places of Thailand are an ancient civilisation of the community in the ASEAN neighbourhood. The environment also has the resources of religion, art, culture, and tradition that make the unique of place or community. The result is more spatial tourism in Thailand and effects the economic development of the community as well.
Figure 1: Avocation of Nong Han Native
However, from such development is found that there are problems and obstacles in the concept development of the identity of the place where tourism developed within the local community. Probably from changes of the living way is unbalanced that be the cause of cultural and social changes of people in the community. As a result, the social model is changing; both are objects and not objects. In other words, can call a lack of Local Socio-cultural identity. These things affect the process of understanding and how to convey the importance of culture to the public. Concerning expressing meaning to represent the value of what is local identity and it also needs to fulfil the needs of users. Both roles may have conflicts with each other. It is, therefore, necessary to find a balanced approach between the different parts of the two objectives. This concept integrates multifaceted aspects of design and Local Socio-Cultural Identity contributing the quality and identity of the community. Design management efforts involve long-term work in the background and involve different Environmental Design Conveying Local Socio-Cultural Identity as one of the significant competitive priorities for increasing the value and get a better image, and support the community image attaining. From a quality management perspective, the speed of design and the Interior Environmental Design indicates the importance of designing quality into inheritance and conservation issues. Because of design efforts often have inherent drivers for people’s perception through an optimising design.
**Literature Review**
Human is different from other namely the brain development for think, analyse and identify. Especially, creating and learning what responsive to their needs from the environment like an appropriate settlement. Through creating a style of their housing that responds to usability and appropriate to the local climate from the integrating creative, usability style, cultural faith and tradition that expressed through architecture. From the earliest vernacular traditions, we learned that local architecture and native urbanism could offer the best and integrated solution towards human needs in their relationship with nature, social, and supra-natural environments. It is the medium for human survival in both moral and spiritual worlds, for reconciling the power of nature and the desires of the human being. Architecture is a synthesis of material culture, spiritual culture and behavioural culture. Understanding and recognising the distinctive elements of this culture is a critical basis to promote traditional values. (Hoang Manh Nguyen, 2013) As a result, the Local Socio-cultural Identity is different in each region of the world, and also there are beautiful and invaluable local heritages consistent with the local context.
Conservation and enhancement of the local heritage environment are typically viewed as a desirable undertaking. Preservation and study of such resources contribute to overall social wellbeing through an understanding and appreciation of the past within social context and the environment by the organisation of the space, time, interactive, communication, cue and activities. Especially, explaining the importance of local identity linked to society and way of life in the past which is a heritage of faith reflecting the plan can transfer to the design process and pattern. Design conveying Local Socio-cultural Identity involves the creation of a vision for the community and then the application of techniques – incentives and controls – to achieve that vision. Found that there are many research studies on climate and design, and culture and design but many designs have been based on an individual architect or designer’s vision.
To create Local Socio-cultural Identity to the interior environment, studies on architectural design need to take into account some crucial elements of the context of social, cultural and physical environment and should also truly understand the Local Socio-cultural Identity in that region. From the past, the issue of cultural identity in the contemporary interior environment has had a pivotal role in creating own and local characteristics in a competitive environment at the global level. Many countries have begun to check the unique culture by studying the traditional rules and values. This process has had the impact on the work of contemporary interior environmental design. Interior environment in each region gives us precious lessons of the perception, behaviour and specific solutions to the natural environment which formed the regional specific culture.
Derived from the literature review, theoretical basis as a foundation of the research framework found the social environment, social context, sociocultural context, or milieu, refers to the immediate physical and social setting in which people live or in which something happens or develops. It includes the culture that the individual was educated or lives in and the people and institutions with whom they interact. The interaction may be in person or through communication media that the meaning of many built environments generated through personalisation which is inherited. Aside from these, there are more methods of study people concerning the built environment. In architecture, the built environment understood to mean a human-made landscape, as distinguished from the natural environment; for example, traditional housing is a built environment that has a symbolic meaning. This context is one of these environmental factors that influence lifestyles as an element in the physical environment that has been created by humans, for example, material, style and orientation. The literature demonstrates that these can facilitate lifestyles. The study of people relating and reacting to their physical environments (i.e., Interior Environmental Design) expressing the Local Socio-cultural Identity is a focus of this research. There are many methods to study. Including observation, interviews and questionnaires, analysing historical, cross-cultural examples and tracing patterns, regularities and consistencies in human social behaviour. The types of physical environments affect behaviour or social as well as objective (actual) or subjective (perceived). The environment can be a particularly strong behavioural determinant for behaviours that directly shaped by environmental constraints and supports. Therefore, designers are in a dominant position to affect the physical environmental aspects of the physical environments they design. Design that considers the environment is necessary to sustain life. In traditional architecture, the constructors and users share
the same culture, and they make designs that are coherent with this culture to create structures that are respectful of people and the environment.
The importance of designing quality into inheritance and conservation issues
Interior Environmental Design Factors
Tourist Accommodation Environment
Interior Environment Design Criteria of the Tourist Accommodation expressing the Local Socio-cultural Identity
Perception
Participant (Native and Outsider)
Figure 3: Conceptual Framework of the Research
**The Purpose of the Research**
The objective of this paper is to study the Local Socio-cultural Identity elements can reflect the interior environmental design, the related features of the interior environment and Local Socio-cultural Identity. A case of Tourist Accommodation, the perceptual factors affect the interior environment conveying the Local Socio-cultural Identity, and guide design elements of the interior environment expressing the Local Socio-cultural Identity.
**The Hypothesis of the Research**
Interior Environmental Design Conveying Local Socio-Cultural Identity based on the design criteria of Tourist Accommodation can make people in the community (Native), and tourists (Outsider) recognise the value of Local Socio-Cultural Identity. This concept will result in a sustainable community of tourism as it is capable of transferring cultural knowledge significantly at 0.5
**Research Methodology**
This study aims to evaluate the interior environment expressing the Local Socio-cultural Identity effect to the mutual perception of the native and outsider. Its primary objective is to propose contemporary design alternatives of the interior environment expressing the Local Socio-cultural Identity. This proposal demonstrates how the elements of the Local Socio-cultural Identity would be applied to design process the interior environment attributes where communicates ideas about the Local Socio-cultural Identity to native and outsider of community.
(a) Review of literature, concepts and theories of Traditional architectural design. There are the traditional rules and values, elements of the environment, economics and social, and the Local Socio-Cultural Identity.
(b) Survey of the Local Socio-Cultural Identity which has the interior environment (e.g., traditions, custom, culture, rules, values and lifestyle) in a case of Home-stay Tourist Accommodation by traditional values of the community to interior environmental design. In other words, interior environmental design needs to take into account some crucial elements of the context of the social, cultural and physical environment. (As well as the approaches to design and strategy).
(c) Delphi testing about the Local Socio-Cultural Identity with Specialists and Native.
(d) Converting the Local Socio-Cultural Identity of the community expresses through Interior Environmental Design.
(e) Setting the interior environmental simulations (3D) and design questionnaire for examining the design elements through the design process by 5-Level Likert-type scale (rating from 1=not at all to 5=very much) with Specialists.
(f) Examine perception of native and outsider (Tourist)
(g) Conclusion and Guide the interior environmental design elements of interior environment expressing the Local Socio-cultural Identity.
Figure 4: Converting the Local Socio-Cultural Identity of the community expresses through Interior Environmental Design as the research tool
Figure 5: Converting the Local Socio-Cultural Identity of the community expresses through Interior Environmental Design as the research tool
**Expectation of the research**
This research has to desire the importance of design process of the interior environmental design elements expressing the identity of Local Socio-cultural. This concept advocates the philosophy that an interior designer must develop the approaches to design and innovation that not only address the needs of people but also safeguard the local identity. Interior Environment Design Criteria of the Tourist Accommodation expressing the Local Socio-cultural Identity can make people in the community (Native), and tourists (Outsider) recognise the value of Local Socio-Cultural Identity. This concept will result in a sustainable community of tourism as it is capable of transferring cultural knowledge.
**Acknowledgements**
My sincere thanks goes to my advisor Assistance Professor Dr. Yanin Rugwongwan for the support of my study and related research. His guidance helped me in all the time of research.
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The Changing Lighting of Classroom for the Different Learners’ Background
Preechaya Krukaset, Suan Sunandha Rajabhat University, Thailand
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
The purpose of this research is to study and compare different lighting design factors affect learners' learning behaviours. The research hypothesis is that different lighting design factors affect learners' learning efficiency within classrooms. They enhance the ability to learn and support or promote learners' learning and stimulate the interest of the students. The research method was exploratory and interviews of learner's popularity with the use of lighting in the classroom. The research instruments used were interviewing form and classroom physical environment modelling by different lighting issues. Through controlling other design factors (an unadorned environment) to reduce the attention of interview respondents and no stimulated of their feeling. The questionnaires were used to collect two issues. There are the personal data of 50 non-artistic learners or designers and 50 artistic learners or designers, totalling 100 people, and the data of the correlation of perception between the two groups' and response of learner groups; friendly, relieve, privacy, excitement, niceness of classroom and overall satisfaction. These all reaction to classroom environment with different lighting in 3 main factors; light pattern, colour temperature and type of light. The results found that the diffuse-lighting is more suited to classroom design than the point-lighting.
Keywords: learners’ background, Perception, learning style, lighting factor
Introduction
The classroom and work environment of school or university is changing more rapidly. Technological innovation is empowering educational organisations and individuals to explore new improved ways of design to develop and improve that place. Cause the users of workplaces of the classroom are essential. The designer is therefore obliged to accept the challenge to deal with all aspects to achieve optimum efficiency and minimise physical and mental stress and strain on users. The lighting factor is also an important issue in designing the environment. Especially the factors of light conditions that affect the behaviour both regarding uniform brightness and light pattern. The designer has to think the efficient use of light energy, and lighting technology varies by area or area of use, the temperature of the light and the colour of light. Therefore, proper lighting design there is a difference in the physical requirements such as work or study, where lighting has a significant effect on the behaviour of the user. This concept is a significant challenge for architects and designers to take into account during the physical design process to enhance the efficiency of work.
The extensive research upon which this paper-based, concentrated on classroom environment with different lighting in 3 main factors; light pattern, colour temperature and type of light that contribute towards the perception and response of learner groups. The main theme of the research emerged from interior design and lighting design, while the research questions and research variables stem from interrelated disciplines such as work psychology, social psychology of work, behaviour and environment. The research designed in stages with varied methodological options and the data of a survey with a random sample of 100 classroom users using a visual questionnaire. The results were analysed using SPSS (Statistical Package for Social Sciences). This paper only reflects the data analysis pertinent to different lighting, as expressed by classroom users, are non-artistic learners or designers and artistic learners or designers, which would offer guidelines for interior designers and facilities managers.
Literature background
Lighting technologies differ along multiple dimensions such as light pattern, colour temperature and type of light. Lighting can also vary based on physical specifications such as functionality, and ease of use. Lighting serves the fundamental aim of supporting the human vision, and different factors, for example, light pattern and colour temperature have been shown to affect operator perception, cognition and mood state. Though there has been considerable research into the lighting, relatively research has considered how the lighting might affect human performance. Humans work in lighted environments on a daily basis, and many environmental factors combine to affect them both physiologically and psychologically. The importance of lighting for the human vision, indeed it is difficult to imagine performing many daily tasks without sufficient lighting. A recent survey of the existing research influences on human performance revealed that the majority of the lighting literature examines effects on human physiology. That review found many studies on lighting effects on circadian rhythm, with discovery such as insufficient light exposure causes sleep fragmentation. Also, there is research showing that exposure to full spectrum lighting can improve seasonal affective disorder, a disorder can cause depression-like
symptoms during months of less sunlight. Considering these effects of lighting on human physiology, increasing studies have examined how varied lighting conditions might further alter more psychological processes, such as mood, memory, and processing speed.
Mood, or emotional state, can generally be divided into two bipolar and theoretically orthogonal constructs: valence and arousal. Valence describes the negative (e.g., sadness) to positive (e.g., happiness) dimension, and arousal describes the high (e.g., excitement) to low (e.g., sleepiness) arousal dimension. Some have shown that people are positively appreciative of enhanced lighting settings, though only a handful of recent studies have demonstrated effects of lighting colour temperature on participant mood states. Colour temperature typically described in units of absolute temperature. In general, higher colour temperatures are bluish white and typically referred to as cooler colours, whereas lower colour temperature is yellowish red and typically referred to as warmer colours. Knez and Kers (2000) demonstrated that younger adults preserve negative mood in warm relative to cool fluorescent lighting while working on cognitive tasks. Mills et al. (2007) presented that very high colour temperature workplace lighting could enhance worker alertness, reduce worker exhaustion, and increase work productivity similar to Hoffmann et al. (2008) found enhanced levels of activity/arousal and concentration.
More experimental designs with multiple and carefully controlled lighting parameters and highly sensitive cognitive tasks might show different results. There is a reason to believe that under such carefully-controlled conditions, lighting can alter environmental conditions enough to increase positive mood, decrease exhaustion, and improve cognitive performance. In point of fact, there is theoretical support in experimental social psychology to support the notion that positive moods can benefit memory and other cognitive tasks such as problem-solving. In the cognitive research demonstrates that negative low arousal states can slow task performance, and there is some evidence that low colour temperatures might promote fatigue and negative mood states (Breanne et al., 2012).
The purpose of this research is to study and compare different lighting design factors affect learners' learning behaviours. We hypothesize that different lighting design factors affect learners' learning efficiency within classrooms. They enhance the ability to learn and support or promote learners' learning and stimulate the interest of the students.
Method
I. Subjects
In this research method was exploratory and interviews of the classroom user's popularity. The research instruments used were interviewing form and classroom physical environment modelling by different lighting issues. Through controlling other design factors (an unadorned environment) to reduce the attention of interview respondents and no stimulated of their feeling. The questionnaires were used to collect two issues. There are the personal data of 50 non-artistic learners or designers and 50 artistic learners or designers, totalling 100 people, and the data of the
correlation of perception between the two groups' and response of learner groups; friendly, relax, privacy, excitement, niceness of classroom and overall satisfaction.
**Figure 1:** Example of Stimuli (3D) (an unadorned environment) as Tool
### 2. Experimental Tool
The research tool divided into 2: interview forms design and modelling the physical environment in different lighting issues. Interview design, in this section, we set the questions to be divided into two groups; artistic education group and no-artistic education group to find the relationship between the two groups' awareness levels and the sensory response to the physical environment of the light. The indicators for evaluating the design approach of light selection in the classroom are three types of light; light pattern, colour temperature and type of light. The interview forms constructed as a comparison between the left image and the right image to compare attitudes and satisfaction of the classroom users. By experimenting with Stimuli (3D) in a related classroom environment with different lighting. By each side has five levels of popularity.
**Figure 2:** Interview forms constructed as a comparison between the left and right image
### 3. Lighting factors
In this part, we choose classroom environment with different lighting in 3 main factors; light pattern, colour temperature and type of light. The subjects are as follows.
• Light pattern:
o Spot-lighting (S) and Diffuse-lighting (D)
• Colour temperature:
o Warm lighting (WL) and Daylighting (DL);
o Spot-Warm lighting (SWL) and Diffuse-Warm lighting (DWL);
o Spot-Daylighting (SDL) and Diffuse-Daylighting (DDL);
o Spot-Warm lighting and Daylighting (SWDL) and Diffuse-Warm lighting and Daylighting (DWDL)
• Type of light:
o Artificial lighting (A) and Natural lighting (N);
o Mix Natural-Diffuse-Warm lighting (MixNDWL) and Mix Natural-Diffuse-Daylighting (MixNDDL);
o Mix Natural-Spot-Warm lighting (MixNSWL) and Mix Natural-Spot-Daylighting (MixNSDL);
o Mix Natural-Spot-Warm and Daylighting (MixNSWDL) and Mix Natural-Diffuse-Warm lighting and Daylighting (MixNDWDL)
The results and conclusion
The results of the analysis of the data divided into two groups. The first group, 50 of 100 people are an artistic group who are the art students of the undergraduate level as the representative of the group. Another group is a non-artistic group who is the student of the undergraduate level without art or design background. We assigned this sample to be the undergraduate student in other subjects. All participants are an average age of 20 years. There are 45 residents of Bangkok and 55 residents of other provinces, respectively, with an average income of 5,225 Thai Baht. The results of the popularity level analysis are detailed below.
1. Light pattern
1.1 Comparison of Spot-lighting (S) and Diffuse-lighting (D)
Overall satisfaction of both groups is D. There is a trend in the popularity of light patterns in almost the same feeling of both groups. The only subject is excitement that both groups have a different feeling. Artistic group think the S light patterns that are exciting whereas non-artistic group think that D light patterns are exciting.
Figure 3: Comparison of Spot-lighting (S) and Diffuse-lighting (D)
2. Colour temperature
2.1 Comparison of Warm lighting (WL) and Daylighting (DL)
The popularity of colour temperature of both groups is almost the same feeling. The only subject is niceness of classroom that both groups have a different feeling. Artistic group think the $DL$ that are niceness whereas non-artistic group think that $DL$ and $WL$ are the same feelings. Howsoever, overall satisfaction of both groups is DL.
2.2 Comparison of Spot-Warm lighting (SWL) and Diffuse-Warm lighting (DWL)
The popularity of colour temperature of both groups is the same feeling. Both groups favor $DWL$ in the subject as friendly, relax and niceness of classroom.
2.3 Comparison of Spot-Daylighting (SDL) and Diffuse-Daylighting (DDL)
Overall satisfaction of both groups is $DDL$. The popularity of colour temperature of both groups is almost the same feeling. The only subject is niceness of classroom that both groups have a different feeling. Artistic group think the $SDL$ that is niceness whereas non-artistic group think that $DDL$ and $SDL$ are the same feelings.
2.4 Comparison of Spot-Warm lighting and Daylighting (SWDL) and Diffuse-Warm lighting and Daylighting (DWDL)
The popularity of colour temperature of both groups is different in all subjects. Artistic group favour DWDL in all subject, on the other hand, non-artistic group favour SWDL and DWDL. Overall satisfaction of both groups is DWDL.
Figure 7: Comparison of Spot-Warm lighting and Daylighting (SWDL) and Diffuse-Warm lighting and Daylighting (DWDL)
3. Type of light
3.1 Comparison of Artificial lighting (A) and Natural lighting (N)
However, when we compared the Artificial lighting and Natural lighting, we found the difference. Both groups favour N more than A. The popularity of the type of light of both groups is the same feeling in all subjects. Both groups favor N in the subject as friendly, relax, privacy, excitement and niceness of classroom.
Figure 8: Comparison of Artificial lighting (A) and Natural lighting (N)
3.2 Comparison of Mix Natural-Diffuse-Warm lighting (MixNDWL) and Mix Natural-Diffuse-Daylighting (MixNDDL)
The popularity of the type of light of both groups is the same feeling in all subjects. Both groups favour MixNDDL in three subjects as friendly, relax, and niceness of classroom. In the privacy, both groups favour MixNDDL and MixNDWL as same. However, both groups favour MixNDWL in the excitement subject.
3.3 Comparison of Mix Natural-Spot-Warm lighting (MixNSWL) and Mix Natural-Spot-Daylighting (MixNSDL)
Overall satisfaction of both groups is *MixNSDL* and *MixNSWL* as same in almost subject. Nevertheless, there is only subject that both groups have a different that Artistic group think *MixNSDL* that relax whereas non-artistic group think that *MixNSWL* is relaxed in three subjects as privacy, excitement, and niceness of classroom.
3.4 Comparison of Mix Natural-Spot-Warm and Daylighting (MixNSWDL) and Mix Natural-Diffuse-Warm lighting and Daylighting (MixNDWDL)
The popularity of the type of light of both groups is different in all subjects. Artistic group favour *MixNDWDL* in all subject, on the other hand, non-artistic group favour *MixNSWDL* in all subject.
In conclusion, the results found that Diffuse-lighting is more suited to classroom design than Spot-lighting. Colour temperature of the light found that Daylighting can
feel relax and excite when the learner is using area, and also promote niceness of the classroom. In the classroom design, if the designer uses Warm lighting, it will respond to the privacy rather than Daylighting. Diffuse-Daylighting is more appropriate for classroom design than Spot-Daylighting. Wherewith can respond to the needs of the learner, contribute to the ability to learn, support or promote learners' learning and stimulate the interest of the learner. Due to Diffuse-Daylighting build the sentiment as friendly and relax when the learners use the classroom. However, if the designer wants to design a classroom that emphasises privacy, exciting and enriching the niceness, they should choose Spot-Daylighting.
Figure 12: Diffuse-lighting as Overall satisfaction for classroom design
**Suggestion and future research**
This research has been carried out according to the research process to answer the research hypothesis for a limited time. However, if this results of the study used, there must be a similar context. Also, should have an in-depth study of other factors such as learning objectives and learning activities. Including research tools should also be developed like the environment mockup model, if there is capital. These factors may analyse the more rational relationship that will lead to further development of knowledge. The essence of designers should take into account in their design namely the different of characteristics between area user groups and specific features of the user. So designers should focus on the sense of place as though the necessary theory. It can be beneficial to the design and develop the design research possible. All these are the suggestion for future research.
**Acknowledgement**
My sincere thanks go to my research grants, Suan Sunandha Rajabhat University, for the support of my study and related research.
References
Breanne, K. H., Tad, T. B., Caroline, R. M., John, M. S., Christian, D. A., (2012). Effects of four workplace lighting technologies on perception, cognition and affective state. *International Journal of Industrial Ergonomics* 42 (2012) pp. 122-128.
Gibson, J. J. (1979), *The ecological approach to visual perception*. Boston: Houghton Mifflin.
Hoffmann, G., Gufler, V., Griesmacher, A., Bartenbach, C., Canazei, M., Staggl, S., Schobersberger, W., (2008). Effects of variable lighting intensities and colour temperatures on sulphatoxymelatonin and subjective mood in an experimental office workplace. *Applied Ergonomics* 39, pp. 719-728.
Ittelson, W. H., Pronshansky, H. M., Rivlin, L. G. and Winkel, G. H. (1974). *An Introduction to Environmental Psychology*. New York: Holt, Rinehart and Winston.
Knez, I., Kers, C., (2000). Effects of indoor lighting, gender, and age on mood and cognitive performance. *Environment and Behavior* 32, pp. 817-831.
Lang, Jon. (1974). Thories of Perception and “Formal” Design. In Lang, Jon (Ed.) *Designing of Human Behavior*. Pennsylvania: Hutchinson and Ross Inc.
Mills, P.R., Tomkins, S.C., Schlangen, L.J.M., (2007). The effect of high correlated colour temperature office lighting on employee well-being and work performance. *Journal of Circadian Rhythms* 5, pp. 2.
Nomana, A., Jeanette, P., Roland, A., (2004). The changing environment of offices; a challenge for furniture design. *Design Studies* Volume 26 No. 1, pp. 73-74.
Randall Fielding. (2006). *Leaning, Lighting, and Color*. Retrieved June 26, 2016 from www.DesignShare.com.
Preechaya, Kr., (2018). Floorplan-analysis, lighting and physical environment of classroom design. *The 2018 International Academic Research Conference in Vienna*, pp. 88-89.
Preechaya, Kr., (2010). The Physical Environment Affects Human Perception of Environmental Consciousness Concept. *The International Journal of Environmental, Cultural, Economic and Social Sustainability*, Volume 6, Issue 6, pp. 193-202.
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The Cultural Heritage Architecture of Luang Prabang: The Role in Tourism and Preservation Sectors
Yanin Rugwongwan, King Mongkut’s Institute of Ladkrabang, Thailand
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
When Luang Prabang was announced by UNESCO in 1955 as a world heritage, the role of the cultural architecture of Luang Prabang was changed from the past. The preservation of cultural architecture of Luang Prabang, it has many sectors. The objective of the research is to explore 1) the role of the cultural architecture of Luang Prabang in tourism and 2) the preservation sectors and their role in cultural architecture preservation. The research studied by non-participation observation, notice the trace and interview key informants. The results of research, the role of the cultural architecture of Luang Prabang in tourism have 4 roles that are 1) the place for visitor to visit for experience with cultural in Luang Prabang 2) The place for daily life of people in Luang Prabang 3) the place to collect cultural objects and 4) the place for business to serve tourists. The preservation sectors and their role, they have 4 sectors. 1) The sector is government sector that has roles to control, to supervise about building renovation and to manage income from entrance fee that they get from tourists. 2) Education sectors, they have the role to educate the new generation of Laos for preservation system. 3) Traditional material industry sector they have a role to produce traditional material. The traditional material industry sector is the local industry. And 4) foreigner sectors such as an international organization or embassy of other countries. They have the role to support preservation cultural heritage architecture by funding and development program.
Keywords: Cultural management, Luang Prabang, Cultural tourism, Cultural Architecture
Introduction
Luang Prabang is the world heritage city which announced by UNESCO on 1955. Luang Prabang is the former capital of Laos which on the period of the kingdom of Lan Xang. Luang Prabang was established by the king name “Kun Lor” on around 757 C.E. When Laos became a French colony, Luang Prabang is also important as the main city of the northern part. From the historical context, Luang Prabang is a city which full of unique architecture. The architecture of Luang Prabang consists of traditional Lao and colonial style, which creates a beautiful city landscape. Nowadays, Luang Prabang is one of the most popular tourist destinations in Southeast Asia. Luang Prabang’s architecture in the past was originally a place for living of Laos’s people which create upon Lao traditional culture. When the city was announced to world heritage city, the contexts of a city change that influences the role of architecture change from the past. The conservation of architecture in Luang Prabang is importantly considered to preserve the identity of tourism. This study draws attention to these issues in order to understand the phenomenon.
The area of world heritage site of Luang Prabang is limited in the old town area, according to the map of the World Heritage Site of Luang Prabang that around 10 km$^2$. The protected area, the department of world heritage Luang Prabang is divided into 4 zones that are a) ZPP-Ua (Preservation Zone) b) ZPP-Ub (Protection Zone) c) ZPP-N (Natural and Scenery Zone) and d) ZPP-M (Monasteries Zone)
Figure 1: Zoning of protected area in Luang Prabang.
The architecture in the protected zone has been registered by the department of World Heritage Luang Prabang, there are 37 monasteries. However, all 37 monasteries are not the same age, because each temple was built at different times. The highlight temple of Luang Prabang and there is evidence about build time is Xing-Thong Temple. The Xing-Thong Temple was built in 1558 on the Chai Chetthathirat King period, so the temple is not less than 450 years old. There are 443 public buildings and dwellings registered for preservation. The public buildings and dwellings are scatter located in Luang Prabang old town. The conservation building is located densely on the main road of the city, namely Sisavangvong road, Khem Khong road and Kingkitsarath road.
Figure 2: Xing Thong temple the highlight destination in Luang Prabang.
**Research Objective**
The objective of the research is to explore 1) the role of the cultural architecture of Luang Prabang in tourism and 2) The stakeholder and their role in cultural architecture preservation.
**Research scope**
This research was collected data by field study at Luang Prabang on twice time in the period of December 2016 and June 2017. Each time in a field study, the researcher has stayed in Luang Prabang for about 5 days.
Research methodology
The study was used as a qualitative method by field study at world heritage city, Luang Prabang, Lao People's Democratic Republic. The data collections were used as many tools to collect data such as:
1) Non-participant observations will be conducted during December 2016 and June 2017. The data will be collected for a period of 10 days.
2) Observation from the appearance in the field, between December 2016 and June 2017. The observation was used in digital cameras to collect traces.
3) Interview 10 key informant person that is government officer who is conservators, people who involved in conservation.
The data analysis process, the study was organized information from all tools. The study was analyzed and interpreted the data to summarize.
The role of the cultural architecture of Luang Prabang in tourism
In the past, Luang Prabang’s architecture played a role in the traditional way of Luang Prabang. When Luang Prabang was declared as a world heritage city, it resulted in changes in the way of life of people in Luang Prabang. The tourists from around the world pay more attention to Luang Prabang. And from that phenomenon, the cultural architecture of Luang Prabang, that has a new role from tourism such as;
1) The role as a place for visitors to visit and experience with the art of Luang Prabang. This issue is the direct role of cultural architecture, because of the architectural style that appears in Luang Prabang is unique and it is a different character from the architecture nearby such as Bangkok or Chiang Mai. These architectures are preserved by a good system so it leads to architectural value and uniqueness that attract to the attention of tourists.
2) The role as the place for activities according to people's culture or daily life in Luang Prabang. The cultural architecture of Luang Prabang, even though it is over 100 years old, but due to good care so it is still in use. The cultural architecture of Luang Prabang is still to use for daily life and according to the cultural way such as the monasteries, they still use for religious activities. The daily life and cultural activities, there is a good experience for tourist which to touch the authentic culture of Luang Prabang.
3) The role as the place to keep tangible cultural objects of Luang Prabang. Although some architecture is not being used according to the utility of the original function of a building, it is also used as a place to store important cultural objects of
Luang Prabang. The architecture that plays this role, the palace of the king, nowadays it has been transformed into National Museum of Luang Prabang. It is the important roles in the use of cultural architecture in tourism. Because of cultural objects in the past, when time goes on, it will be lost. Collecting in one place is a good way to preserve the heritage of the past to new generations to learn and to apply for the current lifestyle.
Figure 5: Tourist and their visiting at Mai Suvanpumara temple in Luang Prabang.
4) The role as the place to service in tourism business activities for tourist. The cultural architecture of the Luang Prabang has been preserved so they still have good condition. Investors and entrepreneurs have renovated these buildings to serve tourists such as restaurant, hostel, and spa. Visitors who visit Luang Prabang have the cultural atmosphere of Luang Prabang, but at the same time, it gets comfortable. At the time of building all architecture, the lifestyle and activities of those who use the building have characteristic as the traditional way of life. Nowadays, these buildings have been renovated to match the current lifestyle and tourism activities. As observed by the researchers, investors and entrepreneurs have tried to decorate these buildings in a colonial style; however, it can also provide services and comfort to tourists.
The current state of cultural architecture has found that the role of these buildings is still used, but when tourism arrives in Luang Prabang, the role of these buildings has changed from the past. The original roles of these buildings were the residential, shops or religious places. But nowadays, for tourism, these buildings have been adapted, although traditional roles are still present, they play an increasingly important role.
**The stakeholder and their role in cultural architecture preservation**
In preserving valuable architecture in Luang Prabang, there are many parties. Each sector has a different role, but also to support each of those architectures still remains and valuable. Based on the field data collected, the researchers found that there are sectors involved in preserving the architecture.
Government sector. The government sectors that play a role in preserving the unique architecture of Luang Prabang is composed of two divisions. First, that is Department of Luang Prabang World Heritage, DPL, which department is under Ministry of Information, Culture, and Tourism. And the second, the local government sector, that is Department of Information, Culture, and Tourism which department is under Luang Prabang city.
These two departments have clearly divided the role of maintaining the cultural architecture of Luang Prabang. This cultural architecture or registered architectures were published in a document called Inventory of protected heritage.
Department of Luang Prabang World Heritage and Department of Information, Culture, and Tourism have different roles and functions. The Department of Luang Prabang World Heritage will be responsible for seeking funds for the repair and conservation. In other roles of The DPL that supervise and approve the repair and construction of the building in accordance with the law to preserve the landscape and architectural condition, especially in preservation areas, to remain in good condition. The Department of Information, Culture, and Tourism have a role in construction to repair and supervise in craft and art of building.
In addition to the conservation, repair, and construction, the management of cultural sites in Luang Prabang is a role of the Department of Information, Culture, and Tourism. Management of ticket sales to earn money for a cultural site is a duty of the Department of Information, Culture, and Tourism. The tickets system is one ticket for one attraction and the admission fee for each place is not equal. Ticket sales are handled by people in the local community at the venue and deliver revenue to the department. Revenue from the sale of tickets will be used to pay for the maintenance of the building and to be the income of the local government.
1) Education sector. The education sector plays a role in preparing personnel for repairs and maintenance the unique architecture of Luang Prabang. Architects and craftsmen who will be involved in the repair are also important. Although there is a funding to repair if the lack of architects and craftsmen to repair it has an impact on the unique architectural value. Cultural architecture is a technique derived from the wisdom of the local people. Therefore, it cannot be taken from outside society. This differs from modern architecture by using universal construction techniques, which may be requested by architects or technicians from other sources. The researcher has been observing and interviewing the educational sector that produces architectural and artistic personnel in Luang Prabang that are Faculty of Architecture at Supanuwong University, Luang Prabang Folk Art College and Luang Prabang Technical and Vocational College.
By observations and interviews with faculty members in the Faculty of Architecture, Supanuwong University found that the Faculty of Architecture, Supanuwong University has 3 programs: 1) Architecture 2) Interior Architecture and 3) Construction management. The teaching of the Faculty of Architecture are a focus on the modern architecture, do not have the courses or teachings of the Lao traditional architecture. However, there are activities in teaching in some subjects that have benefited from the university's location in the world heritage site by learning about traditional Lao architecture such as drawing,
Figure 8: Thesis for graduates of Faculty of Architecture, Supanuwong University (Photo by Researcher 26 December 2016)
Art education, such as painting, sculpture, is also important in the conversation because graduated will become experts in the preservation of conservation architecture. The researcher observed at the Luang Prabang Folk Art College. It is taught at the undergraduate level and is taught in 3 fields: painting, sculpture, and print. Most of the work done by the students is a work of art in Laos, but using modern materials and techniques. For example, the paintings that students draw will reflect the way of life and the environment of Luang Prabang, especially the architecture, but the techniques used in the presentation will be oil or acrylic techniques. Sculpture works will create a traditional shape, such as the Buddha image, Naga, but using modern sculpting techniques. From interviews instructor in the Luang Prabang Folk Art College, students graduate from college work in part that involved in the repair and conservation of architectural and artistic tradition in Luang Prabang. Many graduates go to work in the field of handicrafts for sale to tourists.
Another college that offers vocational education to the new generation in Luang Prabang is the Luang Prabang Technical and Vocational College. is the Luang Prabang Technical and Vocational College offer undergraduate programs which programs are a concern with architecture and tourism are construction technique and tourism and hospitality.
From the field study, researchers have searched books and texts related to traditional architecture in Luang Prabang. The researcher found a book collecting architectural information about Luang Prabang, namely "Luang Phabang: an architectural journey".
It is written jointly by several writers including Somsanouk Mixay, Pierre-Bernard Lafont and illustrates drawings by Francois Grecq, Jean-Baptiste Lagier, and his team, published in 2004. The other book is a textbook to teach the pattern of art in Laos, it is a book called "Laos art of the first sector", which is a book that teaches Lao's ornament.
From the fielded study, the researcher found in the education sector of architectural and traditional arts preservation in Luang Prabang does not have a course that teaches traditional architecture and arts. However, the learners used the architectural and environment of the city to practice in drawing and painting.
1) Traditional construction material industry sector. Maintaining the unique architecture of Luang Prabang, maintenance funds, architects, and artisans are important, but one important aspect is traditional materials for repair. Most of the buildings and houses of Luang Prabang are constructed with the techniques of bricklaying and roofing with clay tiles. This is a unique feature that makes physical environment of Luang Prabang is unique. The researchers found that the source of these materials was produced outside of the Luang Prabang city area where located on the other side of the river bank. This brick factory has been producing brick, roofing and floor tiles for 30 years. The raw soil is the soil that is excavated from land in the factory itself, not from other areas. This brick factory was contacted by the Department of Luang Prabang World Heritage, DPL as a manufacturer of repair materials. But the factory owners have declined because of the inadequate production capacity.
In addition to interviewing the owner of the brick factory, the researcher has the opportunity to observe the traditional house repair project, its name Ruenchan resident. Ruenchan resident is a wooden house that is Laos’s traditional style building. The age of natural wood is limited by the time of use and maintenance. The repairers use synthetic wood made from gypsum at some point in the house because of the rare natural wood and the cost of them.
In summary, the traditional construction materials industry sector is an important sector of supporting the preservation of preserved architecture. However, by social change and the change of way of people's lives in modern times, the traditional construction materials manufacturers are less and may be discontinued in the future. It will affect the conservation of the unique architecture of Luang Prabang in the future.
2) The international organization sector. The architectural preservation of the Luang Prabang could not be denied that was support by the foreign sector. This sector is an important part of supporting both funding and technical support to the World Heritage Sites of Luang Prabang. The researchers found that within the Luang Prabang World Heritage Site, there was a display of funding information from foreign agencies. The information in the display indicates the source of funds and the amount received. In addition to funding, international organizations have also established the training center for people who interested in enhancing knowledge and skills. Such as, UNESCO Training Center for Laotian Traditional Arts and Building Crafts Luang Prabang at Xieng Muan Temple that was established by UNESCO under The Cultural Survival Project Luangprabang. The project received a grant of $150,000 from UNESCO in 2000-2007 and during 2016-2017, it received a grant of 45,000 USD from the World Education Lao to educate and rehabilitate artisanal skills in painting, carving, and casting.
Figure 10: Information board that displays about sponsored by the foreign sector.
Figure 11: UNESCO Training Center for Laotian Traditional Arts and Building Crafts Luang Prabang.
Conclusion
The existence, preservation, and preservation of the identity of the World Heritage Site of Luang Prabang, Lao People's Democratic Republic, responds to tourism in globalization. Identity in the architecture of the past of Luang Prabang is clear and a major focus of Luang Prabang. Luang Prabang has been registered as a World Heritage Site because of the city has many ancient temples and houses, which are unique in colonial style. These valuable architectures have changed their roles from the role of the local religious or residential. The new roles of the valuable architectures are the place for tourism, the place to store cultural objects and the place of business to support tourism.
The sectors contribute to the existence of the cultural architecture identity of Luang Prabang are the government sector and the international organization sector. The government sectors play a role in regulating and controlling, as well as seeking fund and revenue management to be able to have money to maintain the cultural site. The foreign sector is quite important in supporting the process of preserving and
preserving the cultural identity of Luang Prabang either in form of funding either in monetary form or through various projects. Education is an important part of contributes a new generation who have skilled or knowledgeable people for conservation. Knowledge is considered part of the intangible cultural heritage. Traditional artistic and traditional construction techniques instruction can be regarded as the preservation of cultural heritage. In the city, there are no formal education programs taught in traditional arts to the new generation which will result in future they not have a new generation to know and to understand of traditional arts. However, the process of supporting and promoting the existence of the cultural identity of Luang Prabang, it has interesting styles and leads to important phenomena. The Luang Prabang is still able to maintain the cultural identity of them.
References
UNESCO. (2001). Luang Prabang: Regulation. *Luang Prabang : La Maison du Patrimoine*
UNESCO. (2001). Luang Prabang: Plan de Reperage. *Luang Prabang : La Maison du Patrimoine*
UNESCO, “World Heritage List Statistics”, 27 April 2006, archived at http://whc.unesco.org/en/list/stat
World Bank, “International Tourism, Receipts (% of Total Export)”, archived at <http://data.worldbank.org/indicator/ST.INT.RCPT.XP.ZS?locations=LA>
World Travel and Tourism Council, <email@example.com> “About WTTC”, archived at <https://www.wttc.org/about/>
World Tourism Organization, (2016) UNWTO Tourism Highlight 2016 Edition, UNWTO. Madrid
Contact email: firstname.lastname@example.org
Texts in the Open — The Gezi Parki Protests in Istanbul
Roman Glass, Turkish-German University, Germany
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
Are graffitis tracing the call for human rights? The Istanbul Gezi Parki protests were an outlet that left writings in public spaces expressing discontent, but also represent the thoughts of the protesters at their most radical core. By analyzing and interpreting images of the protests taken by the researcher the protests should be able to be interpreted in a way that in the same time distances itself from the subject by taking the stance of the observer and immerses itself by trying to build a common understanding. With a hermeneutic approach of interpretation those texts were put into a historical context and interpreted while relying on the researchers experiences and photographs and supported by three interviews with contemporary Turkish and Dutch artists which occupy a key role with their status as intermediate subjects connecting cultures as active agents. The results show clearly the non-localness of the texts. With the close reading network structures are revealed that imply the globality of the conflicts.
Keywords: Istanbul, Turkey, Gezi Park, Protests, Graffiti
Introduction
Are graffitis tracing the call for human rights? This general question leads to the concrete empirical example of my experience while documenting the Gezi Park protests and following interviews with artist as part of a bigger project to analyze the artworld of Istanbul. Five years passed since the tipping point of political resistance happened. Since then a new process of de-politicization has been put into motion. Often an economically rationalised view of the world is constructed by the people in the artworld. As a Turkish artist puts it:
The government is not supporting art. The galleries receive support from their own families, or through banks. In reality a lot of banks are supporting many beautiful galleries.\(^1\)
But if there is an economic determination even this just happens through the political structure and culture as a structuring system that is much more basic. The place of the protests and of the galleries is Beyoğlu, one of the main districts of Istanbul.
Graffitis in general are spatial markers of territory. If they are in another language they stand in for a lost representation. They suture the lack in the environment. The excluded becomes included by signing the space. The paper examines a French language text that is suturing exactly that lack. We should not forget the known propaganda effect of those sprayed words, used as a propaganda method in 2000 the spray paint for the graffitis by the rebels against Milosevic in Belgrade. Paid by USAID and the National Endowment for Democracy (Herrera 2014, "Cyberdissident Diplomacy").
Methods
To start the conversation between the texts and letting them speak in an academic context one has to understand in an iterative approach. Taking one text after another and placing it in a context, while keep asking questions. This is the hermeneutic approach of deep interpretation. With the help of photographs by the author and his own experiences the events are described and interpreted.
The interpretation of graffitis is also based on interviews with artists as part of a bigger research, precisely one Dutch and two Turkish artists. They represent active agents in a global network where Gezi Parkı as an event\(^2\) as an archetype still reverbs. One artists describes the event of Gezi Parkı as a always reverbing background tone. The artists are important for contextualization because they create meaning in the milieu of the creative sector. And as a generalization the events around Gezi Parkı can be used to describe the Turkish post-industrial society that is still in the making. At this time contemporary art was competing with the Istanbul Biennial of 2013. An example is the Standing Man, a performance piece of a man that stands for hours on the Taksim Square intensely staring at the Atatürk Cultural Centre. The reach of the publication in social media and the many different interpretations are showing the
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\(^1\) “Çünkü devlet desteklemiyor sanatı. Galeriler kendi aileleri tarafından destekleniyorlar ya da bankalar tarafından yani buradaki bir sürü güzel galeri aslında bankalar tarafından destekleniyor.”
\(^2\) In the sense of Badiou 2007, 174, that after the event things appear to be transformed, even of the past.
success in the same way contemporary art tries to disrupt, but is not able to achieve because of the inner conflict between the commercial marketability of the art piece as a product and the institutional prefiltering. The point is underlined by the number of visitors of both the event and the media presence of non-governmental media. As well as the spatial presence with the government securing of Beyoğlu, that produces a fundamentally different view of the space, this event created a physicality of consciously occupying space that the event of contemporary art can’t. Even though the concept of the Biennial is to be present all around Istanbul.
In the same way that the gallery is the professional platform per se, the graffiti is the defining institution of the protest event, putting the art to the street in a way that traditional outlets can’t. In the event of Gezi Park there is a self-image of being *La poésie dans la rue*, ‘the poetry in the streets’. When analyzing the text is transformed from a sign the own culture to a representation of that culture. So with the first interpretative step of understanding a new meaning is attached. For the next steps each element will be links to the interpreted cultural system that sustains them and their relation to protest and art.
**Interpretation of Figure 1**
Figure 1 shows a construction area and a truck. The signs of an already begun deconstruction that was initiating the protests. On the truck the words *KATİL* ‘murderer’ are written. Detached in the background stands a person. Many different people can be seen in the background. They are close to some buildings, some with a glass facade. A big part of the picture is taken over by the Turkish flag. Different signs show that the protests are ongoing. The left trucks shows that the reconstruction of the park was in the making. But then were stopped because of the protests. There is a lonely person that stands in the middle of the construction area shows that at least in this way the protests were successful. The construction could be stopped. The word *KATİL* ‘murderer’ means that some demonstrators were killed. It shows at the same time that it was possible for the protestors to *sign* the tools of the assumed ‘murderers’.
The execution on the truck, the tools of the government as medium, shows the expression in a society where it is getting harder to take certain decisions into their own hands, concerning their environment. The public space is actively changed through them. The subversion of the ruling ideology is one of the fundamental properties of art. But a working definition of what constitutes art is the integration into the art world. But those texts don’t integrate into the art world as that would be a limiting factor that could also put in danger the anonymity of the texts. Free expression is part of the human rights\(^3\) (Article 19), but is limited by the property rights, which save the property from vandalization.
The vandalization, especially the protests are confronting against the production and consumption cycle, the fear of the shopping mall that could replace the park, that brings the people to the street.
In the same image there is the Turkish flag. That national symbol shows the influence of republican values contrasting conservative as part of an ongoing national conflict. The event of the founding of the republic was initiating this rift. The Tanzimat reforms were the first steps towards a break between progressive and regressive powers. But just the break from Ottoman Empire created the foundational event that constitutes the republic. In that way the Turkish flag represents the introduction, and today’s maintenance of the project of modernity in Turkey. Graffiti here is a tool to
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\(^3\) United Nations, 1948
express this ideology in the physical environment. The build environment comes first as actively designed, and being a sign of the opposition leading to deeper interpretations.
Let’s look at Figure 2.
**Figure 2:** Graffiti on the French Cultural Institute
The text is sprayed on the door of the French Cultural Institute of Istanbul in Taksim *LA POESÍ DANS LA RUE 1 JUIN 2013* ‘Poetry is in the streets, 1. June 2013’. In the foreground there is a man. A foreign institution is chosen as the medium for the expression. The foreign country being France could be interpreted as the ideal country where the ideals of the protestors could be realised. Here the image, the perceived reality is important. The first thing to recognise is the dotted capital *I* that shows that a person with a Turkish language background sprayed it. It is not common in French orthography to make a difference between *I* und *Î* because the latter letter does not exist in the French alphabet.
The slogan is most likely emprunted from the British band *The 1975* that published videos with those words. On 20. February 2013 the video *Chocolate* appeared on Youtube with the English words *POETRY IS IN THE STREETS IN FULL LIVING COLOUR*. Then the text reappeared in the final from one month before the graffiti was sprayed on 25. April 2013 in the song *The City* with the text *LA POÉSIE EST DANS LA RUE* in the form of a tattoo. The usage of a French slogan by a British pop
group sprayed by a Turkish protestor shows the tightly knitted net of different cultures and different cultural elements. The text creates a meaning across three cultural boundaries. Each enhanced by a new context to create a deeper meaning. A historical deeper view shows that the slogan was also used in 13. May 1968 in France. But if in the mode of anonymous creation, the original usage can’t be known, as the inner motivation of the author remains unknown. It shows how culture is connected in such an open way. Counter culture of 1968 and following pop culture is connected to European culture where Turkey forms a part of, especially regarding the created communicative space.
The spatial characteristics may be extended to a global counter culture, but cannot be seen here. Borders that are assumed by mainstream culture in the example of France as a political not so close country to Turkey, especially after the question of putting the word *genocide* for the death of the Armenian Turks, are unimportant for the counterculture. There is a certain similarity in the way of thinking of this subgroup that an interviewed Dutch artist called *contemporary thinking*. Artists and activists actively use signs from different sources and interpret them in this space creatively anew. Foreign signs are owned through their application in the local meaning. They are making sense through the own lived world and accustom an own liveliness, ready to turn back to the original context in a new richer sense. On of the things that happened to European modernity when being extended to the reappearance of the project of modernity in the Turkish nation. New creative ideas can be created especially in a borderline space that oscillates between the new and the accustomed. They are not just in the flow of material objects, but are also feed back to the individual, that is actively changed and brought into a recursive (affecting itself) conflict.
In the same time the political space cannot be excluded. The spatial dimension works in the background *deep undertone*, as mentioned by the Dutch artist. Thereby local political space functions as an element of the city. That has a certain fascination on its own for observers. See here the statement of the Dutch artists interviewed:
Like in Istanbul definitely some deep undertones of the city that seem to come out. Really rough, rumbling kind of earth shaking stuff. That is, you know, the suppressed frustration. You could never talk about Istanbul without feeling some kind of a suppression, right?
When we analyze the text in the same way as we did with the photographs, first human emotions are assigned to the city. Suppression is a key word in the quotation. What that means is censorship as an important factor to be interpreted. Because in all of the interviews it is never directly addressed. We can only interpret the desire to express this thought by how the consciousness about the situation at hand is structured and how unconscious processes turn into motion in the interview process. It is in the quote a “feeling”, “some kind of suppression”.
Another Turkish artist talks about it in that way:
For example I mean my paintings are mostly fantastic or whatever. And somebody could say, when they look back at it. Maybe it’s a reaction to
political oppression in Turkey. To turn it into a fantasy world in times of political risk.
Here the word *maybe* qualifies it. But mostly it is in this context a hypothetical interpretation of the artist’s own work. The person does not commit to this statement as a definite motive for creating the artwork.
**Graffiti is a sign of the radical core of protests**
Are graffiti tracing the call for human rights? Graffiti is an expression of the radical core in the Istanbul Gezi Parki protests. Because if one takes the risk to write those texts, one has to have a strong motivation. This conviction has to be expressed in a fast distilled message, because of the material circumstances. Spraying it fast to not be discovered. While risky and not rich in meaning, the medium itself has become a main form to govern a broadcast communication in public space. It has the power to undermine the economical or governmental sanctioned messages by countering it in the same space. A means that can never be achieved by digital media, that have also the power to undermine the master narrative. Because of the break in the medium, and the spatial distance. It is therefore a way to discover in the most direct way thought and meaning of the protest. When graffiti is seen as a cultural element, they belong to the category of consciously created ones as a communicative action to leave a message. They challenge contemporary art with not assuming this status and avoiding the art market, or the integration into the art market.
References
Badiou, Alain (2007). *Being and Event*. London: Continuum
Herrera, Linda (2014). *Revolution in the Age of Social Media*. London: Verso
United Nations (1948, December). Retrieved from http://www.un.org/en/universal-declaration-human-rights
Contact email: email@example.com
Comparison on Effective of Outlining Material in Batik Painting Between Paraffin Wax-Resist and Gel Wax-Resist Technique
Sarath Simsiri, Suan Dusit University, Thailand.
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
Comparison of the performance of outlining material in Batik painting between paraffin and gel wax-resist technique, the researcher invented the non-heat resist dyeing gel instead of the traditional process. The traditional Batik uses paraffin wax to avoid color in some area before painting the unique design of Batik. Therefore, Batik creation required a highly skilled worker. For Batik rookie, there is a problem of controlling wax-resist outlining shape because of the inappropriate wax temperature. Moreover, using Tjanting needles require a lot of practice specific way to hold. This study focuses on the performance comparison between Paraffin Wax-Resist and Gel Wax-Resist including Batik equipment, the process of work, fast production process, technique, cost and convenience. The result shows that Gel Wax-Resist is very comfortable to use and also be able to separate color with excellent quality. Use of Gel Wax-Resist is easy to control the direction of pattern writing. The pen head size changed to a size that suitable for use. It can facilitate those who do not have the basics of Batik writing. Anyone without Batik practice can write Batik immediately for the first time. Besides it is easy to clean and detach from the fabric. It also reduces the process, the materials and equipment. It is necessary that the new method still exposes the uniqueness of the traditional one. By using the new writing process, the Batik workpiece is crafty. The candle flare is equivalent to the traditional writing process and may be better in sharp contrast.
Keywords: Paraffin Wax-Resist, Gel Wax-Resist, Batik Painting, Batik Resist
Introduction
The method of Batik painting begins with using resist material on fabric before color painting. Traditional resist material was mud, wax or starch. In Thailand, most of the resist material made from bee wax mixes with plant resin or paraffin (Pinkul, 2002). Many instruments and materials used in Batik painting including paraffin or wax pen, wire, paraffin wax boiling set, cloth, dye, brushes, wood frame, wood frame stand, coating solution, boiling set, and a pen-like instrument called Tjanting (Hongsuwan, 2002) that is an important instrument for Batik drawing. Tjanting made of copper or brass. It is used to carry paraffin wax to draw dots or lines on fabric according to the pattern. As Rojjanaudomsart (1993) mentioned that drawing pattern on Batik cloth by using Tjanting was the best method for Batik drawing because it could generate small lines resulting in the very detailed pattern.
Batik or Patch is one of the clothes made with a unique technique. It made by drawing on the fabric with paraffin wax to cover the area that does not want to dye incorporate with painting in the specific area (Rojjanaudomsart, 1993). There are many instruments for doing Batik depending on characteristics of Batik. Draw-type Batik needs to use Tjanting to draw patterns on fabric. Its handle made from wood. There is a reservoir on the top of Tjanting to hold the resist material (hot paraffin wax). Resist material passes through the small channel of the Tjanting and make lines or dots on the fabric. Due to a unique characteristic of Tjanting different from another pen, a new painter may be in trouble to draw a line with it. Additionally, Tjanting is likely to be stuffed with dust from paraffin wax. Hot paraffin wax also could not be drawn on thick fabric because the hot paraffin wax becomes cold and hard before get through the other side. Therefore, it could not be a good border of dyes. Regarding melting paraffin wax, heat is a need, and this causes smoke and disturbs the working area and may be harmful to the workers (Rojjanaudomsart, 1993 and Pinkul, 2002). The limitation of making Batik with Tjanting is the control the temperature of hot paraffin wax. A too high temperature of melt paraffin wax causes diffusion of the lines, and also the low temperature of warm paraffin wax causes paraffin wax does not get through the other side of the fabric. Moreover, melt paraffin wax may drop from the reservoir to the fabric and cause a defect. Therefore, a new Batik painter is not able to draw a good line and needs to practice on drawing with Tjanting because Tjanting is so different from a standard pen (Thumthong, 2002; Simsiri, 2003).
Frequently, Batik painting needs three different sizes of Tjanting including small, medium and large. They require use resist material, which is the mixture of paraffin wax, plant resin, plant or animal fat. The crucial issue of resist material is melting into liquid wax. Therefore, it needs to use with other instruments including stove and pot for boiling. Previously, Batik painting was done by only using paraffin wax melted with heat. In Europe, recently a new resist material has been used. It is not paraffin wax but has paraffin wax characteristics without using heat. The new resist material is liquid and could be a border for dyes like paraffin wax (Concha, 2001). This resist material does not need heat to melt and is used in some groups in Thailand to make Batik, but it is costly. However, new resist material has been developed to substitute traditionally natural resist material, such as rice, soy or konjac starch, but it could not draw a distinct line like paraffin wax, and it needs to wait for drying those materials. Therefore, the process of making Batik consumes more time. Moreover, this new resist material could not make the same quality of Batik. Efficacy comparison
between paraffin wax and gel wax as the resist material in Batik painting begins with researcher discovers resist material, which does not need heat to melt. It is gel-like characteristic and could be used to draw line and pattern instead of former paraffin wax technique. The new liquid gel resist material is contained in a specific pen, there are 23 different sizes of the needle tip as appropriate in different pattern and also use instead of the original paraffin wax Batik painting without having to wait until dry. (see Figure 2) It also reduces the process, the materials and equipment for Batik painting. Anyone without Batik painting experience can write Batik pattern more easily. Including compare quality of traditional uniqueness of Batik cloth from traditional paraffin wax technique with new gel wax technique. As Srisawat (2003) states: The invention of the new product must preserve the layout of the original art or culture. And also, this research has changed some Batik process and tools used in production. All the same the researcher still focus on the Batik characteristics that is inherited from the past lead to the basis for comparative study. In order to take that information into the benefits associated with effectiveness use in Batik painting.
**Figure 1: Conceptual Framework**
**The Purpose of the Research**
This study focuses on the performance comparison between Paraffin Wax-Resist and Gel Wax-Resist including Batik equipment, the process of work, fast process technology, cost and convenience. The objective of this paper is to investigate characteristics of gel wax resist material in Batik painting by comparing the efficacy of Batik painting made with paraffin wax technique and gel wax technique including compare traditional uniqueness of Batik cloth from paraffin wax technique and gel wax technique. The result may be a guideline to use and benefit the Batik industry in the future.
**Research Methodology**
This research is qualitative research to investigate the facts under theory and framework of research. The target group specified with the systematically scientific method. Data was collected from the questionnaire and statistically analyzed to explain characteristics and correlations between factors according to objectives. Specific characteristics of gel wax resist material and paraffin wax resist material was investigated and compared in these following aspects such as, (1) Efficacy on being a good border for different dyes (2) Efficacy on being a border with constant thickness (3) Control direction of drawing (4) Change of size pen (5) Size of pen is suitable for each work (6) No strong odor (7) No needed heat (8) Resist material does not leak or
drop from reservoir down to fabric (9) Easy to draw different patterns (10) Easy to draw different patterns (11) Easy to refill resist material (12) Easy to remove from fabric (13) Easy to clean the tip of Tjanting and (14) Tip of Tjanting is not clogged. The characteristics of Batik cloth made with paraffin wax and gel wax also was compared in these following aspects for example (1) Lines are distinct (2) Lines are fragile and detailed (3) Brightness of colors (4) Shades of colors (5) Neat of colors (6) Cleanliness of cloth (7) Neat of cloth and (8) Uniqueness of Batik.
Aspects of this research were from the literature review. Statistical analysis was used to analyze rating numbered data from the questionnaire. These number data analyzed with Likert scales, which is a method to estimate the minimum to the maximum. Two different groups in this research were convenience or accidentally sampling. Participation in this study was anybody who was willing to be a part of this study in giving information. The first sample group was Batik painter from Suan Dusit University (n=52). They were asked to do Batik with both paraffin wax and gel wax, start from Batik resist writing to Batik cleaning process. Then they were asked to compare their efficacy. The second sample group was consumers visiting the One Tambon One Product (OTOP) at Impact Arena Mueang Thong Thani (n=103). All the participants were asked to evaluate Batik cloth made from paraffin wax and gel wax.
Results
The unique characteristics of gel wax resist material is in liquid form when it is in the pen-like instrument, and it becomes harder and solid when exposing to the air. It could be used with natural and synthetic fabric. The painting could be done right after drawing lines on the fabric with this gel wax resist material. The painter does not need to wait for drying of the resist material like the paraffin wax resist material.
**Figure 2:** Paraffin Wax resist against with Gel Wax resist - Batik equipment
The result shows different satisfactions from paraffin wax resist material users in different aspects as follows. Users gave high satisfaction on the quality of the pen-like instrument, easiness of filling the resist material. The users gave medium satisfaction on the efficacy of resist material on bordering different dyes, the distinctness of the lines, consistency of the lines, easiness of direction control and draw, the size of penlike instrument, no leak or drop of resist material from the instrument on the fabric, easiness of removing resist material from fabric, easiness of cleaning the pen tip. Regarding the odor of the resist material, the flow of material from the pen tip was lesser satisfaction and being able to change the size of the pen tip and safety from heat were the least satisfaction. see Figure 3 to 6.
Figure 3: Paraffin Wax resist against with Gel Wax resist - Drawing process
Figure 4: Paraffin Wax resist against with Gel Wax resist - Painting process
The result shows different satisfactions from gel wax resist material users in different aspects as follows. Regarding being able to change the size of pen tips, safety from heat, and easiness of drawing was given the highest satisfaction. The aspects that were given the high satisfaction were resisted material could be a good border for different dyes, the distinctness of the lines, consistency of the lines, the size of pen tip, the quality of pen-like instrument, no leak or drop of resist material on the fabric, easiness of removing resist material from fabric, easiness of filling resist material and cleaning pen tip. Regarding no strong odor and the flow of material from the pen tip were given medium satisfaction. The result shows different satisfactions from gel wax resist material users (subjects) in different aspects as following. In terms of being able to change size of pen tips, safety from heat, and easiness of drawing were given the highest satisfaction. The aspects that were given the high satisfaction were resist material could be a good border for different dyes, the distinctness of the lines, consistency of the lines, the size of pen tip, the quality of pen-like instrument, no leak or drop of resist material on the fabric, easiness of removing resist material from
fabric, easiness of filling resist material and cleaning pen tip. In terms of no strong odor and the flow of material from the pen tip were given medium satisfaction. see Table 1
Table 1. Efficacy Comparison between Paraffin Wax and Gel Wax as Resist Materials
| No. | Item | Strongly Disagree | Disagree | Undecided | Agree | Strongly Agree |
|-----|----------------------------------------------------------------------|-------------------|----------|-----------|-------|----------------|
| 1 | Efficacy on being a good border for different dyes | sig. | | | | |
| 2 | Efficacy on being a border with constant thickness | sig. | | | | |
| 3 | Control direction of drawing | sig. | | | | |
| 4 | Change of size Batik pen | sig. | | | | |
| 5 | Size of Batik pen is suitable for each work | sig. | | | | |
| 6 | No strong odor | sig. | | | | |
| 7 | No needed heat | sig. | | | | |
| 8 | Resist material does not leak down to fabric | sig. | | | | |
| 9 | The Batik pen is strong | | | | | |
| 10 | Easy to draw different patterns | sig. | | | | |
| 11 | Easy to refill resist material | | | | | |
| 12 | Easy to remove from fabric | sig. | | | | |
| 13 | Easy to clean the tip of Batik pen | sig. | | | | |
| 14 | Tip of Batik pen is not clogged | sig. | | | | |
- = Paraffin Wax O = Gel Wax sig. = significant at the 5% level.
From Table 1. The results about efficacy of paraffin wax and gel wax resist material shows that these two materials are different in these following aspects - the distinctness of lines, the consistency of lines, the easiness of direction control, being able to change size of pen tips, the size for pen tip, odor, safety from heat, leaking or dropping of resist material from the instrument on the fabric, easiness of drawing, easiness of removing material from fabric, easiness of cleaning pen tip, and flow of material from pen tip. The means of the opinion on this efficacy from users using gel wax resist material were higher than the those of users using paraffin wax resist material with statistically significant (p<0.05). Only two aspects – the quality of the instrument and the easiness of filling the material – were not significantly different (p>0.05).
Besides, the result regarded to traditional unique characteristics of Batik cloth made from paraffin wax resist material showed that the beautifulness and the uniqueness of Batik cloth were the highest. Regarding distinctness, smoothness, and detail of lines, brightness and shades of colors, cleanliness and neat of Batik cloth were high. While the traditional unique characteristics of Batik cloth made with gel wax resist material regarding beautifulness was the highest. The quality of Batik cloth made with both paraffin wax and gel wax resist materials were high regarding distinctness, smoothness, and detailed of lines, brightness and shades of colors, cleanliness and neat of the Batik cloth.
The comparison result of the unique characteristics of Batik cloth made from paraffin wax and gel wax showed that they were different in terms on the distinctness, smoothness, brightness, and detailed of lines, as well as cleanliness of Batik cloth. The results showed that the mean of those characteristics of Batik cloth made with gel wax resist material was statistically significantly higher than those of Batik cloth
made with paraffin wax resist material (p<0.05). Only three aspects that both Batik cloth were not significantly different – shades of colors, neat and beautifulness of cloth (p>0.05). see Table 2.
Table 2. Comparison of Batik traditional uniqueness between Paraffin and Gel Technique
| No. | Item | Strongly Disagree | Disagree | Undecided | Agree | Strongly Agree |
|-----|-----------------------------|-------------------|----------|-----------|-------|----------------|
| 1 | Lines are distinct | sig. | | | | |
| 2 | Lines are fragile and detailed | sig. | | | | |
| 3 | Brightness of colors | sig. | | | | |
| 4 | Shades of colors | | | | | |
| 5 | Neat of colors | sig. | | | | |
| 6 | Cleanliness of cloth | sig. | | | | |
| 7 | Neat of cloth | | | | | |
| 8 | Uniqueness of Batik | | | | | |
● = Paraffin Wax ○ = Gel Wax sig. = significant at the 5% level.
Conclusion
Gel wax resists material is suitable to use in Batik painting on all-natural fabric. It could lower expenses related to instrument, energy and process. Gel wax resists material is easy to remove from fabric with the use of detergent and without the need to boil. Gel wax resists material could substitute paraffin wax resist material in drawing lines and dots for Batik painting. However, gel wax resists material still has a few limitations because the characteristic of gel wax that is more elastic than paraffin wax. Therefore, gel wax resists material is more suitable for only drawing lines and being borders for different dyes. The pen-like instrument for containing gel wax resist material could be the change for different types between size 8 to 30 (total 23 sizes). This is the major reason that the lines made from gel wax resist material is different from paraffin wax resist material regarding the distinctness and smoothness of lines compared to paraffin wax resist material. Moreover, the sizes of pen tip that could be used with gel wax resist material are boarder than the sizes of paraffin wax resist material. Gel wax resists material could also be used with the pen with two tube or three tube tips.
Overall of Batik making with gel wax resist material is more convenient, and the lines are good borders for different dyes, consistent, easy for direction control, able to change the size of pen tips, the size is suitable for the work and a new user, as well as easy to clean and remove from fabric. Moreover, the use of it could reduce the process, material and instrument in Batik making. Importantly, the Batik cloth made from gel wax resist material could conserve the special unique characteristics of Batik cloth compare to the traditional technique. This new technique also produces the smooth, detailed of lines as good as the traditional technique and better regarding producing distinct lines.
Suggestions
The research is qualitative research which used systematically scientific equipment and data collection resulting in the qualitative responses that could be analyzed. The limitation of this study was the data collected from specific groups. Therefore, the result may be different from other group's responses. The researcher suggests that this data may apply only particular group.
Future research should do with different groups with different experiences in Batik painting. Such as the study should do with an expert in Batik expert and new Batik maker to compare their responses on the efficacy of gel wax resist material to get more information to improve or apply to Batik or related products in the future.
The researcher would like to suggest the future study to solve the limitations of gel wax resist material. 1) Gel wax could not make the crack like paraffin wax. 2) A strong odor of gel wax. All the improvement would help gel wax to be a good resist material work well like traditional paraffin wax and produce good quality of Batik cloth.
In terms of the physical limitations of soft gel wax resist. It is not possible to make a broken candle technique just like using a traditional paraffin wax resist. And still have a bad smell while working. In the next research, should study the development the Batik resist material to make a broken line pattern technique or color line just like using a traditional process. In order to preserve the culture of Batik painting continue to exist.
Acknowledgements
This research could not do without the support from Suan Dusit University, subjects in this study, all the questionnaire answers and all participants. The researcher would also like to thank The Asian Conference on Cultural Studies (ACCS2018 by The International Academic Forum (IAFOR), Naka Ward, Nagoya, Aichi, Japan that give an opportunity to present this result which is one of the contributions of the research success.
References
Concha, M. (2001). *Silk painting for beginner*. Italy: Komenennve Vlagstesellschast mb. H.
Pinkul, K. (2002). *Batik painting techniques*. Bangkok, Kaofang Publishing Inc.
Rojjanaudomsart, N. (1993). *Batik painting*. Bangkok, Odeon Store Publishing Inc.
Srisawat, S. (2003). The application of English paper craving technique on Koh Kred handcraft: A case study on lampshade, School of Graduate Studies, King Mongkut’s Institute of Technology Ladkrabang, Thailand.
Simsiri, S. (2006). Drawing Device Design for Polymer Hydrocarbon Gel Outlining Material in Batik Painting, School of Graduate Studies, King Mongkut’s Institute of Technology Ladkrabang, Thailand.
Thumthong, T. (2002). *The Art of Batik Hand Painted Bangkok*. Odeon Store Publishing Inc.
Hongsuwan, W. (2002). *Batik 2*. Bangkok, Wadsilp Publishing Inc.
Contact email: firstname.lastname@example.org
The Analysis of Japanese Youth and Their Perspectives on National Identity on Twitter: #韓国人になりたい (#I want to be Korean)
Natthaya Parinyanat, The Hong Kong Polytechnic University, Hong Kong
Abstract
This study explored the identity and national sentiment of Japanese youth after the official debut of a Korean girl group, TWICE, through social media platforms. Japan is known as one of the nations where nationalism has been the core of the society; previous post-war generations of Japanese may not condone the younger generation’s tweet messages and pictures with #韓国人になりたい (#I want to be Korean). What happened to these young Japanese? Are these youngsters giving up their Japanese identity and national sentiment? The sudden rise of this trend on Twitter is owing to three native Japanese members of TWICE: Mina-chan, Momo-chan, and Sana-chan. This study adopted the digital ethnographic approach and the analysis of the content that has been posted on Twitter. This data was collected after the official debut of TWICE, 28 June 2017 until 28 February 2018 with the mentioned hashtag above. The online interview was conducted with purposive sampling techniques to seek the reasons why participants want to be Korean, what elements of Korean style they subscribe to, and to investigate the decline of the national sentiment among the young Japanese. This research will be a relevant example for researchers who would like to conduct studies on the relationship between youth and nationalism.
Keywords: nationalism, #I want to be Korean, twitter
Introduction
Japan is one of the well-known nations for its strong nationalism. To explain the expansion of Japanese troops, nationalism is often associated with political power that motivates the formation of arm force (Tønnesson, 2016). Tracing back to Second world war period, nationalist ideology and patriotism drove the Empire of Japan to colonise in many places in the Asian region, including Korea. Annexation of Korea (1910-1945) was one of the great victories of Japanese Empire; presenting its power and military abilities to other nations. During occupation period, Korean people were forced to assimilate with Japanese from adopting Japanese names to showing respect to the Japanese emperor. “Korea and Japan as one body” was a slogan that pushes every Korean to register and attend any ceremonies at Shinto shrines, a Japanese native religion. Later 1939, the Name Order compelled Korean people to use Japanese names and 84% of Koreans were reported to adopt Japanese names in 1940 (Seth, 2016). To be highlighted, Japanese culture was favoured by some Koreans, particularly, educated and upper-class Koreans were fond of Japanese literature, music, and movies (Seth, 2016). Whereas, Korean culture and literature were oppressed and restricted as Korean edition newspapers and Korean book publishers were ceased; Korean language was restricted in schools (Seth, 2016). The flood of foreign culture, American culture, in particular, devastated Japanese society after the surrender of Imperial Japan in 1945 (Matsushima, 2017).
Former of Japanese colony, South Korea, gradually becomes the cultural producer and competitor in Japan. Korean wave (韓流) arrived in Japan around the mid-2000s, Winter Sonata was broadcast in 2004 and became the starting point of Korean Wave’s history in Japan (Matsushima, 2017). Later, there are more and more Korean idols who made their ways to be accepted by Japanese fans. For instance, Boa, Tohoshinki, FT Island, Big Bang, Girls’ Generation, BTS, and recently TWICE. The office debut of TWICE, a girl group, on 28 June 2017 in Japan led to a great change in Japanese K-pop fandom. Since there are three native Japanese members in the group: Mina-chan, Mono-chan, and Sana-chan, they might play a great role in influencing young Japanese girls, in particular. After their debut, the hashtag #韓国人になりたい (#I want to be Korean) slowly popped up on Instagram and Twitter. Currently, there are more than ten-thousand posts on Instagram and over two-thousand tweets on Twitter with the hashtag #韓国人になりたい (#I want to be Korean). This paper aims to obtain a better understanding of nationalism among Japanese youth on Twitter behind the influence of the Korean Wave.
Research objectives
1. To find the actual meanings behind the hashtag #韓国人になりたい (#I want to be Korean)
2. To study the elements of Korea-ness that young Japanese people are fond of
3. To investigate the sense of nationalism among Japanese people on Twitter
Research questions
RQ1: Why do Japanese people put hashtag of #韓国人になりたい (#I want to be Korean) on Twitter?
RQ2: What do Japanese teenagers like about Korea?
RQ3: How do Japanese people react to this hashtag?
RQ4: Does this hashtag indicate the decline of nationalism among Japanese youth?
RQ5: What is the major factor that drives young Japanese to want to be Koreans?
Literature Review
K-pop and Twitter
Kim, Heo, Choi, and Park (2014) explored the communication patterns and structures from the trend of #kpop hashtag on Twitter, one of the online communication platforms. Their research combined the data collection method on Twitter from 9 November 2011 to 15 February 2012 under the framework of the duality of media along with the webometric method. Among 16,788 Twitter users who put the #Kpop, this study was able to identify the location of 10,197 users. Japan was in the second place where the mentioned hashtag was used; there were 2,744 Indonesian users and 2,470 Japanese users. The result of this research indicated that Japanese Twitter users were likely female high school students and 32 percent of total tweets by Japanese users were about Korea/Korean wave and 29.6 percent were about Korean singers.
Korean wave in Japan
Mori (2008) examined Korean cultural practices by middle-aged women in Japan. Winter Sonata built three different aspects of Japan – Korea relationship: 1) reconsidering the cultural relationship between two countries 2) Japanese women were cultural agency 3) establishing social and cultural practices and initiating interest in Korean culture. The popularity of Winter Sonata demonstrated how Japanese people changed their views of Korea and Korean people. Importantly, Winter Sonata fans were seen as a wealthy middle-aged housewives who fell in love with Bae Yong-joon. This Korean drama did not only portray the new Korea and Koreans to Japanese, but also reflected the thoughts on colonialism. In short, Winter Sonata allowed the transnational capability of middle-aged women’s politics in the globalisation era.
Lie (2012) investigated the origins of K-pop’s commercial triumph along with South Korean society and culture. K-pop is likely the largest cultural products of South Korea, but there is no vibrant independent music scene like in Japan. More importantly, relevant aspects of ‘Korean’ is missing in K-pop when relating it to the traditional cultural aspects. K-pop, therefore, is a part of commercial products under a Brand (South) Korea. Also, the traditional Korean aesthetic and figure are annihilated in K-pop industry; tall and skinny are the most important key not the traditional beauty of round face and chubby body. Certainly, the Confucian notion of valuing one’s body as parents’ gift no longer exists since the plastic surgery and the current beauty standard are widely appreciated as a norm. In brief, ‘Korean culture’ is still questionable and unfilled in the contemporary cultural studies as the Korean Wave or K-pop is rather a naked commercial than the traditional values.
Matsushima (2017) studied the Hate Korean Wave and national identity in Japan. After the end of the Second World War, Japan’s identity was deconstructed due to the loss of political control, economic stabilisation and cultural sphere. Additionally, Korean Wave or *Hallyu* has been stirring around Asian region since the mid-1990s, nevertheless, it had not hit Japanese shore until the mid-2000s. Owing to a Korean drama *Winter Sonata* in 2004 and a male protagonist Bae Yong-joon, Japanese middle-aged women embraced the arrival of Korean Wave. However, this popular cultural phenomenon brought the Anti-Korean Wave campaign as well. The Hate Korean Wave or *Kenkanryu* was driven by a ‘cyberspace right wing’ or ‘netouyo’ group, a majority of ‘netouyo’ are young Japanese people who actively criticise Korean Wave on the internet. The *Kenkanryu* series began to publish online as a webcomic by Yamano Sharin in the early 2000s, then the first printed book was released in 2005 and made the sale record of 450,000 copies. Despite the author, Yamano, stated that his comic book tried to establish the real friendship between the two nations, the content denounced Korea and Koreans. Yamano also argued that Japanese media did not show the real nature of Korea, Koreans, and resident Koreans in Japan. Takaoka Sosuke, a Japanese actor, tweeted on 23 July 2011 on how Fuji Television Network attempted to brainwash Japanese people by broadcasting Korean TV programmes and K-pop. *Netouyo* like Yamano claimed that Japanese media covered a real Korea and praised Korean popular culture, while Yamano believed that Korea stole Japanese culture. In the *Kenkanryu* series, one character wondered why Korean people did not understand how one felt when his culture was stolen, and other two characters said that they could not understand because there was no Korean culture that Koreans could be proud of. Yamano emphasised that Korean culture was Japanese culture’s inferior twin.
**Japanese and Korean beauty trends**
Maynard and Taylor (1999) analysed girlish images that targeted young girls in Japanese and the United States magazines without political context. The objective of this research was to comprehend the concept of girlishness in advertising that of societal and media levels. This could also indicate the formation of a girl's self-image. Their study shows the high tendency of the presented images reflects the ‘self’ of young readers. The imagines of female girls were portrayed in girlish poses or spoke in girlish manners. One example from Japanese *Seventeen* January 1996 issue, VO5 shampoo advertisement was featured with a girl smiled and faced to the camera that conveyed a friendly message to the readers. Importantly, numerous of Japanese ads depicted a cheerful childlike image, whereas American one portrayed the image of independence and defiance. Indeed, a particular group of popular culture in Japan can lead to the philosophical issues of an individual or a group cultural acceptation, but these various cultures allowed their members to form their identity within their society.
Võ (2016) studied the multi-dimensional and diversified social agency that influenced young Asian American girls in consumption of beauty products. Drawing attention to the consumption of circle contact lenses among the subcultural groups in Japan, *gyaru* or *kogyaru* is an English loanword that equals to ‘gals’. This subcultural group in Japan could be a case that demonstrated how Japanese youth demanded their freedom of fashion choices. *Gyaru* style required heavy makeup and other beauty products,
circle contact lenses were a must, in order to achieve the big-round-eye look. Additionally, *Ulzzang* style became another beauty style in South Korean. *Ulzzang* can be translated as ‘best face’ or ‘good-looking’. The popularity of *Ulzzang* look was owing to the rise of the Korean Wave. Again, circle contact lenses were the key item to achieve the *Ulzzang* look. Although both styles initiated the large consumption of circle lenses, they had some distinctions as *Gyaru* style was rather sexy, while *Ulzzang* was rather childlike innocence. Due to the advent of the internet and borderless communication, both looks were adopted by many Asian American females. For instance, Michelle Phan, a beauty Youtuber, produced many makeup tutorial videos of these two styles and of course she wore the circle coloured contact lenses to achieve these looks. This phenomenon reflected the transnational consumption and the influence of Asian popular culture among Asian American girls.
**Nationalism in Japan**
Tønnesson (2016) states that nationalist ideology has not faded away in East Asian nations. He explains that nationalist ideology can raise only at a particular stage of socioeconomic development and disappeared when the societies engaged with globalised culture and economy. In this case, Japanese culture has not been globalised; therefore, the nationalist ideology has been gone away from Japan.
Nagy (2014) studied on nationalism in the twenty-first century and believed that nationalism might not motivate war and it would continuously strengthen and weaken at different periods of time. Under the lead of Prime Minister Shinzo Abe, the idea of nationalism was brought up in Abenomics. Utilising nationalism would pull Japan out of the economic decline as well as gain the political goal.
According to Professor Brown, there are three factors that strengthen national sentiment in Japan: the State Shinto cults, the political implication of Confucianism and Buddhism, and the pressures of other nations (Jones, 1955). By the eighth century, the cult of State Shinto was acknowledged and secured the inherit ruler of the Yamato kingdom (Jones, 1955). In addition, Buddhism and Confucianism were the means of political control as they nourish the importance of monarchism; the idea of nationalism, in fact, gradually began in Tokugawa era (Jones, 1955). Importantly, Japanese nationalism fully developed in the nineteenth century, when Japan re-opened its state to the West; as Japanese people were afraid of the Western interventions, so they stated to raise national consciousness in order to protect their traditions (Jones, 1955).
Machida (2016) conducted a study on Japanese people’s attitudes toward the boosted of military defence against China in regard to the Senkaku Island dispute. In his research, ‘national identity’ was divided into two elements of nationalism and patriotism. He defined ‘nationalism’ as a sense of one’s nation was superior to others, whereas ‘patriotism’ was not. His hypothesis was nationalism rather than patriotism as a national pride of Japanese citizens would increase and stimulate military actions. To examine the given hypothesis, Machida made an internet-based survey in Japan and analysed the association between nationalism or patriotism and public support for the rise of defence against China. According to his research, those who had the strong sense of nationalism were likely to support the idea of military defence as the dispute of the Senkaku Island was considered by Japanese citizens as a topic of national pride.
However, the growth of nationalism among Japanese people did not imply that this would lead to a war between the two nations.
Fukuoka (2017) explored the banal nationalism and the nature of Japanese youth nationalism through the national symbols. Japan’s official national and flag are called the *Kimigayo* anthem and the *Hinomaru* flag respectively. These two are the representatives of Japanese imperialism, Pan-Asianism, and Asian encroachment in the pre-war time. In 2009, the Tokyo board of Education proclaimed that the *Kimigayo* anthem must be sung and the *Hinomaru* flag must be saluted in public schools. Unarguably, national anthems and flags are the explicit and ultimate symbols of national identity as they eminently differentiate one nation from others. Many scholars utilised state-centred approaches and studied various kinds of Japanese nationalism; for instance, ethnic nationalism, economic nationalism, technonationalism, and cultural nationalism. However, the research on the sentiments of young Japanese is neglected. Fukuoka reviewed the neo-nationalist discourse and the previous studies on Japan’s youth nationalism. His methodology was exploratory that based on the surveys and interviews with Japanese students. According to the surveys and interviews conducted by Fukuoka, it can be said that young Japanese still have the sense of national pride, but they are not ethnocentrism as the interviewees felt apologetic for the past events. In addition, the interviewees found difficulties in giving the proud events of Japan, while they could name many negative past events. When mentioning the role of the *Hinomaru* flag, the interviewees did not see any political meanings behind the national flag and they were apathetic as the *Hinomaru* only symbolised Japan as a country not the Japanese imperial in the 1930s.
**Transcultural and Transnational studies**
Welsch (1999) attempted to clarify the existence of ‘transculturality’ and there is no longer the ideal of single cultures in the present world. The traditional concept of single cultures is referring to social homogenisation, ethnic consolidation, and intercultural delimitation. He argued that modern societies should be fitted with the concepts of interculturality and multiculturality rather than the traditional concepts. To describe the characteristics of the present culture, Welsch emphasised on ‘hybridisation’ since every culture likely became satellites in every level. Then, the concept of ‘transculturality’ was stressed as cultures were interrelated and associated with each other, nothing was foreign in the society as modern lifestyles went beyond the national cultural borders. Transculturality is established when a culture is formed. It should be not that cultural identity is not national identity. Importantly, when an individual cultivated distinct cultural interests that should be when his identity was formed.
Iwabuchi (2008) explored the transnational intersects between the postcolonial and the multicultural. The rise of Korean Wave in Japan is built on the contemporary recognition of its cultural neighbour and this is likely a positive signal of bilateral cultural exchange after the colonial period. The Seoul Olympics in 1998 could possibly be the very first sight of South Korea that changed Japanese people’s views on Korea and Koreans, from an undeveloped nation to an urbanised modern nation. Therefore, the late 1990s should be noted as the beginning of the bilateral relationship between the two nations. Later, the development of popular cultural exchange between Japan and South Korea is a significant step of the relevance of cultural
diplomacy to East Asia region. The exchange of popular culture led to the discovery of similarities between Japanese and Korean people and the charm of their cultural elements. Although there are more Japanese people who warmly welcome the Korean Wave, the social discrimination and dissimilarities remain unchanged.
**Methodology**
**Method and approach**
This study adopted the digital ethnographic approach including observation and online interview with purposive sampling techniques. Similar to the ethnography approach, digital ethnography is based on the anthropological idea that aims to understand a specific society and culture in the 2.0 world where communities are constructed on the internet (Varis, 2016). The analysis of the content was utilised to explore and comprehend young Japanese Twitter users. This research applied the seven building blocks of social media from (Kietzmann, Hermkens, McCarthy, & Silvestre, 2011) to explain the reason why Twitter was used as a data pool. Social media platforms consist of seven functional aspects: identity, conversations, sharing, presence, relationships, reputation, and groups. Definitions and functions of each aspect are provided framework below (see Figure 1) (Kietzmann et al., 2011).
Figure 2: Twitter
Figure 3: Social media users in Japan
According to this concept of functionalities, Twitter appears to serve mainly for the function of *sharing* then *conversations, presence, identity, and reputation* along with *relationships and groups* (see Figure 2). Indeed, Twitter is a social media platform that users can share opinions, news and comments on various matters, while Instagram mainly serves the purpose of sharing pictures rather than opinions. Importantly, Twitter is the most used social media platform among Japanese people (see Figure 3) as 76% of the survey participants have ever used Twitter and 69.9% of participants still use Twitter at present (Careerconnection, 2018). Again, almost 64% of Japanese social media users (see Figure 4) who are below 30-year-old currently use Twitter, whereas 50% of Japanese social media users (see Figure 5) of the matched same age group currently use Instagram (Kawata, 2018).
**Data collection, sampling, and coding**
Data was collected after the official debut of TWICE, 28 June 2017 until 28 February 2018 with the hashtag #韓国人になりたい (#I want to be Korean). I would like to disclose that the top tweets were collected by 7 April 2018, as the top tweets may change over the period of time. In order to explore the usage of #韓国人になりたい and purposes behind, I have collected 569 top tweets over six months. The collected tweets were posted by Japanese users, I discarded the tweets that were posted by none
Japanese users. Additionally, I did single coding to find the frequency of tweets posted and placed them into seven categories (see Table 1).
1. K-pop idols – messages and pictures of K-pop idols such as BTS, TWICE, and Big Bang
2. Korean fashion and makeup look – any posts that Twitter users posted their selfie photos
3. Interests – any posts about Korean cultural elements, Korean language, finding friends, looking for Korean boyfriends/girlfriends, marriage, dance, and food
4. Negative critiques – criticise harshly about this hashtag
5. Defence against the negative critiques – respond to the bad criticism
6. News – news links about the trend of this hashtag, negative news about Korea such as suicidal rate and food poison, news that criticised how bad South Korea was as a host for Pyeongchang 2018 Olympic winter games, and Senkaku Island dispute news
7. Advertisements – Skincare products, clothing, and beauty book
Furthermore, the double coding was utilised to explore the common aspects of Korea and Koreans when Japanese users tweeted with the mentioned hashtag (see Table 5).
**Results**
Table 1: Tweets by categories
| Categories | Frequency | % | Related to |
|-----------------------------|-----------|-----|---------------------|
| K-pop idols | 21 | 3.7 | RQ1, RQ2, and RQ4 |
| Korean fashion and makeup look | 138 | 24.2| RQ1, RQ2, and RQ4 |
| Interests | 28 | 4.9 | RQ1, RQ2, and RQ4 |
| Negative critiques | 170 | 29.9| RQ1 and RQ3 |
| Defence against bad critiques | 21 | 3.7 | RQ1 and RQ4 |
| News | 170 | 29.9| RQ1 and RQ3 |
| Advertisement | 21 | 3.7 | RQ1 |
| **Total** | **569** | **100%** | |
Table 2: Number of tweets by months
Table 3: Frequent categories by months
Frequent post categories each month
- K-pop Idols
- Style/look
- Korean language, making friends, others
- Negative critiques
- Defense
- News
- Ads
N=569
Table 4: Negative critiques by gender
| Month | Male | Female |
|---------|------|--------|
| Nov-17 | 5 | 0 |
| Dec-17 | 36 | 8 |
| Jan-18 | 5 | 2 |
| Feb-18 | 110 | 10 |
N=170
Table 5: Double coding result
- K-pop idols: 26 tweets or 68.42%
- Style/Makeup: 7 tweets or 18.42%
- Korean language and other interests: 5 tweets or 13.15%
N=38
Discussion
Japanese nationalism and #I want to be Korean on Twitter
I observed the tweets with the hashtag #韓国人になりたい over a six-month period and collected 569 top tweets. To answer the RQ1, I would like to divide the collected data into two types. First, the positive tweet posted with this hashtag was used to show one selfie photos of Korean style or makeup look (n=138, 24.2%), interests (n=28, 4.9%), their favourite Korean idols (n=21, 3.7%), defence against the criticism (n=21, 3.7%) and advertise beauty products (n=21, 3.7%). Second, the negative tweets that are of news (n=170, 29.9%) and criticism (n=170, 29.9%). The positive tweets also correspond to RQ2 since data clearly shows that Japanese youth are fond of Korean fashion, K-pop idols, and other interest such as Korean language and finding friends who also wanted to be Korean. While, the negative tweets demonstrate the reactions of Japanese people on Twitter that respond to RQ3. Indeed, this hashtag was not unordinary until one online article インスタ女子の間で「#韓国人になりたい」流行中の意外と深イイ理由 (In-depth reasons why #I want to be Korean is a trend among female Instagram users) was published on 6 December 2017 and Japanese people started to share and comment on this topic. Hence, there was the highest number of tweets in December 2017 (see Table 2) and 156 tweets were the links to that article and several other news about Korea (see Table 3). Later, this hashtag went viral again in February as it was concurrent with PyeongChang 2018 Olympic Winter Games, negative critiques on Korea and Koreans significantly rose to 118 tweets (see Table 3).
#韓国人になりたい (#I want to be Korean) indicates some degree of deterioration of nationalism among Japanese girls. It is important to highlight that those Japanese girls who put #I want to be Korean are between teenagers and young adult. In this study, Japanese girls refer to Twitter users who are in the age group between 13 and 25 years old. Also, the significant group of young Japanese females who posted #I want to be Korean, the Instagram posts were largely made by young Japanese females aged between 10s and 20s (Kuwahata, 2017). As they embrace the Korean Wave and other aspects of Korea especially Korean style and makeup trend as well as Korean language. When I was collecting the data, I came across with many Japanese youths who generated their Japanese names to Hangul or Korean alphabet. For instance, あゆみ (Ayumi) became 아유미 (Ayumi) in Hangul. In contrast, negative criticism was tweeted mostly by males and a small number of female netouyo or cyberspace right wing (see Table 4) and there was limited number of Korean style tweets posted by males (n=28) comparing to the total Korean style tweets of 138.
To explain, nationalists are those who highly love their nations with antagonism toward other nations, while patriots love their countries without hatred toward other countries (Kosterman & Feshbach, 1989). It is important to be highlighted that the female interviewees (n=4), all of them said that they wanted to look like Koreans because they liked Korean idols, fashion, and makeup. Three interviewees stated that they would not want to change their nationality, but they appreciated how pretty Koreans were. However, one interviewee avoided talking about the nationalist issue. Importantly, four interviewees agreed that Korean idols such BTS and TWICE were the great influence in making them want to look like Koreans. The double coding
result of the total number of 38 tweets shows that 68.42% of tweets were K-pop stars posted along with the selfie pictures of the users (see Table 5). Although popular culture is beyond the national boundaries, a broader transnational receiving in the region and constructed the relationship among young people in East Asia (Iwabuchi, 2008). Certainly, these Japanese youth, female particularly, might be a great example for the ‘transculturality’, but they also show the decline of Japanese nationalism, while remaining patriots.
Conclusion
The use of #韓国人になりたい (#I want to be Korean) among Japanese people on Twitter was varied. This hashtag was first used to indicate what they liked about Korean fashion and K-pop idols as well as looking for friends who share similar interests. However, this hashtag was used to criticise those Japanese teens who wanted to be Koreans and denounce how awful Korea was as a host for the Winter Olympic Games along with other aspects of Korea and Koreans. Undoubtedly, Japanese youth are fond of K-pop, Korean fashion and makeup, and other Korea related elements. These are also the key reasons why they want to be (like) Koreans. Notwithstanding, this phenomenon can be taken as the ‘transculturality’ since Japanese girls received and accepted the specific culture and developed as their cultural identity while their national identity is still the same. However, this indicates that young Japanese females are losing the sense of nationalism as they want to look like Koreans as well as adopted Hangul for their Twitter usernames. It is important to note that Japanese nationalists are mostly males. To conclude, #韓国人になりたい shows the fall of nationalism among Japanese girls who are in their 10s and 20s, while guys are likely to have a strong Japanese national sentiment.
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Bangkok Graphic Design Culture Communication
Supatra Lookraks, SuanSunandha Rajabhat University, Thailand
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
This research propose the graphic design to promote the Landmarks in Bangkok, Thailand. The idea is to design an illustration that can support the image of the community in each area that can use as a key to communication. Data collection process was the fondness of young people between the ages of 18-21, about the style and composition of the most favorite image from the highlight of the community and the culture of each district. Through convey the content as graphics or illustrations in the design. The research results obtained from the analysis can be adapted and applied as a design guideline in different situations. And the important is tell the historical story about each community, and also promote local culture and create the local identity.
Keywords: Culture, Promote, Image, Districts, Local, Community
Introduction
This research introduces the conception of design for promoting Bangkok, Thailand. The image is visual design applied to illustration design for souvenir or products design. Design is used to promote culture in districts within the community. Emphasis on visual landmarks of the community are known to make even more. The image will be used to create form following concept, work to customize illustrations design and graphic design with computer techniques to be applied to products design and souvenirs. For release to the community, it can also be used as a guideline for other communities further goods and products to broader community benefit.
Process of Research
The image is a type of design that has form and principles of graphics used to their creativity to make people remember things. Imagine that can be made information to promote culture in any location in the local community. It might be that the image memorial in each situation different, locations will provide information. The messages like to communicate. What to whom, communication allows people and groups. Who have understanding about art, design, cultural, local and traditions of this group in country from somewhere to somewhere, its different location. In each group, whether it is a small community. Family as a small group in communications. Is not only the language alone. Communication conveys arts and traditions of their culture, it is considered a leading communications design works of each country to be published. It also helps to connect people of different ethnicity to understand each other. Includes a group of people with a passion for the same thing. Access to various groups of people. The idea is to be able to help. Site new looking to communicate and convey to them more easily.
Bangkok, that can be used as a model capital city. It creates a branding for image other cities present themselves through graphics in the new design creative work. Graphic design will have very active and exotic offerings do not stop making it. Contributions are highly competitive as well. Studies and research for creative design such is indeed a new way. To help can make a difference and multiple options. And to consumers which many will help develop your skills in decision making. Effective entrepreneurs, designers, and most importantly, consumers can improve quality of life. For themselves, their families and the people around you as well. Graphic design illustration by promoting this image, Bangkok will collect and analyze data to design. 10 areas of popular destinations and is a popular operating principles and underlying theory. Design including the design of each of the accepted science and graphic design, product design, architecture, handicrafts and so on to design the research. This research is an illustration of the traffic that promote the image of the Bangkok-based portfolio. Imagination can be used to present the knowledge in the design to those seen very well also. Prototype to create a new image as well. The research aims to explore the concept of Bangkok to promote. The illustrated design guidelines to create novelty to the graphic design. The image of the illustration design promote especially in urban. Easy communication and telling the stories local and culture in the city.
Population used in this research was the work of a student of graphic and Multimedia Design Year 1 and 2 with the academic teaching photography. The
study of the photography samples used in the research. Portfolio of graphic design students age between 18-20 years, of whom 50 under the perspective of today's teens about Bangkok. Concept of the age difference and novelty in other ages. Characteristics of the comparable criteria compared photos and illustrations provided to analyze the design and composition. More locations and principles of graphic design and illustration in a whole new way create and monitor research tools using research tools. The researcher used tools compare the design of the sample and the actual photo. By comparison, according to the criteria principles of graphic design and illustration. The selection of photographs and modern graphic style, can be applied to suit the design by creating illustrations Bangkok. Data collection tools and the design principles of samples to be compared with. Highlights of each selection and create a new one. This is an important topic for the performance comparison table to compare and select the best samples and check. Principles composition tool than the three principles to determine the topics that has come from. Creating tools that can describe and interpret the desired image matching or similar communication. Most of the data collection are exploring space with photos and gather data. Sources other images collected by dividing the data into the document. A real study of the field and media divided the study on the basis of information and knowledge in the design is to summarize the data. All including research related to the data obtained from the study. Include elements of media the nearby existing media be compared and analyzed to find the bug and put away. Application and secondary education sector information related design, illustrations and information that has come to summarize all the data to be collated and analyzed for use in the design of the actual location. The case study analysis sample was studied and analyzed. The composition of matter selected sample of 10 nearby to compare. Samples with various design principles and analyze data from photos contains general. About illustration information design principles information about the new graphics Analyze data to the results of the query. To find the results applied to the design of attractive illustrations exotic variety available. Process is gathering information from the target teenagers. Between 18-21 years, with a presentation of photos about Bangkok from various locations in the image. Each field and creative photos with interesting techniques to compare the use of illustrations. The target group then analyzed data to compare the sample to be concluded for image composition.
**Analysis: SWOT**
The researchers were able to bring the information used to design and compare the advantages and limitations. Weaknesses of each sample was used for the illustrations as well as promote more visuals. Virtual presentation yard many forms. Help promote tourism and also provide an interesting picture. Strengths to be optimized or the other. To be aware of the weaknesses and improve that. It’s weird to be unacceptable. May be not supported by the group, which has a number. Less to a limitation in the presentation. The choice of the image must be in accordance with the content. Which may sometimes convey difficult and less story. Because of the detail in some souvenirs. The issue of limited opportunities and hurdles that used to be design illustrations. This novelty will quickly recognize viral popularity has easy access has been achieved. Popular demand a particular kind or variety. In addition to analyzing the market situation above, the design of the theory. Is based on the theoretical principles guiding the design of their designs
by applying the appropriate style needs. Target group experience of each, this works most productivity is thought to have originated from the basic design principles and develop a model theory of thought into the design process is going on, in fact the next pattern analysis. This design uses the basic principle of comparing the work each student has the same problem. The creative work of an individual to decide illustrated design guidelines and criteria to consider.
1. Most beautiful is when see composition is perfect.
2. Technique is skill to use for computer design.
3. Presentation is the design and appeal.
4. Principle is theory and composition apply.
5. Exotic and unique presentations. Have a good design.
Theoretical analysis by comparing the performance of students in accordance with the above considerations. Made aware of analysis aesthetic teens in this group will look beautiful only partially. Often use a variety of techniques. Into the job and not the job. Work that has come out looking so beautiful as they should. How to present a perspective. Unusual interest differences make a point to find the principle used in various applications. Difference is whether the space over the size, color balance, focus, etc. But to take advantage of. Various design theories and principles. Those are not fully If a development model in some presentations. Will make the job more completely. From the above model that uses images place. In using computer-aided techniques to decorate. Choose a unique point of view than a normal presentation. Various techniques the design principle of a new image with the following interesting.
Photos of the pick from the elements and concepts are presented in an interesting novelty was analyzed with consideration of the principles of design and composition. By selecting nearby the sample such as element 15 in the categories of 5 each selected illustrations below.
1. The illustrations regard to art.
2. The illustrations are clear.
3. The illustrations are realistic.
4. The illustrations are sharp.
5. Stimulate creativity towards morality.
6. The illustrations are communication stories.
Considerations
1. Equilibrium is depicted as a beautiful balance.
2. Harmony is the skin's appearance.
3. The difference is within the image. In a good way.
4. Ratio is the proportion for each other.
5. Rhythm and pacing, and movement within the picture.
6. Highlighting the main focus attract good design.
Analysis: Case Study
The analysis of the sample data, designed, keeping in mind that the form. That will be used in design emphasize the use of light and shadow to the appeal letter to find the meaning of the images used. Place the text and accompanying photo or graphics to offer a place to view exotic interest. Both two-dimensional and three-dimensional assemblies, refer to the virtual main details. Most other components the least made more attractive and create questions of the witness. The difference in the use of color to a new exotic harmony rationality that. Relationship and use storytelling techniques visual storytelling makes it easy to understand.
Results of the Analysis to the Design
The analysis of all possible design illustrations promote a virtual visuals presented by the yard many forms. It also helps promote tourism, provide an interesting picture to be optimized. Takes time to accept something new. Or may be supported by specific which amounted to at least. Restrictions presentation the selection of images need to be corresponds to the content. Which can sometimes be difficult to convey. The story was less because of the some details of the memorial service. But the novelty will quickly recognize viral popularity has easy access. Has been a popular demand is particularly unique. Adolescents in this group some look just beautiful. Often use a variety of techniques, both on the job and not on the way. Present a unique perspective that makes a point of interest to find the different principles used in various applications. Difference is whether the balance point iteration space size, color etc. The theme is a place in Bangkok. Using computer-aided techniques to decorate. Choose a unique point of view than a normal presentation.
Sample design keeping in mind that the format that will be used in the design. The use of light and shadow to the appeal letter to find the meaning of the images, and placement. Accompanying text, photos or graphics place to offer an extraordinary view. Do both two-dimensional and three-dimensional assemblies, see virtual. Details of the most notable. Other components the least made more attractive and create questions of the witness. The difference in the color of a novelty to see a harmony causal relationship. Technique, storytelling and visual narrative makes it easier to comprehend.
From concept illustration of student presentations. Illustrations and examples make different patterns to create a line of different places in each mind. Central Bangkok was presented with the story lines and characters, both black and white households. The river story which is known to the general public on the rivers, canals and architecture. History of Bangkok make various drafts the product use as a prototype. Adoption, each divided into color or black and white products such as plates, cups, pens, bags and notebooks, etc. It can be used as a model to create work. Other end of the trade is divided according to the draft.
The results of the analysis made for graphic design, illustration, promote the city within the character. And retouching techniques used. They can be applied illustration design guideline from research to products easy.
Through convey the content as graphics or illustrations in the design. The research results obtained from the analysis can be adapted and applied as a design guideline in different situations. And the important is tell the historical story about each community, and also promote local culture and create the local identity.
**Fig. 1** Ex.Picture of the landmark in Bangkok.
**Fig. 2** Ex.Illustration of Wat Sakat.(Poo-Khao-Thong)Black & White
Sample design keeping in mind that the format that will be used in the design. The use of light and shadow to the appeal letter to find the meaning of the images, and placement. Accompanying text, photos or graphics place to offer an extraordinary view. Do both two-dimensional and three-dimensional assemblies, see virtual. Details of the most notable. Other components the least made more attractive and create questions of the witness. The difference in the color of a novelty to see a harmony causal relationship. Technique, storytelling and visual narrative makes it easier to comprehend.
**Conclusion**
The results made for graphic design, illustration design and products design promote the landmark in Bangkok. And retouching techniques use for anything about visual art. So they can be applied to design easy.
Appendix
University Encourages research to increase the number of research available to more and demonstrate the potential of the personal of the agency with the ability to create work.
Acknowledgement
This research was cooperation of students of Graphic and Multimedia Design, Suansunandha Rajabhat University. They are the target group for giving information about image and illustration design used to compare and analyze the results. Make a contribution and approach used to design. I would like to show our deepest gratitude to Research Institute of Suan-Sunandhat Rajabhat University for giving the scholarship to do this research.
References
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Deep Demand Study of Taipei’s Healthy Breakfast Eaters
Li-Chieh Chen, National Taipei University of Education, Taiwan
Chan-Li Lin, National Taipei University of Education, Taiwan
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
Taipei is one of the high-tech metropolis in the world. Their many advantages aside, high-tech cities are also likely to cause the problem of “social McDonaldization.” The standardization and homogenization of the food industry ensures that people do not need to cook three meals a day. Relying on instant food is increasingly becoming the norm. The current lack of transparency with regard to the ingredients used and the food manufacturing process employed, however, trigger varied problems related to food safety and diet. This study takes Taipei breakfast foods as its subject. Urban residents living in Taipei mostly buy their breakfast from chain fast-food restaurants. Stores that offer this service are low priced, easy to find, quick, and convenient. The breakfast foods sold at these stores are manufactured in factories that use chemicals and are frozen and then reheated for consumption. Breakfast beverages generally comprise chemically improved milk, tea, or fruit juices made from concentrate. Frustrated city dwellers are now beginning to become aware of healthy diets and to ascertain the needs and wants of healthy breakfast eaters; this study conducted interviews of six people in Taipei who were conscious about their well-being. The purpose of this study was to discover the nutrition requirements of healthy food eaters in Taipei so as to contribute to the future development of breakfast restaurants that serve wholesome and nourishing meals. The findings of this study could be used as reference for future breakfast store owners.
Keywords: Social McDonaldization, standardization, homogenization
Introduction: The McDonaldization of Diet
As the fast-food chain industry has become increasingly popular, the McDonald business model has been applied in various forms. With its focus on the standardization of processes, the McDonald business model has sought to homogenize the taste of offered food items across the world and to accurately calculate the grams of each ingredient and the required heating time. This business model has made it possible for consumers to find the unchanging taste of an item they remember wherever they are in the world. The taste of the food, its appearance, the basic layout of the stores, and the behavior of employees are made consistent around the globe. The business model operates like a mechanized production line in a factory. Workers do not need to have the specialized skills of chefs. They only need to “assemble” foods. The low cost and high efficiency of this business model, paired with the ubiquity of the stores, make fast food extremely accessible (Ritzer, 2012).
The demand for meals is highest at peak times such as breakfast, lunch, and dinner. The chains tend to avoid perishable food and offer pre-handled or pre-cooked options (Kanyan, Ngana, & Voon, 2016). The McDonald’s restaurant model uses technology to control manpower and extremely rational methods to control production and sales. As a result, the food loses its uniqueness. Thus, people should ask themselves, are these fast-food restaurants using local ingredients? Is the food healthy? Is the meal nutritious? These concerns, in fact, do not appear to be the most important considerations for consumers. Perhaps this is because the service and products provided by the chain fast-food restaurants are so fast, inexpensive, and delicious that people are willing to turn a blind eye toward the chemical additives that they are consuming. Urban residents are often willing to compromise their health for these conveniences (Ritzer, 2012).
Problems with Taipei Breakfast Options
In 2012, Common Health Magazine surveyed the five big breakfast store chains in Taiwan. These brands included My Warm Day (麥味登), Ruilin Mei & Mei (瑞麟美而美), Good Morning (早安美芝城), Hongya Hamburger (弘爺漢堡), and Julin Mei & Mei (巨林美而美). According to the surveys conducted at three of each brand’s breakfast outlets, 100% of the workers display habits that point to poor hygiene. For example, the workers do not wash their hands before touching the food ingredients or they work on making the food while also tending to the cash register. 40% of the workers mixed cooked food with uncooked food, causing bacterial contamination. A sample of the forty-six most commonly sold items was examined, and 40% of the foods were found to have high levels of microbes. Nine of the tested articles of food contained high levels of *E. coli* bacteria.(林慧淳，民 101)
In addition to food safety issues, Common Health Magazine also investigated the nutritional balance of the meals on offer. The results showed that the most frequently purchased meals for consumers were too greasy, the amounts of fruits and vegetables were too small, and protein-based foods were also insufficient. Foods such as ham, bacon, chicken nuggets, and hamburgers were high in sodium content. One meal could yield as much as half of a recommended daily serving of sodium. Beverages were generally high in sugar content and mixed with chemical additives that inhibit
the body's ability to balance and absorb nutrients, creating an additional burden. (林慧淳，民 101)
**User Research**
By utilizing observation techniques to understand the behaviors, needs, and motivation of consumers, user research yields better mental models. It can grant a more thorough understanding of the problems of users and can display the gaps between reality and requirements (Dagbagli and Araujo, 2015). Thus, user research can become a starting point to finding a solution that prioritizes features and help us to clarify which characteristics are most important and which can wait. It is now used in many creative industries and serves to bring to the surface the hidden demands of consumers.
An important information from users that is generally ignored can be learned from their narratives and non-verbal cues in response to pictorial prompts in image interviews. A user research method created by Zaltman, named the “Zaltman Metaphor Elicitation Technique (ZMET),” accord investigators the opportunity to understand the opinions, behaviors, and feelings of consumers in relation to a particular service. This research methodology assists ameliorated communication between users and providers. Service providers can thus develop tailored offerings with their users in mind (Zaltman & Coulter, 1995).
**Research Subjects**
Previous research has demonstrated that the eaters with low health consciousness are less motivated to choose healthy food for their body. They prefer to choose emotional edibles that let them feel happy (Buhrau & Ozturk, 2018). In this study, the researchers eliminated the group of users who exhibited this behavior. Among the respondents who were currently living in Taipei, two engaged in regular fitness exercises. The intake of various nutrients is related to physical exercise. Excessive oil and sugar intake will cause the body to store excess fat. Therefore, it is best to adhere strictly to a healthy diet of three meals per day. Two of the chosen respondents were accustomed to eating healthy breakfast meals prepared by their mothers at home and paid attention to the choice and quantity of ingredients and seasoning. Thus, the respondents that consumed fast food infrequently were generally not accustomed to the heavy taste of fast food. One of respondents was affected by the news and by health-related information and paid attention to diet and nutritional intake so as to avoid future diseases. The respondent was more likely to select more balanced meals and was reminded about the importance of eating nutritious meals when observing people with unhealthy diets. One of the respondents had suffered from serious skin disease because of long-term consumption of high-oil, high-sugar, and high-starch food, coupled with the accumulation of daily stress. These individuals hoped that by adjusting their modes of living and their diet they could improve their physical health in Taipei. The demographic information pertaining to the selected respondents is presented in the table below:
Table 1. Demographic information of respondents
| Respondent | Gender | Age | The reason to become Healthy Breakfast eater | Being a Healthy Breakfast eater |
|------------|--------|-----|---------------------------------------------|---------------------------------|
| 01 | Feminine | 23 | Affected by family eating habits | 23 years |
| 02 | Masculine | 24 | Affected by family eating habits | 2 years |
| 03 | Feminine | 24 | Affected by the news and by health-related information | 3 months |
| 04 | Feminine | 25 | Suffered from serious skin disease | 3 months |
| 05 | Feminine | 25 | Regular fitness exercises | 3 years |
| 06 | Masculine | 27 | Regular fitness exercises | 5 months |
Research Methods
The authors interviewed six high health consciousness eaters by using the ZMET to map their underlying demands. Respondents were required to provide 15 to 20 photos of their definition of a “healthy breakfast diet” and to provide a narrative describing their own perspectives and experience with regard to eating a wholesome breakfast. To ensure that the interviews were comprehensive, the researchers asked questions to prompt the interviewees. The participants responded to questions in an one-on-one interview. In this way, the researchers were able to clarify the needs of people with healthy diets with regard to breakfast.
The steps of the interview were as follows: (1) Storytelling: The respondents narrated their story based on the pictures they selected; (2) Extended storytelling: The interviewer asked if there was a concept or idea related to healthy eating that could not be expressed through the picture collection; (3) Sorting: Respondents re-categorized the pictures by themselves and named the categories using tags to establish a structure; (4) Representative pictures: Respondents extracted the most important pictures based on their personal needs; (5) Comparison of images and ideas: Respondents thought about the differences between their ideas about healthy eating and their own pictures while comparing and contrasting the two; (6) Sensory description: Respondents described what it felt like to consume healthy foods using their five senses; and (7) Summarizing images and stories: Respondents reviewed and edited the most pertinent ideas related to healthy eating. They created an image that could be used to summarize their ideas from the pictures they selected and wrote a hundred-word essay summarizing the meaning of this image (胡惠君, 2015).
Analyzing the Features of a Healthy Breakfast Diet
After the interview of ZMET, the authors collated the major points of consensus arrived at through the participant responses. Separated the features into three categories: attributes, consequence, and value with regard to a healthy breakfast diet. The authors only recorded features that were mentioned by three or more participants. This information is provided in the table below:
Table 2. Features of healthy breakfast diet and the number of respondents (A)
| Code | Features of Healthy Breakfast diet | Number of Respondents |
|------|------------------------------------------------------------------------|-----------------------|
| | Attributes | |
| A01 | Paying attention to the quality of ingredients | 5 |
| A02 | Appropriate serving sizes | 5 |
| A03 | Taking healthy diet seriously | 3 |
| A04 | Not succumbing to temptation | 3 |
| A05 | Eating Un-stimulating foods | 4 |
| A06 | Recognizing the food items | 4 |
| A07 | Whole foods | 6 |
| A08 | Attaching importance to the food materials | 3 |
| A09 | Eating natural foods | 6 |
| A10 | Flexibility choose of meals | 4 |
| A11 | Protecting the body | 4 |
| A12 | Being influenced by others | 4 |
| A13 | Understanding the functions of food | 4 |
| A14 | Focusing on the food one is eating | 3 |
| A15 | Finding one’s own way to eat | 3 |
| A16 | Refusing unhealthy food | 5 |
| A17 | Eating balanced meals | 6 |
| A18 | Being influenced by research | 3 |
| A19 | Paying attention to the way the food is cooked | 5 |
| A20 | Knowing the metabolic cycle | 3 |
| A21 | Being alert to bad experiences | 4 |
| A22 | Eating meals simply flavored and without chemical additives | 6 |
| A23 | Creating one’s own definition of diet | 4 |
| A24 | Body balance | 4 |
| A25 | Recovering from illness | 3 |
| A26 | Being attracted to the food | 3 |
| A27 | Easy to implement | 4 |
| A28 | Eating proportionally | 4 |
| A29 | Commercial exploitation | 3 |
| A30 | Being in touch with the people | 3 |
| A31 | Personal habits | 4 |
| A32 | Eating food that is clearly described | 3 |
| A33 | Helping consumers clearly understand the ingredients | 5 |
| A34 | Refined foods | 3 |
| A35 | Eating foods with nutrients that the body can absorb | 4 |
| A36 | Providing full energy foods | 5 |
| A37 | Tremendous | 4 |
| A38 | A low body burden | 3 |
Table 3. Features of healthy breakfast diet and the numbers of respondents (C)
| Code | Features of Healthy Breakfast diet | Number of Respondents |
|------|--------------------------------------------------------------------------------------------------|-----------------------|
| C01 | Caring for body nutrition | 4 |
| C02 | Helpless obedience | 3 |
| C03 | Envyng someone | 3 |
| C04 | Afraid of unhealthy cooking method | 5 |
| C05 | Having a doubt | 3 |
| C06 | Eating an unhealthy meal because of the lack of time | 4 |
| C07 | Capacity for independent thinking | 3 |
| C08 | Providing healthy foods that help consumers start the day | 5 |
| C09 | Foods that can be prepared by hand | 6 |
| C10 | Eating too much because one does not want to waste | 4 |
| C11 | Doubting how others can absorb the food they eat | 3 |
| C12 | Poor physical condition | 4 |
| C13 | Eating at the right time | 4 |
| C14 | Focusing on the body's perception of food | 5 |
| C15 | Estimating the characteristics of the food | 3 |
| C16 | Enabling consumers to reflect by themselves | 5 |
| C17 | Sense of satisfaction | 3 |
| C18 | Providing foods that consumers love | 5 |
| C19 | Comparing foods | 4 |
| C20 | Eating to make up for a deficiency | 3 |
| C21 | Eating to feel relieved | 4 |
| C22 | Tasty food | 4 |
| C23 | Providing an environment or method that can teach consumers about the ways other people eat | 5 |
| C24 | Expectations from the meal | 3 |
| C25 | Self-projection | 4 |
| C26 | Meeting others' needs | 3 |
| C27 | Worrying about eating too much | 3 |
| C28 | Meals to help develop healthy eating habits | 6 |
| C29 | Relaxing | 4 |
| C30 | Inner peace | 3 |
| C31 | Trusting the food | 3 |
Table 4. Features of healthy breakfast diet and the numbers of respondents (V)
| Code | Features of Healthy Breakfast diet | Number of Respondents |
|------|--------------------------------------------------------------------------------------------------|-----------------------|
| V01 | Meeting the basic demand (satiety) | 3 |
| V02 | Making consumers feel willing to experiment and try new meals | 5 |
| V03 | Providing micro-customized services | 5 |
| Code | Description | Score |
|------|--------------------------------------------------|-------|
| V04 | Self-judgment | 4 |
| V05 | Understanding one’s body | 4 |
| V06 | Allowing consumers to decide on their own whether or not the food is healthy | 5 |
| V07 | Self-persistence | 4 |
| V08 | Eating foods that can control the intake of dietary nutrients | 6 |
| V09 | Self-actualizing | 3 |
| V10 | Self-examination | 4 |
| V11 | Experiencing oneself | 3 |
| V12 | Self-motivation | 4 |
Table 2 elucidates that healthy breakfast eaters and breakfast shops should pay special attention to the provision of whole foods and natural foods in a balanced and adequate meal. The meal should be based on simple and natural flavors without chemical additives. Healthy breakfast eaters want to eat high-quality foods that provide body energy. They will refuse unhealthy foods and would like to know the food ingredients and the way the meals are prepared.
The consequences recorded in Table 3 demonstrate some abstract features. Healthy breakfast eaters are afraid of harmful cooking methods and prefer handmade foods. The food allows them to reflect on themselves. Although they care about the body's absorption of the food, their eating also depends on whether they like the taste. A healthy meal can develop good eating habits and can provide a good beginning to a day. The way other people eat is also something people imitate.
In terms of value as registered in Table 4, most respondents mentioned foods that can control the intake of dietary nutrients. Healthy breakfast eaters and breakfast shops need to find or provide foods that can make people willing to experiment. They should provide some micro-customized services and allow consumers to decide on their own whether or not the food is healthy.
**Conclusions**
Analyzing the results, the authors suggest some options for healthy breakfast store owners: (1) food quality (2) natural foods (3) balanced diet (4) transparency in ingredients and cooking methods. Healthy breakfast eaters focus on foods that are good for their body, but they also want to feel good when they eat the food. A balanced meal they can trust is also important to them. It is recommended that shops provide a way to let customers know about their business model, where their foods come from, and how they cook these foods. Considering the aspect of special services, stores should provide a multitude of options for consumers with different preferences and needs so that their patrons can try a variety of healthy eating methods and are gradually able to develop the habit of healthy eating.
References
Lee, W. Taiwan’s Taipei ranked 5th most high-tech city in the world.
https://www.taiwannews.com.tw/en/news/3229066
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林慧淳（民101年3月）。巷口早餐連鎖店大調查！*康健雜誌*, 160, 30-52。取自http://www.commonhealth.com.tw/article/article.action?nid=65604&&fullpage=true
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Reading Girls’ Agency: The Pillow Book and Flower Tales, Past and Future
Yu Umehara, University of Tsukuba, Japan
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
The topic of this paper emerged from a deceptively simple question: when and why did the linkage between girlhood and same-sex love emerge in Japanese culture? Ostensibly, the answer is clear. *Flower Tales* (*Hana Monogatari*) (1916–1924) was a serialized girls’ magazine by the popular Japanese writer Yoshiya Nobuko; the novel featured flowers and romantic same-sex friendships coupled with Nobuko’s depictions of a mutual crush. Dubbed as “S” (meaning sisterhood), such relationships captured the imagination of Japanese schoolgirls. Yoshiya claims, rather anachronistically, that it is often overlooked that the tradition of girlish sentiments that unfold in *Flower Tales* originates in *The Pillow Book* by Sei Shonagon during the 10th century. In fact, at the time of her writing during the 1910s and 1920s, Sei Shonagon was reevaluated—or devaluated—as a “new woman” in literary circles, whereas Lady Murasaki was universally celebrated as a good female writer. This paper reconsiders the cultural work of *Flower Tales* by situating it across space and time. I argue that the linkage between flowers and lesbianism in *Flower Tales* emerged not simply as a reaction to patriarchal heterosexism or the new science of sexology but was informed by a female rereading of *The Pillow Book*. Thus, *Flower Tales* reshapes the past in a way that it reshapes the future. Moreover, I will discuss the crucial role that horticultural education and science education played in the lives of Japanese schoolgirls, to explore the function of flowers in *Flower Tales*.
Keywords: Gender Studies, Girlhood Studies, Japanese Literature
Introduction
The topic of this essay emerged from a deceptively simple question: when and why did the linkage between girlhood and same-sex love emerge in Japanese culture, where a romantic female friendship or romance became associated with the “lily” flower? The answer to this question is clear; it was due to *Hana Monogatari* (Flower Tales) (1916–1924), a serialized girls’ novel by the Japanese popular writer Yoshiya Nobuko, which featured flowers and romantic same-sex friendships coupled with Nobuko’s depictions of a mutual crush. Dubbed as “S,” (meaning sisterhood), the relationships depicted in the novel captured schoolgirls’ imagination at the time\(^1\) (Iwabuchi, Kan, Kume, & Hasegawa, 2015). Certainly, the association between flowers and female bonding, particularly lilies, continues to exert a profound influence on Japanese girls’ culture. The modern Japanese magazine *Comic Yuri Hime* (Comic Lily Princess), launched in 2005, carries stories of romance and sexual intimacy between girls.\(^2\) Along these lines, Michiko Suzuki in her study, *Becoming Modern Women: Love and Female Identity in Prewar Japanese Literature and Culture* (2009), brilliantly discusses how the girls’ fiction genre, particularly *Flower Tales*, shaped the Japanese understanding of same-sex love. However, according to Yoshiya, what is often overlooked is that the tradition of girlish sentiments unfolding in *Flower Tales* originates in *Makura no Soshi* (*The Pillow Book*) written by Sei Shonagon in the 10th century. *The Pillow Book* is Japan’s oldest collection of essays and is a record of the life of Sei Shonagon with Empress Teishi and Sei Shonagon’s colleagues. In fact, during the time Yoshiya was writing, in the 1910s and 1920s, Sei Shonagon was reevaluated—or devaluated—as a “new woman” in literary circles, whereas Lady Murasaki, the author of *Genji Monogatari* (The Tale of Genji) (1008) was universally celebrated as a good female writer, as discussed below.
This essay reconsiders the cultural work of *Flower Tales* by situating it across space and time. I argue that the linkage between flowers and lesbianism in *Flower Tales* emerged not simply as a reaction and resistance to patriarchal heterosexism, or the new science of sexology during the 1910s and 1920s,\(^3\) but was significantly informed
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\(^1\) Nobuko Yoshiya’s *Hana Monogatari* [Flower Tales] was widely regarded as the earliest successful girls’ novel and was intermittently serialized in the magazine *Shojo Gaho* (Girls’ Pictorial) from 1916 to 1924. Three installments of the series were also serialized in *Girls’ Club* (Shojo Club) from July 1925 to 1926. The stories were subsequently collected and published in book form in 1920. Recent girlhood studies in Japan position *Hana Monogatari* as a monumental epitome of girls’ novels, a genre marked by sentimentalism and flowery sentences. *Hana Monogatari* has 54 sections and the titles of these sections are flowers names (Lily of the Valley, Evening Primrose, Shirahagi, Wild Chrysanthemum, Sasanqua, Narcissus, Yellow Cherry Blossoms, Forget-Ne-Not Grass, Iris …). The flower in the section title becomes the key item of the story in each section.
\(^2\) *Comic Yuri Hime* (Comic Lily Princess) is a monthly magazine published by Ichijin-sha: http://www.ichijinsha.co.jp/yurihime/
\(^3\) Komashaku Kimi pointed out that *Hana Monogatari* entirely obliterated the couple fantasy derived from heterosexual love. Instead, it foregrounds a fraternal relationship between girls enabled by the modern girls’ school.
by a female rereading of *The Pillow Book* (Komashaku & Yoshiya, 1994). Thus, *Flower Tales* reshaped the past as it reshaped the future. Moreover, this essay will discuss the crucial role that horticultural education and science education played in the lives of Japanese schoolgirls to understand the function of flowers in *Flower Tales*.
**Girls’ Relationships and Flowers**
Today, an intimate relationship between girls is called *Yuri* (lily). Interestingly, the term was first used in *Bara-Zoku* (Rose Tribe) (1971), a magazine that catered to male homosexuals in the 1970s, carrying the name of another flower—roses. Gay boys were associated with roses, and the magazine first used lilies to refer to its female readers. Eventually, “lily” became the codename for lesbians.
What ensued was the asymmetrical development of men and women in relation to flowers. During the 1970s, male homosexuality was symbolized by roses, but today, this association has lost its power. Gay boys and men gained new names such as *Yaoi*, *Homo*, and *BL*. However, lilies, originally coined in the gay magazine *Rose Tribe*, remain an icon for lesbian girls. However, the question is as to why does the link continue to capture girls’ imagination?
I would suggest that it is because the cultural association between flowers and romantic friendships already existed in women’s culture—a tradition that goes back to the publication of *Flower Tales*. The novel depicted beautiful and sentimental friendships between girls and created a contagious fever among schoolgirls. While Suzuki (2010, p. 36) points out that romantic friendship existed between girls in 19th-century Western literature, Yoshiya’s narrative is more closely linked to 10th-century Japanese literature, namely *The Pillow Book*.
*The Pillow Book* is typically read as an *okashi* work, a Japanese term to mean charming, delightful, or amusing. In the history of Japanese literature, it is paired with an *aware* pathos that Lady Murasaki also depicted in *The Tale of Genji*. *Flower Tales* is a serialized novel featuring a romantic and sentimental relationship between girls depicting sisterhood, which is dubbed “S.” Thematically, and in terms of genre, it seems closer to *The Tale of Genji* than *The Pillow Book*, but *The Pillow Book* and *Flower Tales* share an important theme. Both the texts depict female-centered rather than heterosexual life, as I will discuss below.
**The Pillow Book and Flower Tales**
Although it is not acknowledged as often as it should be, *The Pillow Book* reads as a story of female bonding between the author and Empress Teishi whose beauty she admires. Empress Teishi and Sei Shonagon are both intelligent women. The reader often encounters descriptions of Sei Shonagon and Empress Teishi’s mutual and high regard. As Komori (1998, p. 18) suggested, scenes where two women interact with each other and discuss their knowledge of Chinese classics, regarded as men’s academic subject, illustrate Sei Shonagon’s attempts to move beyond gender and social status frameworks. Two women of a different status cross two social barriers (gender and class) by playing with the Chinese classics.
Interestingly enough, Sei Shonagon as the author is obsessive about “tense” in the text. Empress Teishi died young, and after the loss of her beloved, Sei Shonagon was unhappy. In *The Pillow Book*, her happy days with Empress Teishi are vividly depicted, but they were in fact written after these days were forever lost. From the structure of *The Pillow Book*, Tsushima (2014) suggests that the author thoroughly eliminated unhappy signs at the time of her writing and did not write about the “present” without Teishi. Shonagon persistently returns to the past that was happy. Her forever lost “past” is thus expressed in the “present” tense. Tsushima calls it “attachment to the present” by which he means sticking to the “present” tense.
With striking similarity, *Flower Tales* also depicts relationships between girls as ephemeral and temporary. Their love is almost always drawn as “past.” During the Meiji era, having an “S” (sisterhood) relationship was becoming popular among school girls. “S” was different from the relationship between best friends because one of the couple had to be a senior. It is not clear how many girls actually had an “S” relationship in reality, but “S” certainly existed in girls’ novels. In *Flower Tales*, the fraternity between girls is depicted in every section. The main heroine adores an elder girl or woman whose appearance and dresses she admires. Love between girls never remains forever. It is a relationship that develops only during school days, and it has no future because love between girls never goes on forever. The mutual female gaze and admiration in *Flower Tales* overlaps with that in *The Pillow Book*. Both the works depict a female-centered life, often circumscribed by men and marriage.
**The Pillow Book and “New Woman”**
As mentioned earlier, Sei Shonagon has been compared to Lady Murasaki, the author of *The Tale of Genji*, as both are pioneer female writers in Japanese literary history. However, during the Meiji era, Sei Shonagon alone was rediscovered or reinvented as a prototype of the “new woman,” namely feminists, who possess equal knowledge and the desired equal rights to men in society. The male evaluation of Sei Shonagon during the Meiji period was unfairly low because she reminded Japanese male scholars about modern “new women.” As Miyazaki (1998, pp. 1-16) observed, the Meiji era was an era of “suffering” for *The Pillow Book* and Sei Shonagon.
A case in point was the scholar Umezawa Waken who devoted one chapter of his book *Sei Shonagon and Lady Murasaki* (1912) to downplay Sei Shonagon. He defined Sei Shonagon as a precursor to “new women,” by which he meant women who wanted education, with a propensity to cultivate the new, without performing the old gender roles. Similarly, Fujioka (1977, pp. 68-82) evaluated Sei Shonagon as “arrogant” in his study *History of National Literature* and accused her of being an unwomanly woman.
What I would like to draw attention here, however, is that unlike *The Pillow Book*, *Flower Tales* was never read as a story associated with the “new woman” or as a threat to men during the Meiji era. I suggest that this threat was significantly displaced by the flower motif and by a sentimental ending that bids farewell to dear friends in each tale, all of which reach closure with the separation of the two girlfriends by death or misfortune.
Functions of Flowers
In *Flower Tales*, flowers function as devices to recall the loss of loved ones and the transitory nature of girlhood. For example, the section titled “Yellow Cherry Blossoms” reads as follows: “If spring comes, cherry blossoms will bloom beside the dormitory, but an adorable person will never show up under those cherry blossoms. No matter how many times spring comes, it is a vain desire to wish she appears under the tree” (Yoshiya, 2009, pp. 107-124). Here, the heroine overlaps the girl she adores with cherry blossoms and faces the fact that the former is forever lost to her. To the heroine, cherry blossoms serve as a medium to remember her lost girlfriend whose memory never dies but repeatedly blooms.
In this way, flowers are used to depict romantic friendships between girls that are always incomplete and lost. Flowers also stand in for a girlfriend whom the protagonist admires but cannot be with. Flowers symbolize the temporary nature of these relationships between girls. The transitional quality depicted in *Flower Tales* stands in marked contrast to marriage, which presupposes sexual union and procreation. Flowers as a motif foreclose such a possibility. School girls read flowers in that way, which was also made possible by the horticultural education at school at the time, as discussed below.
Flowers and Girls
To school girls during the Meiji era, flowers became increasingly important as Western horticultural culture was imported. Watanabe (2007, p. 158) observes that growing flowers came to be regarded as an act appropriate for girls during the Meiji period.
Educational materials on flowers also appeared in girls’ magazines. The fact that school girls had opportunities to make real contact with various flowers, both domestic and Western, played an important role in reading *Flower Tales* and identifying with the novel’s characters. A column of the same name helped to introduce flowers to readers of *Flower Tales*. From 1912 to 1913, the column was serialized every month while sometimes changing the title from “Flower Tales” to “Flower’s Languages (Hanakotoba).” The column introduced not only Japanese flowers but also foreign flowers. Even a cursory look at the *Shojo Gaho* (Girls Pictorial) magazine reveals photographs of gardening lessons in girls’ schools and the degree to which gardening culture took root in girlhood culture. It is in this context that Yoshiya’s *Flower Tales* became legible for school girls.
Yoshiya reconnected school girlhood with modernity and flowers by using Western flowers (the freesia, rose, daria, hyacinth, heliotrope, and sweet pea). Some chapters in *Flower Tales* deal with flowers imported from the west. Scenes of gardening lessons are drawn during the chapter on the sweet pea (Yoshiya, 2009, pp. 226-267). The chapter on the primula (Yoshiya, 2009, pp. 27-36) implicitly criticizes the act of plucking flowers or taking plants, and the chapter on the gentian (Yoshiya, 2009, pp. 151-169) depicts the power of flowers to regenerate even if stepped on. Readers surely learned that flowers should be regarded not as mere objects of beauty but as living beings to be cherished.
The threat of a new woman posed by *The Pillow Book* is displaced by representations of flowers and modern horticultural education. Thus, Yoshiya successfully co-opted the “new woman” into the framework of “girls.”
**Conclusion**
As I have discussed, flowers and romantic friendships between girls characterized girlhood culture during the Meiji era. It may have been a temporary fad at the time, but today, the name of the lily flower has transcended its impermanence and audaciously speaks of what was once previously unspeakable.
References
Fujioka, S. (1977). *Kokubunkaku Zenshi* [National literature Whole History]. Tokyo: Kodansha.
Iwabuchi, H., Kan, S., Kume, Y., & Hasegawa, K. (2015). *Shojo Shosetsu Jiten* [Girl’s Novel Dictionary]. Tokyo: Tokyodo Shuppan.
Komashaku, K., & Yoshiya, N. (1994). *Yoshiya Nobuko: Kakure Feminist* [Yoshiya Nobuko: Hidden Feminist]. Tokyo: Libro Port.
Komori, K. (1998). *Makura no Soshi Itsudatsu no Manazashi* [The Pillow Book: Looking at Deviations]. Tokyo: Kasama Shoin.
Miyazaki S, (1998). Umezawa Waken “Sei Shonagon and Murasaki shikibu” Shin Kyu Nicho no Hikaku [Umezawa Waken “Sei Shonagon and Murasaki shikibu” comparison of new one and old one]. *The Journal of Kokugakuin University*, 99, 1–16.
Suzuki, M. (2010). *Becoming Modern Women: Love and Female Identity in Prewar Japanese Literature and Culture*. Stanford, Calif: Stanford University Press.
Tsushima, T. (2014). *Makura no Soushi Ronkyu: Nikki Kaiso Dan no “Genjitsu” no Kousei* [Research of Makura no Soushi: Compositions of “Reality” at Diary Reminiscence Part]. Tokyo: Kanrin Shobo.
Watanabe, Shuko. (2007). *Shōjo zo no Tanjo: Kindainihon ni okeru Shojo no Kihan no Keisei* [The Birth of the <Girl>: Formation of the “Girls” Code in Modern Japan]. Tokyo: Shinsensha.
Yoshiya, N. (2009). *Hana Monogatari* [Flowers Tales]. Tokyo: Kawade Shobo.
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Unveiling and Activating the “Uncertain Heritage” of Chinese Knotting
Yuxin Yang, Politecnico di Milano, Italy
The Asian Conference on Cultural Studies 2018
Official Conference Proceedings
Abstract
In the cultural heritage determination processes, something identified and designated as a heritage and important to preserve usually based on the society, the related people, and the natural environment, which guided the documentation and conservation measures. However, in this new industrial society, some of the heritage with hidden and forgotten values seems uncertain to be defined as heritage nor to be guided innovation development. Such as Chinese knotting, even if the craft acknowledges, it has no national definition as a heritage and faces an urgent situation to transform the traditional skill into new terms of practice. Base on this context, design looks promising to lower the craft’s uncertainty through unveiling the potential values and activating the craft with the stakeholders. Thus, the paper using the case of Chinese knotting to discuss what are the parameters to describe traditional craftsmanship’s heritage value in design research, what makes it uncertain, and how design has the potential unveiling and activating the traditional crafts’ knowledge and skills.
Keywords: Chinese knotting, Traditional craftsmanship, Textile arts and craft, Uncertain heritage
Introduction
There is no doubt that in the field of heritage study, design has the potential in defining fresh meanings, visualizing ways to disseminate the heritage, and makes it more accessible in the new society. As part of the intangible cultural heritage, traditional craftsmanship is not only including the tangible evidence but also holding the intangible knowledge and skills values that makes it more complex to preserve and innovate (Lupo & Guinta, 2016). That means, in the design process of saving a traditional craftsmanship, both material artifact and immaterial heritage values should be integrated considered.
According to the case study described on UNESCO document (published in 2005), the preliminary activities of reviving a traditional craft through design method should consider to 1) discover the background knowledge; 2) database compiled on the region, crafts and artisans; 3) explore the possibility of the communities, skills, materials, crafts, product applications, and project structure and approach; 4) Identify a local nongovernmental organization to undertake the responsibility.
Inspired by this design practice, the research about Chinese knotting start finding the values of this crafts and the uncertainty situation through 1) discover the Chinese knotting’s cultural context; 2) evaluate the craft’s design-based parameter of heritage values and analyze the uncertain reasons; 3) identify the related craft community; 4) example the promising cases.
The name of Chinese Knotting
“Few realize the importance that knots and cordage have played in the world’s history, but if it had not been for these simple and every-day things, which as a rule are given far too little consideration, the human race could never have developed beyond savages.” This was written by Verrill and McCann in 1944, however, during the 1980s there is a knot art named as the original country, Chinese knot was then well-known in the world. Just like they mentioned, Chinese knots played an important role in Chinese history from the begging of the civilization to the turbulent period of the Republic of China.
The technique of Chinese knots is defined as decorative handicraft art (Chang & Li, 2006) that can be tied using one cord (usually about one meter in length) to make up a knot body with two layers of cords sandwiching empty space; hence, the three-dimensional, symmetrical body is tight enough to stay in shape when suspended. There are more than 14 basic knots under the category of Chinese knot. Every basic knot is named according to its distinctive shape, meaning, and pronunciation. The techniques require the cord intertwined by hands or supported by other auxiliary tools such as needles, hook and soft board. The chosen cord or rope should be flexible and have the appropriate thickness to achieve the desired dimension and figure, whether it knotted as a ritual item for royal temple or an exquisite piece of decorating hang on the small object.
From the early times, knotting was one of the most basic skills to record information and convey messages before people started to write in China. As an art of craftsmanship, Chinese people used knots for fastening traditional garment instead of
the button on or as good luck decorating the traditional Chinese clothing and the interior. Unfortunately, there are only rare examples of prehistoric Chinese knots exist today because of the natural materials used to tie knots and fewer research compared to other crafts related to textile and costume. Moreover, due to the effects of industrialization and the Cultural Revolution in China, the art of Chinese knotting was almost lost with many other traditional crafts and arts. The change begun when the craft and art of macramé became popular in the West during the 1970s, there was a simultaneous revival of interest in Chinese knots radiation from Taiwan to Mainland China (Chen, 2007).
It was not named as Chinese knotting before Xiasheng Chen’s research. In the 1980s, Xiasheng Chen (English named as Lydia Chen, funded the Chinese knotting Promotion Centre) cooperated with Echo magazine sought out the few remaining keepers of the knotting tradition and recorded their work in a series of articles and books. She named these knotting crafts as Chinese knots and assembling practical manuals to disseminate the art of Chinese knotting to a broader audience (Chen, 2007).
**The Evolution of Knotting in China**
Through the Chinese history, we can find many clues from documents such as historical records and poetry, and cultural relics such as stone carving and painting that were mentioned or even directly described knots. In this paper, the author arranged the evolution of knotting in China as five periods.
1. The first period is before 476 BCE. Similar like Inca Quipu, the knots were as recording and rule method of Chinese ancient times. According to ‘Zhouyi-Xici’ (周易·系辞下)\(^1\), the initiate of ‘The Book of Change’ (易经) was from the ancient times of Baoxi era which period using knots to record and govern the community.\(^2\) In a commentary by an early scholar Xuan Zheng, on the annotated edition of ‘The Book of Changes’, he said that ‘Big events were recorded with complicated knots, and small events were recorded with simple knots.’ Moreover, the chapter of Tubo in the ‘New Book of Tang’ (A.D. 960 - 1127) recorded that ‘the government makes the agreement by tie cords due to lack of writing’. According to Chen’s research, the only artifact evidence of using knots to record is on a high stem small square pot in Spring and Autumn Period (770-476 BCE), now displayed in Shanxi Museum.
2. In the second period, instead of using knot as a tool for recording or ruling method, knots became an ancient totem before the CE 220. In the ancient time, Chinese people with a wealth of imagination on the auspicious things brought knots a lot of good meanings from the pictograms, quasi-sound, to the totem worship. For example, the double coin knots painting on the T-shape fabric discovered by archaeologists in Zhui Xin’s tomb (206 BCE – CE 9). The pattern is in the form of intertwined dragons and the intertwined ancient deities Fuxi 伏羲 and Nüwa 女娲. (it now displayed in Hunan
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\(^1\)Xici (系辞) or Zhouyi•Xici (周易•系辞), Pre-Qin Confucian Epistemology and Methodology, an edition that summarized the The Book of Changes' meaning
\(^2\)上古结绳而治，后世圣人易之以书契: In the remotest antiquity, the government was carried on successfully by the use of knotted cords (to preserve the memory of things). In subsequent ages, the sages substituted written character and bonds for them.
Furthermore, *Fuxi* and *Nüwa* are also the initiator of marriage in China which brings the double coin knot an extended meaning, the knot of love.
3. The decorative function of Chinese knots gradually became a distinctive decorative art in China, deriving the third period of *Lao Zi* culture. The word *Lao Zi* is the ancient appellation in China of the knot, and it was a tradition to tie a knot at the waist by silk or cotton ribbon. It peaked during the Sui and Tang Dynasties (581-906), when numbers basic knots, such as Sauvastika and Round brocade, generated the *Lao zi* vogue on the garments and the common folk art in the palace and home. Thus, knots were cherished not only as symbols but also as an essential part of everyday life to decorate and express thoughts and feelings.
In the traditional wedding custom, a Concentric knot\(^3\) 同心结 or the knot made like a Concentric knot was necessary to be held by the bride and groom (Meng, 1127; Wu, 1274). As a result, the love-based knot is a unique element in many of the poem, novel, and painting. In the possible resources searching, there are 37 ancient poems are mentioned the Concentric knot to portray love (e.g. Binwang Luo: ‘Knot the ribbon as the Concentric knot, interlock the love as the clothes’, poem in Tang Dynasty), 43 ancient poems applied the knot with silk/cotton ribbon (e.g. Tingjian Huang: ‘We had a time knotting together, loving as the ribbon tied’, poem in Song Dynasty), and 29 ancient poems used the related word ‘knot the love’ (the most famous one is ‘Knotting love’ written by Jiao Meng in Tang Dynasty).
In Song and Yuan Dynasties (960-1368), Pan Chang knot, today’s most recognizable Chinese knot started popularly. Although there is not much evidence showed the knots adorning everyday objects in Ming Dynasty (1368-1644), the culture of *Lao Zi* caught a second peak during the period of Qing Dynasty (1644-1911). At that time, all basic knots became widely used to grace objects such as Ruyi, sachets, wallets, fan tassels, spectacle cases, and rosaries, in daily use, and extended the single knot technique into complicated knots. According to the famous Chinese classical novel *Dream of the Red Chamber* (Cao. X., 1791), we can see how the *Lao Zi* culture developed and spread between the middle and higher hierarchy as a love and lucky keepsake in family members, lovers, and friends in Qing Dynasty. During that period, it was also a distinct and honorable craftsmanship studied and created by maids in the Imperial Palace. “When knotting, the maids amusing for Ci Xi were able to quickly produce objects of various kinds proficient.” (Jin & Shen, 1992) Through the words, this kind of knot technique was similar like macramé which named as Flat knot 平结 or Lark's Head knot 雀头结 now in China.
4. Although the tradition of *Lao Zi* culture declined in the period of the Republic of China, it still impacted the fashion trend from traditional costume to a modern Chinese style. Without intricate and over decorative, the crafts of knotting simplify as few buttons ornament on the Qi Pao (i.e. Cheongsam). In the fourth period, this typical knotting ornament designed for Qi Pao was then named Pan Kou. Until the Cultural Revolution in China, knotting activities were a common part of many women’s everyday lives and the artifact that was produced visible in homes and apparels of different social hierarchy.
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\(^3\) Another argument is to call this knot Loopless Buddha knot due to the commonly used in Buddhism.
5. During the recent three decades, after Chen’s research of Chinese knotting and the related books disseminated, Chinese knotting became a popular symbol and souvenirs in the festival and commodity market.
**Chinese knotting as an “Uncertain heritage”**
Rely on archaeology, sociology, and ancient art study, although it is hard to dig the tangible prehistory evidence, in the long history of ancient China, it is not hard to find that knotting activities were a common part of many women’s everyday lives and the artifact that was produced visible in homes and apparels of different social hierarchy.
However, this craft is in a dubious situation in current society. On the one hand, Chinese knot is one of the most famous symbols of China which makes it popular in design to illustrate something traditional and/or typical Chinese, such as the logo of China Unicom. Due to the cheap price in the market, it is also a favorable gift for people to convey lucky meanings. On the other hand, the use of Chinese knotting seems locking in the decoration function. Simultaneously, the shapes and techniques are less innovating in both knotting craft community and design practices. As a result, even though Chinese knotting had a flourishing history and recognizable all over the world, it is still a craftsmanship being neglected by Chinese and low price in the market.
When something holds the heritage characters but seems not sufficient to regarded as a heritage item, a definition of “Uncertain heritage” could be used to describe this kind of thing. The topic “Uncertain heritage” is firstly introduced by Swedish scholars to describe the objects and phenomena that are new in the cultural context or remain in an uncertain position (i.e. to be undervalued or invisible). Chinese knotting, since it is acknowledged craft without national confirm as a heritage, could be described as an “uncertain heritage”. But what makes it uncertain is still not clear. In this research, it is necessary to unveiling the certain and uncertain heritage values to understand the opportunities and challenges for activating this kind of crafts.
The basic parameters to evaluate something is heritage or not are usually the cultural context, social impact, geographical reason, and temporal span. In craft and design fields, craftspeople and designers are both paying attention in the aesthetic value no matter the traditional beauty of the craft or the new form aesthetic.
In the UNESCO case, “revitalizing a craft tradition includes skill upgrading, documentation, and revival of traditional motifs, designs, and techniques; introduction of new kinds of raw material; adoption of principles of costing, quality control, and production planning; and the introduction of effective marketing and promotional strategies.” It seems that activating a craft is more like reuse the craft as the commodity. The economic intervention is effective for reviving traditional craftsmanship, but for some traditional crafts like Chinese knotting are still underdeveloped in the market. In spite of that, economic value is necessary for stimulating craftspeople’s creative power. It is valuable when the craft is handmade or even more, can only be made by hand. To update a craft’s knowledge and skill, the technique is an essential parameter, not only the skill by hand, but also the extendable capability of the craft. Moreover, new digital and technology are leading the development of our society nowadays, to think about a craft’s intellectual possibility
can also help us searching a way to transform the traditional knowledge into new terms of practices.
To sum up, all the essential parameters to measure a craft whether heritage or uncertain heritage in design research, that are Cultural, Social, Geographical, Temporal, Economic, Aesthetic, Technical, and Intellectual. In this way, we can discuss separately the issue of what makes Chinese knotting uncertainty.
**The cultural**: No matter the use of recording information in ancient time or the *Lao Zi* culture, there is no doubt to say Chinese knotting has the certain cultural value. Despite lots of the evidence is second-hand from sculpture, stone carving, paintings, and poetry. The main reason that Chinese look down this crafts is a historical issue that since the Imperial China period, Chinese believing 'the philosophy is the way, and all others are just tools', and this is still affecting today.
**The social**: Combine the cultural value, Chinese knotting was an essential part of people’s everyday life for decorating and express thoughts and feelings. However, after late modern age, traditional craftsmanship in China did not come to be impacted by the “Arts and crafts movement” between 1880 and 1920. And many traditional culture, artifacts, and activities suffered devastating damage, as they were thought to be at the root of "old ways of thinking" during the Cultural Revolution from 1966 until 1976. Its social value declined as the change in contemporary society.
**The geographical**: During the research of Chinese knot, there is no archaeologist clear-cut the craft’s origin location in China. The craftsmanship more like an activity spontaneous developing in many places in China. The precise origin is a crucial element to confirm a craftsmanship as a heritage in national and international scales, although Chinese knotting had been defined as the intangible cultural heritage of Xicheng District in Beijing in 2012, due to the craftspeople’s unremitting efforts.
**The Temporal**: To consider the passing time, knotting technique can trace back to prehistoric times. But The earlier decorative knot-making tradition in China needs to be further explored.
**The Economic**: It is not clear that the Chinese knotting had much economical value before Qing Dynasty, but the knots made by Imperial palace maid were considered as higher crafts that more expensive than other textile arts and crafts (Jin & Shen, 1992). The uncertainty connected to Chinese knotting in a heritage context is mainly about the effects of after 1978 the policy of Chinese economic reform, Chinese manufacturing is impacted by industrial production and mass-produce, craft by hand can no longer be effective survival skills. Moreover, connotation to cheap and synthetic material and unprofessional careless work for quick money causes the embarrassingly low price status when people consider about Chinese knots now.
**The aesthetic**: The appearance of Chinese knots conform to Chinese symmetrical aesthetic, and the using colours also considered to the Chinese Five elements (五行). It did (especially the symmetric red Pan Chang knot) serve as the icon that arouses the association expected of China and Chinese, but the knots very often used in the similar form of expression tradition and “Chinese” in film, theatre or traditional festive. In addition, as a result of economic and historical perspective emerging the
craftspeople making without thinking, as well as the amateurs who are interested in study Chinese knotting, are less creativity in broke the traditional aesthetic.
**The technical:** The knotting techniques preferred were those considered to be 'traditional' and 'authentic'. Base on the 14 basic Chinese knotting techniques summarized by Chen, the knots can be mix-and-matched as a new pattern of knot (with or without the three-dimensional structure). Furthermore, the craftspeople who famous in this craftsmanship is developing new technique regarding the traditional knowledge. But many of the knots are not easy to practice by only hands or even supply for other auxiliary working. One little mistake could cause failure when knotting a typical Chinese knot in progress. Besides, with the "over" traditional cogitation, the prevalent meaning-making aspect of Chinese knots can be annoying and problematic for changing the shape and use, even though remaining the technique and handmade procedure.
**The intellectual:** As the world moves into the 21st century, heritage, as well as the traditional craftsmanship, are meeting the needs of technological affecting. This means the intellectual value should also be considered as one resilient element for activating the craft. There is few practices Chinese knotting through digital or smart technology, but the people who interested in this craft are actively sharing their thoughts and knowledge on the digital platform no matter the millennial generation or the 40s.
**Activating knotting crafts**
In the process of activating traditional craftsmanship, designers and artists are considering as a bridge between the craftspeople’s know-how and their knowledge of how to innovate/vision the craft. Design and art activities can stimulate the craft in various aspects, for example, artistic vision of exhibiting the craft, cultural intensive product lines, and embed appropriate technologies.
**Design and Art approach**
Chinese knots imply variety meanings including Chinese, Asian style, traditional, and tourist are experienced as narrow and fixed, the crafts are also charged with meanings that can indeed be used in artistic creation.
Different from the situation in China, knotting arts and crafts have been more mature developing in Japan and Korea. There are several contemporary knots cases in Japan and Korea indicate that traditional knotting, as well as contemporary art and design, could all blend together interpret into a fresh term of Asian arts and products.
One of the good example is the collection “BIG RED KNOTS” created by the textile artist Yuni Kim Lang, who was born in Korea and brought up in China. She inspired from Chinese knots, using her contemporary artistic taste transform the knot art as the new accessory design and visual art. This example shows that how design and art transform the Chinese knotting into contemporary visual art. The designer/artist using the modern style interpret the aesthetic figure and the red stereotype knot into new art of craftsmanship.
In fashion and accessory design process, knotting is more like a technique than cultural product. However, today’s consumption is not only the simple possession of a specific product, but the experience and the background story are the values that the customer willing to find within the artefact. In the process of designing the knotting craft, another example is to interpret the knots within the cultural ritual. The culture of worship in *jinja*, or shrine is Japanese indigenous religion from a long time ago. Omamori as one kind of luck charms can be easily found in a shrine which always tied a traditional knot on it. Base on this shrine culture and the culture of knotting love, the Kawagoe Hikawa shrine\(^4\) set up a knotting theme café named Musubi\(^5\) Café. In this café, you can find different knotting products and Omamori for good marriage and lovers’ happiness. Although the café provides a lot of Western cuisine, believers and tourists can immerse in the Asian traditional culture from the logo design to the end products. The latest knot design and the related storyboard are also presenting on social media such as Facebook and Twitter, to keep a long-term dissemination and promotion to the world.
**Technological approach**
Except practicing knots in the design and art fields, there are, also practitioners who treat the technique and structure of Chinese knotting in a technology approach. Neglect the authentic value of hand-making, Andrew Lee and Brandon M. Wang who studied Computer Science Division in University of California designed a program called Knotty, ‘a method for the automatic generation of a single-string Chinese-style knot that resembles an arbitrary input 3D model’. Furthermore, as the traditional Chinese knots have the sequence, another hypothesis of produce Chinese knots is parametric design.
While we considering the Hi-tech knotting products, cultural and social values seem less important than the value of the craft’s technique. As the trend of new technology influences our society, craft’s technique can provide innovative thinking and the new way to reuse the traditional technique in other ambits.
**Sharing community approach**
Even though, Chinese knotting as a traditional craft has many uncertainties, people who love this craft spontaneous organized a non-governmental organization in China together with experts and amateurs. Affected by Chen’s work, the group-member of knotting experts and amateurs in Chinese knotting radiate from Taiwan to Mainland. Except the initiator located in Taiwan, the fellowship also flourishing clustered in Beijing, Shanghai, Tianjin, Liaoning Province, Hebei Province, Jiangsu Province, Zhejiang Province, Guangdong Province, Chengdu Province, Xi’an Province in Mainland of China and also abroad. They gather together to create the biggest online website (http://www.zhongguojie.org/) including smartphone application and a new media subscription in Wechat. The platforms containing almost all the information about Chinese knotting and projects related to knot work. Until now, the number of the registered member on this website is 705,332. With digital platforms, the group of
---
\(^4\) It is located in Tokyo known as a ‘love shrine’.
\(^5\) The Japanese god of love and marriage, also known as Musubi-no-Kami. Coordinate terms: Red Thread of Fate.
knotting craft is highly consociated by sharing each other’s knotting experiences and honored the origin cultural of knotting arts.
The website gives the communicating opportunity by performing every amateur’s and master’s knots work. It sets with a cultural modular that sharing the uncovered knotting history in China and newly discovered artifact evidence from different museum and collection all over the world, an education part for studying traditional and newer knotting skills, a transaction area that can purchase tools, raw materials and finished knotting products. Surprisingly, there is also a section for examining authentic Chinese knotting skills with the meticulous procedure of grading audit by this non-governmental board on the website.
Reference to “Chinese knotting grading assessment model” in Taiwan, the assessment procedure in Mainland separate in three different ways to submit the appropriate application according to the level. The assessment procedure is followed as the flowchart (Chart 1) and people who pass the tests can be officially recorded on the database and as an authenticated Chinese knotting craftspeople active on this website.
1) If you call for a primary level attest, you should submit the Chinese knot object made by yourself as the required topic through the coordinator of local fellowship, or directly on the concrete part of the website or deliver to the central jury. 2) After you acquired the primary certificate, one can be accessed applying the middle level attest by also the same way as primary level. 3) However, the high-level certificate can only be applied by mail to the central jury and the qualification must be the one who has already gain the last two level’s certificates.
Chart 1: The assessment procedure summarized and translated from the website
Due to the Chinese knotting master Li Ting and other members’ efforts, in 2012, Beijing Xicheng District announced that Chinese knotting is an intangible cultural heritage in this district.
Conclusion
Chinese knotting is a traditional craftsmanship with a long history and culture, as the cultural gap and the scattered origin craft community in China, it is difficult to define as part of the intangible cultural heritage in national and international scales. Besides, in the Mainland China, Craftspeople depressed their imagination by the traditional
notion which makes them lack of creativity and the spirit of broke tradition. However, in the practicing and remaining the authentic handmade technique, there are also lots positive values worth other textile arts and crafts to learn, for example, craftspeople actively sharing their knowledge on the digital platforms, the authentic technique assessment system, and the experiment of new knot pattern. As a result, Chinese knotting knowledge is widely spread in China in these few years.
Today knotting as new technology and creative expression has received a boost that helped to unlock the traditional thinking of using and enjoying knotting. In conclusion, Chinese knotting is a good example to describe one kind of “uncertain heritage” craft. It is important for designers to consider about how to reuse the origin context, how to involve more stakeholders, how to perform a traditional craft, and how to transform the craft’s “negative” point into the positive situation.
Acknowledgements
This work is under the Ph.D. research of *Unveiling and activating Textile Intangible Cultural Heritage: From “Uncertain Heritage” to The Sharing Community* and supported by China scholarship council.
References
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Unsupervised Feature Learning via Non-Parametric Instance Discrimination
Zhirong Wu*† Yuanjun Xiong‡‡ Stella X. Yu* Dahua Lin†
*UC Berkeley / ICSI †Chinese University of Hong Kong ‡Amazon Rekognition
Abstract
Neural net classifiers trained on data with annotated class labels can also capture apparent visual similarity among categories without being directed to do so. We study whether this observation can be extended beyond the conventional domain of supervised learning: Can we learn a good feature representation that captures apparent similarity among instances, instead of classes, by merely asking the feature to be discriminative of individual instances?
We formulate this intuition as a non-parametric classification problem at the instance-level, and use noise-contrastive estimation to tackle the computational challenges imposed by the large number of instance classes.
Our experimental results demonstrate that, under unsupervised learning settings, our method surpasses the state-of-the-art on ImageNet classification by a large margin. Our method is also remarkable for consistently improving test performance with more training data and better network architectures. By fine-tuning the learned feature, we further obtain competitive results for semi-supervised learning and object detection tasks. Our non-parametric model is highly compact: With 128 features per image, our method requires only 600MB storage for a million images, enabling fast nearest neighbour retrieval at the run time.
1. Introduction
The rise of deep neural networks, especially convolutional neural networks (CNN), has led to several breakthroughs in computer vision benchmarks. Most successful models are trained via supervised learning, which requires large datasets that are completely annotated for a specific task. However, obtaining annotated data is often very costly or even infeasible in certain cases. In recent years, unsupervised learning has received increasing attention from the community [5, 2].
Our novel approach to unsupervised learning stems from a few observations on the results of supervised learning for object recognition. On ImageNet, the top-5 classification error is significantly lower than the top-1 error [18], and the second highest responding class in the softmax output to an image is more likely to be visually correlated. Fig. 1 shows that an image from class leopard is rated much higher by class jaguar rather than by class bookcase [11]. Such observations reveal that a typical discriminative learning method can automatically discover apparent similarity among semantic categories, without being explicitly guided to do so. In other words, apparent similarity is learned not from semantic annotations, but from the visual data themselves.
We take the class-wise supervision to the extreme of instance-wise supervision, and ask: Can we learn a meaningful metric that reflects apparent similarity among instances via pure discriminative learning? An image is distinctive in its own right, and each could differ significantly from other images in the same semantic category [23]. If we learn to discriminate between individual instances, without any notion of semantic categories, we may end up with a
representation that captures apparent similarity among instances, just like how class-wise supervised learning still retains apparent similarity among classes. This formulation of unsupervised learning as an instance-level discrimination is also technically appealing, as it could benefit from latest advances in discriminative supervised learning, e.g., on new network architectures.
However, we also face a major challenge, now that the number of “classes” is the size of the entire training set. For ImageNet, it would be 1.2-million instead of 1,000 classes. Simply extending softmax to many more classes becomes infeasible. We tackle this challenge by approximating the full softmax distribution with noise-contrastive estimation (NCE) [9], and by resorting to a proximal regularization method [29] to stabilize the learning process.
To evaluate the effectiveness of unsupervised learning, past works such as [2, 31] have relied on a linear classifier, e.g., Support Vector Machine (SVM), to connect the learned feature to categories for classification at the test time. However, it is unclear why features learned via a training task could be linearly separable for an unknown testing task.
We advocate a non-parametric approach for both training and testing. We formulate instance-level discrimination as a metric learning problem, where distances (similarity) between instances are calculated directly from the features in a non-parametric way. That is, the features for each instance are stored in a discrete memory bank, rather than weights in a network. At the test time, we perform classification using k-nearest neighbors (kNN) based on the learned metric. Our training and testing are thus consistent, since both learning and evaluation of our model are concerned with the same metric space between images. We report and compare experimental results with both SVM and kNN accuracies.
Our experimental results demonstrate that, under unsupervised learning settings, our method surpasses the state-of-the-art on image classification by a large margin, with top-1 accuracy 42.5% on ImageNet 1K [1] and 38.7% for Places 205 [49]. Our method is also remarkable for consistently improving test performance with more training data and better network architectures. By fine-tuning the learned feature, we further obtain competitive results for semi-supervised learning and object detection tasks. Finally, our non-parametric model is highly compact: With 128 features per image, our method requires only 600MB storage for a million images, enabling fast nearest neighbour retrieval at the run time.
2. Related Works
There has been growing interest in unsupervised learning without human-provided labels. Previous works mainly fall into two categories: 1) generative models and 2) self-supervised approaches.
**Generative Models.** The primary objective of generative models is to reconstruct the distribution of data as faithfully as possible. Classical generative models include Restricted Boltzmann Machines (RBMs) [12, 39, 21], and Autoencoders [40, 20]. The latent features produced by generative models could also help object recognition. Recent approaches such as generative adversarial networks [8, 4] and variational auto-encoder [14] improve both generative qualities and feature learning.
**Self-supervised Learning.** Self-supervised learning exploits internal structures of data and formulates predictive tasks to train a model. Specifically, the model needs to predict either an omitted aspect or component of an instance given the rest. To learn a representation of images, the tasks could be: predicting the context [2], counting the objects [28], filling in missing parts of an image [51], recovering colors from grayscale images [47], or even solving a jigsaw puzzle [27]. For videos, self-supervision strategies include: leveraging temporal continuity via tracking [44, 45], predicting future [42], or preserving the equivariance of egomotion [13, 50, 30]. Recent work [3] attempts to combine several self-supervised tasks to obtain better visual representations. Whereas self-supervised learning may capture relations among parts or aspects of an instance, it is unclear why a particular self supervision task should help semantic recognition and which task would be optimal.
**Metric Learning.** Every feature representation $F$ induces a metric between instances $x$ and $y$: $d_F(x, y) = \|F(x) - F(y)\|$. Feature learning can thus also be viewed as a certain form of metric learning. There have been extensive studies on metric learning [15, 33]. Successful application of metric learning can often result in competitive performance, e.g., on face recognition [35] and person re-identification [46]. In these tasks, the classes at the test time are disjoint from those at the training time. Once a network is trained, one can only infer from its feature representation, not from the subsequent linear classifier. Metric learning has been shown to be effective for few-shot learning [38, 41, 37]. An important technical point on metric learning for face recognition is normalization [35, 22, 43], which we also utilize in this work. Note that all the methods mentioned here require supervision in certain ways. Our work is drastically different: It learns the feature and thus the induced metric in an unsupervised fashion, without any human annotations.
**Exemplar CNN.** *Exemplar CNN* [5] appears similar to our work. The fundamental difference is that it adopts a parametric paradigm during both training and testing, while our method is non-parametric in nature. We study this essential difference experimentally in Sec 4.1. *Exemplar CNN* is computationally demanding for large-scale datasets such as ImageNet.
3. Approach
Our goal is to learn an embedding function $v = f_\theta(x)$ without supervision. $f_\theta$ is a deep neural network with parameters $\theta$, mapping image $x$ to feature $v$. This embedding would induces a metric over the image space, as $d_\theta(x, y) = \|f_\theta(x) - f_\theta(y)\|$ for instances $x$ and $y$. A good embedding should map visually similar images closer to each other.
Our novel unsupervised feature learning approach is instance-level discrimination. We treat each image instance as a distinct class of its own and train a classifier to distinguish between individual instance classes (Fig. 2).
3.1. Non-Parametric Softmax Classifier
**Parametric Classifier.** We formulate the instance-level classification objective using the softmax criterion. Suppose we have $n$ images $x_1, \ldots, x_n$ in $n$ classes and their features $v_1, \ldots, v_n$ with $v_i = f_\theta(x_i)$. Under the conventional parametric softmax formulation, for image $x$ with feature $v = f_\theta(x)$, the probability of it being recognized as $i$-th example is
$$P(i|v) = \frac{\exp\left(w_i^T v\right)}{\sum_{j=1}^{n} \exp\left(w_j^T v\right)}, \quad (1)$$
where $w_j$ is a weight vector for class $j$, and $w_j^T v$ measures how well $v$ matches the $j$-th class i.e., instance.
**Non-Parametric Classifier.** The problem with the parametric softmax formulation in Eq. (1) is that the weight vector $w$ serves as a class prototype, preventing explicit comparisons between instances.
We propose a non-parametric variant of Eq. (1) that replaces $w_j^T v$ with $v_j^T v$, and we enforce $\|v\| = 1$ via a L2-normalization layer. Then the probability $P(i|v)$ becomes:
$$P(i|v) = \frac{\exp\left(v_i^T v / \tau\right)}{\sum_{j=1}^{n} \exp\left(v_j^T v / \tau\right)}, \quad (2)$$
where $\tau$ is a temperature parameter that controls the concentration level of the distribution [11]. $\tau$ is important for supervised feature learning [43], and also necessary for tuning the concentration of $v$ on our unit sphere.
The learning objective is then to maximize the joint probability $\prod_{i=1}^{n} P_\theta(i|f_\theta(x_i))$, or equivalently to minimize the negative log-likelihood over the training set, as
$$J(\theta) = -\sum_{i=1}^{n} \log P(i|f_\theta(x_i)). \quad (3)$$
**Learning with A Memory Bank.** To compute the probability $P(i|v)$ in Eq. (2), $\{v_j\}$ for all the images are needed. Instead of exhaustively computing these representations every time, we maintain a feature memory bank $V$ for storing them [46]. In the following, we introduce separate notations for the memory bank and features forwarded from the network. Let $V = \{v_j\}$ be the memory bank and $f_i = f_\theta(x_i)$ be the feature of $x_i$. During each learning iteration, the representation $f_i$ as well as the network parameters $\theta$ are optimized via stochastic gradient descend. Then $f_i$ is updated to $V$ at the corresponding instance entry $f_i \rightarrow v_i$. We initialize all the representations in the memory bank $V$ as unit random vectors.
**Discussions.** The conceptual change from class weight vector $w_j$ to feature representation $v_j$ directly is significant. The weight vectors $\{w_j\}$ in the original softmax formulation are only valid for training classes. Consequently, they are not generalized to new classes, or in our setting, new instances. When we get rid of these weight vectors, our learning objective focuses entirely on the feature representation and its induced metric, which can be applied everywhere in the space and to any new instances at the test time.
Computationally, our non-parametric formulation eliminates the need for computing and storing the gradients for $\{w_j\}$, making it more scalable for big data applications.
3.2. Noise-Contrastive Estimation
Computing the non-parametric softmax in Eq.(2) is cost prohibitive when the number of classes $n$ is very large, e.g. at the scale of millions. Similar problems have been well addressed in the literature for learning word embeddings [25, 24], where the number of words can also scale to millions. Popular techniques to reduce computation include hierarchical softmax [26], noise-contrastive estimation (NCE) [9], and negative sampling [24]. We use NCE [9] to approximate the full softmax.
We adapt NCE to our problem, in order to tackle the difficulty of computing the similarity to all the instances in the training set. The basic idea is to cast the multi-class classification problem into a set of binary classification problems, where the binary classification task is to discriminate between data samples and noise samples. Specifically, the probability that feature representation $\mathbf{v}$ in the memory bank corresponds to the $i$-th example under our model is,
$$P(i|\mathbf{v}) = \frac{\exp(\mathbf{v}^T\mathbf{f}_i/\tau)}{Z_i}$$ \hspace{1cm} (4)
$$Z_i = \sum_{j=1}^{n} \exp(\mathbf{v}_j^T\mathbf{f}_i/\tau)$$ \hspace{1cm} (5)
where $Z_i$ is the normalizing constant. We formalize the noise distribution as a uniform distribution: $P_n = 1/n$. Following prior work, we assume that noise samples are $m$ times more frequent than data samples. Then the posterior probability of sample $i$ with feature $\mathbf{v}$ being from the data distribution (denoted by $D = 1$) is:
$$h(i,\mathbf{v}) := P(D = 1|i,\mathbf{v}) = \frac{P(i|\mathbf{v})}{P(i|\mathbf{v}) + mP_n(i)}.$$ \hspace{1cm} (6)
Our approximated training objective is to minimize the negative log-posterior distribution of data and noise samples,
$$J_{NCE}(\theta) = -E_{P_d} \left[ \log h(i, \mathbf{v}) \right]$$
$$-m \cdot E_{P_n} \left[ \log(1 - h(i, \mathbf{v}')) \right].$$ \hspace{1cm} (7)
Here, $P_d$ denotes the actual data distribution. For $P_d$, $\mathbf{v}$ is the feature corresponding to $x_i$; whereas for $P_n$, $\mathbf{v}'$ is the feature from another image, randomly sampled according to noise distribution $P_n$. In our model, both $\mathbf{v}$ and $\mathbf{v}'$ are sampled from the non-parametric memory bank $V$.
Computing normalizing constant $Z_i$ according to Eq. (4) is expensive. We follow [25], treating it as a constant and estimating its value via Monte Carlo approximation:
$$Z \simeq Z_i \simeq nE_j \left[ \exp(\mathbf{v}_j^T\mathbf{f}_i/\tau) \right] = \frac{n}{m} \sum_{k=1}^{m} \exp(\mathbf{v}_{j_k}^T\mathbf{f}_i/\tau),$$ \hspace{1cm} (8)
where $\{j_k\}$ is a random subset of indices. Empirically, we find the approximation derived from initial batches sufficient to work well in practice.
NCE reduces the computational complexity from $O(n)$ to $O(1)$ per sample. With such drastic reduction, our experiments still yield competitive performance.
3.3. Proximal Regularization
Figure 3: The effect of our proximal regularization. The original objective value oscillates a lot and converges very slowly, whereas the regularized objective has smoother learning dynamics.
Unlike typical classification settings where each class has many instances, we only have one instance per class. During each training epoch, each class is only visited once. Therefore, the learning process oscillates a lot from random sampling fluctuation. We employ the proximal optimization method [29] and introduce an additional term to encourage the smoothness of the training dynamics. At current iteration $t$, the feature representation for data $x_i$ is computed from the network $\mathbf{v}_i^{(t)} = f_\theta(x_i)$. The memory bank of all the representation are stored at previous iteration $V = \{\mathbf{v}^{(t-1)}\}$. The loss function for a positive sample from $P_d$ is:
$$-\log h(i, \mathbf{v}_i^{(t-1)}) + \lambda \| \mathbf{v}_i^{(t)} - \mathbf{v}_i^{(t-1)} \|_2^2.$$ \hspace{1cm} (9)
As learning converges, the difference between iterations, i.e. $\mathbf{v}_i^{(t)} - \mathbf{v}_i^{(t-1)}$, gradually vanishes, and the augmented loss is reduced to the original one. With proximal regularization, our final objective becomes:
$$J_{NCE}(\theta) = -E_{P_d} \left[ \log h(i, \mathbf{v}_i^{(t-1)}) - \lambda \| \mathbf{v}_i^{(t)} - \mathbf{v}_i^{(t-1)} \|_2^2 \right]$$
$$-m \cdot E_{P_n} \left[ \log(1 - h(i, \mathbf{v}^{(t-1)})) \right].$$ \hspace{1cm} (10)
Fig. 3 shows that, empirically, proximal regularization helps stabilize training, speed up convergence, and improve the learned representation, with negligible extra cost.
3.4. Weighted k-Nearest Neighbor Classifier
To classify test image $\hat{x}$, we first compute its feature $\hat{\mathbf{f}} = f_\theta(\hat{x})$, and then compare it against the embeddings of all the images in the memory bank, using the cosine similarity
$s_i = \cos(v_i, \hat{f})$. The top $k$ nearest neighbors, denoted by $\mathcal{N}_k$, would then be used to make the prediction via weighted voting. Specifically, the class $c$ would get a total weight $w_c = \sum_{i \in \mathcal{N}_k} \alpha_i \cdot 1(c_i = c)$. Here, $\alpha_i$ is the contributing weight of neighbor $x_i$, which depends on the similarity as $\alpha_i = \exp(s_i / \tau)$. We choose $\tau = 0.07$ as in training and we set $k = 200$.
4. Experiments
We conduct 4 sets of experiments to evaluate our approach. The first set is on CIFAR-10 to compare our non-parametric softmax with parametric softmax. The second set is on ImageNet to compare our method with other unsupervised learning methods. The last two sets of experiments investigate two different tasks, semi-supervised learning and object detection, to show the generalization ability of our learned feature representation.
4.1. Parametric vs. Non-parametric Softmax
A key novelty of our approach is the non-parametric softmax function. Compared to the conventional parametric softmax, our softmax allows a non-parametric metric to transfer to supervised tasks.
We compare both parametric and non-parametric formulations on CIFAR-10 [17], a dataset with 50,000 training instances in 10 classes. This size allows us to compute the non-parametric softmax in Eq.(2) without any approximation. We use ResNet18 as the backbone network and its output features mapped into 128-dimensional vectors.
We evaluate the classification effectiveness based on the learned feature representation. A common practice [48, 2, 31] is to train an SVM on the learned feature over the training set, and to then classify test instances based on the feature extracted from the trained network. In addition, we also use nearest neighbor classifiers to assess the learned feature. The latter directly relies on the feature metric and may better reflect the quality of the representation.
Table 1 shows top-1 classification accuracies on CIFAR10. On the features learned with parametric softmax, we obtain accuracies of 60.3% and 63.0% with linear SVM and kNN classifiers respectively. On the features learned with non-parametric softmax, the accuracy rises to 75.4% and 80.8% for the linear and nearest neighbour classifiers, a remarkable 18% boost for the latter.
We also study the quality of NCE approximating non-parametric softmax (Sec. 3.2). The approximation is controlled by $m$, the number of negatives drawn for each instance. With $m = 1$, the accuracy with kNN drops significantly to 42.5%. As $m$ increases, the performance improves steadily. When $m = 4,096$, the accuracy approaches that at $m = 49,999$ – full form evaluation without any approximation. This result provides assurance that NCE is an efficient approximation.
4.2. Image Classification
We learn a feature representation on ImageNet ILSVRC [34], and compare our method with representative unsupervised learning methods.
Experimental Settings. We choose design parameters via empirical validation. In particular, we set temperature $\tau = 0.07$ and use NCE with $m = 4,096$ to balance performance and computing cost. The model is trained for 200 epochs using SGD with momentum. The batch size is 256. The learning rate is initialized to 0.03, scaled down with coefficient 0.1 every 40 epochs after the first 120 epochs. Our code is available at: http://github.com/zhirongw/lemniscate_pytorch.
Comparisons. We compare our method with a randomly initialized network (as a lower bound) and various unsupervised learning methods, including self-supervised learning [2, 47, 27, 48], adversarial learning [4], and Exemplar CNN [3]. The split-brain autoencoder [48] serves a strong baseline that represents the state of the art. The results of these methods are reported with AlexNet architecture [18] in their original papers, except for exemplar CNN [3], whose results are reported with ResNet-101 [3]. As the network architecture has a big impact on the performance, we consider a few typical architectures: AlexNet [18], VGG16 [36], ResNet-18, and ResNet-50 [10].
We evaluate the performance with two different protocols: (1) Perform linear SVM on the intermediate features from conv1 to conv5. Note that there are also corresponding layers in VGG16 and ResNet [36, 10]. (2) Perform kNN on the output features. Table 2 shows that:
1. With AlexNet and linear classification on intermediate features, our method achieves an accuracy of 35.6%, outperforming all baselines, including the state-of-the-art. Our method can readily scale up to deeper networks. As we move from AlexNet to ResNet-50, our accuracy is raised to 42.5%, whereas the accuracy with exemplar CNN [3] is only 31.5% even with ResNet-101.
| method | conv1 | conv2 | conv3 | conv4 | conv5 | kNN | #dim |
|-----------------|-------|-------|-------|-------|-------|------|------|
| Random | 11.6 | 17.1 | 16.9 | 16.3 | 14.1 | 3.5 | 10K |
| Data-Init [16] | 17.5 | 23.0 | 24.5 | 23.2 | 20.6 | - | 10K |
| Context [2] | 16.2 | 23.3 | 30.2 | 31.7 | 29.6 | - | 10K |
| Adversarial [4] | 17.7 | 24.5 | 31.0 | 29.9 | 28.0 | - | 10K |
| Color [47] | 13.1 | 24.8 | 31.0 | 32.6 | 31.8 | - | 10K |
| Jigsaw [27] | 19.2 | 30.1 | 34.7 | 33.9 | 28.3 | - | 10K |
| Count [28] | 18.0 | 30.6 | 34.3 | 32.5 | 25.7 | - | 10K |
| SplitBrain [48] | 17.7 | 29.3 | 35.4 | 35.2 | 32.8 | 11.8 | 10K |
| Exemplar [3] | | | | | 31.5 | - | 4.5K |
| Ours Alexnet | 16.8 | 26.5 | 31.8 | 34.1 | 35.6 | 31.3 | 128 |
| Ours VGG16 | 16.5 | 21.4 | 27.6 | 33.1 | 37.2 | 33.9 | 128 |
| Ours Resnet18 | 16.0 | 19.9 | 26.3 | 35.7 | 42.1 | 40.5 | 128 |
| Ours Resnet50 | 15.3 | 18.8 | 24.4 | 35.3 | 43.9 | 42.5 | 128 |
Table 2: Top-1 classification accuracies on ImageNet.
| method | conv1 | conv2 | conv3 | conv4 | conv5 | kNN | #dim |
|-----------------|-------|-------|-------|-------|-------|------|------|
| Random | 15.7 | 20.3 | 19.8 | 19.1 | 17.5 | 3.9 | 10K |
| Data-Init [16] | 21.4 | 26.2 | 27.1 | 26.1 | 24.0 | - | 10K |
| Context [2] | 19.7 | 26.7 | 31.9 | 32.7 | 30.9 | - | 10K |
| Adversarial [4] | 17.7 | 24.5 | 31.0 | 29.9 | 28.0 | - | 10K |
| Video [44] | 20.1 | 28.5 | 29.9 | 29.7 | 27.9 | - | 10K |
| Color [47] | 22.0 | 28.7 | 31.8 | 31.3 | 29.7 | - | 10K |
| Jigsaw [27] | 23.0 | 32.1 | 35.5 | 34.8 | 31.3 | - | 10K |
| SplitBrain [48] | 21.3 | 30.7 | 34.0 | 34.1 | 32.5 | 10.8 | 10K |
| Ours Alexnet | 18.8 | 24.3 | 31.9 | 34.5 | 33.6 | 30.1 | 128 |
| Ours VGG16 | 17.6 | 23.1 | 29.5 | 33.8 | 36.3 | 32.8 | 128 |
| Ours Resnet18 | 17.8 | 23.0 | 30.3 | 34.2 | 41.3 | 36.7 | 128 |
| Ours Resnet50 | 18.1 | 22.3 | 29.7 | 34.1 | 42.1 | 38.7 | 128 |
Table 3: Top-1 classification accuracies on Places, based directly on features learned on ImageNet, without any fine-tuning.
2. Using nearest neighbor classification on the final 128 dimensional features, our method achieves 31.3%, 33.9%, 40.5% and 42.5% accuracies with AlexNet, VGG16, ResNet-18 and ResNet-50, not much lower than the linear classification results, demonstrating that our learned feature induces a reasonably good metric. As a comparison, for Split-brain, the accuracy drops to 8.9% with nearest neighbor classification on conv3 features, and to 11.8% after projecting the features to 128 dimensions.
3. With our method, the performance gradually increases as we examine the learned feature representation from earlier to later layers, which is generally desirable. With all other methods, the performance decreases beyond conv3 or conv4.
4. It is important to note that the features from intermediate convolutional layers can be over 10,000 dimensions. Hence, for other methods, using the features from the best-performing layers can incur significant storage and computation costs. Our method produces a 128-dimensional representation at the last layer, which is very efficient to work with. The encoded features of all 1.28M images in ImageNet only take about 600 MB of storage. Exhaustive nearest neighbor search over this dataset only takes 20 ms per image on a Titan X GPU.
**Feature generalization.** We also study how the learned feature representations can generalize to other datasets. With the same settings, we conduct another large-scale experiment on Places [49], a large dataset for scene classification, which contains 2.45M training images in 205 categories. In this experiment, we directly use the feature extraction networks trained on ImageNet without finetuning. Table 3 compares the results obtained with different methods and under different evaluation policies. Again, with linear classifier on conv5 features, our method achieves competitive performance of top-1 accuracy 34.5% with AlexNet, and 42.1% with ResNet-50. With nearest neighbors on the last layer which is much smaller than intermediate layers, we achieve an accuracy of 38.7% with ResNet-50. These results show remarkable generalization ability of the representations learned using our method.
**Consistency of training and testing objectives.** Unsupervised feature learning is difficult because the training objective is agnostic about the testing objective. A good training objective should be reflected in consistent improvement in the testing performance. We investigate the relation between the training loss and the testing accuracy across iterations. Fig. 4 shows that our testing accuracy continues to improve as training proceeds, with no sign of overfitting. It also suggests that better optimization of the training objective may further improve our testing accuracy.
The embedding feature size. We study how the performance changes as we vary the embedding size from 32 to 256. Table 4 shows that the performance increases from 32, plateaus at 128, and appears to saturate towards 256.
Training set size. To study how our method scales with the data size, we train different representations with various proportions of ImageNet data, and evaluate the classification performance on the full labeled set using nearest neighbors. Table 5 shows that our feature learning method benefits from larger training sets, and the testing accuracy improves as the training set grows. This property is crucial for successful unsupervised learning, as there is no shortage of unlabeled data in the wild.
Qualitative case study. To illustrate the learned features, Figure 5 shows the results of image retrieval using the learned features. The upper four rows show the best cases where all top 10 results are in the same categories as the queries. The lower four rows show the worst cases where none of the top 10 are in the same categories. However, even for the failure cases, the retrieved images are still visually similar to the queries, a testament to the power of our unsupervised learning objective.
4.3. Semi-supervised Learning
We now study how the learned feature extraction network can benefit other tasks, and whether it can provide a good basis for transfer learning to other tasks. A common scenario that can benefit from unsupervised learning is when we have a large amount of data of which only a small fraction are labeled. A natural semi-supervised learning approach is to first learn from the big unlabeled data and then fine-tune the model on the small labeled data.
We randomly choose a subset of ImageNet as labeled
Figure 6: Semi-supervised learning results on ImageNet with an increasing fraction of labeled data (x axis). Ours are consistently and significantly better. Note that the results for colorization-based pretraining are from a deeper ResNet-152 network [19].
and treat others as unlabeled. We perform the above semi-supervised learning and measure the classification accuracy on the validation set. In order to compare with [19], we report the top-5 accuracy here.
We compare our method with three baselines: (1) Scratch, i.e., fully supervised training on the small labeled subsets, (2) Split-brain [48] for pre-training, and (3) Colorization [19] for pre-training. Finetuning on the labeled subset takes 70 epochs with initial learning rate 0.01 and a decay rate of 10 every 30 epochs. We vary the proportion of labeled subset from 1% to 20% of the entire dataset.
Fig. 6 shows that our method significantly outperforms all other approaches, and ours is the only one outperforming supervised learning from limited labeled data. When only 1% of data is labeled, we outperform by a large 10% margin, demonstrating that our feature learned from unlabeled data is effective for task adaptation.
4.4. Object Detection
To further assess the generalization capacity of the learned features, we transfer the learned networks to the new task of object detection on PASCAL VOC 2007 [6]. Training object detection model from scratch is often difficult, and a prevalent practice is to pretrain the underlying CNN on ImageNet and fine-tune it for the detection task.
We experiment with Fast R-CNN [7] with AlexNet and VGG16 architectures, and Faster R-CNN [32] with ResNet-50. When fine-tuning Fast R-CNN, the learning rate is initialized to 0.001 and scaled down by 10 times after every 50K iterations. When fine-tuning AlexNet and VGG16, we follow the standard practice, fixing the conv1 model weights. When fine-tuning Faster R-CNN, we fix the model weights below the 3rd type of residual blocks, only updating the layers above and freezing all batch normalization layers. We follow the standard pipeline for finetuning and do not use the rescaling method proposed in [2]. We use the standard trainval set in VOC 2007 for training and testing.
We compare three settings: 1) directly training from scratch (lower bound), 2) pretraining on ImageNet in a supervised way (upper bound), and 3) pretraining on ImageNet or other data using various unsupervised methods.
Table 6 lists detection performance in terms of mean average precision (mAP). With AlexNet and VGG16, our method achieves an mAP of 48.1% and 60.5%, on par with the state-of-the-art unsupervised methods. With Resnet-50, our method achieves an mAP of 65.4%, surpassing all existing unsupervised learning approaches. It also shows that our method scales well as the network gets deeper. There remains a significant gap of 11% to be narrowed towards mAP 76.2% from supervised pretraining.
5. Summary
We present an unsupervised feature learning approach by maximizing distinction between instances via a novel non-parametric softmax formulation. It is motivated by the observation that supervised learning results in apparent image similarity. Our experimental results show that our method outperforms the state-of-the-art on image classification on ImageNet and Places, with a compact 128-dimensional representation that scales well with more data and deeper networks. It also delivers competitive generalization results on semi-supervised learning and object detection tasks.
Acknowledgements. This work was supported in part by Berkeley Deep Drive, Big Data Collaboration Research grant from SenseTime Group (CUHK Agreement No. TS1610626), and the General Research Fund (GRF) of Hong Kong (No. 14236516).
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Augmenting Cats and Dogs
Procedural Texturing for Generalized Pet Tracking
Dominik Borer, Nihat Isik, Jakob Buhmann and Martin Guay
Computer Graphics Laboratory, ETH Zürich, Switzerland
Keywords: Mixed and Augmented Reality, Motion Capture
Abstract: Cats and dogs being humanity’s favoured domestic pets occupy a large portion of the internet and of our digital lives. However, augmented reality technology — while becoming pervasive for humans — has so far mostly left out our beloved pets out of the picture due to limited enabling technology. While there are well-established learning frameworks for human pose estimation, they mostly rely on large datasets of hand-labelled images, such as Microsoft’s COCO (Lin et al., 2014) or facebook’s dense pose (Güler et al., 2018). Labelling large datasets is time-consuming and expensive, and manually labelling 3D information is difficult to do consistently. Our solution to these problem is to synthesize highly varied datasets of animals, together with their corresponding 3D information such as pose. To generalize to various animals and breeds, as well as to the real-world domain, we leverage domain randomization over traditional dimensions (background, color variations and image transforms), but as well as with novel procedural appearance variations in breed, age and species. We evaluate the validity of our approach on various benchmarks, and produced several 3D graphical augmentations of real world cats and dogs using our fully synthetic approach.
Introduction
Augmented reality has the potential to enhance our visual experience of the world with both useful and entertaining information. In the case of animals, we could imagine sharing localized information about our pets, or create amusing augmentations of our favored animals performing stunts, agility parkours and everyday activities such as interrupting a football game. Moreover, animal characters in movies could be tracked and augmented during previs, or motion captured for CG re-enactment.
In order to be able to augment animals with 3D graphical objects from a single RGB camera, we need to be able to automatically estimate the 3D information of the animal in the image. Due to extensive variability in breed, as well as fur appearance and shape, animals are notoriously challenging to track.
While deep learning has allowed un-precedent performance in monocular pose estimation, it has been in large part thanks to large datasets of ‘hand-labelled’ images of ‘humans’, such as the COCO (Lin et al., 2014) and the MPII (Andriluka et al., 2014) datasets. The problem with these methods is that first it requires vast amounts of hand labelling efforts, and second it is quite challenging to hand-label 3D information consistently. In consequence, it cannot be used for 3D pose prediction.
In this paper we solve these problems by leveraging the computer graphics toolbox and synthesizing a large dataset of animals, labelled with full 3D skeleton and camera information. We then design and train a custom deep neural network (DNN) to regress from image to 3D pose. At run-time, we provide our network with a real-world image, and retrieve the 3D information, which we use to add 3D graphical objects on animals such as hats, wings and riders.
The biggest technical challenge with leveraging synthetic data is to bridge the so-called reality gap: the pixel-level difference between real world images and their synthetic counter-parts. DNNs tend to over-fit onto particular features only seen in the synthetic domain, and thereby struggle to generalize to real world data. To address this problem, we employ the strategy of domain randomization (Tobin et al., 2017). Thus in the data generation process, we strongly vary dimensions like pose, shape, texture, background, lighting; and camera viewpoint. Another technical challenge to reach the desired 3D augmentations lies in predicting 3D joint orientation and positions that have a good overlay in the augmented image space. While 2D tracking has shown impressive results so far, the exact pixel positions are often lost when going to a 3D pose. We address this problem by designing a two step network, proFigure 1: Overview of the proposed approach, which can be divided into 3 basic groups: (red) The data generation process which allows to create a large dataset of synthetic images with according pose information, 2D and 3D. (blue) The step of training a neural network to go from synthetic images to the according pose. (green) Using the trained system to predict an animal’s pose on real world footage, and using those poses to augment the footage with 3D digital assets.
ducing both 2D and 3D information, which can then be used in an optimization step to create faithful 3D poses from the camera’s viewpoint. As a result, our network is able to generalize to real world data and shows robustness to new environments, shapes, and appearances. The optimized 3D poses are grounded in the camera space allowing us to create entertaining augmentations for cats and dogs in real-world scenarios, as shown in Figure 7.
In Section 1, we discuss the data generation pipeline, Section 2 addresses the network architecture, and in Section 3 the augmentation of the animals is explained.
Related Work
The vision of digitally augmenting the real world was first introduced over fifty years ago (Sutherland, 1968), and has since been revisited countless times as progress in hardware, computer vision, and computer graphics continues to be made — each time unlocking new possibilities for communication, education and entertainment.
Several augmentation concepts have already been explored for humans around the body, face and hair — allowing people to try virtual make-up and glasses (Jayovnik et al., 2017), hairs styles (Kemelmacher-Shilzerman, 2016), and clothing (Rogge et al., 2014, Facecake, 2015, Yang et al., 2016). To our knowledge, the only pets augmentation is from SnapChat, which we believe utilize a combination of 2D feature predictions together with the phone’s gyroscope to create 3D augmentation effects, but limited to front-facing dog faces.
To augment animals with 3D objects, we need to estimate their 3D pose. Many techniques for animals build upon methodology developed for human tracking, more specifically 2D landmark or body part estimation (Wei et al., 2016, Newell et al., 2016, Cao et al., 2017, Xiao et al., 2018) from RGB images. A large dataset of images — typically hand-labelled with 2D body part locations — is used to train a multi-stage deep convolutional neural network (DCNN) to predict the confidence location map of each joint or landmark; each stage improving the predictions.
For 3D pose estimation, it is common to train a separate network to go from 2D-to-3D joint locations (Chen and Ramanan, 2017, Tome et al., 2017, Martinez et al., 2017, Pavllo et al., 2019). We build upon this work and extend it to our use case of animal tracking as described in Section 2.2. Another line of work extends the convolutional network to predict volumetric 3D joint confidence maps (Pavlakos et al., 2016, Mehta et al., 2017), and then optimizes for a kinematic skeleton to match the 3D predictions (Mehta et al., 2017). However, this approach lacks limb orientation, and the sparse set of landmarks can easily lose track of the 3D orientation of the limbs: which could be attenuated by optimizing for a mesh instead of a kinematic skeleton (Xu et al., 2018).
Seeing the progress in human pose estimation, biologists have integrated deep learning based apapproaches to track and measure the movements of animals and insects (Kays et al., 2015). Most work in this area is focused on labelling tools for 2D predictions (Graving et al., 2019, Pereira et al., 2018). Some work has focused on modeling the shape of animals (Zuffi et al., 2016) from scans of toy figurines, optimizing for 3D shapes to match 2D joint estimations (Biggs et al., 2018) and capturing their texture from video footage (Zuffi et al., 2018). Recent work combine those approaches in a deep learning framework to estimate Zebra pose, shape and texture (Zuffi et al., 2019) or try to leverage the progress in human pose estimation by transferring it to animals using domain adaptation (Cao et al., 2019).
To avoid manually labelling images, as well as to overcome the challenge of labelling 3D information, many works, both for humans — (Chen et al., 2016, Varol et al., 2017, Xu et al., 2019) and animals (Biggs et al., 2018, Mu et al., 2019, Zuffi et al., 2019) have explored generating synthetic datasets.
(Mu et al., 2019) use 3D models to label the images with 2D landmarks, and devised a learning scheme to bridge the reality gap. (Chen et al., 2016) estimate a 3D skeleton from 2D image features, and they include a domain similarity loss to help steer the feature extractor extrapolate to real world imagery. To avoid dealing with the reality gap, (Biggs et al., 2018) create a dataset of silhouettes and regress from silhouettes to 2D keypoints. This unfortunately only performs as good as the given silhouette estimator.
Another way to address the reality gap is by so-called domain randomization (Tobin et al., 2017) — to add noise and variations to the dataset to avoid over-fitting. Domain randomization has been shown to achieve state-of-the-art accuracy for car detection (Tremblay et al., 2018, Khirodkar et al., 2018, Prakash et al., 2019), and has unlocked the possibility to use in the real world. In this work, we extend this principle to articulated figures such as animals.
Overview
The core of our approach is a 3D pose predictor from an RGB image. Our overall approach is summarized in Figure 1. While deep neural networks provide state-of-the-art performance for monocular pose estimation, several problems must be overcome in order to be able to track and augment animals.
First, there are no publicly available datasets of animals labeled with 3D skeletons. To solve the data problem, we create a highly varied synthetic dataset of animal images, labeled with 3D information — the red area in Figure 1. The details of this process are discussed in Section 1.
Second, directly regressing from the 2D image domain to accurate 3D skeletons remains to this day a challenging task. Two strategies help improve our accuracy (blue area in Figure 1). First to perform as much processing as possible in the image domain. Hence we predict 2D joint locations and bone directions as 2D activation maps (Section 2.1), before regressing to 3D. The second strategy is to avoid unnecessary correlations between the 6D rigid (root) prediction and the rest of the body joints, as described in Section 2.2.
The third problem comes from limited GPU memory, which does not allow processing large image frames in real-time. We solve this by estimating a 2D crop when sequentially processing videos. However, the local crop causes our 3D predictions to be in many different virtual cameras, as opposed to the footage-capturing camera. To solve this problem, we optimize for a 3D skeleton in the footage-capturing camera space, that seeks to match the 2D predictions, while remaining as similar as possible to the 3D predictions, which is detailed in Section 3. Finally at run-time we attach 3D objects onto the optimized 3D skeleton, as shown in the green area of Figure 1.
1 Data Generation
Our approach leverages modern computer graphics to create a realistic dataset of images $I$ labelled with 3D skeleton information $X, Q$ in camera space, with $X$ representing skeleton coordinates and $Q$ the pose (represented as quaternions). The main challenge for creating realistic images of cats and dogs, lies in their vast variability when it comes to appearance, shape, pose, lighting conditions, and environment. Thus, for any learning framework, over-fitting on a specific animal — not to mention on a synthetic one — is a serious challenge. Additionally, due to the approximate nature of the 3D assets and the rendering algorithms, the learning framework is challenged by a so-called domain gap, i.e. the difference between the synthetic training data to the real world test data.
To address the domain gap and over-fitting problems, we leverage the principle of domain randomization (Tobin et al., 2017, Tremblay et al., 2018, Khirodkar et al., 2018). Hence, we programmatically introduce a large amount of variability in the most significant dimensions of the dataset, i.e. texture, shape, pose, lighting, and context (or scene background).
This domain randomization can be seen as a regularization or alternatively, as a vast expansion of
the training data distribution that reduces the distance to the real world distribution. Randomizing shape, pose, appearance and lighting requires 3D information and is therefore applied during the animal rendering procedure (Section 1.1). Besides this 3D randomization we apply standard 2D image augmentation techniques such as color space transforms and 2D geometric transforms during training directly in image space (Section 1.2). Without the 2D/3D randomization the model would overfit to the few synthetic animals and not generalize to images of real animals. The overall data generation process is summarized in Figure 2.
### 1.1 3D Randomization
We utilize a 3D game engine for fast rendering and fast iterations over our datasets. For this purpose, we parameterize the shape and pose of animals with parameters $\beta$ and $Q$ respectively for shape and pose. Such a parameterization is compatible with real-time game engine rigs, which typically offer only blend shapes and linear blend skinning (LBS) as shape parameterizations.
#### 1.1.1 Shape Parameterization
Our approach starts with a 3D mesh of an animal in a rest pose $V_0$, whose shape variations $\Delta V_j$ ($j$ different entire meshes) have been hand-crafted for different breeds, age, muscle, fat, bone, etc. We purchased these models on the DAZ platform (DAZ, 2019).
Unlike a small local shape variation such as a muscle bulge, our shape variations for breed and age affect the entire proportions of the mesh, including its underlying skeleton. Hence to remain compatible with LBS, we parameterize the skeleton coordinates $X$ w.r.t. surrounding mesh vertices, which are being deformed by blend shape parameters $\beta_j$ as follows: $V = V_0 + \sum_j \beta_j \Delta V_j$. For each joint $i$ we choose to linearly map the $L$ closest vertices $V^l_i$ to the joint position $x^l_i$. Hence, we take those mesh vertices in the rest pose $V^l_0$ with the corresponding joint position $x^l_0$ and solve a linear least squares problem: $\| A^t V^l_0 + b^t - x^l_0 \| \text{ w.r.t. } A^t$ and $b^t$. Given a deformed mesh $V$, the joint positions can then be determined as: $x^t = A^t V^t + b^t$, using the precomputed $A^t$ and $b^t$.
Following our principles of domain randomization, we sample shape parameters $\beta$ in a broad range, which not only cover the original artist-intended species, but also various blends between them.
#### 1.1.2 Pose Sampling
In order to robustly track animals in their everyday life, the training data needs to reflect the poses animals tend to perform. Since motion capturing animals is cumbersome, expensive and often times dangerous, we pursue a strategy to leveraging only a sparse set of poses, such as a hand-crafted dataset of about 200 distinct poses; purchased on the DAZ platform (DAZ, 2019).
To sample pose variations, we model a pose distribution using principal component analysis (PCA). The resulting pose vector is then sampled as $Q = P \cdot t$
where $P$ reflects the first $K$ dimensions of the PCA decomposition and $\tau$ is sampled from a $K$ dimensional multivariate Gaussian.
### 1.1.3 Appearance Sampling
Naively applying random textures to the appearance of animals will cause the network to disregard important visual cues that appear in texture and help predict the pose, such as the line between the face color and the fur. Hence one can obtain much better results by creating new textures from existing ones — assuming multiple textures in correspondence — by blending between the textures in a seemingly natural way, e.g. part Dalmation and part German Shepherd.
Since uniformly interpolating between two textures leads to washed out colors of both textures, we model texture blending via local patches. We synthesize a 2D blend map $\mathbb{R}^2 \rightarrow \mathbb{R}^1$ using a perceptually natural noise distribution such as Perlin noise (Perlin, 2002). This blending approximates spatially smooth patchwork of species variations in our appearance textures, cf. Figure 2b).
Although our textures do not always exist in the real world, we found that this kind of randomization helps generalizing to new animal appearances not present in the training dataset. Note that we add variations in color space to the rendered images during the training, as detailed later in Section 1.2.
### 1.1.4 Viewpoint Sampling and Rendering
Lastly, the camera and scene elements such as lights and occluders are sampled.
**Camera** The camera location is sampled on a sphere around the animal with a fixed radius and constraints on azimuth and elevation, illustrated with a green shape in Figure 3. This position then defines the camera orientation, which is aligned with the root of the 3D skeleton. Additionally, a positional offset is sampled in a predefined volume around the camera location, aligned with the camera orientation, (yellow volume in Figure 3) to get the final camera position. Lastly, the camera orientation is varied in a small range to get more out-of-center views.
**Lighting** We vary light sources, by sampling colors, intensity, as well as light type between point- and spotlight. Additionally, multiple skylights are blended to achieve a more natural illumination.
**Occluders** To be robust to missing body parts, we add occluders defined as random meshes floating in the scene. Their position in the capture space, as well as their orientation, scale, color, and texture is sampled from a predefined range.
### 1.1.5 Labels
Finally, the image features (RGB-image and mask) are rendered at the desired resolution and saved to disk. The pose parameters $Q$ and the skeleton positions $X$ are mapped into a space relative to the camera. These composed values are then saved together with the camera coordinates, the projection parameters, as well as the 2D coordinates of the skeleton joints.
### 1.2 2D Randomization
To avoid over-fitting on a specific background, we randomize the context in which animals may appear. We sample random backgrounds, composed with the rendered animal using its 2D mask. The backgrounds are images of natural environments, as well as urban and office settings.
Once overlayed onto a background, the image is further randomized with color space transformations, to account for different brightness, hue, saturation, blur, pixel noise, as well as with geometric transformations such as translation, rotation, scaling and mirroring.\footnote{Note that the set of geometric transforms changes depending on which part of the system is trained (2D vs. 3D), because not all 2D transforms in the image plane can be faithfully mapped to a corresponding transform on the 3D labels.} Note that we transform the labels according to the geometric transform to maintain the correspondence.
Figure 4: Neural network architecture overview, which consists of three building blocks. First a 2D system (green) that takes images as input and predicts 2D feature maps. Those features are concatenated with multi convolutional layers reduced to a lower dimensional subspace (blue). Lastly, two branches (orange) map the subspace to the 3D pose information, with one branch for the root and another for all other joints in a body-centric fashion. Training is done in a two-stage manner: first the 2D part is trained until convergence, before the full system is trained.
2 Network Architecture
The result of the data generation process is a dataset of RGB images $I$ of animals at resolution $368 \times 368$, together with their corresponding 2D pixel coordinates $P_X = \{p_1, ..., p_N\}$, and 3D labels $\{X, Q\} = \{x_1, q_1, ..., x_N, q_N\}$, with $N$ being the number of joints. This data allows us to design a deep neural network and train it to predict 3D skeleton poses from an input image.
While DNNs have progressed rapidly in recent years, it remains a challenge to regress directly from the image domain to 3D skeletons. Hence we break the problem down into 2D pose feature predictions of 2D joint confidences $f^C$ and 2D joint affinities $f^A$ at resolutions $46 \times 46$, followed by a module that concatenates the 2D features and predicts a 3D skeleton pose $X, Q$. An overview of this architecture is shown in Figure 4. Examples of joint confidence and affinity maps can be seen in Figure 5 and Figure 6.
2.1 2D Pose Estimation
The 2D part of our network follows the architecture of (Cao et al., 2018), which consists first of a pre-trained feature extractor backbone (in our case VGG (Simonyan and Zisserman, 2015) pre-trained on ImageNet (Deng et al., 2009)), followed by a multi stage convolutional neural network, that refines the predictions over successive stages, with intermediate supervision at each stage (Wei et al., 2016, Cao et al., 2017, Cao et al., 2018). Each stage outputs joint confidence and affinity maps $f^C_{pred}, f^A_{pred}$ and using the ground truth maps $f^C_{gt}, f^A_{gt}$ we minimize for training the L2 loss:
$$L(f^C, f^A) = \left\| f^C_{pred} - f^C_{gt} \right\|^2_2 + \left\| f^A_{pred} - f^A_{gt} \right\|^2_2.$$
(1)
2.2 3D Pose Estimation
After the 2D stage, we concatenate the predicted joint confidence maps $f^C_{46 \times 46 \times N}$ with the affinity maps $f^A_{46 \times 46 \times M}$, where $M$ is the number of predicted bones, and the image features $I'_{46 \times 46 \times 128}$ extracted with the pre-trained feature extractor, and feed them to our 3D-predicting module, which outputs a fixed size 3D skeleton pose vector $X, Q$.
To avoid learning unnecessary correlations between root and the rest of the pose, we separate the network into two dedicated branches: one for the root, and one for the joints.
In a first step, the concatenated image features and the predicted 2D feature maps are mapped to a lower dimensional latent space ($1 \times 1 \times 1024$) using convolutional blocks each reducing the spatial dimensionality of the features (4x4 convolutions, with stride 2 and padding 2, followed by batch norm and leaky ReLu with slope 0.2). We then feed the fixed size latent vector to the two separate branches (for root and pose), which each have the same fully connected (FC) architecture.
The FC branches follow a resnet type of architecture similar to (Martinez et al., 2017), where linear layers followed by ReLu activation functions are combined with their residual from the previous layer to map to the dimensionality of the pose vector, as shown in Figure 4.
To train the 3D module, we minimize two losses: one for 3D positions $X$, and one for the orientations $Q$. Since the orientations are represented as quaternions, we choose an angular distance $d(Q_{pred}, Q_{gt}) = \arccos \left| \langle Q_{pred}, Q_{gt} \rangle \right|$, as it is differentiable.
$$L(X, Q) = \left\| X_{pred} - X_{gt} \right\|^2_2 + \lambda \cdot d(Q_{pred}, Q_{gt}),$$
(2)
where the weighting $\lambda$ makes sure that both terms are equally weighted.
2.3 Training Details
Data Details In order to reduce redundancies of pose and viewpoints, the pose data is not represented in global world coordinates, but transformed into camera coordinates. Additionally, the pose is represented in a body frame representation, which factors out the root position and orientation for all other joints. Hence, the same pose in different positions and root orientations does not vary. Note, the body frame
Figure 5: Example outputs of the 2D network (joint maps on top) and the inferred 2D skeleton (bottom). The most right example shows a common problem with occlusions which can easily occur for animals the size of a cat.
representation also leads to a decoupling of the cost and thereby the gradients in the two branches. To get back to the camera space, the predicted joint positions and orientations are combined with the predicted root pose, as follows:
$$\hat{X}^i = X_{pred}^{rot} + X_{pred}^i \quad \text{and} \quad \hat{Q}^i = Q_{pred}^{rot} \cdot Q_{pred}^i.$$
(3)
**Hardware and Learning Settings** We generate a dataset of 100k samples, covering a wide range of randomizations. The 3D positions and orientations are normalized to zero mean and unit standard deviation, the input images are normalized using the pre-computed statistics from ImageNet (Deng et al., 2009) and the joint- and affinity-maps are not normalized. Each model, 2D and 3D, is then trained on the entire dataset for 100 epochs, using the Adam optimizer (Kingma and Ba, 2015) with an initial learning rate of $1e^{-4}$, and a decay factor of 0.5 every 20 epochs, with a mini-batch of size 16. The training of each module takes about three days on an NVIDIA Titan Xp (12GB).
### 3 Tracking and Augmentation
Taking an image as input, our network outputs 2D feature maps (joint confidence maps $I^C$ and affinity maps $I^A$), together with a 3D skeleton of the pose $X, Q$. There are two challenges that prevent us from directly using the 3D pose for augmenting graphical elements. The first is that our model was trained specifically for images of size $368 \times 368$ (capped by current GPUs memory size) and we cannot track an animal in a full larger frame. The second aspect is how deep neural networks map the 3D space. It behaves in a nearest neighbor fashion leading to 3D predictions which seem natural, but are not “spot on” with regard to the joints in image space.
To solve these challenges, we first utilize a crop to track in a full image space, and then perform an optimization in 3D for a pose that matches best the 2D features, while remaining close to the 3D pose in our crop. Note that optimizing directly for 2D predictions would cause spurious poses due to a lack of 3D constraints, and would be challenged by global detection (prediction of the overall orientation of the body and limbs).
Assuming a run-time frame is of size $\hat{I}_{1920 \times 1080}$. At the first frame, we utilize the fully convolutional part of our network which predicts the 2D maps, and estimate a crop position and size. The subsequent frames $\hat{I}(t)$ will use the previous frame’s $\hat{I}(t - 1)$ predictions to predict the next crop.
Using the crop, we feed the cropped image to our network and retrieve the 3D pose $X, Q$, as well as the 2D feature maps $I^C, I^A$. Using the feature maps and the graph-based inference of (Cao et al., 2017), we compute 2D skeleton joint positions $\hat{P}_X = \{p_1, ..., p_{16}\}$ in the full image space. Now we solve for a new pose $Q'$ and root position $X'_{root}$ as to be similar to the 3D predictions, while conforming to the 2D predictions as much as possible w.r.t. the projected 3D joint locations in image space $Proj(\Phi(Q', X'_{root})$:
$$\arg \min_{Q', X'_{root}} \left\| Proj \left( \Phi(Q', X'_{root}) \right) - \hat{P}_X \right\| + \lambda_Q \ d \left( Q, Q' \right),$$
(4)
where $\Phi(Q)$ computes the positions $P_X$ through forward kinematics (bone lengths are determined from the predicted positions $X$).
#### 3.1 Graphics Augmentation
With the 3D skeleton, we can attach rigid objects to joints and transform them using the joint position and orientation.
We scale the object based on the average depth of the skeleton, and length of the body defined as the pelvis joint to the neck joint.
Rigid objects in their identity transform may not be aligned with the body’s features. For example, a hat needs to be aligned with the head and oriented as to be sitting on the head. We utilize a template model that we dress with all types of augmentations: a hat, a rider, etc. We pose the object into a transform $T(0)$, and then compute the transform between the template rig transform and the object’s transform, resulting in $T^{-1}(0)\tilde{T}(0)$.
At runtime, we have a predicted joint transform $T(t)$ and the objects position and orientation is thus: $\tilde{T}(t) = T(t)T^{-1}(0)\tilde{T}(0)$.
Results and Discussion
Data
Using our data generation pipeline, we were able to generate seemingly realistic images of animals covering a wide and diverse range of variations, as shown in Figure 2 and accompanying video. Our new and diverse dataset allowed us to successfully train a neural network that is capable of generalizing to real — never seen before — images of animals. One of the keys to our success is the flexibility and speed of our approach, which allowed us to iterate quickly over our data. We experimented with both a dog dataset comprised of German shepherd, wolf, bull terrier, etc., and a dataset of felines comprised of lion, tiger, cheetah, etc. We trained models on each individual dataset, as well as on mix of both (dog and cat). While the models from the individual datasets perform well for the respective species, the mixed dataset outperformed both, which further strengthens the principle of domain randomization.
Network
The 2D pose estimation part of our network (green part in Figure 4) is capable of predicting qualitatively accurately various dog breeds and feline species, both seen and unseen in our training data. As can be seen in the first three columns of Figure 5 and in Figure 6, the 2D predictions of the joint confidence and affinity maps, as well as the resulting inferred 2D skeleton, have an accurate overlap with the body parts in the image. But large occlusions can still be problematic as can be seen in the last column in Figure 5.
The 3D pose estimation part (blue and orange part in Figure 4) is still challenging, especially when the pose space is hard to model. Due to the lack of large amounts of pose data (for example mocap), we synthetically increased the pose space by vastly sampling a PCA space, created from our 200 pose samples. Hence, while the predicted 3D poses still lack in perfect overlap with the images, they clearly reflect the overall action of the animal, as we can see in the 3D plot of Figure 6.
Finally, it is worth mentioning that splitting up the training into two parts: first the 2D part of the network, followed by the 3D part, was crucial. Training the entire model end-to-end did not converge to the same level of accuracy.
Augmentations
One of the main benefits of our network and dataset is that we can predict not only 3D positions, but also 3D orientations of the body parts. Hence we can create graphical augmentations with objects that both move and rotate along the animal, which was never seen before — as shown in our accompanying video and Figure 7.
For example, we thought that if a cat running on a football field was entertaining enough to make the news, it would be even funnier once augmented with a football helmet on its head and a jet-pack on its spine. We can see on social media people posting vast amounts of videos with their dog performing stunts or agility parkour. For example, someone might throw an object and have their dog catch it in mid-air. We augmented such stunts with a jet pack, worn on the back, and with animated angel wings, making it seem like the dog could fly.
To demonstrate the possibility of exhibiting secondary dynamics onto another object, we added a cowboy rider onto a white cat as to look like he is performing rodeo. The rider is modelled as an articulated character with elastic dynamics on the joints with decreasing stiffness as we get further away from the hip joints. As the cat spine moves and rotates, the rider follows in a delayed fashion.
Evaluation
The lack of large public animal datasets limit the options for quantitative evaluation and comparison to related work. The two animal datasets we are aware of (Biggs et al., 2018, Cao et al., 2019), are both relatively small and only provide 2D annotations. Our skeleton has more joints and hence we can only compare on a subset, which includes 3 joints per leg and
the tail and the facial keypoints, ignoring head, neck, spine, shoulders and hips. The small discrepancies in the exact positioning of joints cause additional evaluation errors. Despite having trained only on dogs and felines, for completeness we evaluate on all provided animal categories.
The first dataset (Biggs et al., 2018) consists of short video sequences of various animals annotated with keypoints and silhouette. While their approach requires a silhouette extractor, our model predicts from the raw image. As can be seen in Table 1, for the dog sequences we outperform their raw confidence map result and achieve similar accuracy as their optimized result.
| | (Biggs et al., 2018) | Ours | |
|------------------|----------------------|------|-------|
| | Raw | QP | GA | All | Visible |
| dog | 66.9 | 66.6 | 66.9 | 70.5 | 77.5 |
| rs_dog | 64.2 | 63.4 | 81.2 | 77.0 | 79.6 |
| bear | 83.1 | 88.9 | 79.4 | 85.9 |
| camel | 73.3 | 74.1 | 87.1 | 56.6 | 39.2 |
| cow | 89.2 | 88.4 | 94.7 | 80.8 | 90.6 |
| horsejump-high | 26.5 | 27.7 | 24.4 | 50.6 | 53.9 |
| horsejump-low | 26.9 | 27.0 | 31.9 | 50.0 | 51.6 |
| impala | - | - | - | 86.4 | 86.4 |
Table 1: Comparison to (Biggs et al., 2018) using the Percentage of Correct Keypoints (PCK) metric, with threshold $d = 0.2 \cdot \sqrt{|S|}$, where $|S|$ is the area of the silhouette. While their confidence map result (Raw) is further optimized using quadratic programming (QP) or genetic algorithm (GA), our result comes from the graph based inference.
The second dataset (Cao et al., 2019) is based on Pascal VOC 2011 (Everingham et al., ), extended with keypoint annotations for various animal categories. While their approach requires a large-scale human pose dataset, a smaller animal pose dataset and an animal bounding box dataset, our approach only requires synthetic data, which is much cheaper to create than an, albeit small, real animal pose dataset. As can be seen in Table 2, for the dog dataset we achieve similar performance.
| | (Cao et al., 2019) | mAP @0.5 | mAP @0.75 | Total |
|------------------|--------------------|-----------|------------|-------|
| dog | 41.0 | 62.9 | 37.9 | 38.9 |
| cat | 42.3 | 31.1 | 13.1 | 15.0 |
| sheep | 54.7 | 48.3 | 32.6 | 33.0 |
| cow | 57.3 | 36.1 | 17.2 | 18.4 |
| horse | 53.1 | 60.2 | 40.2 | 38.0 |
Table 2: Comparison to (Cao et al., 2019) using the Mean Average Precision (mAP) metric. While for the dog dataset we achieve similar performance, it does not generalize as well to other categories. The cat dataset consists of a lot of very close-up views and furry cats, which differs from our synthetic data and hence explains the poor performance. For other categories the error can be explained due to missing predictions rather than incorrect predictions.
Note that the PCK metric only measures the accuracy of the predicted keypoints, while mAP also considers missed predictions, which explains the difference between the two datasets.
Due to the lack of 3D annotations, we evaluate our model on unseen synthetic sequences. As can be seen in Table 3, for synthetic data the 2D estimator is extremely accurate, while the 3D estimator still suffers from significant errors, especially when the animal is turning away/towards the camera, compared to a simpler side view.
**Discussion**
While we were able to automatically augment many videos of animals, there remains much room for im| | 2D, PCKh | | 3D, MPJPE |
|----------------|----------|--------|-----------|
| | @1.0 | @0.5 | @0.1 | |
| Walking | 99.2 | 98.6 | 86.4 | 19.3 |
| Running | 99.9 | 99.7 | 90.6 | 19.3 |
| Sprinting | 99.5 | 89.9 | 87.5 | 18.1 |
| Turning | 99.5 | 98.1 | 79.9 | 47.8 |
Table 3: Evaluation on unseen synthetic sequences. For the 2D evaluation we use the PCKh metric, where the head segment spans from the back of the head to the tip of the nose, and to evaluate the 3D performance we report the Mean Per Joint Position Error (MPJPE).
provement. For example, our predictions still suffer from complex occlusions, motion blur, or from a large discrepancy with the breeds we used in our datasets. For instance, presenting an extremely furry dog caused our network to produce spurious predictions.
Predicting 3D poses from 2D image features such that the predicted 3D joints overlap accurately with the 2D body in the image, remains a challenge in computer vision. The 3D predictions are often “smoothed out” and seem to hold a strong bias towards the mean pose. Most trackers will then correct this with an optimizer as a post process — as we did in this work. In the future, it would be better to have a cross domain (pixel to pose) capabilities as to facilitate or even remove the last refinement step.
We currently estimate 2D joint confidence maps in a bottom up fashion, but consider only and trained only for individual 3D poses. Moving forward, it would be interesting to track and augment multiple animals in a scene.
Finally, our synthetic data generates not only 3D poses, but also UV maps, normals, depth, as well as mesh vertices. In the future we would like to explore techniques that can leverage this dense information, as well as texture-related augmented reality.
Conclusion
By fully pursuing the principles of domain randomization, we procedurally synthesized a large dataset of cats and dogs with many variations in breeds and species, and were able to demonstrate the possibility of automatically tracking and augmenting real world animals, with synthetic data only — no animals were hurt in the making of this experiment. In the future, we would like to improve the accuracy of our 3D predictions and conceive more compact models deployable on mobile devices.
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Yang, S., Ambert, T., Pan, Z., Wang, K., Yu, L., Berg, T. L., and Lin, M. C. (2016). Detailed garment recovery from a single-view image. *CoRR*, abs/1608.01250.
Zuffi, S., Kanazawa, A., Berger-Wolf, T., and Black, M. J. (2019). Three-d safari: Learning to estimate zebra pose, shape, and texture from images “in the wild”. In *International Conference on Computer Vision*.
Zuffi, S., Kanazawa, A., and Black, M. J. (2018). Lions and tigers and bears: Capturing non-rigid, 3D, articulated shapes from images. In *IEEE Conference on Computer Vision and Pattern Recognition (CVPR)*. IEEE Computer Society.
Zuffi, S., Kanazawa, A., Jacobs, D., and Black, M. J. (2016). 3d menagerie: Modeling the 3d shape and pose of animals. |
REF: GPIL/NSE&BSE/2023/5266
Date: 06.11.2023
To,
BSE Limited
Pheroze Jeejeebhoy Towers,
Dalal Street,
Mumbai-400001.
Scrip Code: BSE: 532734
To,
National Stock Exchange of India Limited
Exchange Plaza, C/1, Block G,
Bandra Kurla Complex, Bandra (East),
Mumbai-400051.
Scrip Code: GPIL
Dear Sir/Madam,
Sub: Publication of Un-Audited Consolidated Financial Results for the Q2-FY24.
We have published the extracts of Un-Audited Consolidated Financial Results of the Company for the quarter and half year ended 30.09.2023 in editions of “Financial Express” (English), “The Business Standard” (Hindi and English), “The Business Line” (English) and The Economic Times (English) on 04.11.2023.
Please find enclosed herewith copies of the same.
This is for your information and records please.
Thanking you
Yours faithfully
For, Godawari Power And Ispat Limited
Company Secretary
Encl: As above
**Rise in 90-day delinquencies for personal loans and credit cards: TransUnion CIBIL**
**BEING VIGILANT.** Need strong underwriting process, regular monitoring of consumer behaviour: CMI report
**Anshika Kayastha**
Mumbai
Balance-level serious delinquencies, measured as 90 dpd (days past due), improved across product categories, except for credit cards and personal loans. For personal loans, at least one small-ticket personal loan, the balance-level delinquency rate was 5.4 per cent, an increase of 120 bps on year, according to the latest Credit Monitor Indicator (CMI) report for the quarter ended June 30.
“The latest CMI indicates financial stability with healthy retail credit growth and lower delinquency levels, even though a few pockets show signs of stress,” said TransUnion CEO Rakesh Kumar. The CMI for the quarter ending June 2023 was 100, unchanged from a year ago.
Further, analysis of early warning indicators showed an increase in Q3 FY23 on consumption loan products, compared to Q3 FY20. However, small-ticket personal loan delinquencies have a marginal impact on the overall retail loan portfolio, which includes home loans, auto loans, credit cards, and personal loans, he added.
Small-ticket personal loans of less than ₹50,000 have accounted for more than 80 per cent of total retail loan book size at an industry level.
**LOAN ORIGINATIONS**
Even though small-ticket personal loans constitute a small share of retail loans in terms of the outstanding balance, the number of such originations in disbursals has risen significantly.
Since January 2022, small-ticket personal loans of less than ₹50,000 have accounted for more than 80 per cent of total retail loan book size at an industry level.
**For consumers having at least one small-ticket personal loan, the balance-level delinquency rate was 5.4 per cent, an increase of 120 bps on year**
In June 2019. Owing to this, these loans need to be monitored closely. “We see that ‘consumers may prioritise other payment obligations above their loan payments, which in turn may be a wider indicator of financial stress’, said the report.
The marked increase in the volume of consumption loans along with the delinquencies closely,” said Kumar, adding that there is a need for a strong underwriting process, focussed regular monitoring of consumer behaviour, and robust credit risk management practices.
**CUSTOMER PROFILE**
What has become alarming among delinquencies is the changing borrower profiles and behaviours, with more consumers seeking multiple credit products within a short time span, said the report.
In Q1 FY24, 51 per cent of consumers who had small-ticket personal loans already had more than four credit products at the time of availing another new loan, compared to 36 per cent people in June 2019.
**RURAL CONSUMERS**
Overall loan originations grew 1 per cent y-o-y, but rural areas, where banks and other consumers, indicate a clear call for lenders to monitor vintage and delinquencies closely,” said Kumar, adding that there is a need for a strong underwriting process, focussed regular monitoring of consumer behaviour, and robust credit risk management practices.
**THREE CATEGORIES**
However, non-banks continue to operate in the interim. Additionally, the RBI has divided the approval for PA-CB operations into three different categories — export-only PA-CB (PA-CB-E), which is for non-banks that manage cross-border trade transactions connected to exports.
These organisations may apply for the licence to provide PA-CB services exclusively to exports.
The other one is import-only PA-CB (PA-CB-I), which is for PA-CB where non-banks that manage payments transactions for imports as well as exports are intended to fall under this category. Under this category, entities that are involved in both kinds of transactions may request authorisation.
**MINIMUM NET WORTH**
Non-banks that were already providing PA-CB services as of date of application are required to have a minimum net worth of ₹15 crore at the time of application or approval by the RBI for authorisation. They must further increase their net worth to a minimum of ₹25 crore by March 31, 2024.
**RBI GUIDELINES**
According to the new guidelines, non-banks that provide PA-CB services must apply to the RBI for authorisation by April 30, 2024.
**Fintechs carrying out cross-border payments must apply for RBI licence**
**Jyoti Banthia**
Bangalore
Fintech companies will have to apply for the Reserve Bank of India’s Cross Border (PA-CB) licences after the new guidelines issued by the RBI.
Companies such as PayU, Cashfree Payments, and Payal, to early-stage entities such as Skylo, will either have to apply for the licence. The RBI’s latest guidelines on cross-border payments came into effect on July 1, upping the compliance costs for fintechs operating in this sector.
Until now, all customer accounts were managed by the sponsor bank or authorised dealers for these payment companies, but now it will be running on a full stack payment system.
“The introduction of the licence will generate keen interest among both fintech companies and traditional banks, resulting in a new era of innovation and competition. With regulatory certainty, fintech firms may attract more investment in the sector, paving the way for further growth.”
“These changes offer Indian small- and medium-sized businesses more options for international money transfers, enhancing competition, transparency. Fintech firms will also look to provide additional financing and value-added services for exporters and importers, promoting competitiveness and driving economic growth.”
With regulatory entry requirements into this segment more stringent, these regulations will ensure that market players adhere to the regulator’s strict quality and operational standards, said PayU’s Chief Executive Officer, Manish Jain.
“This will also ensure that smaller entities not meeting the regulator’s criterion may not disrupt their business models and collaborate with established players who meet the prescribed standards,” said Dinesh Chugh, Chief Business Officer, PayU.
**THREE CATEGORIES**
However, non-banks continue to operate in the interim. Additionally, the RBI has divided the approval for PA-CB operations into three different categories — export-only PA-CB (PA-CB-E), which is for non-banks that manage cross-border trade transactions connected to exports.
These organisations may apply for the licence to provide PA-CB services exclusively to exports.
The other one is import-only PA-CB (PA-CB-I), which is for PA-CB where non-banks that manage payments transactions for imports as well as exports are intended to fall under this category. Under this category, entities that are involved in both kinds of transactions may request authorisation.
**MINIMUM NET WORTH**
Non-banks that were already providing PA-CB services as of date of application are required to have a minimum net worth of ₹15 crore at the time of application or approval by the RBI for authorisation. They must further increase their net worth to a minimum of ₹25 crore by March 31, 2024.
**RBI GUIDELINES**
According to the new guidelines, non-banks that provide PA-CB services must apply to the RBI for authorisation by April 30, 2024.
**UCO Bank Q2 net down 20% on treasury income dip**
**Mitun Dasgupta**
Kolkata
Public sector lender UCO Bank on Friday reported a 20.8 per cent year-on-year decline in net profit of ₹10.67 crore for the second quarter this fiscal, as its operating profit fell more than 17 per cent y-o-y during the period.
The Kolkata headquartered lender’s net profit for the quarter under fiscal stood at ₹10.67 crore. On a year-on-year basis, net profit rose 79 per cent in Q2FY23 from ₹225.68 crore in Q1FY23, according to a stock exchange filing.
The bank’s operating profit for the quarter under review declined 17.47 per cent y-o-y to ₹98.18 crore, as its non-interest income fell 17.08 per cent y-o-y due to lower treasury income.
Treasury income dropped by ₹57 crore from ₹115 crore from the same quarter in Q2 FY23, as there was market-to-market loss in interest in held, said UCO Bank Managing Director and Chief Executive Officer Ashwani Kumar at a media conference.
**SRL HOLDINGS**
The MD and CEO said the bank currently has an excess SLR holding of around ₹23,400 crore, and utilising a part of it to support credit growth is a favoured route instead of aggressively pricing its assets. Gross advances grew 1799 per cent y-o-y to ₹1,677.94 crore as on September 30, 2023, while total advances grew 1,077 per cent y-o-y to ₹2,491.41 crore as on September 30.
During the second quarter this fiscal, net interest income (NII) rose 8 per cent y-o-y to ₹1,384 crore as against ₹1,285 crore in the same quarter last year. Despite net interest margin (NIM) improved 8 basis points y-o-y at 3.05 per cent from 2.97 per cent during Q2FY23.
**HETIEM DOMINIC NUNN**
Based in London for the half year ended September 30, 2023, stood at 3.12 per cent, against 2.91 per cent during the corresponding period ended 30, 2022, after accounting for a provision of ₹21 crore.
The lender’s bad-debt provision as a percentage of gross advances increased 16 per cent y-o-y to ₹33.81 crore in Q2 FY24, from ₹40.07 crore in Q2 FY23, as its asset quality improved.
**Shiprocket revenue rises 78% to ₹1,089 cr**
**Our Bureau**
Bengaluru
E-commerce enablement platform Shiprocket’s FY23 operating revenues grew 78 per cent y-o-y to ₹1,089 crore from ₹615 crore in FY22, as the company expanded its stack to include customer communication and marketing, providing the services to direct-to-consumer sellers.
The firm’s net loss widened to ₹341 crore in FY23, from ₹93.1 crore reported in the previous fiscal year.
The losses of the firm rose due to its two acquisitions — Omuni for ₹200 crore and Marker for ₹200 crore in FY23. Shiprocket said that its parent entity — BigBasket Retail Private Ltd — absorbed a loss worth ₹341 crore as the result of these acquisitions. The parent entity further incurred a loss of ₹88 crore as an exceptional cost for the accounting treatment for some of its investments.
Founded in 2017 by Sanjhi God, Vishesh Khera, and Alekhy Gulati, Shiprocket is an aggregator of third-party logistics companies. It works with 17 courier partners, including Delhivery, FedEx, DHL, Amazon Xpressbees, DTDC, and Shadway.
It has raised around ₹270 million in funding from investors including Balderton, Moore Strategic Ventures, DTDC, and Shadowfax.
Religare Enterprises Q2 net falls 56% to ₹40.35 cr
**KR Srivats**
New Delhi
Religare Enterprises Ltd (REL) has reported a 56 per cent sequential decline in consolidated net profit for the quarter ended September 30, 2023, total consolidated revenues grew 34 per cent at ₹1,380.24 crore (₹1,036.24 crore). In the September 2022 quarter, REL had recorded total revenues of ₹1,302.46 crore.
**Press Trust of India**
Mumbai
The Reserve Bank said it has imposed a ₹70-lakh penalty on state-owned Punjab National Bank and a ₹20-lakh penalty on private sector Federal Bank for breaching certain “regulatory norms”.
It has also imposed a penalty of ₹10 lakh on Mercedes-Benz Financial Services India Private Ltd (fka Mercedes-Benz Financial Services India Private Ltd) for non-compliance with certain provisions of the Non-Banking Financial Company (Regulation and Supervision) of the Reserve Bank of India (RBI) Directions, 2016.
The RBI said the ₹38 lakh penalty imposed on Kosam Finance Ltd, Kotayam, for non-compliance with certain provisions of the “Non-Banking Financial Company (Regulation and Supervision) of the Reserve Bank of India (RBI) Directions, 2016”.
**YEAR AFTER YEAR IN WINTER**
**Haze Hood Over Delhi-NCR, Gangetic Plains Next**
**Anubhuti.Vishesh**
@timesgroup.com
New Delhi: Experts in the weather ‘typical’ capital is currently overwhelming Delhi NCR with ‘severe’ air pollution, and the situation is worse and another the Indo-Gangetic plains is a ritual repeated year after year.
While the capital has recorded over 400 AQI, several Indo-Gangetic Plains (IGP) districts are set to get smog red alert in the coming days.
A March 2023 report of an expert panel of the Central Pollution Control Board submitted to the National Green Tribunal, did a root cause analysis of the ‘haze’ problem and recommended a three-step of course correction needed.
‘It takes a look at the making of the ‘haze’ problem and the root causes of the Gangetic plains.’
**ROOTCAUSE ANALYSIS**
The panel takes a holistic viewpoint into the problem and an isolated case of Delhi-NCR as multiple factors are impacting the air quality in the hot spot districts identified in the IGP across Delhi, Haryana, Punjab and Uttar Pradesh during the winters of October-November and PM2.5 (manufactured matter, 2.5 microns) is the key culprit, the report says.
**INDUSTRIAL SCALE**
The panel study shows that the highest emission source in IGP is due to industrial emissions- 48% of total PM2.5 emissions in the region.
The panel called for strong technology, fuels, better filtration and monitoring of industries, especially cement, sugar industries within 5 km radius of places with a population over a million.
**OPEN BURNING**
15.5% of total PM2.5 emissions -3580g/m² -in IGP are due to open burning with 700 g/m² from residue burning in Punjab and Haryana at state level.
The panel recommends that regardless of GRAP (Gujarat, Rajasthan, Punjab) levels, monitoring on all open burning should be done from October- November 30 and mean daily fines must be kept below 1000.
**THE CHILLER**
The panel says that 19% of the total PM2.5 emissions are due to domestic sources, mainly due to the use of chulhas and free solid fuel usage for heating in rural semi urban areas by people below poverty line. The panel recommends provisions for two free LPG-cylinders per household in winter months – 7.3 crore cylinders and better stove conversion to LPG.
The step can reduce up to 108 Gg of PM2.5 emissions over IGP.
**SOIL & DUST**
30% of total PM2.5 emissions -225 Gg- are attributable to soil and road dust especially in the dry winters. In a rapidly growing India, construction dust is another major contributor to PM2.5 emissions. The panel recommends provisions for two free LPG-cylinders per household in winter months – 7.3 crore cylinders and better stove conversion to LPG.
The step can reduce up to 108 Gg of PM2.5 emissions over IGP.
**INDEPENDENT BODY**
The panel has suggested setting up an independent body in environment ministry to monitor air control measures.
**TRANSPORTING BAD AIR**
The report says that the contribution of vehicular emission has come down due to the implementation of odd-even rule in Delhi-NCR as the onset of winter stows all breeze which could have forced the vehicles to pollute out.
The panel has recommended a complete phase out of diesel-based transport vehicles and construction machinery, garbage based vehicles infrastructure.
**What is Haze Hood?**
To break it down- the ‘haze hood’ rises over Delhi and NCR winter season, cooling the areas around even as the capital’s own emissions tend to heat start and as temperatures rise over the city, leaving a low-pressure zone which is quickly filled by wind borne emissions from the north-western state of Punjab building in the city.
It is perfectly timed with the peaky winter season, coinciding in Punjab and Haryana. Farm fire smoke rushes into Delhi-NCR along with the smoke-based cooking fumes adding to the already toxic mix of industrial fumes and emissions from old diesel commercial and transport vehicles.
The city emission is further worsened when the winds blow in from NCR even as the onset of winter stows all breeze which could have forced the vehicles to pollute out.
That is what gives the Haze Hood an AQI of well over 400 and Particulate Matter 2.5 and 10. gridlocked. — OP
**COMPARES CONG WITH PAK CRICKET TEAM**
**Gehlot Govt Playing Politics of Appeasement: Rajnath**
Says humanity and justice should be basis of politics
email@example.com
Rajasthan/Northwest: BJP’s senior leader and defence minister Rajnath Singh on Friday accused the Ashok Gehlot government in Rajasthan of tinkering in important political issues and said politics should be done on the basis of humanity and justice, not on caste, creed or religion. He said Congress is comparing the Pakistan team and BJP with the Indian team.
“The cricket and cup is going on in India. And the comparison of Congress in Rajasthan is also like that of the Pakistan team. In the run up to the elections, like Pakistan, Congress seems to be thumbed out of the tournament, while the BJP is moving forward like a champion, similar to the Indian team,” Singh said.
Addressing a rally in Jaipur, Rajasthan, Singh said, “In the last elections, Singh hit out at the Gehlot-led government of doing appeasing politics.
BJP has fielded Droggi Mehada for the Rajasthan seat and Ramnur Vishwakarma of the Mowar royal family from Nathdwara against Congress candidate Jodh Singh.
“I always say this and maintain that politics should not be done on the basis of caste, creed or religion but on the basis of humanity and justice,” Singh said.
Singh also alleged that the crisis of trust in Indian politics has deepened in Rajasthan. He said that due to the difference in the results of the last two elections, the public trust in the country’s politics as well as its leaders has taken a big hit.
On the law and order situation in the state, he said, “At the conference to Congress MLA Driya Maderna, said even female legislators are being harassed. In the last ten years, the way this communist party has committed crime twice in a short interval, it is very shocking. Why is it done in such haste? The committee’s meeting has been called to probe the matter. A dozen accused persons (somebody who ferries cash). Following a credible investigation, it conducted search operations in the last two weeks in Jaipur and Udaipur. Subsequently it arrested Das, who was allegedly sent by Gehlot to take money from Sourabh Chandralek and Rupi Chandralek. It is a fake app. On 21.11.2023, ED received intelligence input that a money laundering operation was moving in Chittorgarh by the promoters of Mahadev App. ED forwarded the information and now they have accused me of taking Rs 508 crore.” — OPB
**Ethics Panel Not Meant to Harass, Yechury in Support of Mahua**
firstname.lastname@example.org
Kolkata: Supporting Tirthamol CM/MP Mahua Moitra, CPI(M) general secretary Sitaram Yechury on Friday said that the Ethics Committee is not meant for harassment and it is not a court to decide real facts.
“I was in the Ethics Committee for more than ten years. The way this communist party has committed crime twice in a short interval, it is very shocking. Why is it done in such haste? The committee’s meeting has been called to probe the matter. A dozen accused persons (somebody who ferries cash). Following a credible investigation, it conducted search operations in the last two weeks in Jaipur and Udaipur. Subsequently it arrested Das, who was allegedly sent by Gehlot to take money from Sourabh Chandralek and Rupi Chandralek. It is a fake app. On 21.11.2023, ED received intelligence input that a money laundering operation was moving in Chittorgarh by the promoters of Mahadev App. ED forwarded the information and now they have accused me of taking Rs 508 crore.” — OPB
**Guddu Quits for Second Time**
Indore: Former MP and MLA Premchand Sharma, who has been a member from Aligarh (General) MP as an independent resigned from the Congress on Friday. He did not put any reason for his resignation, the last day of withdrawal of nomination from the Congress in Raillam district, is reserved for SCS Guddu’s main rival in the November 26 polls.
Sharma is the former president of Trinamool Congress in Bengal, which is contesting the Lok Sabha polls, but the party will be part of the DMK-Bloc where Trinamool is also contesting.
“If you want to probe, the whole thing is a conspiracy. The committee is not meant for harassment, it is meant for probing. In various states, the same thing really happened,” the CPI(M) as noted. “We are not against looking about the role of Ethics Committee in connection with Trinamool MP Mahua Moitra.”
**Polloquy**
R PRASAD
**Fertiliser Crisis, Stray Cattle Major Poll Issues**
email@example.com
Chhatarpur: Sugar: Thirty-five-year-old farmer Chaliya Das from Pushkar village in Chhatarpur district of Shahjahanpur has a fertiliser warehouse with a hope that he will get fertilisers soon. “It has been six days and I haven’t got any. Sometimes I have to buy fertilisers from the farmers from market where it is sold at Rs 150 per quintal. If I buy 100 bags, then it costs me Rs 15,000 extra,” he tells ET. “Nowadays, the rain doesn’t sleep as I keep a watch on the weather forecast and stay awake at nights and come here for fertilisers in the day.”
In one of the villages in Mathura, the problems faced by farmers in finding fertilisers is a major issue. Like UP, growing stray cattle is making farmers struggle to protect their livestock. On the other hand, getting fertilisers from the government is another huge challenge. And all this is likely to impact their voting preferences in the upcoming elections.
Everyday thousands of farmers assemble in the fertiliser warehouse in Bandh assembly to get the slip which ensures that you will get fertilisers. Rajkumar Yadav, a Durdaha villager says that the fertiliser problem has grown in the last two years. “We have to spend money fencing with wires but even that is not useful. We stay guard during the night. The government says that earlier he used to sell small quantity of fertilisers every year during the rainy season. Now all depend on how much we can afford to purchase,” he says.
“Ultimately this is going to be a factor when we vote,” adds Raj Kumar in Shahjahanpur.
Another farmer from Markhedga jagi village in Mathura district says that he protect his maize crop in his 25 acres of land. During the last year, he had to spend Rs 1 lakh to construct Gauhsala in order to protect his crop. The IAF too, has promised the same. On the ground, the programme is not working.
Mohit Shukla of Harri villa in Mathura district says his crop in five acres of his land has been destroyed by stray cattle. |
NATIONAL PARAM SUPERCOMPUTING SYSTEMS
APPENDIX
CENTRE FOR DEVELOPMENT OF ADVANCED COMPUTING
APPENDIX
## Contents
PARAM Siddhi ................................................................. 3
PARAM Shivay ............................................................... 4
PARAM Brahma ............................................................ 78
PARAM Shakti .............................................................. 129
PARAM Yukti ............................................................... 186
PARAM Sanganak ......................................................... 210
PARAM Utkarsh ........................................................... 250
PARAM Seva ............................................................... 253
PARAM Smriti ............................................................. 297
PARAM Pravega ......................................................... 338
PARAM Ganga ............................................................ 382
PARAM Ananta ........................................................... 405
Title of the work carried out:
Support effects in Pd nanoclusters over graphenes and ceria surfaces for the oxidative addition of bromobenzene.
Name & Designation of the Chief Investigator:
Dr. Parag A. Deshpande, Associate Professor
E-mail Id:
firstname.lastname@example.org
Institution Name:
Indian Institute of Technology Kharagpur, Kharagpur, West Bengal, 721302
Problem statement(s):
a) Investigation on the immobilisation of small Pd clusters over defect-ridden graphene
b) Investigation on the immobilisation of small Pd clusters over Ceria surfaces.
c) Investigation into the activity of supported Pdn clusters (n = 3, 4) for the oxidative addition of bromobenzene.
Work carried, Milestone, Achievements & Graphs, Plots:
Surface diffusion barriers for the migration of (a) Pd3 and (b) Pd4 over double vacancy defected graphene
Configuration energies for (a) Pd3 and (b) Pd4 over double vacancy defected graphene
DFT optimized structures and energies for Pd4@CeO2(110): (a) surface structures with Pd4 clusters on site S1, (b) surface structures with Pd4 clusters on site S2, (c) binding energies
Oxidative addition barriers of bromobenzene over free and supported Pdn clusters.
Publications / Articles etc. link (If any):
a) Density functional theory study of the immobilisation and hindered surface migration of Pd3 and Pd4 nanoclusters over defect-ridden graphene: Implications for heterogeneous catalysis, https://pubs.acs.org/doi/10.1021/acsanm.1c01661
b) DFT+U analysis of the stability of Pdn/CeO2 (n = 3; 4) https://doi.org/10.1016/j.apsusc.2022.152948
c) DFT reveals the support effects in Pd nanoclusters over defect-ridden graphene for the oxidative addition of bromobenzene. https://doi.org/10.1016/j.mcat.2022.112205
Insights into the activity of CeO2 supported Pdn clusters (n = 3, 4) for the oxidative addition of bromobenzene. https://doi.org/10.1016/j.apsusc.2022.156206
Publisher: ACS, Elsevier
Information required for NSM (National Supercomputing Mission) users
- Domain(s): Chemical Sciences, Atomic & Molecular Sciences, Material sciences Computational sciences
- Sub-domain(s): Computational catalysis
- Application name(s)*: Quantum espresso
PARAM Shivay
Title of the work carried out:
a) Calibration Requirements for EoR observations.
b) Calculating the baseline pair fractions for various radio telescopes
Name & Designation of the Chief Investigator: Dr. Prasun Dutta, Assistant Professor, Jais Kumar, Research Scholar.
Problem statement(s):
- We wanted to calculate the baseline pair fractions for various baseline configurations for a set of observational parameters. The above said quantity would be required in calculating the bias and variance of the 21-cm power spectrum estimations analytically, without requiring the full simulations and hence reducing the computation time significantly. The analytical framework is being developed by Jais Kumar in supervision of Dr. Prasun Dutta, as a part of his PhD thesis.
Work carried, Milestone, Achievements & Graphs, Plots:
- Calculated the baseline pair fractions for 8 hours of observation time for radio telescopes GMRT, SKA – Low and LOFAR. The observational parameters used for the calculation of the baseline pair fractions are:
- Observation frequency – 150 MHz
- Integration time – 1 second.
- Grid Size = 0.004 kilo Lambda.
- Total observation time – 8 hours.
Publications / Articles etc. link (If any)*:
- Avula, The work done using param shivay is applied in the research work and resulted in the following publications.
1. Jais Kumar, Prasun Dutta, Samir Choudhuri, Nirupam Roy, Calibration requirements for Epoch of Reionization 21-cm signal observations – II. Analytical estimation of the bias and variance with time-correlated residual gains, Monthly Notices of the Royal Astronomical Society, Volume 512, Issue 1, May 2022, Pages 186–198,
https://doi.org/10.1093/mnras/stac499
2. Shaw, A.K., Chakraborty, A., Kamran, M. et al. Probing early Universe through redshifted 21-cm signal: Modeling and observational challenges. J Astrophys Astron 44, 4 (2023).
https://doi.org/10.1007/s12036-022-09889-6
Publisher:
1. Monthly Notices of the Royal Astronomical Society – Oxford University Press
2. Journal of Astrophysics and Astronomy - Springer
Benefits & experience of using PARAM Shivay:
- Availability of many compute nodes on Seva has enabled us to simulate large systems such as supramolecular polymers and proteins encapsulated in metal-organic frameworks.
Any other relevant information (if any):
- Used the high-performance computing facility “Param Shivay” established at IIT (BHU) Varanasi in calculating the quantity “baseline pair fractions”. The use of Param Shivay has reduced the computation time by many folds. It would have been practically impossible to calculate the baseline pair fractions especially for the SKA-LOW telescope consisting of 512 antenna using normal Desktops/Laptops.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Astronomy & Astrophysics
- **Sub-domain(s)**: Radio Astronomy, Calibration, Epoch of Reionization
- **Application name(s)**: python 3, mpi for python.
**Title of the work carried out:**
a) First Principle Calculations using Quantum Espresso and
b) Modelling Short Range Order in Nb-Ti-V-Zr System.
**Name & Designation of the Chief Investigator**: Dr. Vikas jindal
**Email Id**: email@example.com
**Institute Name**: Indian Institute of Technology (BHU) Varanasi
**Problem statement(s)**:
modeling the elastic modulus calculation using first principle calculations.
**Publications / Articles etc. link (If any)**: under review
Title: Correlation function relationship with enthalpy of mixing using machine learning.
**Publisher**:
Computational Condensed Matter
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Material Science
**Title of the work carried out**:
OPHAencoder: An unsupervised approach to identify groups in group recommendations
**Name & Designation of the Chief Investigator**: Dr. Ravindra Chowdary C., Associate Professor
**Email Id**: firstname.lastname@example.org
**Institute Name**: Indian Institute of Technology (BHU), Varanasi
Publications / Articles etc. (If any):
https://link.springer.com/article/10.1007/s00607-022-01103-3
Publisher:
Springer Vienna
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: AI/ML/DL
Title of the work carried out:
Computational design of engineered therapeutics in COVID-19 and identification of resistance mutations and associated mechanisms of SARS-CoV-2
Name & Designation of the Chief Investigator:
Dr. Aditya Kumar Padhi & Assistant Professor Grade-1
Email Id: email@example.com
Institute Name: Indian Institute of Technology (BHU), Varanasi, India
Problem statement(s):
As the COVID-19 pandemic entered the third year, SARS-CoV-2 developed numerous variations in its proteins to make itself quickly adaptable and infectious. Increasing genetic variations in the SARS-CoV-2 pose uncertainty for achieving long-lasting vaccines and continually effective therapeutics. As related RNA viruses have regularly developed drug resistance, the emergence of drug tolerance and acquisition of positively selected, adaptable mutations against the currently used COVID-19 treatment regimen is highly plausible. SARS-CoV-2 uses the main protease (Mpro) for the proteolytic cleavage of the viral polyproteins into nonstructural proteins required for viral packaging, maturation, and replication. The Mpro is the target of several key antiviral drugs, such as the recently FDA-approved drug, nirmatrelvir. Evidently, the virus has the potential to acquire mutations at the Mpro-drug interface and render nirmatrelvir ineffective or less effective by weakening their interactions. This can be true for various other drugs and antibody drugs. Therefore, predicting this information and utilizing them for effective therapeutics development has a huge application and need of the hour. In our work, we attempted in understanding the emerging variants of SARS-CoV-2 and proposing strategies for developing effective therapeutics.
Work carried, Milestone, Achievements & Graphs, Plots:
As the development of sequence tolerance and structural changes is conceivable, in our works, we used a high-throughput protein design approaches complemented with mutational mapping to generate all the possible naturally evolving mutant designs and provide insight into their functional outcome for drug binding. We identified single point mutations and hotspot residues/sites from mutational landscape
analysis of the Mpro that exhibited the highest potential for mutations. Identification of certain key positively selected residues suggested that SARS-CoV-2 can develop tolerance within a short time with specific mutations.
We envisioned gaining a deeper understanding of the tolerance and adaptability of the Mpro against the highly effective nirmatrelvir drug. Most importantly, we validated our design methodology and accuracy of our designed mutations by comparing them with the experimentally determined sequences of SARS-CoV-2 deposited in the GISAID and CoV-GLUE databases. Intriguingly, the comparison showed that ~40% (78 out of 199) of the designed mutations in Mpro already exist in the globally circulating SARS-CoV-2 lineages. This suggests that the viral strains with adapted and tolerated mutations against nirmatrelvir and drugs with a similar binding site in Mpro are already circulating in humans, even without significant selection pressure.
With the threat of new SARS-CoV-2 mutations now clearly identified, we must be equipped to respond and anticipate the challenges that may develop in the future. Our present data is significant with information on the potential structural and residue-specific sites in the Mpro that are susceptible to mutation under drug pressure and lead to viral adaptation with fitness advantages.
Considering the potential implications of the work in understanding the emerging variants of SARS-CoV-2 and proposing strategies for developing effective therapeutics, we believe that the current work is highly significant and timely, which could attract a broad audience from chemists, drug developers, biochemists, virologists, and other interdisciplinary researchers.
Relative binding affinities (dAffinities) of all the designed mutations in the nirmatrelvir-binding site of Mpro
Heat maps of the nirmatrelvir-bound Mpro mutations with their frequencies of occurrence retrieved from GISAID-enabled CoV-GLUE-Viz databases.
Padhi AK, Tripathi T, Biochem Biophys Res Commun. 2022 Nov 12;629:54-60.
Summary of engineered therapeutics: peptides, miniprotein binders, and ACE2 decoys against SARS-CoV-2
Publications / Articles etc. link (If any) *:
1. Padhi AK, Tripathi T. Hotspot residues and resistance mutations in the nirmatrelvir-binding site of SARS-CoV-2 main protease: Design, identification, and correlation with globally circulating viral genomes. Biochem Biophys Res Commun. 2022 Nov 12;629:54-60. doi: 10.1016/j.bbrc.2022.09.010. Epub 2022 Sep 7.
2. Joshi A, Tripathi T, Singh SK, Padhi AK. Computational Approaches for Development of Engineered Therapeutics against SARS-CoV-2. Biochemistry. 2022 Dec 30:acs.biochem.2c00629. doi: 10.1021/acs.biochem.2c00629. Epub ahead of print.
Publisher:
1. Elsevier,
2. American Chemical Society
Awards (If any):
1. Young Scientist Award from the Bioinformatics and Drug Discovery Society (BIDDS) India for the Year 2022.
Appreciation / Recognition (if any):
1. Young Scientist Award from the Bioinformatics and Drug Discovery Society (BIDDS) India for the Year 2022.
2. https://timesofindia.indiatimes.com/city/varanasi/iit-bhu-assistant-prof-gets-young-scientist-award-22/articleshow/95843305.cms
References:
1. Padhi AK, Tripathi T. Hotspot residues and resistance mutations in the nirmatrelvir-binding site of SARS-CoV-2 main protease: Design, identification, and correlation with globally circulating viral genomes. Biochem Biophys Res Commun. 2022 Nov 12;629:54-60. doi: 10.1016/j.bbrc.2022.09.010. Epub 2022 Sep 7.
2. Joshi A, Tripathi T, Singh SK, Padhi AK. Computational Approaches for Development of Engineered Therapeutics against SARS-CoV-2. Biochemistry. 2022 Dec 30:acs.biochem.2c00629. doi: 10.1021/acs.biochem.2c00629. Epub ahead of print.
PARAM Shivay supercomputer provides great high-end computing resource and experience to execute computationally-intensive computing jobs/software and complete the runs in a rapid time to the users. The use of MD simulation software, related analysis tools helped a lot in completing the tasks and run the jobs. The experience could be improved further if the waiting time could be reduced and more applications like Rosetta, etc., can be installed.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Computational Biology & Bioinformatics
- **Sub-domain(s)**: Structural Bioinformatics, Computational Biophysics, High-throughput Protein Design, Translational Bioinformatics, Biomolecular Modeling and Conformational Analyses
---
**Title of the work carried out:**
first principle calculation using quantum espresso and modelling short range order in NbTivZr system
**Name & Designation of the Chief Investigator:** Dr. Vikas jindal
**Email Id:** firstname.lastname@example.org
**Institute Name:** IIT(BHU)
**Problem Statement:**
Modeling the elastic calculation using first principle calculation
**Publications / Articles etc. link (If any):**
Title : Correlation function relationship with enthalpy of mixing using machine learning
**Publisher:**
Computational Condensed Matter
---
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: material Sciences
---
**Title of the work carried out:**
Different kinds of catalysis and energy conversion in polymer and MOF materials
**Name & Designation of the Chief Investigator:** Dr. Ajay Pratap
**Email Id:** email@example.com
**Institute Name:** IIT (BHU)
**Problem statement(s):**
Overall cost minimization for mobile vehicles (Cost includes transmission and processing costs)
Work carried, Milestone, Achievements & Graphs, Plots:
Got access for 3 days only thus could not run my algorithm completely.
Publications / Articles etc. link (If any) *:
1- Optimized Doctor Recommendation
2- System using Supervised Machine Learning
Publisher:
Himanshu Singh, Moirangthem Biken Singh, Ranju Sharma, Jayesh Gat, Ayush Kumar Agrawal, Ajay Pratap
Awards (If any):
Himanshu Singh, Moirangthem Biken Singh, Ranju Sharma, Jayesh Gat, Ayush Kumar Agrawal, and Ajay Pratap. "Optimized Doctor Recommendation System using Supervised Machine Learning." In 24th International Conference on Distributed Computing and Networking, under MLBSS Workshop, pp. 360-365. 2023 (Best Paper Award).
Benefits & experience of using PARAM Shivay:
Paramy shivay needs to update libraries for machine learning. Please update conda with latest version of python and provide tutorial for using jupyter notebook.
Title of the work carried out:
Using Artificial Intelligence in the field of computational biology
Name & Designation of the Chief Investigator: Vishakha Singh
Email Id: firstname.lastname@example.org
Institute Name: IIT (BHU) Varanasi
Problem statement(s):
Multi-scale temporal convolutional networks and continual learning based in silico discovery of alternative antibiotics to combat multi-drug resistance
Work carried, Milestone, Achievements & Graphs, Plots:
Publications / Articles etc. link (If any)*:
https://doi.org/10.1016/j.eswa.2022.119295
Publisher:
Elsevier (*Expert systems with Applications* (IF: 8.665))
Benefits & experience of using PARAM Shivay:
I was able to train my huge model faster using GPU nodes provided by PARAM SHIVAY
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Artificial Intelligence
- **Sub-domain(s)**: Deep/ Machine learning
Title of the work carried out:
Equilibrium and quasi-equilibrium studies of polymer and biopolymer (e.g. DNA) using lattice model in presence of attractive surface / under confinement etc.; Atomistic molecular dynamics simulations of DNA-polymer interaction; Critical behaviour of Magnetic polymers.
Name & Designation of the Chief Investigator: Dr. Debaprasad Giri Professor
Email Id: email@example.com
Institute Name: Indian Institute of Technology (BHU) Varanasi (Department of Physics)
Problem statement(s):
Force induced unzipping of dsDNA in presence of attractive surface
Work carried, Milestone, Achievements & Graphs, Plots:
By employing Exact Enumeration technique, here we have studied the force induced melting of a short dsDNA in presence of an attractive surface. We have used the Self Avoiding Walk (SAW) model of polymer to study the equilibrium properties of double strand DNA (dsDNA) where two strands of the dsDNA are modelled by two mutually attracting self-avoiding walks (MASAWs) on a square lattice. We study simultaneous adsorption and force induced melting and explored different phases of DNA. It is observed that the melting is entropically dominated which can be substantially reduced under the application of the applied force. We consider two cases where the surface is (i) weakly attractive and (ii) highly attractive. In the first case the DNA desorbs from the surface and acquires the conformation of melted state with the rise of temperature. However, for a strongly attractive surface, the strand where force applied (strand-II) gets unzipped, while the other strand (strand-I) remains adsorbed on the surface. We observed non-monotonic behaviour of the reaction coordinate. This has been explained on the basis of a simple thermodynamic argument where the applied force stretches the polymer and acquires the conformation of stretched state at low temperature. Schematic diagram of force-induced melting of MASAW dsDNA adsorbed on attractive surface in (a). The strand near the surface is called strand-I (first strand). Force $g$ is applied on the other strand along y-direction which is called strand-II (second strand). The surface adsorbed monomers are presented as red circles, while black circles represents the monomers of dsDNA which are in bulk. $y_1$ and $y_2$ represents the distance of end monomers of free strand and pulled strand from the surface respectively. Figure (b) and (c) represent possible models of the dsDNA.
Appreciation / Recognition (if any):
Have been invited to present my work on online Seminar
Benefits & experience of using PARAM Shivay:
Param Shivay computation facility under National Supercomputing mission, Government of India, IIT (BHU) is very useful for my research group and we have been using this facility since its inception. The PARAM Shivay support team is very helpful and promptly solves the issues. We would like to express our sincere gratitude to Param Shivay facility and support team for allowing us to run few long simulations.
Any other relevant information (if any):
Dr. Dibyajyoti Mohanta (former PhD student) works now as a collaborator with my group and acknowledged Param Shivay in his independent paper
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Complex Systems and Statistical Physics, Computational Physics
- **Sub-domain(s)**: Biophysics
- **Application name(s)**: LAMMPS, NAMD, AMBER MD, INTEL FORTRAN
**Title of the work carried out:**
Effect of elevated temperature on aqueous solution of lysozyme
**Name & Designation of the Chief Investigator:** Dr. Udita Uday Ghosh, Assistant Professor, Department of Chemical Engineering, IIT(BHU) Varanasi.
**Email Id:** firstname.lastname@example.org
**Institute Name:** Indian Institute of Technology (BHU) Varanasi
**Problem statement(s):**
Neurodegenerative diseases like Alzheimer’s and Parkinson’s are rampant in the modern era with nearly 24 million people affected worldwide. It is attributed to the formation of amyloid fibrils. This fibrillation of amyloid proteins in the brain is very similar to that of the fibrillation reported with hen-egg white lysozyme (HEWL). Lysozyme, is an anti-microbial enzyme found in body fluids such as saliva, tears, nasal mucous etc., known to form amyloid fibrils. In this study, we outline the effect of an external parameter, i.e., elevated temperature (300 - 360 K), on these analogous aqueous solutions of HEWL as an alternative pathway to dissolve amyloid fibrils.
**Work carried, Milestone, Achievements & Graphs, Plots:**
Fig 1: (a) Variation in Rg with temperature ranging from 300 to 360 K (b) corresponding RMSD of the HEWL backbone in water. Specific temperatures are shown within the same range for clarity (c) Native structure of lysozyme at (i) t0 (0 ns); final (tf) unfolded secondary structure at (ii) 340 K and (iii) 360K.
1.6 Work carried, Milestone, Achievements & Graphs, Plots:
Fig 1: (a) Variation in Rg with temperature ranging from 300 to 360 K (b) corresponding RMSD of the HEWL backbone in water. Specific temperatures are shown within the same range for clarity (c) Native structure of lysozyme at (i) $t_0$ (0 ns); final ($t_f$) unfolded secondary structure at (ii) 340 K and (iii) 360K.
Work presented in conference/s with photographs (if any):
Work was presented at COMPFLU-2022 CONFERENCE, IIT KHARAGPUR
References:
i. H.F. Zein, I. Alam, P. Asanithi, and T. Sutthibutpong, PLoS One 17, 1 (2022).
ii. Jafari and F. Mehrnejad, PLoS One 11, 1 (2016).
Benefits & experience of using PARAM Shivay:
Faster simulation processing.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Atomic & Molecular Sciences
- Sub-domain(s): Molecular Dynamics (MD) Simulations
- Application name(s)*: GROMACS
Title of the work carried out:
Implementation of some algorithms for image dehazing
Name & Designation of the Chief Investigator: Dr. Kishor Sarawadekar, Assistant Professor
Email Id: email@example.com
Institute Name: IIT BHU
Benefits & experience of using PARAM Shivay:
The support and the resources provided by PARAM Shivay Facility under the National Supercomputing Mission, Government of India at the Indian Institute of Technology (BHU), Varanasi is very gratefully.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: AI/ML/DL, Image Processing
- **Application name(s)**: Image/video restoration
**Title of the work carried out:**
Studies on production and optimization of bioactive compound from *streptomyces* species
**Name & Designation of the Chief Investigator:** Dr. Abha Mishra, Associate Professor, School of Biochemical Engineering, IITBHU, Varanasi
**Email Id:** firstname.lastname@example.org
**Institute Name:** IIT BHU
**Publications / Articles etc. link (If any):**
1- [https://doi.org/10.1080/07391102.2022.2058093](https://doi.org/10.1080/07391102.2022.2058093)
2- [https://doi.org/10.1080/07391102.2022.2036239](https://doi.org/10.1080/07391102.2022.2036239)
**Benefits & experience of using PARAM Shivay:**
The use of PARAM Shivay supercomputer facility can greatly enhance the research capabilities of scientists, engineers, and students, enabling them to tackle complex and challenging problems that would be difficult or impossible to solve without the use of high-performance computing resources.
**Title of the work carried out:**
Biomolecular simulations for drug design against neurodegenerative disorders.
**Name & Designation of the Chief Investigator:** Dr. Rajnish Assistant Professor
Department of Pharmaceutical Engineering & Technology
**Email Id:** email@example.com
**Institute Name:** Indian Institute of Technology (B.H.U.), Varanasi
**Problem statement(s):**
Biological systems mainly protein were intended to inhibit using small molecules, demands heavy calculations for longer duration of time in order to check/measure the stability of complex formed.
**Work carried, Milestone, Achievements & Graphs, Plots:**
We have been able to perform computational intensive molecular dynamics simulations on a variety of drug targets using the Param Shivay HPC facility. It is helping us to design novel drug candidates for the treatment of neurodegeneration and antimicrobial resistance.
**Publications / Articles etc. link (If any)**:
1. Baidya AT, Kumar A, Kumar R, Darreh-Shori T. Allosteric Binding Sites of Aβ Peptides on the Acetylcholine Synthesizing Enzyme ChAT as Deduced by In Silico Molecular Modeling. International Journal of Molecular Sciences. 2022 May 28;23(11):6073.
2. Gupta A, Sahu N, Singh AP, Singh VK, Singh SC, Upadhye VJ, Mathew AT, Kumar R, Sinha RP. Exploration of Novel Lichen Compounds as Inhibitors of SARS-CoV-2 Mpro: Ligand-Based Design, Molecular Dynamics, and ADMET Analyses. Applied Biochemistry and Biotechnology. 2022 Dec;194(12):6386-406.
3. Vashistha A, Kumar S, Kirar S, Sharma N, Das B, Banerjee UC, Pawar SV, Kumar R, Yadav AK. Synthesis, Biological Evaluation and in silico Studies of 2-Aminoquinolines and 1-Aminoisouquinolines as Antimicrobial Agents. Computational Biology and Chemistry. 2022 Dec 28:107807.
4. Das B, Baidya AT, Devi B, Rom T, Paul AK, Thakur B, Darreh-Shori T, Kumar R. Synthesis, single crystal X-ray, DFT, spectroscopic, molecular docking studies and in vitro biological evaluation of compound N-benzyl-4-(4-chlorophenyl)-2-oxobutanamide. Journal of Molecular Structure. 2022 Dec 12:134782.
5. Temre MK, Devi B, Singh VK, Goel Y, Yadav S, Pandey SK, Kumar R, Kumar A, Singh SM. Molecular characterization of glutor-GLUT interaction and prediction of glutor’s drug-likeness: implications for its utility as an antineoplastic agent. Journal of Biomolecular Structure and Dynamics. 2022 Dec 20:1-2.
6. Mathew, Alen T., Baidya, Anurag T. K., Das, Bhanuranjan, Devi, Bharti, Kumar, Rajnish. N-glycosylation induced changes in tau protein dynamics reveal its role in tau misfolding and aggregation: A microsecond long molecular dynamics study. Proteins: Structure, Function, and Bioinformatics. 2022/08/27
**Benefits & experience of using PARAM Shivay:**
It provides the required computational power to run our simulations.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Computational Biology, AI/ML/DL, Chemical Sciences
- **Sub-domain(s)**: Medicinal Chemistry
- **Application name(s)**: GROMACS
Title of the work carried out:
Simulation related to crack-void interaction
Name & Designation of the Chief Investigator: Prof. Sandeep Kumar, Professor, Department of Mechanical Engineering, IIT BHU
Email Id: firstname.lastname@example.org
Institute Name: IIT BHU
Work carried, Milestone, Achievements & Graphs, Plots:
Generated plenty of results and will form them in manner.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Fracture Mechanics
- Sub-domain(s): Study of crack-void interaction
- Application name(s)*: FORTRAN compiler
Title of the work carried out:
Liquid Jet atomization
Name & Designation of the Chief Investigator: Dr. Anubhav Sinha, Assistant Professor
Email Id: email@example.com
Institute Name: IIT BHU
Problem statement(s):
Investigated liquid jet atomization under various operating conditions.
Work carried, Milestone, Achievements & Graphs, Plots:
Publications / Articles etc. link (If any)*:
Balaji, S., Kumar, A., Pratap, A., and Sinha, A., Surface Breakup of Liquid Jet – Insights from a DNS study
ILASS Asia 2022 IIT Indore, Oct 2022
Work presented in conference/s with photographs (if any):
ILASS Asia 2022 IIT Indore, Oct 2022
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Mechanical Engineering
- **Sub-domain(s)**: Fuel Injection
- **Application name(s)**: Computational Fluid Dynamics
Title of the work carried out:
Fuzzy rough assisted feature selection technique
Name & Designation of the Chief Investigator: Pankhuri Jain Research scholar
Email Id: firstname.lastname@example.org
Institute Name: IIT BHU
Problem statement(s):
fuzzy rough set based feature selection
Benefits & experience of using PARAM Shivay:
can easily solve problems requiring huge time and hardware support
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Machine learning
- Sub-domain(s): Feature selection
Title of the work carried out:
a) Self-Assembly, Interfacial, and Wetting Behaviours of Amphiphiles.
b) Effect of Nano-confinement and Entrapment in Chemical Reactions.
c) Electric Field Induced Marangoni Effect: Molecular Level Understanding.
Name & Designation of the Chief Investigator: Dr. Debdip Bhandary, Assistant Professor, Department of Chemical Engineering and Technology, IIT (BHU) Varanasi.
Email Id: email@example.com
Institute Name: IIT BHU
Problem statement(s):
- Understanding the role of interfacial water layer, and surface densities on aggregation behaviour of surfactants in the vicinity of a solid surface, and modelling a generic pathway for a surfactant-based targeted delivery system by targeting surfactant aggregated (micelles) from the bulk towards the surface in terms of the free energy landscape, and monitoring the change in sizes/shapes of them in the process.
- Unravelling the structures, dynamics, and interfacial self-assembly behaviours of amphiphilic molecules (Alkanols, LCs, etc.) on substrates of varying hydrophilicity to design detection devices (Sensors).
- Understanding of the contribution of nano-confinement, entrapment, and the nature of adsorbed water in photocatalytic hydrogen generation.
• Capturing the physics of Marangoni instabilities in presence of a uniform electric field in water droplets on varying concentrations of small alkanols.
**Work carried, Milestone, Achievements & Graphs, Plots:**
• **Self-Assembly, Interfacial, and Wetting Behaviours of Amphiphiles.**
Molecular dynamics simulations were carried out to understand the behaviour of sodium dodecyl sulfate (SDS) molecules at the mica/water interface. A single SDS molecule was modeled as twelve united atoms (hydrophobic hydrocarbon tail) and an explicit head group (Oxygen atoms in sulfate groups, Sulphur, and Sodium-ion) according to the force-field parameters reported in the literature. SDS molecules were randomly distributed on a muscovite mica surface (001) in varying surface densities, and allowed to aggregate for 60 ns. Later, the SDS molecules were arranged in a spherical primitive structure for faster aggregation before targeting them to the surface by using steered molecular dynamics (SMD) algorithm. All the simulations were conducted using LAMMPS package.
**Publications / Articles etc. link (If any):**
• Chowdhury, P.; Bhandary, D. Evolution, Stability, and Applicability of Surfactant Aggregates in Targeted Delivery (Under Review in The Journal of Physical Chemistry B, ACS.)
**Work presented in conference/s with photographs (if any):**
Chowdhury, P.; Bhandary, D. “Can surfactants be Used for Drug Delivery?”, ME@75, Research Frontiers Conference, Department of Mechanical Engineering, IISc Bangalore, 2022.
**Benefits & experience of using PARAM Shivay:**
Computational Microscopes, involving both molecular and sub-molecular level (electronic) simulation methodologies, are highly computationally expensive based on the sizes/dimensions of the systems of interest. PARAM Shivay supercomputer facility enables to conduct of those expensive calculations efficiently and fast. This made our research more intensive. The calculations we have carried out would not have been possible without the help of the ParamShivay facility. Also, running the facility 24x7 throughout the year without much disruption made our life easier.
**Information required for NSM (National Supercomputing Mission) users**
• **Domain(s)**: Chemical Sciences, Material Sciences, Computational Physics
• **Sub-domain(s)**: Molecular Dynamics, Density Functional Theory
• **Application name(s)**: LAMMPS, Gromacs, Quantum Espresso
Title of the work carried out:
- Self-Assembly Driven Ripening of Poly-elemental Nanoparticles.
- Discharge Landscape of Methotrexate from Chitosan-based Capsules.
- Diffusivity of Thiol Droplet on Gold Nanoparticle.
- Entropy Scaling to Characterize the Responsive Behaviour of PNIPAm.
- Self-Assembly, Interfacial, and Wetting Behaviours of Amphiphiles.
- Effect of Nano-confinement and Entrapment in Chemical Reactions.
- Electric Field Induced Marangoni Effect: Molecular Level Understanding.
- Development of Positive Electrode Material for Sodium-Ion Batteries.
- Investigation of the Behaviours of Hairy Nanoparticles.
Name & Designation of the Chief Investigator: Dr. Debdip Bhandary, Assistant Professor, Department of Chemical Engineering and Technology, IIT(BHU) Varanasi.
Email Id: firstname.lastname@example.org
Institute Name: IIT BHU
Problem statement(s):
- Study of the utilization of aggregation/micellization of surfactant molecules on flat gold surface for the growth of pristine gold nanocrystals. The channels formed between the successive micelles/aggregates on the gold surface can provide access of any smaller gold nanoparticles within the solution to reach the surface, and grow at the surface. The feasibility of the process can be quantified in terms of the free energy landscape of one smaller gold nanoparticle reaching the surface from the bulk solution through the channels formed by the aggregates.
- Unravelling the discharge landscape of methotrexate-based drug from chitosan-based polymeric systems in terms of free energy profile in the process.
- Depicting the effect of diffusion on the growth of self-assembled monolayer (SAM) from a droplet of long-chain thiols on gold nanoparticles.
- Understanding the extent of entropy dependence of transport properties of active matter systems showing responsive behaviours, such as PNIPAM, a polymer which shows thermo-responsive behaviour around its lower critical solution temperature (LCST), applied in several fields like drug delivery, tissue engineering, etc.
- Understanding the role of interfacial water layer, and surface densities on aggregation behaviour of surfactants in the vicinity of a solid surface, and modelling a generic pathway for a surfactant-based targeted delivery system by targeting surfactant aggregated (micelles) from the bulk towards the surface in terms of the free energy landscape, and monitoring the change in sizes/shapes of them in the process.
- Unravelling the structures, dynamics, and interfacial self-assembly behaviours of amphiphilic molecules (Alkanols, LCs, etc.) on substrates of varying hydrophilicity to design detection devices (Sensors).
- Understanding of the contribution of nano-confinement, entrapment, and the nature of adsorbed water in photocatalytic hydrogen generation.
- Capturing the physics of Marangoni instabilities in presence of a uniform electric field in water droplets on varying concentrations of small alkanols.
- Search for the suitable low-cost electrode material for faster ion transport with lower energy barrier, and higher energy density in terms of ion diffusion within the material, and structural
behaviour of the material at varying electric field, and temperature for the application in sodium-ion battery technology using molecular dynamics simulations.
- Utilization of the properties of hairy-nanoparticles to design reusable cleaning agents in detergency.
**Work carried, Milestone, Achievements & Graphs, Plots:**
- Self-Assembly Driven Ripening of Poly-elemental Nanoparticles.
Molecular Dynamics Simulations were carried out considering CTAB (Cetyl trimethyl ammonium bromide) as surfactant, and (111) gold surface with (SPC/E)1 water model for 6 ns at different temperatures in NVT ensemble2 using LAMMPS3 package. A single CTAB molecule was modelled using GROMOS 96 53a64 forcefield. The interactions due to gold are modelled using Morse potential.5
**Publications / Articles etc. link (If any)**:
- Chowdhury, P.; Bhandary, D. Evolution, Stability, and Applicability of Surfactant Aggregates in Targeted Delivery (Under Review in The Journal of Physical Chemistry B, ACS.)
**Work presented in conference/s with photographs (if any):**
- Vishwakarma, M.; Verma, R.; Kumar, M.; Bhandary, D. “Discharge Landscape of Methotrexate from Chitosan-based Capsules”, International Conference on Complex Fluids and Soft Matter, CompFlu, 2022.
- Vishwakarma, M.; Bhandary, D. “Self-Assembly Driven Ripening of Nanocrystals”, ME@75, Research Frontiers Conference, Department of Mechanical Engineering, IISc Bangalore, 2022.
- Chowdhury, P.; Bhandary, D. “Can surfactants be Used for Drug Delivery?”, ME@75, Research Frontiers Conference, Department of Mechanical Engineering, IISc Bangalore, 2022.
- Soni, A.; Bhandary, D. “Entropy Scaling to Characterize the Responsive Behaviour of PNIPAM”, International Conference on Complex Fluids and Soft Matter, CompFlu, 2022.
**References:**
(1) Berendsen, H.; Grigera, J.; Straatsma, T. J. The missing term in effective pair potentials. *J. Phys. Chem.* 1987, 91 (24), 6269–6271.
(2) Nauchitel', V. Energy distribution function for the NVT canonical ensemble. *Mol. Phys.* 1981, 42 (5), 1259-1265.
(3) Thompson, A. P.; Aktulga, H. M.; Berger, R.; Bolintineanu, D. S.; Brown, W. M.; Crozier, P. S.; in't Veld, P. J.; Kohlmeyer, A.; Moore, S. G.; Nguyen, T. D. LAMMPS-a flexible simulation tool for particle-based materials modeling at the atomic, meso, and continuum scales. *Comput. Phys. Commun.* 2022, 271, 108171.
(4) Oostenbrink, C.; Villa, A.; Mark E. A.; Gunsteren, v. F. W.; A biomolecular forcefield based on enthalpy of hydration and solvation: the GROMOS force-field parameter sets 53A5 and 53A6. *J. Comput. Chem.* 2004, 13, 1656–76.
(5) Zhao, X.; Leng, Y.; Cummings, T. P. Self-assembly of 1,4-benzenedithiolate/tetrahydrofuran on a gold surface: a Monte Carlo simulation study. *Langmuir*. 2006, 22, 9, 4116–4124.
(6) Jo, S.; Kim, T.; Iyer, V. G.; Im, W. CHARMM-GUI: a web-based graphical user interface for CHARMM. *J. Comput. Chem.* 2008, 29 (11), 1859-1865.
(7) Tavagnacco. L.; Zaccarelli. E.; Chiessi. E. Modeling Solution Behaviour of Poly-(N-isopropylacrylamide): A Comparison between Water Models. *J. Phys. Chem. B.* 2022, 126, 20, 3778-88.
(8) Bhandary, D.; Benková, Z.; Cordeiro, M. N. D.; Singh, J. K. Molecular dynamics study of wetting behavior of grafted thermo-responsive PNIPAAm brushes. Soft Matter 2016, 12 (12), 3093-3102.
(9) Chowdhury, S.; Chandra, A. Dynamics of Halide Ion-Water Hydrogen Bonds in Aqueous Solutions: Dependence on Ion Size and Temperature. J. Phys. Chem. B. 2006, 110, 19, 9674-9680.
(10) Zielkiewicz, J. Structural properties of water: Comparison between the SPC, SPCE, TIP4P, and TIP5P models of water. J. Chem. Phys. 2005, 123, 104501.
(11) S, Pronk.; S, Páll.; R, Schulz.; P, Larsson.; P, Bjelkmar.; R, Apostolov.; M, R. Shirts.; J. C. Smith.; P. M. Kasson.; D. van der Spoel.; B. Hess.; E. Lindahl. GROMACS 4.5: A high-throughput and highly parallel open source molecular simulation toolkit. Bioinformatics 2013, 29, 845–854.
(12) Sammalkorpi, M.; Karttunen, M.; Haataja, M. Structural properties of ionic detergent aggregates: a large-scale molecular dynamics study of sodium dodecyl sulfate. J. Phys. Chem. B 2007, 111 (40), 11722-11733
(13) Park, S.; Schulten, K. Calculating potentials of mean force from steered molecular dynamics simulations. J. Chem. Phys. 2004, 120 (13), 5946-5961
(14) Staszewski, T. Structural Changes in Hairy Nanoparticles-Insight from Molecular Dynamics Simulations. J. Phys. Chem. B 2020, 124 (49), 27118-27129
**Benefits & experience of using PARAM Shivay:**
Computational Microscopes, involving both molecular and sub-molecular level (electronic) simulation methodologies, are highly computationally expensive based on the sizes/dimensions of the systems of interest. PARAM Shivay supercomputer facility enables to conduct of those expensive calculations efficiently and fast. This made our research more intensive. The calculations we have carried out would not have been possible without the help of the ParamShivay facility. Also, running the facility 24x7 throughout the year without much disruption made our life easier.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Chemical Sciences, Material Sciences, Computational Physics
- **Sub-domain(s)**: Molecular Dynamics, Density Functional Theory
- **Application name(s)**: LAMMPS, Gromacs, Quantum Espresso
Title of the work carried out:
Effect of fluid flow on motility-induced phase transition
Name & Designation of the Chief Investigator: Dr. Anupam Gupta (Assistant Professor)
Email Id: email@example.com
Institute Name: Department of Physics, Indian Institute of Technology (IIT), Hyderabad
Problem Statement
To study the effect of background fluid on motility induced phase separation and developing the understanding of system at non-equilibrium state.
Brief assessment of work
The system consists of soft self-propelled disk-like particles 2D homogeneous turbulent environment.
The interaction between any two particles is purely repulsive and isotropic which is given by $F_{ij}$ with repulsive force constant $k$. These self-propelled particles of radius ‘$a$’ move with self-propelled velocity $v_0(\cos\theta_i, \sin\theta_i)$ where $v_0$ represent speed and $(\cos\theta_i, \sin\theta_i)$ unit vector of $i^{th}$ particle respectively. The 2D, incompressible Navier-Stokes equation is written in the terms of stream function $\psi$ and the vorticity $\omega = \nabla \times u(x, t) \equiv \omega z^\perp$, where $u \equiv (-\partial y \psi, \partial x \psi)$ is a fluid velocity at point $x$ in time $t$ and $z$ is a unit normal to the fluid film surface, $\partial_t u + u \times \nabla = \nu \nabla^2 \omega - \mu \omega + f u$
where, $\nabla^2 \psi = \omega$ with $\nu$ is the kinematic viscosity and $\mu$ is the coefficient of friction of the fluid. In presence of fluid which acts as a background flow for the particle system, the rotation is coming from rotational diffusivity and fluid flow vorticity($\omega$). The dynamics of the equation of particles is given by
$$\delta t r_i = v_0(\cos\theta_i, \sin\theta_i) + \mu t X$$
$F_{ij} + \eta i T(t) + u; \delta t \theta_i = \eta i R(t) +$
The repulsive force between the particle which is given as $F_{ij} = -k(2a - r_{ij})^\gamma$
$r_{ij}$, if $r_{ij} < 2a$
and $F_{ij} = 0$ otherwise. The term $\mu t$ represents a particle’s mobility. The strength of noises are independent of each other where D is controlled by thermal noise and $v_r$ measures the nonequilibrium angular noise. Along with angular diffusion, the particles are reorientation by the rotation of fluid flow given by vorticity ($\omega$). Here we have taken rotational diffusivity as noise because we want to see the effect of rotational noise effect on the system.
Clustering Behaviour
We have observed strong clustering as shown in figure 1a, if velocity scale ()>> 1 which depends on different factors given as: i) Clustering depends on the number density of the system and the selfpropelled velocity and ii) Diffusion coefficient ($v_r$) and mean collision time ($r$). As shown in figure 1b Strain dominated region is observed if velocity scale $\sim 1$ because there is a competition between the particle’s velocity and fluid velocity. These particles are trying to form a cluster but fluid is rotating the whole system, so particles are forming a cluster in the strain-dominated region where the fluid effect is
minimal. We will see the system is homogeneously mixed if velocity scale $<< 1$ as shown in figure 1c in this case fluid velocity is driving the system.
**Mean Square Displacement**
We have evaluated the MSD of SP particles, as shown in figure 2. Here we have compared the MSD for dry and wet systems which are denoted by solid and dashed lines, respectively, for two different cases of rotational diffusivity. We have observed the same pattern for both cases of rotational diffusivity quantitatively. For the dry case initial time $t << vr-1$ there is ballistic behavior with $[\delta r(t)]^2 \sim v_0^2 t^2$ from equation (3) and for later time $t >> vr-1$ diffusive behaviour with $[\delta r(t)]^2 \sim 4D_0 t$. In the case of a wet system diffusive region occurs much below the time $\tau = vr-1$, the inverse of the rotational diffusion rate due to a fluid’s rotational rate. In both figures 2 we can observe the plateau region denoted by the dashed line and it is due to competition of SP particles and background flow for lower $< 1$ velocity scale. Fluid is trying to dominate the system and taking SP particles to the ballistic region.
**Figure 3:** MSD plot of particles for two different $vr$ values, where solid lines denote MSD for dry system and dash lines denote wet system MSD
Swarming Behaviour
The understanding of the collective behaviours of SP particles is very much important due to their active nature. As we know flocking behaviour depends on the individual particle’s self-propelled velocities and critical number density obviously. Here we want to analyze the effect of fluid on the same nature of particles with different self-propelled speeds. For velocity scale > 1 i.e. if the particles have greater velocity then flocking is driven by particles. In this case, the average velocities of dry and wet systems are almost overlapping for velocity scale < 1. Here average velocity of the wet system is greater than the dry system.
Figure 4: Distribution of particles in a homogeneously mixed flow
Publications / Articles etc. link (If any)*
Manuscript under preparation
Awards (If any):
I received the best poster award at the “Frontiers in Active and Soft Matter 2023”, a conference organized by Tifr Hyderabad and Hyderabad Central University.
Work presented in conference/s with photographs (if any):
My student, Ms. Soni D. Prajapati, presented a poster at Frontiers in non-equilibrium physics from 17-20 January at IMSc, Chennai.
My student, Ms. Soni D. Prajapati, presented a poster for “Frontiers in Active and Soft Matter 2023”, a conference organized by TIFR Hyderabad and Hyderabad Central University from 10-11 February 2023.
Appreciation / Recognition (if any):
My student, Ms. Soni D. Prajapati, received the Best poster award at “Frontiers in Active and Soft Matter 2023”, a conference organized by TIFR Hyderabad and Hyderabad Central University from 10-11 February 2023.
Benefits & experience of using PARAM Shivay:
Param Shivay provided us with computing facility that helped us to do these computations.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Complex Systems and Statistical Physics & Computational Fluid Dynamics
- **Sub-domain(s)**: Collective behaviour and Fluid Turbulence
Title of the work carried out:
Automated Grading of Diabetic Retinopathy at Primary Healthcare centres (PHC’s) using Distributed Deep Learning framework.
Name & Designation of the Chief Investigator: Dr Satyadhyan Chickerur, Professor, School of Computer Science and Engineering, K L E Technological University, B. V. Bhoomaraddi College Campus, Vidyanagar, Hubballi 580031. Karnataka
Email Id: firstname.lastname@example.org
Institute Name: K L E Technological University
Problem statement(s):
Automated Grading of Diabetic Retinopathy using Distributed deep Learning requires a research to survey on existing Diabetic retinopathy classification, deep learning/ distributed deep learning, and then to redesign the DDL algorithm to suite DR dataset and available computation resources with an aim to scale up the DDL training.
Work carried, Milestone, Achievements & Graphs, Plots:
Effective Deep Learning Data Augmentation Techniques for Diabetic Retinopathy Classification
Work Carried: Currently, testing for DR is a time-consuming task and the process is done manually, thus manpower is required by someone qualified to examine and evaluate digital color fundus photographs of the retina, so by the time the clinician checks and submits it takes a couple of days or two later, the delayed results will eventually lead to lost follow-up miscommunication. Therefore, our goal for the project is to build an automated DR detection and classification system using deep learning. Highlighting the problem with DR classification having low accuracy towards classes and data imbalance. The solution is proposed to use test time augmentation and also by exploring and experimenting with various augmentations and preprocessing techniques which can be used to improve the accuracy and classify the DR images which in turn will reduce the above-mentioned problems. This is intended to achieve using Resnet-50 model which is transfer learning model all this will save time as well as it will save the vision of many people with diabetics. Fig 1: Set of experiments and Use of TTA in the proposed work
Contribution: Multi class accuracy enhancement, and Demonstrating the generalization through testing with other dataset
Results:
Table 1: Performance comparison of experiments 2 and 3 observed while evaluating model on test-set applying TTA
Experiment
Test-set accuracy Quadratic Weighted Kappa score
| Experiment | Test-set accuracy | Quadratic Weighted Kappa score |
|------------|------------------|-------------------------------|
| Experiment 2 | 78.1% | 0.903 |
| Experiment 3 | 97.87% | 0.985 |
Table 2: Performance comparison of Experiment 2 and 3 by applying TTA on a test set.
| | Experiment 2 | | Experiment 3 | |
|----------|--------------|---------------|--------------|---------------|
| | Precision | Recall | F1-Score | Precision | Recall | F1-Score |
| Class 0 | 0.99 | 0.98 | 0.99 | 1.00 | 1.00 | 1.00 |
| Class 1 | 0.63 | 0.57 | 0.60 | 0.92 | 0.95 | 0.94 |
| Class 2 | 0.72 | 0.69 | 0.71 | 0.96 | 0.94 | 0.95 |
| Class 3 | 0.24 | 0.75 | 0.36 | 0.78 | 0.78 | 0.78 |
| Class 4 | 0.80 | 0.08 | 0.15 | 0.84 | 0.79 | 0.82 |
**Achievements:**
i) The reported accuracy of 97.87% of model evaluation is good, and therefore model provides better generalization compared to previous works.
ii) Effective pre-processing and augmentation techniques are demonstrated which improved the performance for DR multi-class classification.
iii) Demonstration of applying TTA to enhance the performance of the DL model during inference.
**Work Carried:**
Distributed deep learning offers a technique for rapid training of DL models (DDL). It is difficult to create and implement DDL, nevertheless, so it is important to report on the performance analysis of different DDL algorithms for the benefit of the research community. This proposed study uses two GPUs to design, construct, and analyze a pipeline parallelism in DDL and then present an analysis of its performance. As a case study for DDL implementation, the authors employ diabetic retinopathy classification. 0.834 is obtained as the validation F1 score. The performance of DDL is reported and examined by the authors, and it is demonstrated to improve training effectiveness in terms of both time and speed.
**Contributions:**
i) Use of PyTorch in a variety of configurations to implement DDL's Pipeline Parallelism on the classification of diabetic retinopathy in a distributed system.
ii) Analysis and comparison of performance metrics for pipeline parallelism in DDL for DR classification of the various configurations described below:
a) single GPU with a batch size of 64.
b) 2 GPUs pipeline parallelism with a batch size of 64, a split size of 24.
**Fig 2: Design of Pipeline parallelism using 2 GPUs for DDL.**
**Results:**
(a)
(b)
(c)
**Fig 3: Performance comparison of 1 GPU and 2 GPU**
Table 3: Best Values in Each Configuration VS Epoch No. VS Time Taken To Achieve that Value
| Number Of GPUs | Training Metrics | Validation Metrics |
|---------------|------------------|--------------------|
| | acu | ck | acu | ck |
| 1 GPU | | | | |
| Best Value | 100 | 1 | 81.91964286 | 0.7699360847 |
| Epoch | 34 | 34 | 42 | 42 |
| Model Train Time | 8116.974459 | 8116.974459 | 10026.8508 | 10026.8508 |
| 2 GPU | | | | |
| Best Value | 99.72982709 | 0.9966195226 | 84.44564047 | 0.8019905686 |
| Epoch | 42 | 42 | 46 | 46 |
| Model Train Time | 8264.468625 | 8264.468625 | 9051.560875 | 9051.560875 |
**Legends:** ls-Loss, acc- Accuracy, ck - Cohen Kappa
**Achievements:**
i) The model training converges faster in 2-GPU experiment compared to 1 GPU, in terms of time duration. The speed-up achieved is 1.1X.
ii) Compared to a single GPU, pipeline parallelism is able to attain higher accuracy of 84.45%
### 1.6.3 Distributed Deep Learning with Data Parallelism for Diabetic Retinopathy Classification
**Work Carried:**
The DDL models trained on a massive volume of data can outperform single accelerators being used. i.e., the performance of deep learning (DL) models can be enhanced by using distributed and parallel deep learning methods. But the DDL models need to be redesigned and evaluated for particular hardware resources and applications, requiring the literature on various DDL models evaluations for assistance. Authors in the proposed work design and evaluate DDL with data parallelism for classifying Diabetic retinopathy (DR) images. A performance comparative study on the DDL strategy implemented on DenseNet is presented where the model is trained on multi-GPUs with counts from 1 to 8. The results show that the model takes less time when trained on multi GPUs compared to single GPU. The detailed evaluation analysis of DDL with data parallelism is presented in this paper.
**Contributions:**
i) Speeding-up training of DL model using DDL with data parallelism using up to 8 GPUs.
ii) Reporting performance evaluation of DDL with data parallelism with appropriate metrics in a way that would be useful for the research community in designing their own DDL models.
**Results:**
*Fig 4: Design of experiments for DDL using data parallelism.*
Table 4: Performance comparison of data parallelism in DDL
| Number Of GPUs | Training Metrics | Validation Metrics |
|----------------|------------------|--------------------|
| | Accuracy | Cohen kappa | Accuracy | Cohen kappa |
| 1 GPU | 0.9918 | 0.9897 | 0.9385 | 0.9215 |
| | 44 | 44 | 33 | 33 |
| 2 GPU | 0.9904 | 0.9880 | 0.9273 | 0.9071 |
| | 45 | 48 | 50 | 50 |
| 4 GPU | 0.9900 | 0.9874 | 0.9329 | 0.9140 |
| | 50 | 50 | 47 | 47 |
| 8 GPU | 0.9854 | 0.9817 | 0.9078 | 0.8821 |
| | 49 | 49 | 47 | 47 |
Table 5: Speed Comparision
| Number of GPU | Best Validation Accuracy | Epoch number | Training Time (seconds) | Model Convergence Speedup | Average Epoch Time(second) | Epoch Time Speedup |
|---------------|--------------------------|--------------|-------------------------|---------------------------|----------------------------|-------------------|
| 1 GPU | 0.9385 | 33 | 7422.936 | 1 | 224.9374695 | 1 |
| 2 GPU | 0.9273 | 50 | 6691.516 | 1.11 | 133.8303361 | 1.680 |
| 4 GPU | 0.9329 | 47 | 4403.47 | 1.686 | 93.6908664 | 2.400 |
| 8 GPU | 0.9078 | 47 | 4217.336 | 1.761 | 89.73057167 | 2.506 |
Fig 5: Accuracy Comparison
Fig 5: Cohen’s Kappa Comparison
Achievements:
i) The experiment with 2-GPU provides higher accuracy.
ii) The model training in the experiment with 8-GPU converges faster, achieving a speed-up of 1.761X
1.7 Publications / Articles etc. link (If any)*:
i) Patil, M. S., Chickerur, S., Abhimalya, C., Naik, A., Kumari, N., & Maurya, S. (2023). Effective deep learning data augmentation techniques for diabetic retinopathy classification. Procedia Computer Science, 218, 1156-1165. Link: https://doi.org/10.1016/j.procs.2023.01.094
ii) Patil, S. A., Patil, M. S., Giraddi, S., Chickerur, S., Boormane, V. M., & Gamanagatti, G. (2022). Pipeline Parallelism in Distributed Deep Learning for Diabetic Retinopathy Classification. Procedia Computer Science, 215, 393-402. Link: https://doi.org/10.1016/j.procs.2022.12.041
iii) Patil, S. S., Patil, M. S., Chickerur, S., Giraddi, S., Shahapur, S. N., & Hadalageri, A. (2023). Seventh International Conference on Smart Trends in Computing and Communications, [In Press]
Link: Paper In press
1.8 Publisher: Elsevier and Springer
1.9 Awards (If any): 1.10
Work presented in conference/s with photographs (if any): All conferences conducted in virtual mode
Benefits & experience of using PARAM Shivay:
Benefits of Param Shivay is that, it gives access to super computer and helps researchers in building-testing HPC algorithms. The authors were able to understand and analyse the super computer architecture. The authors were able to perform the experiments related to Distributed deep learning. However, using PARAM Shivay is not user friendly since programs had to be submitted and we had to wait for output/errors which is time consuming and thus is was difficult debugging. More flexibility with installation of software can be given by usage of dockers and or kubernetes.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Distributed Deep Learning
- Sub-domain(s): Healthcare with Distributed deep learning
- Application name(s)*: AI/ML/DL
Title of the work carried out:
Understanding the Ferromagnetic Quantum Criticality using Frist Principles calculation.
Name & Designation of the Chief Investigator: Jiji .T. J Pulikkotil, Senior Principle Scientist
Email Id: email@example.com
Institute Name: CSIR-National Physical Laboratory, New Delhi
Problem Statement:
Quantum Material manifests a variety of exotic properties. The long-range order in these materials can be melted down with external thermodynamic parameters such as pressure, and electric and magnetic fields. Our objective is to identify the organizing principle that quantum materials display and study the properties associated with emergence, surface, and at the phase transition
Work Carries, Milestone, Achievement & Graphs, plots:
Optimization of the crystal structure, and calculation of Electronic structure, magnetic properties and energy-magnetization landscape of LaCrGe3. The pressure dependence of magnetization and stability of various magnetic structures are also calculated, to understand the quantum criticality in this compound.
**Publication:**
1. Quantum Criticality in the itinerant ferromagnet LaCrGe3
2. Proximity of superconductivity in certain Co intermetallic to a ferromagnetic quantum critical point
**Benefits & experience of using PARAM Shivay:**
Thanks to the PARAM Shivay team for keeping the system accessible 24*7 and providing answers to my queries very quickly. The system has helped research immensely. We are expecting to have numbers in our publication list in 2023, as we have almost finished all our literature surveys and preliminary calculation.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain:** Quantum Mechanics and Material Science
- **Sub-domain:** Crystal Structure, Electronic Structure, Magnetism, Electron Transport
- **Application Name:** Quantum ESPRESSO, ELK code
**Title of the work carried out:**
Extraction of heavy elements from water using unsaturated crown ethers of halogens.
**Name & Designation of the Chief Investigator:** Prof. G. Prabusankar. Professor, Department of Chemistry, Indian Institute of Technology Hyderabad
**Email Id:** firstname.lastname@example.org
**Institute Name:** Indian Institute of Technology Hyderabad, Sangareddy, Telangana
**Problem statement(s):** We aim to analyze the suitability of various crown ethers of chalcogens to cater to the most appropriate host that can hold the guest HgCl$_2$/CnCl$_2$ molecule hence helping in its extraction.
**Work carried, Milestone, Achievements & Graphs, Plots:**
We have carried out DFT calculation on the HgCl$_2$ molecule, Crown ethers of chalcogens and the complexes formed via their interaction. This helped us to look into the structural and electronic characters associated with the system, to finally help us to design a suitable host for Hg(or Cn).
We have also carried out DFT calculations on neosilyllithium catalyzed hydroboration of alkynes and alkenes in presence of pinacolborane and hydroboration of nitriles, esters, and amides catalyzed by simple neosilyllithium to understand the reaction mechanisms.
**Publications / Articles etc. (If any) *:**
1. Gobbilla Sai Kumar, Jayeeta Bhattacharjee, Kusum Kumari, Shruti Moorthy, Ayan Bandyopadhyay,* Saurabh Kumar Singh,* and Tarun K. Panda*, "Hydroboration of nitriles, esters, and amides catalyzed by simple neosilyllithium" *Polyhedron*, 2022, 219, 115784
**I.1 Appreciation / Recognition (if any):**
**Benefits & experience of using PARAM Shivay:**
PARAM Shivay has proven to be a useful means for students to carry out research in the field of computational chemistry. We have been able to install all the required applications/codes on PARAM Shivay as per our requirement for the calculations that are required in our lab. Moreover, the response from ‘Shivay-support’ has always been prompt and helpful.
**Title of the work carried out:**
Rational design of surfactant-responsive water softening agents for washing application
**Name & Designation of the Chief Investigator:** Prof. Kaustubh Rane, Assistant Professor
**Email Id:** email@example.com
**Institute Name:** Indian Institute of Technology, Gandhinagar
**Work carried, Milestone, Achievements & Graphs, Plots:**
Role of tacticity and degree of sulfonation in calcium binding ability of polystyrene sulfonate in presence of dodecyl sulfate
*Ind. Eng. Chem. Res.* 2022, 61, 36, 13442-13452
Publications / Articles etc. link (If any)*:
Sonali Gore and Kaustubh Rane, “Effect of Tacticity and Degree of Sulfonation of Polystyrene Sulfonate on Calcium-Binding Behavior in the Presence of Dodecyl Sulfate”, *Industrial and Engineering Chemistry Research*, 61, 36, 2022, 13442-13452 (Impact factor: 4.326)
**Publisher:** The American Chemical Society (ACS)
Work presented in conference/s with photographs (if any):
Sonali Gore and Kaustubh Rane, *Molecular dynamics simulations to study the effect of tacticity and degree of sulfonation on calcium-binding behavior of polystyrene sulfonate in the presence of dodecyl sulfate*, Poster presentation in COMPFLU’22 organized by IIT Kharagpur, Dec 19-21, 2022
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Atomic & Molecular Sciences, Chemical Sciences, Computational Biology
- **Sub-domain(s)**: Molecular simulations
- **Application name(s)**: GROMACS, Intel MPI, VMD
**Title of the work carried out:**
Studying the catalytic and electronic properties of metal clusters and single atom catalysts for energy related processes using DFT based simulations.
**Name & Designation of the Chief Investigator:** Insha Anis, PhD Scholar
**Email Id:** firstname.lastname@example.org
**Institute Name:** Islamic University of Science and Technology, Awantipora, J&K
**Problem statement(s):**
Studying medium sized metal clusters and single atom metal catalysts which can be highly computationally intensive and demanding & also running some calculations for a long duration of time (more than 20 hours)
**Work carried, Milestone, Achievements & Graphs, Plots:**
**Global optimization of germanium doped boron clusters**
![Graph showing global optimization of germanium doped boron clusters]
**Triple Boron Atom Catalyst Supported on Graphdiyne Monolayer for Efficient Reduction of Nitrogen to Ammonia.**
![Graph showing density of states and bond distances]
**Publications / Articles etc. (If any)**:
1. Insha Anisa, Mohd. Saleem Darb, G. M. Rather*a, Manzoor Ahmad Dar*a Exploring the structure and electronic properties of germanium doped boron clusters using density functional theory based global optimization methods. *New Journal of Chemistry*
2. Insha Anisa, Seerat Amin, G. M. Rather*a, Manzoor Ahmad Dar*a Computational Design of Highly Selective Triple Boron Atom Catalyst Supported on Graphdiyne Monolayer for Efficient Reduction of Nitrogen to Ammonia. *Inorganic Chemistry (Under Submission)*
**Work presented in conference/s with photographs (if any):**
Appreciation / Recognition (if any):
I have been invited to present my virtual poster at both National and International Conferences.
Benefits & experience of using PARAM Shivay:
PARAM Shivay has immensely in carrying out my research work. Since my research work involves calculations on the gas phase and surface supported nanoclusters which requires high end computational facility. I am highly grateful to IIT BHU for providing me this supercomputing facility. The helpdesk has responded with great promptitude in installing different programs & modules required by us from time to time. Concisely, helpdesk has been remarkably supportive. We owe the deepest debt of gratitude to IIT BHU and the support team of PARAM Shivay.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Chemical Sciences
- Sub-domain(s): Theoretical and Computational Sciences
- Application name(s)*: Quantum espresso, CP2K, deMon2K, Gaussian 16
Title of the work carried out:
Twist angle-dependent electronic, magnetic, and optical properties of MnBi$_2$Te$_4$/CrGeTe$_3$ Van der Walls heterostructure
Name & Designation of the Chief Investigator: Dr. Soumya Jyoti Ray: Assistant Professor
Email Id: email@example.com
Institute Name: IIT Patna
**Problem statement(s):** Using the first principle based density functional calculation of MnBi$_2$Te$_4$/ CrGeTe$_3$ hetero-bilayer. Here, we systematically investigated the electronic, magnetic, and optical properties of monolayer MnBi$_2$Te$_4$ in contact with another 2D ferromagnetic material CrGeTe3.
**Work carried, Milestone, Achievements & Graphs, Plots:**
(a) Density functional theory-based theoretical calculation on MnBi$_2$Te$_4$/ CrGeTe$_3$ twisted structure.
(b) All the relevant calculations were performed using the computational prowess of Param Shivay.
(c) This study can potentially give direction to the future study of twisted heterostructure consisting of different materials.
(d) Plots:
| θr | Dielectric constant vs energy | Absorption coefficient vs energy | Refractive index vs energy | Optical conductivity vs energy |
|----|-------------------------------|---------------------------------|---------------------------|-------------------------------|
| 0° | (a) | (c) | (d) | (e) |
| 10.89° | (g) | (i) | (j) | (k) |
| 17.48° | (m) | (o) | (p) | (q) |
| 30° | (s) | (u) | (v) | (w) |
**Figure. 1:**
(a) The real and imaginary part of the dielectric constant vs energy,
(b) Absorption coefficient vs energy
(c) refracti veindex vs energy, and
(d) real and imaginary part of the optical conductivity as a function of energy. (e)-(h) represent similar plots for twisted heterostructure with θr = 0°. (g)-(l), (m)-(r), (s)-(x) represents similar plots for heterostructure with θr=10.89°, 17.48°, and 30°.
Title of the work carried out:
Automated Grading of Diabetic Retinopathy at Primary Healthcare centres (PHC’s) using Distributed Deep Learning framework.
Name & Designation of the Chief Investigator: Dr. T. J. Dhilip Kumar, Associate Professor
Email Id: firstname.lastname@example.org
Institute Name: IIT Roper
Problem statement(s):
Lateral heterostructures are furnished with intriguing features like distinct phase separation, smaller interface regions, and simple band alignment compared to vertical heterostructures or twisted two-dimensional (2D) layers. However, covalent stitching of dissimilar 2D nanomaterials to form the lateral heterostructures is relatively scarce due to the various challenges involved in the experimental synthesis. We have to explored the structural and electronic properties and application potentials of these graphene-borophene lateral heterostructures in the Li- and Na-ion batteries.
Work carried, Milestone, Achievements & Graphs, Plots:
We comprehensively explored the structural and electronic properties of a series of graphene and borophene lateral heterostructures (GBLHs). The GBLHs exhibit out-of-plane buckling with the atomic bond strengths between that of graphene and borophene. They show mechanical anisotropy with a negative Poisson’s ratio (auxetic nature). They are classified as either semi-metals or metals and the conducting property depends on the wider nano fragment composed of the GBLH. The semi-metallic GBLHs comprise the distorted Dirac cones and massless Dirac fermions with high anisotropic Fermi velocities. Calculated adsorption energies, energy barriers, storage capacity, average open-circuit voltage, and metallicity corroborate the candidacy of GBLHs as Li-ion battery anodes.
(a) Different adsorption sites for Li atom on a $1 \times 5 \times 1$ super cell of 2G2BLH, (b) charge density difference of Li adsorbed at S1 to S4 sites of 2G2BLH from top and side view (the isosurface value is set to 0.0006 e/Bohr$^3$) and (c) schematics of the different diffusion paths.
The diffusion barrier profiles of Li ion along (a) path 1, (b) path 2, (c) path 3 and (d) path 4.
Publications / Articles etc. link (If any)*:
1. N.V.R. Nulakani and T. J. Dhilip Kumar, Electronic level modelling of graphene-borophene lateral heterostructures as anodes in Li-ion batteries, Appl. Surf. Science, 614, 156227 (2023) https://doi.org/10.1016/j.apsusc.2022.156227
2. Kushwaha and T. J. Dhilip Kumar, Benchmarking PES-Learn’s machine learning models predicting accurate potential energy surface for quantum scattering, Int. J. Quantum Chem. 123, e27007 (2023) https://doi.org/10.1002/qua.27007
3. S. Choudhary, N. Duhan and T. J. Dhilip Kumar, Hydrogen passivated beta12-borophene nanoribbon: A propitious one-dimensional metallic anode for sodium-ion rechargeable batteries, Appl. Surf. Science, 606, 154825 (2022) https://doi.org/10.1016/j.apsusc.2022.154825
Publisher: Elsevier; Wiley
Work presented in conference/s with photographs (if any):
1. T. J. Dhilip Kumar, “Electronic level study of new doped 2D graphene and graphyne lattices functionalized for alkali ion batteries” Molecular Materials and Functions-2022: An International Conference, IIT Madras, 5-7 December 2022
2. T. J. Dhilip Kumar, “First principles studies of 2D carbon lattices and their hetero-atom doped analogues for alkali ion batteries” Current Trends in Theoretical Chemistry (CTTC-2022), BARC Mumbai 22-24 September, 2022
Appreciation / Recognition (if any): Have been invited to present the work at both National and International Conferences
Benefits & experience of using PARAM Shivay: The supercomputing facility in IIT-BHU Param Shivay helped our research group performing time-consuming calculations at fast pact. The helpdesk is always available and addressed our queries and resolved the problems arisen. We thank the NSM facility for the providing the opportunity.
Any other relevant information (if any): NSM facility created at various institutes is a novel idea. I request the administrators to reduce the cost per node which becomes very high for studying materials modeling.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Materials Sciences; Atomic & Molecular Sciences
- Sub-domain(s): Energy materials; Batteries; Hydrogen storage; ML
Title of the work carried out:
1. Modelling of ZnO/Cu catalyst for CO2 to Methanol Synthesis
2. Nano-bio interaction study
Name & Designation of the Chief Investigator: Dr Krishnakanta Mondal
DST Inspire Faculty
Email Id: email@example.com
Institute Name: Department of Physics, Central University of Punjab, Bathinda, Punjab
Problem statement(s):
We study the surfaces and interfaces which can be highly computationally intensive and demanding.
Work carried, Milestone, Achievements & Graphs, Plots:
Does water play a crucial role in determining the structures of ZnO in ZnO/Cu catalysts?
(J. Phys. Chem. C, under review)
Investigating the Interaction between Atherogenic Lysophosphatidylcholine and Graphene Nanosheets: In Silico Modeling and Experimental Validation
(Computers in Biology and Medicine, under review)
Benefits & experience of using PARAM Shivay:
Param Shivay has helped my group to study complex systems in material sciences. This facility constantly supporting my PhD students to carry out their PhD research works. The help desk responds promptly to our queries and provides us with the best possible solutions for installing different softwares Investigating the Interaction between Atherogenic Lysophosphatidylcholine and Graphene Nanosheets: In Silico Modeling and Experimental Validation
Any other relevant information (if any):
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Computational Physics
- **Sub-domain(s)**: Condensed Matter Physics, Material science,
- **Application name(s)**: Quantum Espresso, GPAW and ASE
**Title of the work carried out:**
Downscaling gridded rainfall data using deep learning techniques.
**Name & Designation of the Chief Investigator:** Mr. Midhun M. PhD Scholar
**Email Id:** firstname.lastname@example.org
**Institute Name:** IISER Bhopal
Problem statement(s):
Integrating AI/ML/DL techniques with climate modelling framework.
Work carried, Milestone, Achievements & Graphs, Plots:
Downscaling of gridded climate data is an essential requirement to expedite climate change-related studies at the regional and local scales. The two traditional methods for downscaling gridded data are statistical and dynamical methods. Dynamic downscaling uses a high-resolution regional model across a small area, which makes it physically consistent but computationally expensive. On the other hand, statistical methods, primarily comprised of data-driven techniques, are computationally cheaper to implement. Data-driven techniques like artificial intelligence (AI), machine learning (ML), and deep learning (DL) have been increasingly popular in recent decades. Downscaling is increasing the horizontal resolution of the gridded climate data, and it is analogous to image super-resolution, a classical application of AI/ML/DL techniques. In this study, a cutting-edge image super-resolution technique known as Super-resolution Generative Adversarial Network (SRGAN) is trained and evaluated to downscale gridded rainfall data across India. The gridded rainfall data provided by India Meteorological Department at low-resolution (LR; 1.00°x1.00°) and high-resolution (HR; 0.25°x0.25°) for 1901–2021 is used for the training and evaluation. Choosing 1901–1999 as the training set, the SRGAN is trained to downscale LR rainfall data to its HR counterpart by a factor of four. The trained networks are then tested for the remaining period, 2000–2021.
Generative adversarial networks, in general, are an advanced class of deep learning algorithms trained by the adversary between two separate deep neural networks, the generator and the discriminator. For experiments, two generator architectures with different complexities are configured and trained. The first is primarily built by residual dense blocks with approximately 41000 learning parameters, and the other is built by residual-in-residual dense blocks consisting of approximately 130000 learning parameters. The LR rainfall and orography are the input to the SRGAN, and it generates super-resolved HR rainfall data. India is a heterogeneous region in terms of the seasonal and geographical distribution of annual rainfall, and these SRGAN variants are trained to generate HR rainfall data for the entire India. To determine how well the trained networks can capture the seasonal and geographical heterogeneity, they are examined independently for each rainfall homogeneous region and monsoon months (JJAS). The results show that the SRGAN approach is promising for gridded data downscaling. Based on the metrics like root mean squared error, percentage bias, Nash-Sutcliffe efficiency, and Kling-Gupta efficiency, the SRGAN performed best over Central India and the Western Ghats in reconstructing the HR data. Additionally, a linear relation is observed between the rain-gauge density and the quality of reconstructed data, which points out the inevitability of quality data for the training and successful implementation of data-driven techniques.
Work presented in conference/s with photographs (if any):
- Given an oral talk titled “Spatial downscaling of IMD gridded rainfall using Generative Adversarial Networks” at National Symposium TROPMET-2022 held at IISER Bhopal during 29 Nov to 02 Dec 2022.
- Given oral talk titled “Downscaling Gridded Rainfall across India using deep learning-based Generative Adversarial Network” at 103rd Annual Meeting of American Meteorological Society held at Denver Colorado during 08-12 January 2023
Super-Resolution Generative Adversarial Network (SRGAN)
SRGAN is optimized by minimizing GAN loss (perceptual loss), which is the weighted sum of content loss and adversarial loss (Ledig et al., 2017).
Content loss is the key to performance of SRGAN, which is minimized at feature space rather than pixel/grid space.
Benefits & experience of using PARAM Shivay:
PARAM-Shivay is a great help for me to accelerate my research and conduct multiple experiments. The GPU computation provided freely by PARAM is very essential for my research. The experience using PARAM-Shivay is smooth and easy due to the systematic documentation and technical support team.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Climate & Environmental Sciences
- Sub-domain(s): AI/ML/DL
- Application name(s)*: Python, Anaconda
Title of the work carried out:
Development and Applications of New Density Functional Theory Program Package
Name & Designation of the Chief Investigator: Nisanth N. Nair
Email Id: email@example.com
Institute Name: Indian Institute of Technology Kanpur
Problem statement(s):
Development of a stand alone electronic structure program (AMDKIIT) using plane wave basis set – that is fully developed within the academia of this country. Further, new methods will be developed to speed up the Hartree Fock exchange energy calculations involved in the hybrid functional density functional theory. Applications of DFT techniques to study catalytic reactions in zeolites.
**Work carried, Milestone, Achievements & Graphs, Plots:**
**AMDKIIT Code Development:** The following milestones related to the development of new code have been achieved.
- A new electronic structure code for performing plane-wave based DFT calculation has been developed.
- The code is able to perform single point energy calculations and geometry optimizations for various molecules (H$_2$, H$_2$O etc.).
- Parallel efficiency, computational cost, and accuracy of the code tested.
- Created a new YAML based input file and also GUI for generating the input.
- Enable to use pseudopotential file both in a unified PP format (UPF) for all types of PPs and older psp formats.
- Implementation of open-shell DFT, density gradient implementation, interfacing with LibXC library.
- Application of DFT (QM/MM) calculations to zeolite catalysis.
**Hybrid DFT functional based Molecular Dynamics Simulations:** Molecular dynamics (MD) with hybrid functionals (PBE0) and plane wave basis set is preferred for accurate prediction of energetics, reaction mechanism, and structural as well as dynamic properties of soft matter systems. However, such MD simulations are seldom performed due to the incredibly high computational cost compared to GGA functionals (PBE) because of the certain percentage of exact exchange computations. In recent years, we introduced a new method, called Multiple Time Stepping Adaptive Compressed Exchange-Operator (MTACE), which could speed up hybrid-DFT based MD simulations by an order of magnitude. The MTACE method is based on the idea of multiple time stepping (MTS) using the Adaptively Compressed Exchange (ACE) operator. This achieved a speed up of 10 times for a system containing hundred atoms. Although using a large time step could further decrease the computational cost, it affected the accuracy of integration beyond a value due to the inherent resonances. We devised a new way to overcome this problem by achieving a speedup of 30 in our calculations, without compromising the accuracy. With this, we are able to use our developed code to study computationally intensive catalytic reactions at the level of hybrid-density functional theory.
Modeling Catalytic Reactions in Zeolites: Conversion of alkanes to liquid fuels and other chemicals has a great demand in many industrial applications. The key challenge in the alkane conversion is the activation of the C–H bond. Protonated zeolites are known to activate the C–H bond in alkanes. Modeling of such catalytic reactions and estimation of reaction free energies especially when entropy has a non-negligible contribution in the reactant state due to the translational motion in the pores are computationally challenging. The large size of the zeolite systems also poses difficulty in modeling such reactions. We address these problems through extensive fully relaxed hybrid quantum mechanics- and molecular mechanics-based molecular dynamics simulations and free energy calculations using the temperature-accelerated sliced sampling approach. We model a proton-exchange reaction between methane and the Brønsted acid site of zeolite at 300 K. We investigate the differential reactivity of H-ZSM-5 and H-MCM-22 zeolites toward proton exchange and probe the role of acid strength, internal structure, and entropy.
Publications / Articles etc. link (If any)*: Rahul Verma and Nisanth N. Nair, “Proton-Exchange Reaction in Acidic Zeolites: Mechanism and Free Energetics”, *The Journal of Physical Chemistry C*, **2022**, 126 (45), 19169-19177. [https://doi.org/10.1021/acs.jpcc.2c06146](https://doi.org/10.1021/acs.jpcc.2c06146)
The PI is presenting the work at the Designing Catalysts on Computers (DCC22) conference, Indian Association for the Cultivation of Science, Kolkata, India (Dec 2-3, 2022).
The student working in this project, Ms. Ritama Kar, is presenting a poster at the Designing Catalysts on Computers (DCC22) conference, held at the Indian Association for the Cultivation of Science, Kolkata, India (Dec 2-3, 2022).
Ms. Ritama Kar (PhD Student) working in this project has been selected for the oral presentation in the 19th conference on Density Functional Theory and its Applications, 2022 (DFT22), held in Brussels, Belgium (Aug 28 to Sept 2, 2022).
Appreciation / Recognition (if any):
Ms. Ritama Kar (PhD student) working on the project has received the best poster at the Designing Catalysts on Computers (DCC22) conference, held at the Indian Association for the Cultivation of Science, Kolkata, India (Dec 2-3, 2022).
Benefits & experience of using PARAM Shivay: Excellent computing power, excellent scaling efficiency, and very good supporting staff.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computational Sciences
- Application name(s)*: CPMD
Title of the work carried out:
Future Project will be based on Computer Vision and Medical imaging
Name & Designation of the Chief Investigator: Prof. Anupam, Professor
Email Id: firstname.lastname@example.org
Institute Name: IIIT-Allahabad
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computer Vision, Deep Learning
- Sub-domain(s): medical imaging, Video processing etc.
- Application name(s)*: Data analytics
Title of the work carried out:
Design of Cluster Compounds for the Electrochemical Small Molecule Redox Reactions”
Name & Designation of the Chief Investigator: Dr. Karthikeyan Jeyakumar, Assistant Professor of Physics, NIT Durgapur.
Email Id: email@example.com
Institute Name: National Institute of Technology Durgapur
Problem statement(s):
Tailoring a nanostructure through a bottom-up approach is always an interesting problem as there are many ways physicochemical properties of nanomaterials can be tuned by modifying their building blocks. In this case, I consider atomic clusters as building blocks of the compounds; hence such compounds are called as cluster compounds. Here I would like to study the assembly of various transition metal clusters to form 1D and 2D structure to check their stability and electrochemical properties suitable to be a catalyst for small molecule redox reactions.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Quantum Mechanics
- Sub-domain(s): Electronic structure for nanomaterials
- Application name(s)*: Quantum Espresso
Title of the work carried out:
Not All Tasks Are Equal - Task Attended Meta-learning for Few-Shot learning
Name & Designation of the Chief Investigator: Aroof Aimen
Email Id: firstname.lastname@example.org
Institute Name: IIT Ropar
Benefits & experience of using PARAM Shivay:
This initiative from the Government of India was greatly beneficial during my PhD studies. However, the recent pricing policy has become a barrier for students like me who do not have funding to afford a paid account, as my processes are delayed for days. Despite this, I am still grateful for the assistance provided before the pricing policy change.
Information required for NSM (National Supercomputing Mission) users
• **Domain(s)**: AI/ML/DL
• **Sub-domain(s)**: Machine Learning
• **Application name(s)**: Pytorch, Ray
**Title of the work carried out:**
Dynamic and Static Security Analysis of Large Power System using High Performance Computing
**Name & Designation of the Chief Investigator:** Dr. Ram Krishan (PI), Dr. Deepak Reddy (Co-PI), Dr. Sanjaya Kumar (Co-PI)
**Email Id:** email@example.com
**Institute Name:** National Institute of Technology Warangal, Telangana-506004
**Problem statement(s):** The major problem statements are as follows:
Development of efficient kernel algorithms for solving static and dynamic security contingency analysis problems for large power systems.
Implementation of proposed algorithms in an HPC environment for solving static and dynamic security contingency analysis problems.
Validating them on a real-time simulator and deploying the developed algorithms for large Indian national power grids data.
**Work carried, Milestone, Achievements & Graphs, Plots:**
**Work carried:**
Till date we have developed mathematical model of the power system and implemented the static security assessment problem of N-1-1 contingency in power system and tested with the Polish-2383 bus power system with serial programming. We have also developed parallel model for the security analysis of large scale power system using HPC System at PARAM Shivay, Varanasi under the National Supercomputing Mission (NSM).
**Milestone:** Project Milestone is given as
| 1-6 months | 7-15 months | 15-19 months | 20-24 months |
|------------|-------------|--------------|--------------|
| A | B | C | D |
| | | | E |
| | | | F |
Literature review and analysis of parallel computation of large power systems considering the sparsity and Spatio-temporal conditions available. Analyzing all possible factors that influence accuracy in solution, increase computational efficiency, and ease the parallel computation.
Development of a new kernel algorithm for security assessment for parallel computation of N-1 contingency and then extending the work for N-1-1 contingency. Then followed by the development of the code for the developed algorithm in CUDA or some other GPU relevant coding platform.
Development of a test system in OPAL-RT real-time simulator and applying the developed security assessment on the system and ranking the severity of the contingencies.
Collect the data for Indian Power grid from the Power grid, and perform the security assessment for N-1 and N-1-1 contingency for the national grid and rank the severity, then followed by providing the possible solutions for the worst-ranked contingency.
The documentation of the complete work done detailing all tangible and intangible outcomes.
The developed algorithms will continuously communicate with reputed journals and conferences. The codes will also be shared with the research community for further development.
**Achieved outputs till date:**
Performance indices based methods have been developed for N-1 and N-1-1 contingency security assessment.
Generalized code for static N-1 and N-1-1 contingency analysis using the fast decoupled load flow without HPC is performed.
The studies are performed on multiple standard IEEE test systems and practical test systems. Results are given in the table:1
Table 1 Contingency analysis and simulation Elapsed time
| Test systems | Possible contingencies (No.) | Simulated Contingencies (No.) | Worst line outage as per PI ranking | N-1 Contingency analysis Elapsed Time (s) | N-1-1 Contingency analysis Elapsed Time (s) |
|--------------|------------------------------|-------------------------------|------------------------------------|------------------------------------------|---------------------------------------------|
| IEEE-14 bus | 34 | 34 | Line 6-12 (PI=11) | 0.430 | 5.900 |
| IEEE-30 bus | 71 | 71 | Line 12-14 (PI=16) | 0.575 | 33.121 |
| IEEE-57 bus | 137 | 137 | Line 1-17 (PI=84) | 2.922 | 378.749 |
| IEEE-118 bus | 304 | 304 | Line 80-96 (PI=144) | 33.287 | 10028.961 |
| Polish-2383 bus | 3223 | 20 | - | 1484.36 | ~days |
Publications / Articles etc. (If any)*:
1. Ram Krishan, A. Verma, “Assessment and Enhancement of Hopf Bifurcation Stability Margin in Uncertain Power Systems”, Electric Power Systems Research, Volume 206, 2022.
2. PSK Prabhakar, **Ram Krishan** and D. Pullaguram, “Static Security Assessment of Large Power Systems Under N-1-1 Contingency”, IEEE 22nd national power system conference (NPSC2022), IIT Delhi Dec, 17-19, 2022. pp 1-6. (Accepted and presented)
3. P S Nandini, **Ram Krishan** and D. Pullaguram, “Static Security Assessment of Large Power Systems Under Contingency Cases,” 2022 IEEE 10th Power India International Conference (PIICON), Nov 24-26, 2022, pp. 1-6.
Benefits & experience of using PARAM Shivay:
PARAM Shivay is helping us in improving the computational efficiency of the computationally intense problem in the power system. The computation time is very crucial for real time operation of the power system. To achieve this requirement, we are developing parallel algorithms and demonstrating using the GPUs and CPU provided by PARAM Shivay.
Technical support is very effective and remarkable. We owe the deepest debt of gratitude to PARAM Shivay, IIT BHU Varanasi.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Computational Sciences, Data analytics
- **Sub-domain(s)**: Power system computation
• **Application name(s)**: Real time applications in power system analysis
**Title of the work carried out:**
2D Magents
**Name & Designation of the Chief Investigator:** Puja Kumari, Ph.D. Research Scholar
**Email Id:** firstname.lastname@example.org
**Institute Name:** IIT Patna, Bihta, Bihar-801106
**Problem statement(s):** studying the structural and dynamic stability of different 2D materials and their heterojunctions.
**Work carried, Milestone, Achievements & Graphs, Plots:** I work with 2D ferromagnetic crystals and their hetero- and homojunctions in various configurations. As part of my current research, I am creating ferromagnetic heterojunctions, testing their structural and dynamic stability, and studying their charge transfer dynamics between two layers.
**Publications / Articles etc. link (If any):**
A. Kumari, P., & Ray, S. (2023). Proximity induced exchange coupling in a Phosphorene heterojunction with CrI 3 substrate: a first-principles calculation. Bulletin of the American Physical Society.
B. Kar, S., Kumari, P., & Ray, S. (2023). Twist Induced Tunability of Electronic and Optical Properties in a Van der Waal Janus Heterostructure. Bulletin of the American Physical Society.
C. Sahoo, S., Sachin, S., Rani, S., Kumari, P., Kar, S., & Ray, S. (2023). Van der Waals twistronics in a MoS 2/WS 2 heterostructure. Bulletin of the American Physical Society.
D. Kumari, P., & Ray, S. J. (2022). The magnetic anisotropy and spin filtering effect in ferromagnetic phosphorene. Materials Today: Proceedings, 67, 931-934.
E. Mukherjee, T., Kumari, P., Kar, S., Datta, C., & Ray, S. J. (2023). Robust half-metallicity and tunable ferromagnetism in two-dimensional VCl2. Journal of Applied Physics, 133(8), 084303.
**Benefits & experience of using PARAM Shivay:** I am thankful to PARAM SHIVAY HPC facility which helping me to complete simulation part of my research. Additionally, the Helpdesk is responding to inquiries about installation work and required module.
**Information required for NSM (National Supercomputing Mission) users**
• **Domain(s)**: Computational physics
• **Sub-domain(s):** Condensed Matter physics
Title of the work carried out:
Study on thermoelectric materials
Name & Designation of the Chief Investigator: Shivani Rani, Ph.D. Research Scholar
Email Id: email@example.com
Institute Name: IIT Patna, Bihta, Bihar-801106
Problem statement(s): Analysis of electronic and thermoelectric behaviour of 2D material and their heterostructure
Work carried, Milestone, Achievements & Graphs, Plots: I am working on 2D materials and their van der Waals heterostructure. Currently, I have calculated structural, electronic and thermoelectric properties of the KCuTe monolayer using Quantum Espresso package based on density functional theory. To check structural stability of system, the phonon dispersions for material are calculated. The electronic transport properties of system calculated using semi-classical Boltzmann transport theory as implanted in the BoltzTraP code.
Publications / Articles etc. (If any) *:
a. Gupta, Neelam, Shubham Kumar, Shivani Rani, Soumya Ray, and Puja Kumari. "Ultralow thermal conductivity and thermoelectric performance of two-dimensional KCuX (X= S, Se) materials for energy harvesting." Bulletin of the American Physical Society (2023).
b. Sachin, Saurav, Shivani Rani, Puja Kumari, Subhasmita Kar, and Soumya Jyoti Ray. "Twist-engineered tunability in vertical MoS2/MoSe2 heterostructure." Applied Physics A 129, no. 1 (2023): 46.
c. Sahoo, Shubham, Saurav Sachin, Shivani Rani, Puja Kumari, Subhasmita Kar, and Soumya Ray. "Van der Waals twistrionics in a MoS 2/WS 2 heterostructure." Bulletin of the American Physical Society (2023).
Benefits & experience of using PARAM Shivay:
I am thankful to PARAM SHIVAY HPC facility which helping me to complete simulation part of my research work. The Helpdesk is also responding regarding installation work and modules required.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computational physics
- Sub-domain(s): Condensed Matter physics
Title of the work carried out:
Molecular Modelling of Magnetic Anisotropy in Transition Metal-Based Single-Molecule Magnets
**Problem statement(s):**
We aim to analyze the magnetic properties of transition metal-based molecular magnets using computational methods viz. density functional and high-level multireference theory.
**Work carried, Milestone, Achievements & Graphs, Plots:**
We have chosen well-characterised, mononuclear transition metal complexes for our study. On these selected complexes, we have carried out CASSCF/PT2 calculations. These calculations enable us to analyse various magnetic and electronic properties that help us study exchanging coupling, modelling magnetic anisotropy, spin-state energetics, understanding ligand field environment, and calculating EPR/NMR properties. We are also carrying out benchmark studies to understand which functional gives results comparable to experimental values.
We have also carried out DFT calculations on neosilyllithium catalyzed hydroboration of alkynes and alkenes in presence of pinacolborane and hydroboration of nitriles, esters, and amides catalyzed by simple neosilyllithium to understand the reaction mechanisms.
**Publications / Articles etc. (If any) *:**
1. Gobbilla Sai Kumar; **Shruti Moorthy**, Himadri Karmakar; Saurabh Kumar Singh*, Tarun K. Panda* "Neosilyllithium catalyzed hydroboration of alkynes and alkenes in presence of pinacolborane (HBpin)" *Eur. J. Inorg. Chem.* 2022, 2, 1–8.
2. Rohit Singh Chauhan*, **Shruti Moorthy**, Adish Tyagi, Raymond J. Butcher, Saurabh Kumar Singh*, "Solvent assisted homoleptic tri and tetranuclear nickel complex derived from [Ni2(μ-SeC5H4N)2(dppe)2]2+ and Theoretical Studies". *J. Organomet. Chem.* 2022, 957.
3. Dong Shao*, **Shruti Moorthy**, Xiadong, Y., Jiong, Yang, Le Shi, Saurabh Kumar Singh*, Z.-F., Tian "Switching the Structure and Magnetic Properties via Distinct Pyridine Derivates in Cobalt(II) Coordination Polymers " *Dalton Trans.*, 2022,51, 695-704.
4. Krishna S. Das, Sayan Saha, Baishakhi Pal, Amit Adhikary, **Shruti Moorthy**, Sukhen Bala, Sohel Akhtar, Pradeepta K. Ghose, Saurabh Kumar Singh*, Partha Pratim Ray*, Raju Mondal*, "A Nd₆ Molecular Butterfly: An Unique All-in-One Material for SMM, MCE, and Maiden Photosensitized Optoelectronic Device Fabrication", *Dalton Trans.*, 2022,51, 1617-1633.
5. Gobbilla Sai Kumar, Jayeeta Bhattacharjee, Kusum Kumari, **Shruti Moorthy**, Ayan Bandyopadhyay,* Saurabh Kumar Singh,* and Tarun K. Panda*, "Hydroboration of nitriles, esters, and amides catalyzed by simple neosilyllithium" *Polyhedron*, 2022, 219, 115784
6. Z. Tian, **Shruti Moorthy**, H. Xiang, P. Peng, M. You, Q. Zhang, S.-Y. Yang*, Y.-L. Zhang, Dong-Qing Wu*, Saurabh Kumar Singh*, Dong Shao*, "Tuning chain topologies and magnetic anisotropy in one-dimensional cobalt(II) coordination polymers via distinct dicarboxylates ", *CrystEngComm*, 2022,24, 3928-3937
7. Dong Shao*, **Shruti Moorthy**, Yue Zhou, Si-Tong Wu, Jing-Yan Zhu, Jiong Yang, Dong-Qing Wu*, Saurabh Kumar Singh*,"Field-induced slow magnetic relaxation behaviours in binuclear cobalt(II) metallocycle and exchange-coupled cluster ", *Dalton Trans.*, 2022,51, 9357-9368
**Awards (If any):**
Awarded Prime Minister Research Fellowship in 2021
**Work presented in conference/s with photographs (if any):**
Presented results in Asian Conference on Molecular Magnetism II held in Dec, 2022 in IISER Bhopal.
**Benefits & experience of using PARAM Shivay:**
PARAM Shivay has proven to be a useful means for students to carry out research in the field of computational chemistry. We have been able to install all the required applications/codes on PARAM Shivay as per our requirement for the calculations that are required in our lab. Moreover, the response from ‘Shivay-support’ has always been prompt and helpful.
Title of the work carried out:
Development, Porting, Testing, Benchmarking, and Applications of MTA Software
Name & Designation of the Chief Investigator: Development, Porting, Testing, Benchmarking, and Applications of MTA Software
Email Id: firstname.lastname@example.org
Institute Name: Savitribai Phule Pune University, Pune-411007, Punjab
Problem statement(s):
Development, Porting, Testing, Benchmarking, and Applications of MTA Software. This software has been developed in Professor Gadre’s group over the past 15 years. The aim of the work is to apply the software for solving a variety of problems and make it available to the interested user community in India.
Work carried, Milestone, Achievements & Graphs, Plots:
The testing and applications of MTA code carried out during the project period fall into three main categories. It is difficult or impossible to carry out these calculations without the use of fragmentation methods such as MTA.
a) Constructing the potential energy surface (PES) of large molecules using high-level correlated theory such as CCSD or CCSD(T). This work is using molecular tailoring approach (MTA). These PES’s could be used for obtaining MD/FF parameters.
b) Developing codes for calculating the vibrational IR and Raman spectra of large molecules and clusters at MP2/DFT level theory and applying it to a variety of molecules and molecular clusters.
c) Estimation of individual weak interaction energies in molecular clusters. A method, based on MTA, has been developed and applied to a wide variety of clusters. These include clusters of water, benzene, hydrogen fluoride etc.
Milestone, Achievements:
Molecular Tailoring Approach (MTA) code has been ported on PARAM Shivay facility and has been extensively benchmarked on a wide variety of systems. The work has resulted into 7 research articles, published in standard, refereed journals. Two of these publications are in collaboration with experimentalists/theoreticians from abroad.
Publications / Articles etc. (only the articles already published are listed)
a) MTASpec Software for calculating the vibrational IR and Raman spectra of large molecules as ab initio level
S. S. Khire, N. Sahu and S. R. Gadre
Comput. Phys. Commun. 2022, 270, 108125
b) Enabling rapid and accurate construction of CCSD(T) level Potential Energy Surface of large molecules using Molecular Tailoring Approach
S. S. Khire, N. D. Gurav, A. Nandi and S. R. Gadre
c) Pragmatic many-body approach for economic MP2 estimation of molecular clusters
S. S. Khire and S.R.Gadre
J. Phys. Chem. A 2019, 123, 5005
d) Unusually large hydrogen-bond cooperativity in hydrogen fluoride clusters, (HF)$_n$, $n = 3$ to 8 revealed by Molecular Tailoring Approach.
D. Patkar, M. B. Ahirwar, S. R. Gadre, M. M. Deshmukh
J. Phys. Chem. A, 2021, 125, 68836
e) Molecular Tailoring Approach for estimating individual intermolecular interaction energies in Benzene clusters
M. B. Ahirwar, N. D. Gurav, S. R. Gadre, M. D. Deshmukh
J. Phys. Chem. A, 2021, 125, 6131
f) Theoretical and experimental study of IR spectra of large phenol-acetylene clusters, Ph(Ac)$_n$, for 8<n<12
E. M. Kabadi, S. S. Khire, S. S. Pingale, S. R. Gadre, T. Chiba and A. Fujii
J. Ind. Chem. Soc. 2021, 98, 1001000.
g) Development and testing of an algorithm for efficient MP2/CCSD(T) energy estimation of molecular clusters with the 2-body approach
S. S. Khire and S. R. Gadre, J. Comput. Chem, 2023, 44, 261.
Publishers:
The publishers of these standard, refereed journals are the American Chemical Society (ACS), Wiley and Elsevier.
Awards (If any):
Professor Gadre was awarded the Lifetime Achievement Award by the Indian Chemical Society, Kolkata in 2022.
Work presented in conference/s with photographs (if any):
a) The work was presented in the form of research seminars in conferences held at several institutions, e.g. IUAC, New Delhi; IIT Goa; APATCC held at IIT Mumbai etc.
b) We have organized two workshops (one online and one face-to-face) with a view to train potential users of MTA code developed by us.
Appreciation / Recognition (if any):
Professor Gadre was awarded the Lifetime Achievement Award by the Indian Chemical Society, Kolkata in 2022.
Professor Gadre has recently been offered Adjunct Professorship by IIT Goa.
References:
The list of publications is given above in 1.7.
Benefits & experience of using PARAM Shivay:
The PARAM Shivay is a wonderful facility. MTA code was ported to Param Shivay facility and for most of the time, ran very well. All the Publications resulting from this work have acknowledged the support from the NSM project and the Param Shivay facility. Most of the times, the support from the Shivay Support Team has been very good. However, for solving acute problems of the users such as the inability of the users to log-in or to run their codes due to system problems need to be quickly addressed using phone/online meet.
Any other relevant information (if any):
The aim of the work is to apply the software for solving a variety of problems and make it available to the interested user community in India. The next phase of the project should fund the propagation of such indigenously developed software.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Chemical Sciences/Computational Chemistry
- **Sub-domain(s)**: Computational Chemistry, Quantum Mechanics, Molecular Physics and Spectroscopy
- **Application name(s)**: FORTRAN compiler
**Title of the work carried out:**
Temperature and Pressure induced structural transitions in MAPbBr3
**Name & Designation of the Chief Investigator:** Dr. Varadharajan Srinivasan, Associate Professor
**Email Id:** email@example.com
**Institute Name:** Indian Institute of Science Education and Research, Bhopal, Madhya Pradesh
**Problem statement(s):**
To study the structural properties of hybrid the perovskite MAPbBr3 using *ab initio* molecular dynamics (MD) at various temperature and pressure.
**Work carried, Milestone, Achievements & Graphs, Plots:**
Publications / Articles etc. (If any):
(1) Maity S, Verma S, Ramaniah LM, Srinivasan V. Deciphering the Nature of Temperature-Induced Phases of MAPbBr3 by Ab Initio Molecular Dynamics. Chemistry of Materials. 2022;34(23):10459–10469
(https://doi.org/10.1021/acs.chemmater.2c02453)
(2) Maity S, Verma S, Ramaniah LM, Srinivasan V. Ab initio molecular dynamics study of the nature of pressure-induced orientational phases of methylammonium in MAPbBr3 at room temperature.
(https://doi.org/10.26434/chemrxiv-2022-chw73)
Work presented in conference/s with photographs (if any):
The temperature work was presented in 17th Theoretical Chemistry Symposium (TCS 2021, December 11-14) by Dr. Varadharajan Srinivasan.
Benefits & experience of using PARAM Shivay:
• The aforementioned system suffers from “finite size effect” if small supercells (96 atoms) are used for the MD. Using larger supercell (768 atom) was not possible in our institute computational facility due to high expensiveness of these *ab initio* simulations of at least sub-picosecond timescales.
The supercomputing facility provided by Paramshivay is extremely helpful for our mission. Without Paramshivay it is impossible to carry out our tasks as our calculations are highly computationally expensive and need to run over extended period of time.
The Shivay support team are highly responsive and proactive. I thank them for their timely responses and helps.
We specially thank the national supercomputing mission for providing this invaluable resource. We would be highly grateful if additional resources such as more scratch space, CPU time and number of cores considering our computational need is permitted.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s):** Chemical Sciences, Computational Physics, Material Sciences
- **Sub-domain(s):** Density functional theory (DFT), *ab initio* molecular dynamics (AIMD).
- **Application name(s):** QUANTUM ESPRESSO, VASP, Python etc
---
**Title of the work carried out:**
a) A real-time study of plasmon induced hot-electron transfer in Au-MoSe2 and Ag-MoSe2 heterostructures.
b) Theoretical study of the adiabatic charge transport measure in molecular aggregates.
c) Theoretical study of the energy transfer in MoSe2 nanoflakes heterostructures.
**Name & Designation of the Chief Investigator:** Dr. Varadharajan Srinivasan, Associate Professor, Dept. of Chemistry, IISER Bhopal
**Email Id:** firstname.lastname@example.org
**Institute Name:** Indian Institute of Science Education and Research, Bhopal, Madhya Pradesh
---
**Problem statement(s):**
Metallic nanoparticles, particularly Au and Ag based nanoparticles are known to display low-energy collective behavior of electrons, formally called as plasmons. After the plasmon formation, through Landau damping they decay into the hot carriers, which in turn could be utilized for various photophysical processes, e.g. water splitting, in photo-voltaics, etc. Here, our primary interest is to develop a deeper understanding of plasmon formation, decay, and the electron and hole transfer in Au-MoSe2 and Ag-MoSe2 nanoparticles heterostructures using the realtime time-dependent density functional theory (RT-TDDFT) approach. In our second project, we have studied the effect of molecular motion on charge transport in a molecular aggregate using constrained DFT, linear-response TDDFT, non-adaibatic molecular dynamics simulations. Towards our third project, we are interested in to study energy transfer in various heterostructures of MoSe2 nanoflakes using the RT-TDDFT approach.
Publications / Articles etc. (If any):
1. Size and Composition Dependent Electronic, Structural and Optical Properties of Transition Metal Dichalcogenide Nanoflakes
https://chemrxiv.org/engage/chemrxiv/articledetails/63c526503af97307c56a70a1
A Measure for the Adiabaticity of Quantum Transitions
https://arxiv.org/abs/2007.10707
Benefits & experience of using PARAM Shivay:
Au-MoSe2 and Ag-MoSe2 nanoparticles and also MoSe2 heterostructures involve several hundreds of atoms which makes it computationally very challenging to study the real-time dynamics. These calculations require running and storing huge time dependent data during the simulation for further processing. Hence supercomputers like Paramshivay with huge scratch space is very much crucial for these studies. Our aim is also to develop tools that could post-process this large RT-TDDFT data in HPC environment and Paramshivay is very much appropriate to test the efficiency of these tools. The Paramshivay support team are very quick and helpful in addressing our queries. I am highly grateful to the Paramshivay support team for their timely and prompt service. We are grateful to the National Super Computing Mission for providing such a valuable resource for our research.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s):** Chemical Sciences, Computational Physics, Material Sciences
- **Sub-domain(s):** Density Functional Theory (DFT), Real Time Time Dependent Density Functional Theory (RT-TDDFT), Constrained-DFT, Linear-response TDDFT(LR-TDDFT), Trajectory surface hopping, Non-adiabatic molecular dynamics
- **Application name(s):** GPAW, QUANTUM ESPRESSO, NWChem, SHARC, ORCA, Python etc.
---
**Title of the work carried out:**
Shared Concepts Extractor
**Name & Designation of the Chief Investigator:** Vidhya Kamakshi, PhD Scholar
**Email Id:** email@example.com
**Institute Name:** Indian Institute of Technology Ropar
---
**Problem statement(s):**
Explainable AI aims at understanding the internal working of black-box SOTA model. We aim to extract concepts that are shared across multiple classes reflecting sharedness in nature.
**Work carried, Milestone, Achievements & Graphs, Plots:**
We proposed a posthoc explainer that extracts concepts that are shared across multiple classes. We propose an incremental NMF based concept extractor that can extract shared concepts in a memory efficient manner. The proposed architecture is shown below:
**Benefits & experience of using PARAM Shivay:** The ability to run parallel jobs has greatly helped in my experiments requiring extensive hyperparameter tuning. Having a scratch partition with 200GB storage space is also helpful to keep results of multiple runs and compare them. The technical support team helped in a timely manner as and when I ran into any issue. This is really a great resource to be utilized by aspiring researchers.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s):** AI/ML/DL
- **Sub-domain(s):** Explainable AI
- **Application name(s):** Shared Concepts Extractor
Title of the work carried out:
Size, composition and photo-induced properties of Transition Metal Dichalcogenide flakes.
Name & Designation of the Chief Investigator: Dr. Varadharajan Srinivasan, Associate Professor, IISER Bhopal.
Email Id: firstname.lastname@example.org
Institute Name: Indian Institute of Science Education and Research, Bhopal, Madhya Pradesh
Problem statement(s):
To investigate various size and composition dependent photo-induced properties of different transition metal dichalcogenides. To develop tools to efficiently post-process RT-TDDFT data in large HPC environments.
Publications / Articles etc. (If any):
The manuscript entitled “Size and Composition Dependent Electronic, Structural and Optical Properties of Transition Metal Dichalcogenide Nanoflakes” is available in chemrxiv. It will be submitted soon. https://doi.org/10.26434/chemrxiv-2023-sxd5h
Benefits & experience of using PARAM Shivay:
Transition metal dichalcogenides are now being widely studied owing to their unique electrical, mechanical and optical properties. In this study using the Paramshivay super-computing facility, we used Real Time-Time Dependent Density Functional Theory (RT-TDFT) for the study of the size and compositional dependent photo-induced properties of different transition metal dichalcogenides. Performing RT-TDDFT calculations in systems involving hundreds of transition metal dichalcogenides atoms is highly demanding in both the computational memory and time and powerful super-computers are highly necessary to perform these calculations. Paramshivay super-computer full-fills this huge demand of the study. The calculation requires running and storing huge time dependent data during the simulation for process and analysis later. Hence supercomputers like Paramshivay with huge scratch space is very much crucial for this study. Our aim is also to develop tools that could post-process this large RT-TDDFT data in HPC environment and Paramshivay is very much appropriate to test the efficiency of these tools. The Paramshivay support team are very quick and helpful in addressing our queries. I am highly grateful to the Paramshivay support team for their timely and prompt service. We are grateful to the National Super Computing Mission for providing such a valuable resource for our research.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s):** Chemical Sciences, Computational Physics, Material Sciences
- **Sub-domain(s):** Density Functional Theory (DFT), Real Time Time Dependent Density Functional Theory (RT-TDDFT).
- **Application name(s):** GPAW, OCTOPUS, QUANTUM ESPRESSO, Python etc.
Green energy conversion in 2D materials via first principles electron structure theory
**Name & Designation of the Chief Investigator:** Prof. Abir De Sarkar, Scientist-F and Dean (Faculty)
**Email Id:** email@example.com, firstname.lastname@example.org
**Institute Name:** Institute of Nano Science and Technology (Autonomous Institute supported by the Department of Science and Technology, Government of India), Sector-81, Knowledge City, Manauli, SAS Nagar, Mohali, Punjab
**Problem statement(s):**
During the study of systems with large number of atoms, the memory issues had been found sometimes. Optimization of plotting tools within the cluster will be appreciated.
**Work carried, Milestone, Achievements & Graphs, Plots:**
**Work carried & Graphs, Plots**
Valley Hall effect in graphene-like SnX (X = Si, Ge) buckled monolayers with high charge carrier mobility and low lattice thermal conductivity.
*Phys. Rev. B* (2023), Just accepted
Hexagonal and tetragonal SnX (X = P, As, Sb) nanosheets for opto-electronics and straintronics.
*Applied Surface Science* 615 (2023): 156396
Valley spin polarization in two-dimensional h-MN (M = Nb, Ta) monolayers: Merger of valleytronics with spintronics.
*Physical Review B* 105.4 (2022): 045426.
Unconventional anisotropy in excitonic properties and carrier mobility in Iodine-Based XTeI (X= Ga, In) Monolayers for Visible-Light Photocatalytic Water Splitting
*Journal of Physical Chemistry C* (2023), Just accepted
Compressive strain-induced enhancement in valley polarization in phosphorene like SnS monolayers.
*Applied Surface Science* 611 (2023): 155675
Insights into CrS$_2$ monolayer and n-CrS$_2$/p-HfN$_2$ interface for low-power digital and analog nanoelectronics.
*Applied Surface Science* 579 (2022): 152211
**Press notes & DST Newsletter coverage**
Prof. Abir De Sarkar and his Ph.D. students, Manish Kumar Mohanta & Fathima I. S. from Institute of Institute of Nano Science and Technology Mohali, an autonomous institute of the Department of Science and Technology, Government of India, have proposed a new class of stable, hexagonal, buckled ZnX (X: S, Se, or Te) monolayers in the journal 'ACS Appl. Mater. Interfaces. Among these, ZnTe and its isoelectronic partner, CdTe, exhibit strong spin–orbit coupling.
The INST team designed hexagonal buckled 2D semiconductors ZnTe and CdTe monolayers from the previously synthesized bulk structures having a different pattern. Apart from showing strong spin–orbit coupling (SOC), these semiconductors are found to be highly flexible. Such exquisite results obtained in these monolayers indicate their great potential for applications in next-generation self-powered flexible–piezo–spintronic devices.
This is the first time such a simultaneous combination of spin–orbit coupling, piezoelectricity, and flexibility in two-atomic layer thick semiconductors has been reported in 2D semiconductors. The wide bandgap provides ample room for modulation in its electronic properties via external perturbations.
Read More at https://dst.gov.in/2d-monolayers-potential-applications...
Low contact resistance metal-semiconductor interface designed for next-generation transistors
In related research published in *Phys. Rev. B*, the scientists, Prof. Abir De Sarkar & his Ph.D. Students Manish Kumar Mohanta and Anu Arora, have explored low contact resistance between semimetal graphene and MgX. They have found perfect non-resistive contact at the junction of graphene and MgS, a rare and very much sought-after condition for smooth charge transport across the channel. The modulation in electrical contact properties is attained by the application of vertical strain and electric field. This work addresses solutions for very fundamental challenges in pristine graphene — band gap opening via a non-invasive/non-destructive method, stacking dependent contact properties, and tunability of charge carrier concentration. This work can be extended to graphene-based electronic and spintronic devices.
The computational findings are expected to motivate the experimentalists to fabricate futuristic electronic devices, such as piezofield effect transistors, with the desired functionality.
**Nanoscale**, 2021, 13, 8210
**Physical Review B**, 2021, 104, 165421
Publications
https://pubs.rsc.org/en/content/articlelanding/2021/nr/d1nr00149c
https://journals.aps.org/prb/abstract/10.1103/PhysRevB.104.165421
For more details, contact Prof. Abir De Sarkar, Scientist-F & Dean (Academics), INST, abir[at]inst[dot]ac[dot]in.
https://dst.gov.in/low-contact-resistance-metal-semiconductor-interface-designed-next-generation-transistors
(Please look at page 2)
https://dst.gov.in/sites/default/files/Strides%20E-NewsLetter%20Volume3%20Issue%207.pdf
**Publications / Articles etc. link (If any)**:
1. “Valley Hall effect in graphene-like SnX (X= Si, Ge) buckled monolayers with high charge carrier mobility and low lattice thermal conductivity” Manish Kumar Mohanta¹, Fathima IS¹, and Abir De Sarkar, Phys. Rev. B 105 (2023), Just Accepted on 10 January 2023.
2. "Unconventional anisotropy in excitonic properties and carrier mobility in Iodine-Based XTeI (X= Ga, In) Monolayers for Visible-Light Photocatalytic Water Splitting" Amal Kishore\textsuperscript{1}, Nilakantha Tripathy\textsuperscript{1}, Abir De Sarkar*, Journal of Physical Chemistry C (2023), Just Accepted on 06-Jan-2023
3. "Hexagonal and tetragonal ScX (X=P, As, Sb) nanosheets for optoelectronics and straintronics" Harshita Seksaria\textsuperscript{1}, Arneet Kaur\textsuperscript{1}, Khushwant Singh, Abir De Sarkar*, Applied Surface Science 615, 156306 (2023) doi:10.1016/j.apsusc.2022.156306
4. "Compressive Strain-Induced Enhancement in Valley Polarization in $\beta$-Phosphorene like SnS Monolayers" Fathima IS, R. Ahammed, P. Nandi, A. Rawat, and Abir De Sarkar*, Applied Surface Science 611, 155675 (2023) doi: 10.1016/j.apsusc.2022.155675
5. "Valley spin polarization in two-dimensional h-MN (M= Nb, Ta) monolayers: Merger of valleytronics with spintronics" Raihan Ahammed and Abir De Sarkar*, Phys. Rev. B 105 (2022) 045426 doi:10.1103/PhysRevB.105.045426
6. "Insights into CrS2 monolayer and n-CrS2/p-HfN2 interface for low-power digital and analog nanoelectronics" Manish Kumar Mohanta\textsuperscript{1}, Harshita Seksaria\textsuperscript{1}, Abir De Sarkar*, Applied Surface Science, 579, 30 March 2022, 152211 doi: 10.1016/j.apsusc.2021.152211
**Publisher:**
American Physical Society, American Chemical Society, Elsevier.
**Awards (If any):**
I, Prof. Abir De Sarkar, have been recognized by the American Chemical Society as the top 3% highly cited authors from India in 2019-2020.
My PhD student, Mr. Manish Kumar Mohanta has been conferred the prestigious ‘Karnataka DST Nanoscience Fellowship Award’ consisting of a cash prize of Rs. 50,000/- and a certificate at the Bengaluru India Nano 2022 on 08.03.2022. (Five students were selected across India and his name was announced first)
Manish Kumar Mohanta has joined Virginia Commonwealth University, USA as a postdoctoral fellow upon completion of his PhD in 2022.
My PhD student, Ms Ashima Rawat has been awarded the DST-INSPIRE faculty fellowship in 2022 in India. She has also been the recipient of postdoctoral fellowships in Germany and USA. Finally, she has joined the Michigan Technological University, USA as a postdoctoral fellow.
My student Mr. Pradip Nandi has been awarded the best poster award at the Theoretical Chemistry and Biology (TCB) symposium in 2022 (top image) held in the National Institute of Pharmaceutical Education and Research (NIPER) Mohali on 15th October, 2022.
My students Mr. Raihan Ahammed and Ms. Anu Arora have been awarded **the best oral presentation** and the **best poster award** at the “Physics of Nano Materials (PNM 2022)” conference, organized by the Institute of Nano Science and Technology (INST), Mohali on 7-8\textsuperscript{th} July, 2022.
**Work presented in conference/s with photographs (if any):**
Invited talk at the “Theoretical Chemistry and Biology (TCB) symposium - 2022” held in the National Institute of Pharmaceutical Education and Research (NIPER) Mohali on 15\textsuperscript{th} October, 2022.
Invited talk at the “Designing Catalysts on Computers - 2022” held in the Indian Association for the Cultivation of Science (IACS), Kolkata on 2-3 Dec, 2022.
Invited talk at the “Physics of Nano Materials (PNM 2022)” conference, organized by the Institute of Nano Science and Technology (INST), Mohali on 7-8th July, 2022.
Invited talk at the “Smart Materials for Energy and Environmental Technology (Smart MEET-2022)” 1st bilateral meeting between INST and CSIR-CSIO, organized by the Institute of Nano Science and Technology (INST), Mohali on 25th March,
Appreciation / Recognition (if any):
The pioneering findings of our group have been duly recognized and cited in the RSC journal Chem. Soc. Rev. 2022, 51, 650-671 (Impact factor 54.56)
Piezoelectricity in heterostructures from dissimilar 2D crystals was first predicted by Mohanta et al. for GaN/boron monophosphide crystals. These heterostructures were predicted to have a $d_{33}$ of up to 40 pm V$^{-1}$. Subsequent predictions have shown that 2D crystal heterostructures with large out-of-plane piezoelectricity can be produced using constituent 2D crystals that only possess in-plane piezoelectricity.
Recent works using computational approaches, led by Abir De Sarkar, have reported that applied strains may induce ultra-high, colossal, or gigantic out-of-plane piezoelectricity to Janus 2D crystals. These results, obtained using DFT,
Our article titled 'Superhigh out-of-plane piezoelectricity, low thermal conductivity and photocatalytic abilities in ultrathin 2D van der Waals heterostructures of boron monophosphide and gallium nitride' published in *Nanoscale* 11 (2019) 21880-21890 has been specially selected to feature in an Editor’s Choice web collection focussing on computational nanomaterials research under the theme Computational studies of nanomaterials for energy, catalysis and electronics.
Our article entitled as ‘Group-IV (A) Janus dichalcogenide monolayers and their interfaces straddle gigantic shear and in-plane piezoelectricity’, published in *Nanoscale* 13 (2021) 5460-5478 has been featured as the themed collection of the [Nanoscale most popular 2021 Articles](#).
**Benefits & experience of using PARAM Shivay:**
PARAM Shivay is helping me immeasurably in guiding my Ph.D. students (research group) on a wide range of research problems. The helpdesk has supported in installing different programs & modules required by us from time to time. We extend our gratitude to the team of PARAM Shivay.
**Any other relevant information (if any):**
PARAM Shivay is doing a magnificent job in helping Computational Scientists across India in their active pursuit of research. I would like to appeal to the Department of Science and Technology, India to allocate substantial funds to CDAC, Pune and PARAM-Shivay team to support them strongly in their future endeavours, which may include upgrading their HPC systems from time to time.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Computational Physics, Material Science
- **Sub-domain(s)**: Nanoscience (Energy Conversion in nano-material)
- **Application name(s)**: Density Functional Theory (DFT)-based software VASP, Quantum Expresso, Gaussian etc.
**Title of the work carried out:**
Investigation of 2D Materials for Thermoelectrics and Sensors
**Name & Designation of the Chief Investigator:** Dr. Jawar Singh, Professor Department of Electrical Engineering IIT Patna
**Email Id:** email@example.com
**Institute Name:** Indian Institute of Technology Patna, Bihta, Patna
**Problem statement(s):** Due to poor electrostatics conventional materials like silicon, GaAs, etc. can not be used for the development of nanoscale devices. It has been shown that the mobility of carriers in the device made of conventional materials reduces as width and length reduce beyond certain nanometers.
These issues motivated us to investigate 2D materials for future device applications like sensing, MOSFETs, spintronics, etc. because it is observed experimentally that 2D materials show far better
electrostatics when compared to conventional 3D counterparts. The reason is the inherent thinness of these materials.
**Work carried, Milestone, Achievements & Graphs, Plots**: We have used 2D materials for caloritronics and sensing device. With the resources provided by NSM we were able to publish three papers on caloritronics and sensing using PARAM Shivay IIT BHU. The work on 2D material-based device is in progress and will be communicated for review in the appropriate journal in the month of February 2023. I have already acknowledged PARAM Shivay’s contributions to our research in our published paper.
**Publications / Articles etc. link (If any)**:
1). HighlyThermoelectric Efficient Armchair SiliceneNanoribbons With Silicon Adatom Defects. [LINK](https://ieeexplore.ieee.org/abstract/document/9932575)
2). Enhanced thermoelectric efficiency in armchair silicene nanoribbons decorated by Mn [LINK](https://www.sciencedirect.com/science/article/pii/S002369722005844)
3). 2D Bi$_2$O$_2$Se Based Highly Selective and Sensitive Toxic Non-Condensable Gas Sensor. [LINK](https://ieeexplore.ieee.org/abstract/document/9969913)
**Publisher**: IEEE TRANSACTIONS ON ELECTRON DEVICES, IEEE TRANSACTIONS ON NANOTECHNOLOGY and, Journal of Physics and Chemistry of Solids.
**Appreciation / Recognition (if any)**: We would like to show our gratitude to the PARAM Shivay support team for letting us use their computational facilities for our research work. Also, we would like to thank the Shivay support team for installing the required applications and codes using which we performed all our calculations and did research.
**Benefits & experience of using PARAM Shivay**: For two years all calculations of our research is performed on the PARAM Shivay supercomputer. We were able to publish three papers in year 2022. Moreover, the Shivay support team is very helpful and responds quickly in case there is any problem or issues regarding applications and others.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Electronic Devices, and Material Science and, Quantum Mechanics.
- **Sub-domain(s)**: Quantum Transport
- **Application name(s)**: Quantum Espresso, Wannier90, Siesta, Transiesta and Tbtrans
Title of the work carried out:
A) Binding versus oxidative addition of molecular hydrogen on an iridium centre: an Experimental and Computational study
B) Insights into Chemical Reactions at the Beginning of the Universe: From HeH⁺ to H₃⁺
C) Understanding the role and function of prebiotic catalysts in chemical evolution: A Computational study
Name & Designation of the Chief Investigator: Dr. Kumar Vanka, Principal Scientist
Email Id: firstname.lastname@example.org
Institute Name: CSIR-National Chemical Laboratory (NCL), Pune 411008, India
Problem statement(s):
A) Oxidative addition of molecular hydrogen on a transition metal center, in particular, in the Ir(I) d8 systems such as Vaska’s complex¹ or its variants, is a fundamental step in catalytic reactions including hydrogenation² and hydroformylation.³ Several investigations on this reaction have unravelled a range of mechanisms of which the concerted oxidative addition of H₂ on Ir(I) fragments has been the focus of attention of many researchers.⁴⁻⁹ In an attempt to obtain further insights into the binding, activation, and cleavage of the H–H bond in the H₂ molecule, we have done computational investigations on an iridium pincer complex with labile co-ligands, which is different in terms of steric and electronics in comparison to those that have been reported in the literature to date.
B) An interesting question of general interest is how small molecules had come into being at the beginning of the universe. A prominent school of thought holds that the formation of the first molecules occurred through recombination processes after the Big Bang nucleosynthesis.¹⁰ There have been several interesting experimental and computational studies where researchers have succeeded in making, as well as detecting, these small molecules (HeH⁺, H₃⁺) mimicking conditions that would have existed at the beginning of the universe.¹¹ In our present study, we have tried to mimic the conditions in the early universe to show how the recombination process would have led to the formation of the first ever formed diatomic species of the universe: HeH⁺, as well as the subsequent processes that would have led to the formation of the simplest triatomic species: H₃⁺.
C) What led to the origin of life is one of the most fundamental questions in science. Did it begin in the oceans of the earth, or can we trace its origins further back to an extraterrestrial comet, inside interstellar ice? If it began in the oceans of the earth, was it at the surface of the ocean, or do we have to probe deeper into the depths, and look at hydrothermal vents that existed on the ocean floor?¹² These questions have spurred many investigations over the years, and several hypotheses have been put forward, such as the RNA world hypothesis and the metabolism-first principle, but a conclusive explanation remains elusive.¹³ What this work aims to do is find answers to these fundamental questions through a completely fresh, computational approach. We propose to start by looking at fundamental metabolic processes that define life, and trace their origins back to prebiotic times, while looking for the plausible prebiotic catalysts, which could have functioned as precursors to the current enzymes and metal complexes.
Work carried, Milestone, Achievements & Graphs, Plots:
A)
B)
C) Understanding the role of prebiotic catalysts in chemical evolution: A Computational study: Work under progress
Publications / Articles etc. link (If any)*:
A) Binding versus oxidative addition of molecular hydrogen on an iridium centre: an Experimental and Computational study
Manuscript under revision in ACS - “Organometallics”
B) Insights into Chemical Reactions at the Beginning of the Universe: From HeH⁺ to H₃⁺
Manuscript submitted to “Frontiers in Chemistry”
References:
1. Vaska, L.; DiLuzio, J. W. Activation of Hydrogen by a Transition Metal Complex at Normal Conditions Leading to a Stable Molecular Dihydride, J. Am. Chem. Soc. 1962, 84, 679-680.
2. Börner, A.; Holz, J. In Transition Metals for Organic Synthesis, Vol. 2; Beller, M., Bolm, C., Eds.; Wiley-VCH: Weinheim, Germany, 1998, p. 3-13.
3. Ojima, I.; Tsai, C.-Y.; Tzamarioudaki, M.; Bonafoux, D. In Organic Reactions; Wiley: Hoboken, NJ, 2000, vol. 56, p. 1-354.
4. Kubas, G. J. Metal Dihydrogen and σ-Bond Complexes: Structure, Theory and Reactivity; Kluwer: New York, 2001.
5. Esteruelas, M. A.; Oro, L. A. Dihydrogen Complexes as Homogeneous Reduction Catalysts, Chem. Rev. 1998, 98, 577-588.
6. Jessop, P. G.; Morris, R. H. Reactions of Transition Metal Dihydrogen Complexes, Coord. Chem. Rev. 1992, 121, 155-284.
7. Kubas, G. J. Molecular Hydrogen Complexes: Coordination of a Sigma Bond to Transition Metals, Acc. Chem. Res. 1988, 21, 120-128.
8. Johnson, C. E.; Eisenberg, R. Stereoselective Oxidative Addition of Hydrogen to Iridium(I) Complexes. Kinetic Control based on Ligand Electronic Effects, J. Am. Chem. Soc. 1985, 107, 3148–3160.
9. Deutsch, P. P.; Eisenberg, R. Stereochemistry of Hydrogen Oxidative Addition and Dihydride-transfer Reactions involving Iridium(I) Complexes, Chem. Rev 1988, 88, 1147–1161.
10. Meyer, B. S. Origin of the Elements: Nucleosynthesis in Stars. ACS Symp. Series. 2008, 981 (3), 39-60.
11. Oka, T. Interstellar H$_3^+$. Chem. Rev. 2013, 113, 8738–8761.
12. Sutherland, J. D., Opinion: Studies on the origin of life—the end of the beginning. Nature Reviews Chemistry 2017, 1 (2), 1-7.
13. Dyson, F., Origins of life. Cambridge University Press: 1999.
**Benefits & experience of using PARAM Brahma:**
The access to PARAM Brahma has helped us to carry out computational calculations in a very efficient manner. We have made significant progress in our research works and completed several collaborative projects in the last six months due to the supercomputer’s multiple job submission facility, owing to its highly competent queuing system. We must note that no data loss has been occurred so far, which is appreciable considering the massive number of users accessing the facility. We would also like to thank the PARAM Brahma support team, who have been very helpful in solving our queries and issues. Access to this fast and reliable supercomputing facility under the NSM has boosted our research and helped us tremendously to compete in this fast-paced scientific era.
**Any other relevant information (if any):**
We would really love to have higher storage allocation than the current 200GB in /scratch directory. Bigger calculations like TD-DFT, and transition state calculations with higher level of theory are not being completed due to the storage issue, as they need relatively more scratch memory during the calculations. Please consider this as a sincere request.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s):** Chemical Sciences, Quantum Mechanics, Computational Sciences
- **Sub-domain(s):** Origin of Life, Organometallics, Main Group Chemistry
- **Application name(s):** Small Molecule Activation, Extra-terrestrial Chemistry, Prebiotic Chemistry
Title of the work carried out: Claisen Rearrangement via Removable Functional Group Mediated Radical Stabilization
Name & Designation of the Chief Investigator: Dr. Pradip Maity, Scientist
Email Id: email@example.com
Institute Name: CSIR
Problem statement(s):
- Studying the relative energy required for thermal radical pair [1,3]-rearrangements. We calculated the $\Delta G$ associated with the bond dissociation step and spin densities on specific atoms for different systems using DFT by varying different functional and basis sets which requires an optimal computation facility.
- We calculated the captodative stability of one of the radical intermediate, and the effect of solvent polarity on this type of polar radicals, which help us find the optimal solvent for this reaction.
Work carried, Milestone, Achievements & Graphs, Plots:
A. $\Delta G$ associated to homolytic bond dissociation (in kcal/mol) and solvent stabilization
- O(Gas)
- 0.376(Toluene)
- 1.669(DMSO)
- log c
- 15
- 14
- 13
- 12
- 11
- 10
- 9
- 8
- 7
- 6
- 12.9
- 13
- 11.8
- 11.1
- 9.5
- 8
- II
- III
B. Spin delocalization in solvents and spin density comparison as a function of solvent dielectric constant (II and III)
Publications / Articles etc. (If any):
MN Alam, SR Dash, A Mukherjee, S Pandole, UK Marelli, K Vanka and P Maity*, “[1, 3]-Claisen Rearrangement via Removable Functional Group Mediated Radical Stabilization”, Organic Letters 23 (3), 890-895 [Impact Factor: 6.091]
Benefits & experience of using PARAM Shivay:
PARAM Shivay has helped us to perform the computational job very fast which we did not experience before. Therefore, the quick theoretical development of our experimental result led us to the answer of all ifs and buts. Apart from that, information of server update and other relevant informations are regularly being intimated from the concerned team of PARAM Shivay, which is highly appreciable.
Information required for NSM (National Supercomputing Mission) users
● Domain(s): Chemical Sciences, Quantum Mechanics
● Sub-domain(s): Computational Organic Chemistry (Molecular Modelling)
● Application name(s): Mechanistic Insights for ‘Rearrangement’ and ‘catalytic Asymmetric’ Reactions
Title of the work carried out:
Effect of Protonation and Deprotonation on Electron Transfer Mediated Decay and Interatomic Coulombic Decay.
Name & Designation of the Chief Investigator: Dr. Nayana Vaval, Principal Scientist
Email Id: firstname.lastname@example.org
Institute Name: CSIR-National Chemical Laboratory (NCL), Pune 411008, India
Problem statement(s):
Electronically excited atoms or molecules in an environment are often subject to interatomic/intermolecular Coulombic decay (ICD) and/or electron transfer mediated decay (ETMD) mechanisms. A few of the numerous variables that can impact these non radiative decay mechanisms include bond distance, the number of nearby atoms or molecules, and the polarisation effect. In this paper, we have studied the effect of protonation and deprotonation on the ionization potential (IP), double ionization potential (DIP), and lifetime (or decay width) of the temporary bound state in these non radiative decay processes. We have chosen LiH NH$_{-3}$ and LiH H$_{-2}$O as test systems. The equation of motion coupled cluster singles and doubles method augmented by complex absorbing potential (CAP EOM CCSD) has been used in calculating the energetic position of the decaying state and the system’s decay rate. Deprotonation of LiH NH$_{-3}$/LiH H$_{-2}$O either from the metal center (LiH) or from ammonia/water lowers the IP and DIP compared to the neutral systems. In contrast, protonation increases these quantities compared to neutral systems. The protonation closes the inner valence state relaxation channels for ICD/ETMD. For example, the decay of the O2s/N 2s state stops in protonated systems (LiH$^{-2+}$H$_2$O, LiH$^{2+}$NH$_3$, and LiH NH$_{-4^+}$). Our study also shows that the efficiency, i.e., the rate of ICD/ETMD, can be altered by protonation and deprotonation. It is expected to have implications for chemical and biological systems.
Work carried, Milestone, Achievements & Graphs, Plots:
Publications / Articles etc. (If any):
Kumar, R., Vaval, N., Effect of Protonation and Deprotonation on Electron Transfer Mediated Decay and Interatomic Coulombic Decay, ChemPhysChem 2023, 24, e202200340. [https://doi.org/10.1002/cphc.202200340](https://doi.org/10.1002/cphc.202200340)
Benefits & experience of using PARAM Brahma:
The easy access of PARAM Brahma has helped us to carry out computational calculations in a very efficient manner. Since it is fast, we have made significant progress in our research works. We must note that no data loss has been occurred so far, which is appreciable considering the massive number of users accessing the facility. We would also like to thank the PARAM Brahma support team, who have been very helpful in solving our queries and issues. Nonetheless, access to this fast and reliable supercomputing facility under the NSM, has boosted our research and helped us tremendously to compete in this fast-paced scientific era.
Information required for NSM (National Supercomputing Mission) users
- Domain(s): Chemical Sciences, Quantum Mechanics, Computational Sciences
● Sub-domain(s): Study of non radiative decay processes.
● Application name(s): Radiation chemistry
**Title of the work carried out:** Segmentation of Hand Radiographs using UNETs for Bone Aging
**Name & Designation of the Chief Investigator:** Rashmi Chapke, Dr. Pranay Goel, Dr. Anuradha Khadilkar
**Email Id:** email@example.com
**Institute Name:** IISER, Pune
**Problem statement(s):**
The skeletal growth of children is often assessed by calculating bone age. This age differs from chronological age (i.e., age calculated from birth). Bone age detection is one of the essential steps in the clinical procedure of estimating the biological maturity of children. Assessment of bone development can be done in a traditional, manual way or using automated methods. The manual method involves a comparison of obtained radiographs with radiographs in standard atlases: A popular one is the Greulich-Pyle atlas, which contains separate reference images for boys and girls aged 0-18.
**Work carried, Milestone, Achievements & Graphs, Plots:**
Our study aims to develop an AI-based model that will give bone age with higher accuracy as soon as an X-ray is provided. The dataset consists of the X-rays of boys and girls aged 0-18 years. We are using deep convolutional neural networks for segmenting regions of interest (ROI) from the X-rays. The segmentation data is then used for training the regression model for predicting bone age. After training the model for age prediction, giving any new X-ray as input will predict the age of the corresponding input X-ray. The development of this model will alleviate the diagnosis process and relieve doctors from time-consuming manual age calculations.
**References:**
[1] Oza, C., Khadilkar, A.V., Mondkar, S. *et al.* A comparison of bone age assessments using automated and manual methods in children of Indian ethnicity. *Pediatr Radiol* 52, 2188–2196 (2022). [https://doi.org/10.1007/s00247-022-05516-2](https://doi.org/10.1007/s00247-022-05516-2)
[2] Thodberg H, Kreiborg S, Juul A, Pedersen K (2009) The BoneXpert method for automated determination of skeletal maturity. IEEE Trans Med Imaging 28:52–66
**Benefits & experience of using PARAM Brahma:** Param Brahma helped in saving large data files, reduced training time.
**Information required for NSM (National Supercomputing Mission) user**
- Domain(s)*: AI/ML
- Sub-domain(s): Image Analysis
- Application name(s)*: Jupyter Notebook
Title of the work carried out: pH-Dependent Ligand Binding Kinetics in the Enzyme Active Site
Name & Designation of the Chief Investigator: Prof. Govardhan Reddy & Associate Professor
Email Id: firstname.lastname@example.org
Institute Name: Indian Institute of Science (IISc), Bangalore
Problem statement(s):
How can pH affect the binding of a ligand or a drug molecule in an enzyme’s active site whose activity is modulated by pH?
Work carried, Milestone, Achievements & Graphs, Plots:
Microsecond long constant pH molecular dynamics simulations of guanidinium ion binding in the active site of hen egg white lysozyme are performed at multiple pH values.
Free energy plots for Gdm⁺ binding in Lysozyme active site. (left) Binding free energy profile for unbiased MD simulations. (B) Binding free energy profiles as a function of system pH. The basins show that multiple intermediates are populated during the ligand binding kinetics.
Benefits & experience of using PARAM Brahma:
Param Brahma has provided an excellent platform for computational sciences. Running molecular dynamics simulations for longer timescales has been made possible solely due to Param Brahma. The Helpdesk has also been extremely helpful in resolving any issues that have arisen during installation of packages as well as any operational issues that arise while using any new platform.
Any other relevant information (if any):
CDAC has played a vital role in expanding the arsenal for computational scientists across the country. The training programs offered by CDAC too have helped in providing users a better understanding of the system architectures and proper usage methods.
Domain(s)*: Computational Biology
Sub-domain(s): Drug and ligand binding processes
Application name(s)*: GROMACS/ NAMD
Title of the work carried out: Analysis of reaction pathway for C-H activation using organometallic catalyst
Name & Designation of the Chief Investigator: Benudhar Punji, Principal Scientist
Email Id: email@example.com
Institute Name: National Chemical Laboratory, Pune
Title of the work carried out: [1,3]-rearrangement reactions of benzyl ether via radical pathway
Name & Designation of the Chief Investigator: Dr. Pradip Maity, Senior Scientist
Email Id: firstname.lastname@example.org
Institute Name: CSIR- National Chemical Laboratory, Pune
Title of the work carried out: Conformational dynamics of Membrane protein interfaces
Name & Designation of the Chief Investigator: Durba Sengupta
Email Id: email@example.com
Institute Name: CSIR-National Chemical Laboratory, Pune
Problem statement(s):
Dynamic interactions between G protein-coupled receptors (GPCRs) and their cognate protein partners at the membrane interface control several cellular signaling pathways. An important example is the association of CXC chemokine receptor 1 (CXCR1) with its cognate chemokine, interleukin-8 (IL8 or CXCL8) that regulates neutrophil-mediated immune responses. Although the N-terminal domain of the receptor is known to confer ligand selectivity, the conformational dynamics of this intrinsically disordered region of CXCR1 in particular, and chemokine receptors in general, remains unresolved. It is important to analyze the initial binding of chemokine receptors to their respective chemokine for a better understanding of the process and for improved therapeutic design.
Work carried, Milestone, Achievements & Graphs, Plots:
The chemokine family of receptors are an important class of GPCRs that bind to the chemokine signaling proteins via their extracellular domains with a partial involvement of the transmembrane helices. A molecular resolution of CXCR1-IL8 interactions would open up avenues for therapeutic design and an overall understanding of immune signaling. In this work, we have addressed the molecular details
underlying chemokine-receptor interactions focusing on the representative pair, CXCR1-IL8. In particular, we have analyzed the structural dynamics of the N-terminal region of CXCR1 in both apo- and ligand-bound forms (see Fig. 1). In the apo-receptor, the N-terminal region is highly dynamic, consistent with the absence of resolution by NMR34 and in agreement with its intrinsically disordered nature. Upon ligand binding, the N-terminus adopts a dynamic C-shaped conformation that facilitates ligand binding via an extensive and dynamic surface. Our results are in overall agreement with chemical shift differences reported from NMR studies. Taken together, our
**Fig 1. Representative snapshots of CXCR1 embedded in a lipid bilayer and membrane interaction of its N-terminal region.**
A visual representation of (a) the starting conformation with an extended N-terminal region, (b) the membrane-embedded N-terminal conformer and (c) the receptor-contacted N-terminal conformer. The receptor is depicted in magenta, the N-terminal region in orange, and the lipid headgroups and tails in yellow and gray, respectively. Water and ions are not displayed for clarity. The residue W10 of the N-terminal region, which interacts with the lipid bilayer is shown as cyan colored beads. (d) The minimum distance between the lipid bilayer and the distal part of the N-terminal region (residues 1-10) is plotted for 20 simulations of *apo*-CXCR1 as a function of time. The color bar denotes minimum distance in nm. A distance of ~0.4 nm (dark blue patches) indicates the binding of the N-terminal region to the lipid bilayer. (e) The radius of gyration of the N-terminal region is plotted for *apo*-CXCR1 as a function of time. The color bar denotes radius of gyration in nm.
results represent an important step toward understanding chemokine-receptor interactions, especially with respect to the first site of binding.
An important finding from our work is the inherent conformational dynamics of the N-terminal region and the binding interface. The identification and prediction of molecular details underlying such protein-protein interfaces is challenging in the context of GPCR-ligand interactions. In mechanistic terms, the main challenges are (i) resolving distinct temporal/spatial interactions (two-site/two-step model), (ii) accounting for the dynamics of the intrinsically disordered N-terminal region, and (iii) inherent technical difficulties in resolving the structural dynamics of membrane receptors. We observed differential conformational dynamics sampled by the N-terminal region in the presence and absence of the ligand.
Interestingly, the apo-receptor samples a sub-space overlapping with the IL8bound N-terminal region dynamics, suggesting a conformational selection by the ligand in the apo-receptor. Counterintuitively, the larger dynamics in the apo-receptor is associated with increased intra-protein contacts, whereas the C-shaped ligand-bound complex exhibits reduced intra-protein contacts. These loss of contacts within the N-terminal region in the IL8-bound complex are replaced by ligand contacts in the dynamic ligand-receptor interface. The dynamic protein-protein interface observed here represents an important aspect in the emerging understanding of plasticity in GPCR complexes.
We observe that the N-terminal region is the first site of ligand binding in the CXCR1 receptor, consistent with models based on previous fluorescence and NMR studies. In the simulations, the chemokine adopts a peripheral arrangement and a deeper binding of Ndomain in the receptor lumen was not observed. This mode of binding differs from crystal structures of other chemokine receptors, but is consistent with CXCR1 NMR data. In addition, a recent cryo-EM structure of a ternary complex of CXCR2, IL8 and G-protein reports that IL8 displayed a shallow binding mode compared to the other co-crystal structures of chemokines and their receptors. The extensive contact surface between the ligand and the receptor N-terminal region are consistent with recent hypothesis from experimental approaches in related receptors. In this work, we have compared chemical shift perturbations predicted from our simulations with results from NMR studies. Although the overall trends match quite well, we believe that the differences in the quantitative values could arise from the differential ensemble averages of experiments and simulations (due to different time scales associated with these approaches), peptide constructs used in experiments, and inaccuracies in prediction tools. In this context, we would like to recommend that caution should be exercised in assigning residues with high chemical shift perturbations to binding sites in receptors. Our results clearly show that the residues with maximum interactions do not necessarily exhibit the highest chemical shift perturbation. Instead, altered conformational dynamics of receptor N-terminal region (as reported here) could influence the observed chemical shift perturbations.
Computational studies, in close link with experimental approaches, have attempted to overcome some of the resolution problems associated with structure-based experiments. Several studies have combined docking followed by short MD simulations and have been able to capture important interactions, such as electrostatic interactions at site-I. Computational design of chemokine binding proteins, such as receptor-derived peptides capture agents from the extracellular domains of CXCR1 has also been reported. Similar approaches combining docking with free energy calculations were used to design IL8-based peptide inhibitors to inhibit binding of CXCR1. To circumvent the problem of limited sampling, coarse-grain simulations coupled with replica exchange have been successfully used for predicting conformational ensembles associated with the binding of cyclic peptide antagonist to CXCR4. Coarse-grain simulations, in particular, appear to be well suited to predict protein-protein interactions within the membrane, such as in single transmembrane helical receptors and GPCRs.
In conclusion, we have used a combined atomistic and coarse-grain simulation approach to analyze the mechanism of binding of the chemokine IL8 to its cognate receptor CXCR1. We were able to observe the dynamic interfaces formed during the binding of CXCR1 and IL8. In addition, our results show that a conformational restriction of the flexible N-terminal region of the receptor induced by the ligand governs chemokine binding. These results suggest a conformational selection by the chemokine during the binding. The complementarity in shape and dynamic protein-protein interface appears to drive chemokine recognition by the receptor. We believe that our results represent an important step toward robust analysis of complex GPCR-ligand interactions and in designing improved therapeutics.
**Publications / Articles etc. (If any)**: 1. Kharche et al., Submitted
**Benefits & experience of using PARAM Brahma**: The
current project requires analysing complex bimolecular systems at 10-100 microsecond time-scales and 10-100nm length scales. This is absolutely not possible without such large computing facility as Param Brahma.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Computational Biology
- **Sub-domain(s)**: Membrane Biophysics
- **Application name(s)**: Gromacs
**Title of the work carried out**: All-atom MD simulations of different proteins and nucleic acid analogs
**Name & Designation of the Chief Investigator**: Dr. Atanu Das, Senior Scientist
**Email Id**: firstname.lastname@example.org
**Institute Name**: CSIR – National Chemical Laboratory, Dr. Homi Bhabha Road, Pashan, Pune, Maharashtra 411008, India
**Problem statement(s)**:
Characterization of the mechanism of protein misfolding and aggregation and identification of the stability trend of numerous nucleic acid analogs by running extensive molecular dynamics simulations for very long time (~96 hrs).
**Work carried, Milestone, Achievements & Graphs, Plots**:
**Publications / Articles etc. (If any)**:
1. Atanu Das*, “Systematic Search for a Predictor for the Clinical Observables of Alzheimer’s Disease”, *J. Phys. Chem. B*, 2021, **125**, 44, 12177-12186.
**Benefits & experience of using PARAM Brahma**:
Param Brahma has been extremely helpful for an early career scientist like me who has just started his career. The computational facility has helped me immensely to carry out my research which is evident from the list of submitted manuscripts. The helpdesk has helped me enormously for the initial
standardization of the simulation software packages and optimization of the job scripts. I convey my deepest gratitude to CDAC-Pune and the support team of Param Brahma.
**Any other relevant information (if any):**
Assisting the Indian Computational Scientist community has been one of the major thrust areas of CDAC-Pune. I am currently able to perform my research, which is at par with the international standard, because of the continuous support of CDAC-Pune. Keeping the fact in mind that, in general, a HPC system gets outdated within a duration of five years at the maximum, I would like to make a gentle request to the Govt. of India to support CDAC-Pune by allocating substantial amount funds for the upgradation of the HPC systems for extremely challenging future scientific endeavours. The request is further substantiated by the extremely high usage of Param Brahma which provides computational support to users from all over the country. As a consequence, financial support from the Govt. of India is a must for the sustenance of CDAC-Pune for the greater good of the entire computational scientist community of India. An immediate effort is needed to upgrade the HPC systems by integrating the latest state-of-the-art computational resources.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Chemical Sciences
- **Sub-domain(s)**: Computational Sciences
- **Application name(s)**: Computational Biology
**Title of the work carried out:**
Coupling Effects of Electrostatic Interactions and Salt Concentration Gradient in Polymer Translocation through a Nanopore: A Coarse-Grained Molecular Dynamics Simulations Study
**Name & Designation of the Chief Investigator:** Prof Srabanti Chaudhury
**Email Id:** email@example.com
**Institute Name:** IISER Pune
**Problem statement(s):** Carrying out polymer translocation under the influence of salt concentration gradient.
**Work carried, Milestone, Achievements & Graphs, Plots:**
We study the influence of polymer pore interactions and focus on the role played by the concentration gradient of salt in the translocation of polyelectrolytes (PE) through nanopores explicitly using coarse-grained Langevin dynamics simulations. The mean translocation time is calculated by varying the applied voltage, the pH, and the salt concentration gradient. Changing the pH can alter the electrostatic interaction between the protein pore and the polyelectrolyte chain. The polymer pore interaction is weakened by the increase in the strength of the externally applied electric field that drives translocation. Additionally, the screening effect of the salt can reduce the strong charge-charge repulsion between the PE beads which can make translocation faster. The simulation results show there can be antagonistic or synergistic coupling between the salt concentration-induced screening effect and the drift force originating from the salt concentration gradient thereby affecting the translocation time. Our simulation results are explained qualitatively with free energy calculations.
Trans Side
Cis Side
- **monovalent cation**
- **monovalent anion**
- **polyelectrolyte counterion**
- **polyelectrolyte bead**
(a)
(b)
Exit Side (Trans) Entry Side (Cis)
- **pH = 7.5**
- **pH = 3.0**
(a)
(b)
- **pH=3.0**
- **pH=7.5**
Publications / Articles etc. link (If any)*: Coupling Effects of Electrostatic Interactions and Salt Concentration Gradient in Polymer Translocation through a Nanopore: A Coarse-Grained Molecular Dynamics Simulations Study (https://doi.org/10.1002/cphc.202200666)
Publisher: ChemPhysChem, Chemistry Europe, Wiley
Appreciation / Recognition (if any):
References:
Benefits & experience of using PARAM Brahma: Running parallel jobs on PARAM Brahma reduced simulations time significantly and We were able to present our findings in a publication quickly. Even as a new user, it didn’t take me much time to quickly learn methodology of PARAM Brahma’s job submission process.
Any other relevant information (if any):
Information required for NSM (National Supercomputing Mission) users
● Domain(s)*: Chemistry
● Sub-domain(s): Theoretical and Computational chemistry
● Application name(s)*: LAMMPS, GROMACS, GAUSSIAN, mathematica and matlab
Title of the work carried out:
Electronic Structure Calculation of Rare earth based Compounds
Name & Designation of the Chief Investigator: Dr. Vikas Kashid, Assistant Professor
Email Id: firstname.lastname@example.org
Institute Name: Department of Physics, Savitribai Phule Pune University, also at MIE-SPPU Institute of Higher Education, Doha
Problem statement(s):
Performing cutting edge relativistic first principles calculations based on density functional theory for a investigating complex magnetism in rare earth metals and compounds
**Work carried, Milestone, Achievements & Graphs, Plots:**
The electronic structure of HoCu was investigated in order to understand its ground state magnetic configuration. The 4f shell was filled in 35 different ways using occupation matrix control method and the density matrix was mixed with the electron density and the charge density convergence was achieved. Using Hund’s rule, the ground state electronic structure was determined. The calculations were performed for 2 different electronic configuration of Ho, viz., (i) 10 electrons in 4f shell and one electron was promoted to empty d shell and (ii) 11 f electrons in 4f shell, and 5d shell empty. The converged structures were compared for the total energy, and further physical parameters were calculated such as lattice constant, magnetic moment, magnetic interactions. Our calculations showed that HoCu resides in type -C antiferromagnetic configuration with exchange energy of 0.02 eV/atom. The stability of type -C AFM configuration was compared with type-G and type-A AFM state as well as collinear ferromagnetic states.
10 electrons in 4f shell (HoCu)
Fig. 2. The dispersion energy of 11 f electron HoCu
Publications / Articles etc. link (If any)*: 2, under second review with journals
Publisher: Physical Chemistry and Chemical Physics
Benefits & experience of using PARAM Brahma:
PARAM-BRAHMA is state of art architecture for performing high end calculations for atomic scale systems. The calculations demand parallel CPUs with high memory and faster processors. PARAM-BRAHMA fulfils this requirement and give an opportunity to perform high end calculations which address issues in Fundamental Physics. The technical team of PARAM-BRAHMA is very helpful. The architecture is updated with latest softwares and consistent uptime of the system is highly appreciable.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Material Sciences, Computational Physics, Computational Sciences
- Sub-domain(s): Computational Condensed Matter Physics, Energy Materials, Magnetic materials
- Application name(s)*: Perovskite based solar cells using density functional theory calculations within VASP, FLEUR package
Title of the work carried out:
"Transition of a Deep Eutectic Solution to Aqueous Solution: A Dynamical Perspective of the Dissolved Solute"
Name & Designation of the Chief Investigator: Dr. Sayan Bagchi, Principle Scientist, CSIR –
Email Id: s.bagchi@@ncl.res.in
Institute Name: National Chemical Laboratory, Dr.Homi Bhabha Road, Pashan, Pune
Title of the work carried out:
Application of DFT based computation to understand various systems, properties, reactions.
Name & Designation of the Chief Investigator: Kavita Joshi
Email Id: email@example.com
Institute Name: CSIR-National Chemical Laboratory
Problem statement(s):
1: Small molecule activation: Building ML model based on
DFT data to predict bond activation and adsorption energies on transition metal facets.
2: MeOH activatios: Investigating MeOH activation on various metal oxide facets to understand effect
of facet on activation of a molecule.
3: Investigating interaction between ultra nano crystalline diamond (UNCD) and CNT.
Work carried, Milestone, Achievements & Graphs, Plots:
1: Small molecule activation: Various optimizations were carried out on PARAMBrahma. Infact all the
DFT runs for this work are carried out on PARAMBrahma. Right now we are building a ML model based
on the DFT data that is generated.
2: MeOH activatios: ParamBrahma is used for optimising some of the facets of metal oxide. The work is
just started.
3: Investigating interaction between ultra nano crystalline diamond (UNCD) and CNT
We aimed at investigating interaction of UNCD with SWCNT by modeling these two systems in various
ways. However, there is always a gap between the real system (the one synthesized experimentally) and
the virtual one which is modelled with a hope that it will mimic the most important factors of the real
system. However, the few optimization that we carried out did show that our models are not adequate
to mimic the real systems. None the less, PARAMBrahma gave us this opportunity to attempt such
compute intensive optimizations.
1: Small molecule activation: Manuscript under preparation. 2: MeOH activatios: Just started working
on this problem.
3: Investigating interaction between ultra nano crystalline diamond (UNCD) and CNT: Will not be taken
ahead
Benefits & experience of using PARAM Shivay:
As of now I don't have login on PARAM Shivay, but would like to have one. Please let us know the
procedure for the same. Thanks.
A well maintained HPC is always an asset. And for groups like ours, we are desperately dependent on such HPC facilities. We highly appreciate efforts taken by PARAMBrahma team to maintain this facility. Thanks.
**Any other relevant information (if any):**
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Computational Materials Science (Atomic & Molecular Sciences, Chemical Sciences, Material Sciences, ML)
- **Sub-domain(s)**: Applications of DFT to materials.
- **Application name(s)**: VASP (as of now), QE, LAMMPS
---
**Title of the work carried out:**
“Water anomalies in the supercooled state: an energy landscape perspective”
**Name & Designation of the Chief Investigator:** Rakesh S. Singh, Assistant Professor
**Email Id:** firstname.lastname@example.org
**Institute Name:** IISER Tirupati
---
**Title of the work carried out:**
Effects of quenched disorder on the polymorph selection in a model soft colloidal system
**Name & Designation of the Chief Investigator:** Rakesh S. Singh, Assistant Professor
**Email Id:** email@example.com
**Institute Name:** IISER Tirupati
---
**Title of the work carried out:**
Electronic, magnetic and optical properties of atomically thin nanomaterials
**Name & Designation of the Chief Investigator:** Dr. Sudipta Dutta, Assistant Professor
**Email Id:** firstname.lastname@example.org
**Institute Name:** Indian Institute of Science Education and Research (IISER) Tirupati
---
**Title of the work carried out:**
Activation of dinitrogen by Lithium doped Aluminium clusters
**Name & Designation of the Chief Investigator:** Dr. Nayana Vaval, Principal scientist
**Email Id:** email@example.com
**Institute Name:** National Chemical Laboratory, Pashan, Pune
---
**Title of the work carried out:**
Deciphering the function and evolution of eukaryotic proteins
**Name & Designation of the Chief Investigator:** Kadumuri Raja Shekar Varma, Post Doctoral Fellow
**Email Id:** firstname.lastname@example.org,email@example.com
**Institute Name:** Institute of Nano Science and Technology Mohali
---
**Title of the work carried out:**
Phase transitions in hard particles on a lattice
**Name & Designation of the Chief Investigator:** Prof. Deepak Dhar
**Email Id:** Na
**Institute Name:** IISER Pune
---
**Title of the work carried out:**
Entanglement spectra of FQH states
MPS evaluation of Drude weights in 1D Potts chain
Quantum Monte Carlo methods for strongly constrained systems
Analysis of overlap matrices of edge modes of CF states
**Name & Designation of the Chief Investigator:** Dr. Shreejith, Abhishek Anand, Sandipan Manna,
**Email Id:** firstname.lastname@example.org,email@example.com
Institute Name: IISER
Information required for NSM (National Supercomputing Mission) users
- Domain: astronomy & astrophysics
- Subdomain: Astronomy
- Application: Gadget
Title of the work carried out:
Rare event sampling in climate models
Name & Designation of the Chief Investigator: joy merwin monteiro
Email Id: firstname.lastname@example.org
Information required for NSM (National Supercomputing Mission) users
- Domain: AI,ML,DL
- Subdomain: Climate modelling, Data driven forecasting
- Application: CESM,Climt,CM1,Pytorch,Tensorflow
Title of the work carried out:
Developing statistical and ML algorithms, addressing problems primarily in the domain of biology and healthcare
Name & Designation of the Chief Investigator: Dr. Leelavati Narlikar
Email Id: email@example.com
Information required for NSM (National Supercomputing Mission) users
- Domain: Machine learning
- Subdomain: Computational Biology, Statistical Algorithms
- Application: MEME,HOMER
Title of the work carried out:
- Reconstruction of energy of hadron showers in the CMS High Granularity Calorimeter using Dynamic Reduction Networks based in graphical neural networks.
- Normalizing flow to search for Higgs Effective Theory parameters in Z->4 leptons channel
- Particle Flow hadrons energy regression
Name & Designation of the Chief Investigator: Dr. Seema Sharma
Email Id: firstname.lastname@example.org
Institute Name: IISER
Information required for NSM (National Supercomputing Mission) users
- Domain: Physics
- Subdomain: High energy particle physics
- Application: ROOT, Scikit, numpy, machine learning tools based on tensor flow, particle event generators like Pythia, Madgraph
Title of the work carried out:
DFT investigation of the reaction mechanisms of enzymes and synthetic mimics
Name & Designation of the Chief Investigator: Dr. Debangu Sil
Email Id: email@example.com
Institute Name: IISER
Information required for NSM (National Supercomputing Mission) users
- Domain: chemical sciences
- Subdomain: dft
- Application: orca
Title of the work carried out:
Ultracold atoms in the lab come in either gaseous form or with a discrete lattice order
Name & Designation of the Chief Investigator: Dr. Rejish Nath
Email Id: firstname.lastname@example.org
Institute Name: IISER
Information required for NSM (National Supercomputing Mission) users
The gaseous state can be either in the Bose condensed phase or a thermal gas. To study the properties of a condensate, one must solve a non-linear differential equation, which becomes a formidable task for multi-components or three-dimensional systems. In another ongoing project, in collaboration with the experimental group at RRI, Bangalore, we analyze the Rydberg excitations in a rubidium atomic gas. As the number of atoms increases, the computational difficulty rises due to increased degrees of freedom. Various numerical methods such as Monte Carlo, artificial neural networks, and discrete truncated Wigner approximations are used. The same problem also arises in lattice systems, e.g. studying the phase diagram of the Bose-Hubbard model. Currently, we are investigating the ground state phase diagram of the Bose-Hubbard ladder with different interaction patterns, where the numerical method of the Density Matrix Renormalization group is used.
**Title of the work carried out:** conformational dynamics of RNA-binding proteins
**Name & Designation of the Chief Investigator:** Dr. Jeetender Chugh
**Email Id:** email@example.com
**Institute Name:** IISER
**Information required for NSM (National Supercomputing Mission) users**
- Domain: Structural Biology
- Subdomain: Molecular Dynamics Simulations on Proteins and Nucleic Acids
- Application: Gromac
**Title of the work carried out:** Investigating the roles of weak forces in stabilizing biomolecules
**Name & Designation of the Chief Investigator:** Dr. Saikrishnan
**Email Id:** firstname.lastname@example.org
**Institute Name:** IISER
A persistent clinical symptom in early arthritis is inflammation of the hand joints, which progresses with variable prognosis. Undifferentiated inflammatory stages have no accepted methodology for therapeutic treatment. Thus, it becomes imperative to detect synovitis in early development and monitor progression to identify clinical predictors of systemic diseases like Rheumatoid Arthritis (RA) and Systemic Lupus Erythematosus Arthritis (SLE). Swollen painful joints of the hands are a significant predictor of RA.
Here we use clinical RGB photographs of hands of patients diagnosed with synovitis, taken against a white background, to identify inflamed and non-inflamed joints using AI techniques. Param Brahma is used to train deep neural networks (e.g. Deep Convolutional Neural Networks like Resnet-50) to solve a binary image classification problem, automatically predicting synovial inflammation and thus detecting the presence of RA.
The skeletal growth of children is often assessed by calculating bone age. This age differs from chronological age (i.e., age calculated from birth). Bone age detection is one of the essential steps in the clinical procedure of estimating the biological maturity of children. Assessment of bone development can be done in a traditional, manual way or using automated methods. The manual method involves a comparison of obtained radiographs with radiographs in standard atlases: A popular one is the Greulich-Pyle atlas, which contains separate reference images for boys and girls aged 0-18.
Our study aims to develop an AI-based model that will give bone age with higher accuracy as soon as an X-ray is provided. The dataset consists of the X-rays of boys and girls aged 0-18 years. We are using deep convolutional neural networks for segmenting regions of interest (ROI) from the X-rays. These segments will then be used to classify X-rays into different age groups. After training the model for age classification, giving any new X-ray to it as input will predict the age of the corresponding input.
The development of this model will alleviate the diagnosis process and relieve doctors from time-consuming manual age calculations.
**Title of the work carried out:**
Coarse-Grained Molecular Dynamics Simulations for polymer translocation
**Name & Designation of the Chief Investigator:** Dr. Srabanti Chaudhury
**Email Id:** email@example.com
**Institute Name:** IISER
**Information required for NSM (National Supercomputing Mission) users**
- Domain: Chemistry
- Subdomain: Theoretical and Computational chemistry
- Application: LAMMPS, GROMACS, GAUSSIAN, mathematica and matlab
Coarse-Grained Molecular Dynamics Simulations for polymer translocation Our group uses PARAM Brahma for coarse grained molecular dynamics simulations (CG-MDS). We study polymer translocation through several different types of nanopores: solid state, 2D, biological, to name a few. We need to have substantial data in order to understand the physics behind the problem therefore we mostly deal with averages. We perform ensemble averages over the entirety of our system, meaning we run at least 500 simulations of the same system by incorporating different seeds for each simulation; take the statistical average over all the trajectories we have gotten; then draw conclusions. Depending on the problem, Our system contains different numbers of atoms which are to be simulated. For e.g. If we want to simulate a 100 beads polymer chain in 5 M KCl Solution in 100x100x100 Å box taking water
implicitly under the influence of electric field, we have to have 6200 atoms inside our simulation box. This number varies, depending on what problem we are trying to address, what scale we have chosen for simulation study, implicit or explicit solvation etc. Then further there are computational techniques pertaining to parallel computing, evaluation of interactions, minimization, integration, calculation of specific property, sampling and respective computational cost is associated with each technique.
**Title of the work carried out:**
Numerical experiments for estimating the probabilities of meeting and merging related events for component-wise semi-Markov processes.
**Name & Designation of the Chief Investigator:** Dr. Anindya Goswami, Ravishankar Kapildev Yadav
**Email Id:** firstname.lastname@example.org
**Institute Name:** IISER
**Information required for NSM (National Supercomputing Mission) users**
- Domain: Applied Probability
- Subdomain: Mathematical Finance
- Application: Fair pricing of financial derivatives, Optimisation of financial portfolio
We consider a general class of semi-Markov processes on countable state-space, and having a differentiable kernel such that the embedded Markov chain may or may not be homogeneous. By using an SDE representation of the process, we study the associated flow by investigating the meeting and merging related events for solutions starting with different initial conditions. Several results have been obtained theoretically. Many numerical examples have also been considered for clarifying the intricacies and implications of the theoretical results. These numerical experiments involve extensive simulation study. The computational resource is important for this ongoing research work.
**Title of the work carried out:**
study the scaling of mutation accumulation and cancer risk with body size within and across species
**Name & Designation of the Chief Investigator:** Satavisha De
**Email Id:** email@example.com
**Institute Name:** IISER
**Information required for NSM (National Supercomputing Mission) users**
• Domain: Biology
• Subdomain: Ecology and Evolutionary Biology (Developmental models of cancer)
• Application: Python3
**Title of the work carried out:**
A theoretical model of microbial community assembly under a range of interaction strengths and types
**Name & Designation of the Chief Investigator:** Ananda Shikhara Bhat and Suryadeepta Nag
**Email Id:** firstname.lastname@example.org
**Institute Name:** IISER
---
**Information required for NSM (National Supercomputing Mission) users**
• Domain: biology
• Subdomain: Mathematical and Computational Biology
• Application: Python3
**Title of the work carried out:**
A theoretical model of host-microbiome co-evolution
**Name & Designation of the Chief Investigator:** Sultan Nazir
**Email Id:** email@example.com
**Institute Name:** IISER
---
**Information required for NSM (National Supercomputing Mission) users**
• Domain: Biology
**Title of the work carried out:**
neural activity in the songbird brain is involved in initiating the song sequence of the zebra finch
**Name & Designation of the Chief Investigator:** Dr. Raghav Ranjan
Information required for NSM (National Supercomputing Mission) users
- Domain: Biology
- Subdomain: Neuroscience
- Application: Use the cluster for modelling neural activity and behaviour.
Title of the work carried out:
Development of 2D Full Waveform Inversion algorithm of seismic data using Gauss-Newton approximation
Integration of Seismic and Electromagnetic data in Subsurface Imaging
Name & Designation of the Chief Investigator: Dr. Rahul Dehiya, Sujith MS, Iktesh Chauhan
Email Id: firstname.lastname@example.org
Institute Name: IISER
Description: The project is intended to create a robust algorithm for modeling acoustic waves through heterogeneous media and for the inversion of seismic data. To optimize computational cost we are implementing both algorithms in the frequency domain. The forward modeling was executed using the fourth-order finite difference approximation of the scalar wave equation with proper boundary conditions for suppressing undesired energies from edges and thereby creating an unbounded domain. The inversion using Gauss-Newton is of particular interest due to its faster rate of convergence to minima (of objective/misfit function). In Gauss-Newton approximation, the second derivative of the objective function is not explicitly solved but expressed in terms of the first derivative of the forward operator. The computing power of PARAM Brahma is of great help for the fulfillment of this project due to its high memory recourses. The inversion algorithm consists of several complex loops and solving thousands of linear systems. The MS thesis is scheduled to be submitted and evaluated by the end of this year.
Title of the work carried out:
The nanomechanical response of a folded single protein, the natural nanomachine responsible for myriad biological processes, provides insight into its function
The conformational flexibility of a folded state, characterized by its viscoelasticity, allows proteins to adopt different shapes to perform their function. Despite efforts, its direct measurement has not been possible so far. Recently, we published a study in which direct and simultaneous measurement of the stiffness and internal friction of the folded domains of the protein titin was achieved using a special interferometer based atomic force microscope [1]. We analyzed the data by separating different contributions affecting the response of the experimental probe to obtain the folded state’s viscoelasticity. Above ~95 pN of force, the individual immunoglobulins of titin transition from an elastic solid-like native state to a soft viscoelastic intermediate. In our experiments, we mechanically drive the protein using sinusoidal forcing from the cantilever and measure its in and out of phase response to quantify the stiffness and friction of a folded protein. The resulting relaxation time we obtain is in microseconds. It has been shown using all atom simulations that the backbone of a protein contributes to its dynamics in this timescale [4]. In order to understand the origin of friction in our experiments we are now performing Brownian dynamics simulations using the Self-Organised Polymer Side Chain (SOP-SC) model [2, 3] for the proteins Ig27 and Ubiquitin. We chose to implement a coarse grained potential, to reduce the computation cost of performing simulations in timescales relevant to our experiments.
References:
[1] Surya Pratap S Deopaa et al. “Direct and Simultaneous Measurement of the Stiffness and Internal Friction of a Single Folded Protein”. In: The Journal of Physical Chemistry Letters 13 (2022), pp. 9473–9479.
[2] Changbong Hyeon, Ruxandra I Dima, and D Thirumalai. “Pathways and kinetic barriers in mechanical unfolding and refolding of RNA and proteins”. In: Structure 14.11 (2006), pp. 1633–1645.
[3] Balaka Mondal, D Thirumalai, and Govardhan Reddy. “Energy landscape of ubiquitin is weakly multidimensional”. In: The Journal of Physical Chemistry B 125.31 (2021), pp. 8682–8689.
[4] David E Shaw et al. “Atomic-level characterization of the structural dynamics of proteins”. In: Science 330.6002 (2010), pp. 341–346.
Title of the work carried out:
Geometry Optimization, Single point energy calculation, NICS calculation, ACID plot, TD-DFT calculation, HOMO-LUMO energy gap, Spin density plot, HOMA value determination, NOON calculation
Name & Designation of the Chief Investigator: Dr. V G Anand
Email Id: email@example.com
Institute Name: IISER
Information required for NSM (National Supercomputing Mission) users
- Domain: Chemistry
- Subdomain: Inorganic Computational Chemistry consists of Energy Optimization, NICS Calculation, AICD Plot, etc
- Application: "Gauss view (Gaussian applications)."
Title of the work carried out:
"Optimization to obtain the lowest energy molecular conformation with NaCl has to be done through Gaussian"
Name & Designation of the Chief Investigator: Dr. Pinaki Talukdar
Email Id: firstname.lastname@example.org
Institute Name: IISER
Title of the work carried out:
Minimisation of Energy and Geometry Optimization
Calculation of Dipole Moment & Polarization
Name & Designation of the Chief Investigator: Prof. R. Boomi Shankar
Email Id: email@example.com
Institute Name: IISER
Information required for NSM (National Supercomputing Mission) users
- Domain: Chemical Sciences
- Subdomain: Inorganic Chemistry, Material Science
- Application: Gaussian, DFT, Hartree-Fock, Semi-emperical
Title of the work carried out:
Analysis of Next-generation sequencing reads
Name & Designation of the Chief Investigator: Dr. Sunish Radhakrishnan
Email Id: firstname.lastname@example.org
Institute Name: IISER
Information required for NSM (National Supercomputing Mission) users
- Domain: computational biology
- Subdomain: ngs analysis
- Application: bed tools
Title of the work carried out:
Hydrate modeling
Landscape Evolution Models
Name & Designation of the Chief Investigator: Dr. Sudipta Sarkar
Email Id: email@example.com
Institute Name: IISER
Information required for NSM (National Supercomputing Mission) users
- Domain: geological sciences
- Subdomain: seismic processing
- Application: tesnor flow
Title of the work carried out:
Effect of temperature and concentration on the Structure and Ion Transport in Diglyme-Based Sodium-Ion Electrolyte
Simulations of POSS-Tetraglyme Lithium-ion battery electrolyte
Name & Designation of the Chief Investigator: Prof. Arun Venkatnathan
Email Id: firstname.lastname@example.org
Institute Name: IISER
Problem statement(s):
To examine various structural and dynamical properties in NaPF$_6$/diglyme system. The radial Distribution Functions and mean residence time corresponding to ion-ion and ion–diglyme interactions, population analysis of ion clusters, diffusion of ions, and diglyme and ionic conductivity were calculated.
To determine the migration of Li$^+$ ions in POSS-Tetraglyme Lithium-ion battery electrolyte. The radial distribution function, the nature of the mobility of Li$^+$ ions, and radii of gyration were determined.
Brief description of the work:
Glyme-based sodium electrolytes show excellent electrochemical properties and good chemical and thermal stability compared with existing carbonate-based battery electrolytes. In the present study, the classical Molecular dynamics (MD) simulations were performed to examine the effect of concentration and temperature on ion-ion and ion-solvent interactions. We have chosen a wide range of electrolyte concentrations (0.75, 1.0, 1.25, 1.5, 1.75, and 2.0 M) and temperatures (298, 308, 318, 328, 338, 348, 378, 400 K) to examine various structural and dynamical properties in NaPF$_6$/diglyme system. The RDFs and the mean residence time suggest that Na$^+$ ions interact more prominently with the solvent molecules than the PF$_6^{-}$ forming solvent-separated species even for 2.0 M concentration at 298 K. One of the most significant analysis was the population analysis of various ion clusters in the system that explains the speciation of ions at different concentrations. This suggested that the system is highly occupied with solvated Na$^+$ ions rather than contact or aggregated ion pairs even at higher concentrations. The mobility of the ions in the system is explained using diffusion and ionic conductivities. Finally, the insights from this work with the effect of concentration and temperature on structure and dynamics can lead to the development of alternatives to conventional battery electrolytes.
Figure 1. Chemical structures of sodium (Na$^+$), hexafluorophosphate (PF$_6^{-}$), and diglyme.
Figure 2. (a) Na+ ---P(PF6 --) RDFs, at 298 K and at various concentrations of NaPF6/diglyme. (b) Percentage distributions of various ion clusters with respect to the concentration of NaPF6/diglyme at T = 298 K. Soll = solvated ions, CIP = contact-ion pairs, and AGXIP = aggregated ion pairs of size X. (c) Representative snapshot of a solvated Na$^+$ ion, referred to as Soll. (d) Representative snapshot of a CIP. (e) Representative snapshot of AG4IP from the trajectory of 2.0 M concentration system. Exact population of various ion speciation is provided in Table S3 of the Supporting Information. Color scheme in (b–d): Blue Na, tan P, pink F, red O, cyan C, white H.
Polyoligomeric silsesquioxane tailored with trifluoromethanesulfonylimide lithium, solvated in tetraglyme, shows its potential applicability as a lithium-ion battery electrolyte. Using the gas phase structure, we have developed a non-polarizable classical force field and performed classical molecular dynamics simulations (MDS) on 125 POSS and with varying amounts of tetraglymes, at G4/POSS molar ratios of 8/1, 16/1 and 32/1 (which reflect the O(G4): Li ratios of 5/1, 10/1 and 20/1). Our interest was to determine the migration of Li$^+$ ions in these systems, and to determine the relative binding of Li$^+$ to the O(G4) versus the sulfonyl oxygens O(POSS) and nitrogen N(POSS) of the pendant tails, as a function of increasing G4. In order to determine where the Li ions reside, we calculated the radial distribution function (RDF) for the Li$^+$ with these atoms. The RDFs show how O(G4) vs. O(POSS) vs. N(POSS) sites compete to bind with Li, which influences the nature of the mobility of Li$^+$ ions as well. Since these POSS with their eight extended tails are similar to polymer dendrites, we also calculated their overlap concentrations by determining the radii of gyration (Rg) and determining when they were just touching in the available volume. We were interested in whether, as in the case of polymers, Rg decreased as repulsive interactions became important. To investigate the mechanism of Li$^+$ ion mobility in these systems, we calculated dynamical properties such as diffusion coefficients of Li$^+$ ions, the tails of the POSS, and G4.
Figure 3. Gas phase structures for 1 POSS + 8 Li (left) and 1 G4 (right).
Figure 4. RDFs for (a) Li+ ---O(G4), (b) Li⁺---O(POSS), and (c) Li⁺---N(POSS) at different G4/POSS molar ratios at 300 K.
Publications/Articles (If any):
Ardhra, S.; Prakash, P.; Siva Dev, R.; Venkatnathan, A. Effect of Concentration and Temperature on the Structure and Ion Transport in Diglyme-Based Sodium-Ion Electrolyte. J. Phys. Chem. B 2022, 126 (10), 2119–2129. https://doi.org/10.1021/acs.jpcb.2c00557.
The second project is under manuscript writing process.
Benefits & experience of using PARAM Brahma:
The Param Brahma user experience is great with respect to the performance and computational efficiency. This high performing machine helped us to make a significant step in both the proposed project by running the simulations for a minimum of 100 ns. The longer simulation runs were obtained in few days. MD simulations for a system consisting of >1 lakh atoms were done at a rate of 70-80 ns/day.
Title of the work carried out:
Investigation of Reaction Pathways and Transition States of Hydrogen Combustion Systems using ReaxFF Reactive Force Field
Name & Designation of the Chief Investigator: Prof. Arun Venkatnathan
Email Id: email@example.com
Institute Name: IISER
Problem statement(s):
Modelling of the reaction dynamics of hydrogen combustion using LAMMPS.
Brief description of the work:
A detailed description of the kinetics and dynamics of hydrogen combustion reactions is essential since it is a promising energy source in the future. We are trying to model the reaction dynamics of hydrogen combustion using LAMMPS under various conditions in consideration of experimental studies. The ReaxFF reactive forcefield captures the bond breaking and formation during the reaction in terms of bond order. These large-scale calculations are highly computationally demanding, and it helps us to identify and evaluate the elementary reactions happening in the reaction pathway. In the future, we plan to develop a methodology using a machine learning algorithm that helps to describe the reactions and quantitatively predict the reaction pathways.
Publications/Articles (If any):
The work is in its initial stages.
Benefits & experience of using PARAM Brahma:
The computationally demanding calculations are performed on Param Brahma which gives the ease of producing the results in a stipulated time period.
Title of the work carried out:
Theoretical Assessment of Carbon Dioxide Reactivity in Methylpiperidines – A Conformational Investigation.
Name & Designation of the Chief Investigator: Prof. Arun Venkatnathan
Email Id: firstname.lastname@example.org
Institute Name: IISER
Problem statement(s):
Investigation of the CO$_2$ capture mechanism in various positional isomers of methylpiperidines (MP), such as N-MP, 2-MP, 3-MP and 4-MP, using quantum chemical methods.
Brief description of the work:
In this work, various conformers of methylpiperidines are explored for aqueous CO$_2$ capture reactions with the aid of appropriate thermodynamic models and calculation of energy barriers for each capture pathway. Thermodynamic calculations pertaining to $\Delta G_{aq}$ (aqueous phase free energy) reveal that $cis-eq$ 4-MP, and most of the 3-MP conformers show a facile carbamate formation tendency, in addition to the energetically stable 3-MP ($cis-eq$) and 4-MP ($trans-eq$) conformers. The hindered $trans-eq$ 2-MP shows the least tendency towards carbamate reactions, while $cis-eq$ and $trans-ax$ 2-MP tend to follow carbamate pathway with greater ease. The axial orientation of methyl group in few MP conformers tends to lower the energy barrier for the carbamate pathway. Although carbamate product shows greater ease of formation, MP carbamate could be a minor product, especially for sterically hindered conformations. The bicarbonate pathway (CO$_2$ + H$_2$O + MP) should be the predominant capture pathway yielding bicarbonate as the major product during carbon capture in MPs.
Publications/Articles (If any):
Mukherjee, U.; Prakash, P.; Venkatnathan, A. Theoretical Assessment of Carbon Dioxide Reactivity in Methylpiperidines – A Conformational Investigation. (Under Review).
Benefits & experience of using PARAM Brahma:
Computational studies entailing reaction pathways involved during CO$_2$ capture are an effective means of validating the experimental results as well as exploring deeper underlying properties of such materials (methylpiperidines and their conformers in this study). PARAM Brahma has helped accelerating this project to conclusion as it involved the processing of a large number of data (around 850 jobs/individual calculations) which could have taken a very long time on any other local system. We plan to use the high-performance machine in the near future for more computationally expensive simulations.
Information required for NSM (National Supercomputing Mission) users
- Domain(s): Chemistry.
- Sub-domain(s): Computational Chemistry, Energy studies, quantum chemical calculations, MD, DFT-MD, rechargeable alkali-metal-ion batteries, carbon capture.
- Application name(s): Gaussian, GROMACS, CP2K, LAMMPS.
Problem statement(s): Metal free organic luminogens are often conventional fluorophores with fast deactivation of the excited state in nano second time scale. A large S1-T1 energy gap as well as a very weak spin-orbit coupling often limits their application to be used as a potential phosphorescent emitter; however, a smart designing and choosing an appropriate pair of donor and acceptor moieties can effectively solve this problem. Herein, naphthalene monoimide and phthalimide based donor-acceptor luminogens have been designed and synthesized. All the designed luminogens are able to exhibit room temperature phosphorescent behavior (even in ambient condition) due to presence of a very small $\Delta E_{ST}$ value. Moreover, introduction of cyano-ethylene moiety in between donor and acceptor moiety can increase its lifetime further due to enhanced non-covalent interactions in crystalline state. The HOMO and LUMO molecular orbitals were obtained from the optimised structures of all the donor-acceptor based luminogens. B3LYP functional was used in all the cases at 6-311++G (d, p) level of theory. The optimised structure was confirmed by frequency analysis. The HOMO and LUMO orbitals showed clear spatial separation to support our design strategy. Electron density difference maps (EDDM) also showed a depleted electron density from the electron rich donor towards the electron deficient acceptors during the electronic transition. To comment about the observed phosphorescent behaviour of the luminogens, TD-DFT calculation were performed for 10 singlets and triplet states. A very close energy gap (figure 3) between the lowest singlet (lowest singlet) and triplets (lowest two states were taken into account) confirms the high probability of intersystem crossing in these luminogens.
1.5 Work carried, Milestone, Achievements & Graphs, Plots:
1.6.1 Published work carried out using Param Brahma
Fig. 1: Molecular structures and design strategy involved in this project
Fig. 2: HOMO and LUMO orbitals of all the luminogens end their energy gaps, the electron density difference maps (EDDM) to show the spatial distribution of charge flow.
Fig.3: Energy information of excited singlet and triplet states obtained from TD-DFT calculation.
Ongoing projects in our lab
**Thermally activated delayed fluorescence and phosphorescence from novel copper(I) iodide cluster and complexes:** Coin age metals coordinated with novel $\pi$ acceptor ligands have drawn considerable attention in the field of optoelectronics and photocatalysis owing to their high MLCT (metal-to-ligand charge transfer) character and efficient intersystem crossing between singlet and triplet states. In this regard, we are trying to decipher the electronic configuration of singlet and triplet states for typical this type of complexes and clusters and correlating it with the intersystem crossing process. We also aim to correlate the contribution of several vibrational modes of the complexes which can contribute to intersystem crossing. In order to execute this project we need advanced electronic structure calculations (DFT, CASSCF etc.) to support our experimental data. In this context, we are a regular user of PARAM Brahma supercomputer provided by NSM, Govt. of India.
**Reference:**
1. Chatterjee, A.; Chatterjee, J.; Sappati, S.; Sheikh, T.; Umesh, R. M.; Ambhore, M. D.; Lahiri, M.; Hazra, P., Emergence of Aggregation Induced Emission (AIE), Room-Temperature Phosphorescence (RTP), and Multistimuli Response from a Single Organic Luminogen by Directed Structural Modification. *The Journal of Physical Chemistry B* **2021**, *125* (46), 12832-12846.
28) Prof. Santhanam: 1) For quantum simulations of classically chaotic many-body systems to study quantum localisation and diffusion processes in physical systems.
2) For simulations of quantum walks on various topologies for design of novel quantum algorithms to be used in quantum computers.
3) For simulations of new quantum machine learning algorithms.
4) Classical simulations of random walks and its variants for studying transport processes on general complex networks including many real-life networks.
5) Simulations of stochastic processes for studying first passage and first detection times under conditions of intermittent sensors.
1) List of publications:
Tuning for Quantum Advantage in Directed Lackadaisical Quantum Walks
Pranay Naredi, J. Bharathi Kannan and M. S. Santhanam
arXiv.org/2211.06167 (2022).
Interaction-induced directed transport in chaotic quantum system
Sanku Paul, J. Bharathi Kannan and M. S. Santhanam
arXiv.org/2206.07063 (2022).
Inference in gated first passage processes
Aanjaneya Kumar, Yuval Scher, Shlomi Reuveni and M. S. Santhanam
arXiv.org/2210.00678 (2022).
Quantum kicked rotor and its variants: Chaos, localization and beyond
M. S. Santhanam, Sanku Paul and J. Bharathi Kannan
Physics Reports 956, 1-87 (2022).
Interplay between quantum diffusion and localization in the atom-optics kicked rotor
S. Sagar Maurya, J. Bharathi Kannan, Kushal Patel, Pranab Dutta, Korak Biswas, Jay Mangaonkar, M. S. Santhanam, and Umakant Rapol
Phys. Rev. E 106, 034207 (2022).
Biased random walkers and extreme events on the edges of complex networks
Govind Gandhi and M. S. Santhanam
Phys. Rev. E 105, 014315 (2022).
2) Three PhD students have used PB facility
3) Without PB, we would not have been able to work on problems that require heavy amount of computations. It is a beneficial facility. Until now, I have not had any problems with PB facility.
Title of the work carried out:
Modelling Quantum Materials: The interplay among strong correlation, spin-orbit coupling, topology and quantum confinement
Problem statement(s)
Investigate the interplay of electron correlation, spin-orbit coupling and topology in quantum materials
Understand, design and predict emergent quantum phenomena
Work carried, Milestone, Achievements & Graphs, Plots:
**Developed long-range anisotropic Heisenberg spin model.** Since 2017, in apparent contradiction to the Hohenberg-Mermin-Wagner theorem, the realisations of intrinsic magnetic order in truly two-dimensional materials have opened new avenues in the fundamental knowledge and exploited the same in spintronic applications. We have recently developed a long-range anisotropic Heisenberg model with relativistic exchange interactions obtained from the first-principles calculations. We demonstrate the crucial importance of magnetic interactions beyond the first neighbour to qualitatively and quantitatively reproduce many available experimental results and thus ascertain the predictive capacity of the spin model.
**Development of an in-house anisotropic Heisenberg Monte Carlo Code.** To study the magnetic phase transition in two-dimension and obtain the corresponding ordering temperature, we developed a Monte Carlo simulation with Heisenberg Hamiltonian. The code is implemented on various lattices, such as triangular and honeycomb lattices. At every Monte Carlo step, a random spin $S_i = (S_x, S_y, S_z)$ is selected, followed by an attempt to assign a new random direction in the three-dimensional space using the Marsaglia procedure. The Metropolis algorithm is employed with a single-site update scheme. At every temperature, we run $2 \times 10^8$ Monte Carlo steps to ensure thermal equilibrium, and 192 independent simulations are used to reduce the statistical fluctuation. The ferromagnetic ordering temperature is...
calculated by fitting the magnetic order parameter,
\[ m(T) = m_0 \left(1 - \frac{T}{T_C}\right)^\beta \]
, where \( \beta \) is the corresponding critical exponent.
**Controlling magnetism with external perturbations.** Due to the fundamental spin fluctuations in reduced dimensions, all the discovered materials operate at cryogenic temperatures hindering their potential utilisation in disruptive technologies. Therefore, the fundamental question of external manipulation of magnetism to achieve room-temperature ferromagnetism arises naturally. We demonstrated a remarkable ten-fold increase in Curie temperature to 310 K in the CrBr\(_3\) monolayer, which is electrically controlled. Charge doping of Mott insulating two-dimensional magnets away from the half-filling triggers a rich magnetic phase diagram, which explains the origin of such complex phases in detail. While applied lattice strain also modulates the magnetic exchange interactions, they are ineffective in tuning the ordering widely. We proposed that the reported electrically controlled magnetism could be utilised to design various energy-efficient spin devices such as spin-FET and magnetic tunnel junctions.
*Figure 2: Magnetic transition temperature in 2D can be tuned by external perturbations such as modulating the carrier density. We discover that under sufficient hole doping, the Curie temperature can be pushed to the room temperature, opening up enormous possibilities in disruptive technologies. Complex magnetic phase diagram calculated within the long-range anisotropic Heisenberg spin model.*
**Experimental collaborations.** During this period, we collaborated with a few experimental colleagues on various questions in quantum materials. We worked on (i) In collaboration with the group of Dr Ashna Bajpai we are investigating the ultrathin non-vdW honeycomb magnets with high spin-orbit coupling. Especially we are interested in the candidate materials for quantum spin liquids. For example, we add quantum electron confinement to the existing complexity and explore magnetism in ultrathin Na\(_2\)IrO\(_3\) layers. (ii) Photoresponse in vdW heterostructures (Dr Atikur Rahaman), We explained this observation through the reduced exciton binding under a high dielectric environment and corroborated the hypothesis by investigating exciton in MoS\(_2\) monolayer in the presence of 2D dielectrics such as h-BN and HfO\(_2\). Here, we used a simplified hydrogenic model in combination with the GW+BSE formalism. (iii) In collaboration with the group of Dr Sunil Nair we have investigated magnetism in triple perovskites. First-principles calculations, including spin-orbit coupling within the GGA + \( U \) + SOC formalism, predict a weakly \( b \)-canted AFM structure as the magnetic ground state for
the C2/c phase that agrees well with the magnetic structure derived from the neutron diffraction data.
Publications / Articles etc. link (If any)*:
Chandan K. Singh and Mukul Kabir, *Room-temperature ferromagnetism in two-dimensional CrBr$_3$*, Physical Review Materials 6, 084407 (2022)
Pooja Agarwal, Tanmay Maiti, Suvankar Purkait, Deepak Roy, Mukul Kabir, Arti Garg, Dulal Senapati, and Biswajit Karmakar, *Chemically Induced Surface Potential Modulation at Pd|Al2O3|Graphene Field Effect Transistors: Implications for Enhanced H2 sensing*, ACS Applied Nano Materials 5, 10941 (2022)
Chandan K Singh and Mukul Kabir, *Long-range anisotropic Heisenberg ferromagnets and electrically tunable ordering*, Physical Review B 103, 214411 (2021)
**Work presented in conference/s with photographs (if any):**
Anisotropic Heisenberg ferromagnets in 2D and electrically tunable ordering, APS March Meeting, 14-18 March 2022, Chicago
Manipulating magnetism in two-dimensions, Recent Trends in Condensed Matter Physics 2022, Indian Association for the Cultivation of Science, 25 February, 2022 Kolkata
Magnetism in ultrathin proximate quantum spin liquid Na2IrO3, Q-MAT, 18-22 September 2022, IIT Kanpur
Magnetism in quantum spin liquids, International Conference on Advanced Materials Synthesis, Characterization and Applications, 18-20 October 2022, SP Pune University
Quantum Magnetism in two-dimension, 28th Raman Memorial Conference, 17-18 February 2022, SP Pune University
We have studied sequence dependent folding motifs of the secondary structures of small peptides using various spectroscopic techniques such as solution phase FTIR, 2D NMR spectroscopy, X-ray crystallography and gas phase laser spectroscopy combined with quantum chemistry calculations. The secondary structures of peptides have a well-defined hydrogen-bonded network which is governed by the sequence of the amino acids. We have observed from combined experiments and theory that the Boc-Gly-DPro-NHBn-OMe peptide has an extended C5-C7 conformation whereas the Boc-DPro-Gly-NHBn-OMe peptide exists in folded C7-C7 conformation. We have done extensive calculations of the large number of the peptides using various levels of theories such as M06-2X/6-311++G(2d,2p), B3LYP-D3/def2-TVPPP, B97-D3/def2-TZVPP, and ωB97X-D/def2-TZVPP. The structures of the observed conformers of Boc-Gly-DPro-NHBn-OMe and Boc-DPro-Gly-NHBn-OMe peptides optimized at the M06-2X/6-311++G(2d,2p) level of theory are shown in Figure 1.
Figure 1. Structures of the observed conformers of Boc-Gly-DPro-NHBn-OMe and Boc-DPro-Gly-NHBn-OMe peptides optimized at the M06-2X/6-311++G(2d,2p) level of theory.
Exploring weak n°π* non-covalent interaction using gas phase laser spectroscopy and quantum chemistry calculations
Microhydration of Phenyl Formate: Gas-Phase Laser Spectroscopy, Microwave Spectroscopy, and Quantum Chemistry Calculations:
Figure 2. Conformational preference of phenyl formate monomer is retained in its monohydrated copl
We have investigated the structure of phenyl formate···water (PhOF···H2O) dimer and various non-covalent interactions present there using gas-phase laser spectroscopy and microwave spectroscopy combined with quantum chemistry calculations. Different conformers of the PhOF···H2O complex were optimized at different levels of density functional theory (DFT), i.e., B3LYP-D3(BJ), wB97X-D, and B97-D3, as well as MP2 level.
Study of unconventional hydrogen bond using gas phase laser spectroscopy and quantum chemistry calculations
We have studied the nature and strength of an unconventional S–H···O hydrogen bond in a 1:1 complex of 2-Fluorothiophenol (2-FTP) and H2O using gas-phase electronic and IR spectroscopy in combination with quantum chemistry calculations. Various low-energy conformers of the complex were optimized at the B3LYP-D3, M06-2X as well as MP2 levels of theory using various basis sets including 6-311++G(d,p), aug-cc-pVTZ and cc-pVTZ.
Figure 3. S-H...O hydrogen bond can take over the O-H...S hydrogen bond.
Publications:
Satish Kumar, Kshetrimayum Borish, Sanjit Dey, Jayashree Nagesh* and Aloke Das*, Sequence dependent folding motifs of the secondary structures of Gly-Pro and Pro-Gly containing oligopeptides, *Phys. Chem. Chem. Phys.*, **2022**, *24*, 18408-18418.
Prakash Panwaria, Marcos Juanes, Kamal Kumar Mishra, Rizalina Saragi, Kshetrimayum Borish, Imanol Usabiaga, Ander Camiruaga, Jose A. Fernandez*, Alberto Lessari*, and Aloke Das*, Microhydration of Phenyl Formate: Gas-Phase Laser Spectroscopy and Quantum Chemistry Calculations, *ChemPhysChem*, **2022**, e202200330.
Prakash Panwaria and Aloke Das*, Understanding n→π* non-covalent interaction from different experimental and theoretical approaches, *Phys. Chem. Chem. Phys.* **2022**, *24*, 22371-22389.
Surajit Metya and Aloke Das*, S-H...O hydrogen bond can win over O-H...S hydrogen bond: Gas-phase spectroscopy of 2-fluorothiophenol...H2O complex
**Title of the work carried out:**
Parallel scalable simulations of biological neural networks using TensorFlow Published in the journal Neurons, Behavior, Data Analysis and Theory
Invariant neural representations of fluctuating odor inputs
Steady odor streams are typically encoded as robust spatiotemporal spike trains by olfactory networks. This suggests a one-to-one mapping between the stimulus (an odor mixed in a steady stream of air) and its representation (a spatiotemporal pattern of spikes in a population of neurons) in the brain. Such a one-to-one mapping between an odor and a spatiotemporal pattern is unlikely to be accurate since natural odor stimuli change unpredictably over time. Odors arrive riding upon chaotically pulsed plumes of air and show unpredictable variation in concentration and in the composition of odorant molecules. These temporal changes often vary over time scales that are similar to the time scales of neural events thought to play a role odor recognition. In the absence of such temporal variations, animals are known to inject intermittency while sampling the odor suggesting that intermittent inputs might be a ‘feature’ not a ‘bug’. Here, we attempt to find the neural invariants of stable olfactory percepts using a computational model of the locust antennal lobe, the insect equivalent of the olfactory bulb in mammals. We show that when time-varying odor inputs intermittently perturb subsets of neurons in the antennal lobe network, the activity of the network reverberates in a manner that depends on both the nature of the inputs it receives and the structure of the neuronal sub-network that these inputs stimulate. We demonstrate that it is possible to decipher the structure of the perturbed sub-network by examining transient synchrony in the activity of the neurons. The ability to reconstruct the sub-network structure is vastly improved when odor inputs arrive or are sampled in an intermittent manner. Thus, the structure of the stimulated sub-network itself serves as a unique invariant code that represents the odor. Recent studies have shown that the response of individual projection neurons in the antennal lobe, to a particular odor, can be approximated using an odor-specific response kernel convolved with the temporal profile of the odor input. The parameters defining this kernel remain invariant to temporal changes in the profile of the input. Our simulations show that this invariance is inherited from the network structure.
**Information required for NSM (National Supercomputing Mission) users**
- Domain: Biology
- Subdomain: Computational Neuroscience
- Application: Python, C++, NEURON
**Title of the work carried out:**
Unconventional hydrogen bonds in aromatic complexes, folding motifs of di- and tri-peptides, intra- and intermolecular n-π* interaction
**Name & Designation of the Chief Investigator:** Dr. Aloke Das, Professor
**Email Id:** email@example.com
**Institute Name:** Indian Institute of Science Education and Research (IISER), Dr. Homi Bhabha Road, Pashan, Pune, Maharashtra, India-411008
Problem statement(s):
We perform quantum chemistry calculations of medium sized molecules (50-60 atoms) using Gaussian09, Gamess and other softwares. The results obtained from these calculations are extremely important to interpret our experimental data acquired from IR-UV laser based gas phase spectroscopy experiments. We calculate the optimized geometries and frequencies of various molecular systems in ground and excited electronic states using various DFT levels as well as MP2 level of theory. We also calculate the single point binding energies of molecules and complexes using CCSD(T) level of theory. TDDFT and CCSD(T) levels calculations are computationally expensive and demand more than 72 hours of job running time using the PARAM Brahma facility. Doing calculation at the CCSD(T) level of theory creates a scratch file up to 400 GB for one job and thus we can run only one CCSD(T) job at a time. Thus, the assigned memory for a single user should be increased further for performing more than one CCSD(T) calculation at a time.
Work carried, Milestone, Achievements & Graphs, Plots:
(a) Understanding the nature and strength of unconventional hydrogen bond: Herein, we are studying the strength and nature of unconventional hydrogen bonds using gas phase laser spectroscopy and quantum chemistry calculations. We synthesize various model complexes stabilized by unconventional hydrogen bonds using gas-phase supersonic jet-cooled experiment. In one of our recently published works (*J. Phys. Chem. Lett.* **2021**, 12, 1228-1235), we have investigated the nature of the S-H---S hydrogen bond by studying the 2-Chlorothiophenol...Dimethylsulphide complex (2-CTP...Me$_2$S).
(b) Sequence dependent folding motifs of peptides: We are studying the effect of the sequence of amino acids in peptides/proteins by studying Gly-Pro and Pro-Gly containing dipeptides. As these are relatively larger and flexible molecules, our experimental results demand detailed conformational search of these peptides using high level quantum chemistry calculation. Apart from that, we are calculating the excited states to get Franck-Condon simulated electronic spectra of many different conformers to match with the experimentally observed conformers of the peptides.
(c) Modulation of the strength of the n→π* interaction: n→π* interaction is one of the recently discovered non-covalent interactions. We are studying the modulation of this weak interaction by substituting various substituents with different electronic properties like various electron-donating groups (EDG) and electron-withdrawing groups (EWG) in various molecular systems. We are studying 1:1 complex of p-substituted pyridine with ketone/aldehyde like anisaldehyde, benzaldehyde, etc. For
this work, it is required to perform the calculation using various EDG (-OMe, -OH, -NMe$_2$, -NH$_2$, etc.) and EWG substituent (-NO$_2$, -Cl, -F, etc.).
**Publications / Articles etc.:**
1) Kamal K. Mishra, Kshetrimayum Borish, Gulzar Singh, Prakash Panwaria, Surajit Metya, M. S. Madhusudhan*, and Aloke Das*, Observation of an Unusually Large IR Red-Shift in an Unconventional S–H···S Hydrogen-Bond, *J. Phys. Chem. Lett.*, **2021**, 12, 1228 – 1235.
2) Moushakhi Ghosh, Prakash Panwaria, Srinu Tothadi, Aloke Das* and Shabana Khan*, Bis (silanetellurone) with C-H···Te Interaction *Inorg. Chem.* **2020**, 59, 23, 17811-17821
**Appreciation / Recognition (if any):** I have been invited to present my research work in conferences held in India as well as abroad (USA).
**Benefits & experience of using PARAM Brahma:** PARAM Brahma offers highly efficient and fast computing facilities. It helps to perform quantum chemical calculations, including couple cluster singles and doubles calculations (CCSD) (but only one job at a time), that provides data very close to the experimental values.
Any other relevant information (if any): PARAM Brahma is doing an excellent job in helping scientists in IIISER Pune as well as outside IIISER Pune to perform high quality theoretical work. It is required to have discussion with the users time to time for including some more softwares for performing various types of calculations required in different research areas.
**Information required for NSM (National Supercomputing Mission) users**
- Domain(s)*: Chemical Science
- Sub-domain(s): Physical chemistry
- Application name(s)*: Gas-phase laser spectroscopy to study non-covalent interactions using quantum chemical calculations
**Title of the work carried out:**
A) Effect of Protonation and Deprotonation on Electron Transfer Mediated Decay and
B) Experimental and Computational study
C) Insights into Chemical Reactions at the Beginning of the Universe: From HeH$^+$ to H$_3^+$
D) Understanding the role and function of prebiotic catalysts in chemical evolution: A Computational study
**Name & Designation of the Chief Investigator:** Dr. Kumar Vanka, Principal Scientist
**Email Id:** firstname.lastname@example.org
**Institute Name:** CSIR-National Chemical Laboratory (NCL), Pune 411008, India
**Problem statement(s):**
A) Oxidative addition of molecular hydrogen on a transition metal center, in particular, in the Ir(I) d8 systems such as Vaska’s complex\textsuperscript{1} or its variants, is a fundamental step in catalytic reactions including hydrogenation\textsuperscript{2} and hydroformylation.\textsuperscript{3} Several investigations on this reaction have unravelled a range of mechanisms of which the concerted oxidative addition of H\textsubscript{2} on Ir(I) fragments has been the focus of attention of many researchers.\textsuperscript{4-9} In an attempt to obtain further insights into the binding, activation, and cleavage of the H–H bond in the H\textsubscript{2} molecule, we have done computational investigations on an iridium pincer complex with labile co-ligands, which is different in terms of sterics and electronics in comparison to those that have been reported in the literature to date.
B) An interesting question of general interest is how small molecules had come into being at the beginning of the universe. A prominent school of thought holds that the formation of the first molecules occurred through recombination processes after the Big Bang nucleosynthesis.\textsuperscript{10} There have been several interesting experimental and computational studies where researchers have succeeded in making, as well as detecting, these small molecules (HeH\textsuperscript{+}, H\textsubscript{3}\textsuperscript{+}) mimicking conditions that would have existed at the beginning the universe.\textsuperscript{11} In our present study, we have tried to mimic the conditions in the early universe to show how the recombination process would have led to the formation of the first ever formed diatomic species of the universe: HeH\textsuperscript{+}, as well as the subsequent processes that would have led to the formation of the simplest triatomic species: H\textsubscript{3}\textsuperscript{+}.
C) What led to the origin of life is one of the most fundamental questions in science. Did it begin in the oceans of the earth, or can we trace its origins further back to an extraterrestrial comet, inside interstellar ice? If it began in the oceans of the earth, was it at the surface of the ocean, or do we have to probe deeper into the depths, and look at hydrothermal vents that existed on the ocean floor?\textsuperscript{12} These questions have spurred many investigations over the years, and several hypotheses have been put forward, such as the RNA world hypothesis and the metabolism-first principle, but a conclusive explanation remains elusive.\textsuperscript{13} What this work aims to do is find answers to these fundamental questions through a completely fresh, computational approach. We propose to start by looking at fundamental metabolic processes that define life, and trace their origins back to prebiotic times, while looking for the plausible prebiotic catalysts, which could have functioned as precursors to the current enzymes and metal complexes.
Work carried, Milestone, Achievements & Graphs, Plots:
A)
C) Understanding the role of prebiotic catalysts in chemical evolution: A Computational study:
Work under progress
Publications / Articles etc. link (If any)*:
A) Binding versus oxidative addition of molecular hydrogen on an iridium centre: an Experimental and Computational study
Manuscript under revision in ACS - “Organometallics”
B) Insights into Chemical Reactions at the Beginning of the Universe: From HeH⁺ to H₃⁺
Manuscript submitted to “Frontiers in Chemistry”
References:
1. Vaska, L.; DiLuzio, J. W. Activation of Hydrogen by a Transition Metal Complex at Normal Conditions Leading to a Stable Molecular Dihydride, J. Am. Chem. Soc. 1962, 84, 679-680.
2. Börner, A.; Holz, J. In Transition Metals for Organic Synthesis, Vol. 2; Beller, M., Bolm, C., Eds.; Wiley-VCH: Weinheim, Germany, 1998, p. 3-13.
3. Ojima, I.; Tsai, C.-Y.; Tzamarioudaki, M.; Bonafoux, D. In Organic Reactions; Wiley: Hoboken, NJ, 2000, vol. 56, p. 1-354.
4. Kubas, G. J. Metal Dihydrogen and σ-Bond Complexes: Structure, Theory and Reactivity; Kluwer: New York, 2001.
5. Esteruelas, M. A.; Oro, L. A. Dihydrogen Complexes as Homogeneous Reduction Catalysts, Chem. Rev. 1998, 98, 577-588.
6. Jessop, P. G.; Morris, R. H. Reactions of Transition Metal Dihydrogen Complexes, Coord. Chem. Rev. 1992, 121, 155-284.
7. Kubas, G. J. Molecular Hydrogen Complexes: Coordination of a Sigma Bond to Transition Metals, Acc. Chem. Res. 1988, 21, 120-128.
8. Johnson, C. E.; Eisenberg, R. Stereoselective Oxidative Addition of Hydrogen to Iridium(I) Complexes. Kinetic Control based on Ligand Electronic Effects, J. Am. Chem. Soc. 1985, 107, 3148-3160.
9. Deutsch, P. P.; Eisenberg, R. Stereochemistry of Hydrogen Oxidative Addition and Dihydride-transfer Reactions involving Iridium(I) Complexes, Chem. Rev 1988, 88, 1147-1161.
10. Meyer, B. S. Origin of the Elements: Nucleosynthesis in Stars. ACS Symp. Series. 2008, 981 (3), 39-60.
11. Oka, T. Interstellar H$_3^+$. Chem. Rev. 2013, 113, 8738-8761.
12. Sutherland, J. D., Opinion: Studies on the origin of life—the end of the beginning. Nature Reviews Chemistry 2017, 1 (2), 1-7.
13. Dyson, F., Origins of life. Cambridge University Press: 1999.
**Benefits & experience of using PARAM Brahma:**
The access to PARAM Brahma has helped us to carry out computational calculations in a very efficient manner. We have made significant progress in our research works and completed several collaborative projects in the last six months due to the supercomputer's multiple job submission facility, owing to its highly competent queuing system. We must note that no data loss has been occurred so far, which is appreciable considering the massive number of users accessing the facility. We would also like to thank the PARAM Brahma support team, who have been very helpful in solving our queries and issues. Access to this fast and reliable supercomputing facility under the NSM has boosted our research and helped us tremendously to compete in this fast-paced scientific era.
**Any other relevant information (if any):**
We would really love to have higher storage allocation than the current 200GB in /scratch directory. Bigger calculations like TD-DFT, and transition state calculations with higher level of theory are not being completed due to the storage issue, as they need relatively more scratch memory during the calculations. Please consider this as a sincere request.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s):** Chemical Sciences, Quantum Mechanics, Computational Sciences
- **Sub-domain(s):** Origin of Life, Organometallics, Main Group Chemistry
- **Application name(s):** Small Molecule Activation, Extra-terrestrial Chemistry, Prebiotic Chemistry
Title of the work carried out:
Support effects in Pd nanoclusters over graphenes and ceria surfaces for the oxidative addition of bromobenzene.
Name & Designation of the Chief Investigator:
Dr. Parag A. Deshpande, Associate Professor
E-mail Id:
email@example.com
Institution Name:
Indian Institute of Technology Kharagpur, Kharagpur, West Bengal, 721302
Problem statement(s):
a) Investigation on the immobilisation of small Pd clusters over defect-ridden graphene
b) Investigation on the immobilisation of small Pd clusters over Ceria surfaces.
c) Investigation into the activity of supported Pdn clusters (n = 3, 4) for the oxidative addition of bromobenzene.
Work carried, Milestone, Achievements & Graphs, Plots:
Surface diffusion barriers for the migration of (a) Pd3 and (b) Pd4 over double vacancy defected graphene
Binding energies for different configurations of Pd3 and Pd4 on graphene with and without microsolvation.
DFT optimized structures and energies for Pd4@CeO2(110): (a) surface structures with Pd4 clusters on site S1, (b) surface structures with Pd4 clusters on site S2, (c) binding energies
Oxidative addition barriers of bromobenzene over free and supported Pdn clusters.
**Publications / Articles etc. link (If any):**
d) Density functional theory study of the immobilisation and hindered surface migration of Pd3 and Pd4 nanoclusters over defect-ridden graphene: Implications for heterogeneous catalysis, [https://pubs.acs.org/doi/10.1021/acsanm.1c01661](https://pubs.acs.org/doi/10.1021/acsanm.1c01661)
e) DFT+U analysis of the stability of Pdn/CeO2 (n = 3; 4) [https://doi.org/10.1016/j.apsusc.2022.152948](https://doi.org/10.1016/j.apsusc.2022.152948)
f) DFT reveals the support effects in Pd nanoclusters over defect-ridden graphene for the oxidative addition of bromobenzene. Insights into the activity of CeO2 supported Pdn clusters (n = 3, 4) for the oxidative addition of bromobenzene. [https://doi.org/10.1016/j.apsusc.2022.156206](https://doi.org/10.1016/j.apsusc.2022.156206)
**Publisher:** ACS, Elsevier
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s):** Chemical Sciences, Atomic & Molecular Sciences, Material sciences Computational sciences
- **Sub-domain(s):** Computational catalysis
- **Application name(s)*:** Quantum espresso
**Work Report:**
**Title of the work carried out:**
Oxidation of aldehydes to carboxylic acids over geopolymer supported CuO
**Name & Designation of the Chief Investigator:**
Dr. Parag A. Deshpande, Associate Professor
**E-mail Id:**
firstname.lastname@example.org
**Institution Name:**
Indian Institute of Technology Kharagpur, Kharagpur, West Bengal, 721302
Problem statement(s):
- Studying the catalytic behaviour of geopolymeric catalytic models using DFT.
Work carried, Milestone, Achievements & Graphs, Plots:
Oxidation of aldehydes to carboxylic acids over geopolymer supported CuO
Publications / Articles etc. link (If any): https://doi.org/10.1016/j.mcat.2022.112911
Publisher: ACS, Elsevier
Information required for NSM (National Supercomputing Mission) users
- Domain(s): Chemical Sciences, Atomic & Molecular Sciences
- Sub-domain(s): Computational catalysis
- Application name(s): Gaussian16
Work Report:
Title of the work carried out:
Effect of solute distribution on the screw dislocation motion in bcc Fe-based systems
Name & Designation of the Chief Investigator:
Mr. Rakesh Kumar Barik, PhD Research Scholar, IIT Kharagpur
E-mail Id:
email@example.com
Institution Name:
Indian Institute of Technology, Kharagpur
Problem statement(s):
To study the effect of Ni and Cu concentration on the temperature sensitivity of flow stress of bcc Fe, we performed molecular dynamics (MD) simulation on random Fe-Ni and Fe-Cu alloys using LAMMPS code. Determination of flow stress in bcc Fe certainly requires the motion of screw dislocation. Since the screw dislocation motion at non-zero temperature involves kink-pair nucleation and migration events, it was necessary to consider a sufficiently large system containing a long dislocation. Besides, a large number of random solute distributions (at least five different random distributions) is ideally preferred for statistically predicting the flow stress sensitivity of random Fe-based alloys. Simulating such large systems for a wide range of temperature and considering different random solute distributions for each simulation temperature make the computation highly expensive and tedious.
**Work carried, Milestone, Achievements & Graphs, Plots:**
The above MD simulation results on random Fe-Ni and Fe-Cu alloys predict that Ni is more effective in reducing the temperature sensitivity of flow stress as compared to Cu by encouraging solid solution softening effect at low temperature regime. Reducing the flow stress sensitivity can help to improve the low temperature fracture toughness of steels.
**Publications / Articles etc. link (If any):**
The present manuscript has been submitted to ‘Computational Materials Science’, which is under review.
**Publisher:** Computational Materials Science
**Work presented in conference/s with photographs (if any):**
This work was presented at the 76th Annual technical meeting of the Indian Institute of Metals (IIM ATM 2022), held during 13th-16th November, 2022.
Benefits & experience of using PARAM Shakti:
The high-performance computation facilities provided by ‘PARAM Shakti’ has immensely helped to calculate the temperature sensitivity of flow stress in different random Fe-based alloys in a very short duration of time.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s):** Atomic & Molecular Sciences
- **Sub-domain(s):** Deformation behaviour of steel
- **Application name(s):** Structural, linepipe, automotive, naval and strategic applications.
Work Report:
**Title of the work carried out:**
Modelling the precipitation strengthening in austenitic stainless steel
**Name & Designation of the Chief Investigator:**
Mr. Sankalp Biswal, PhD Research Scholar, IIT Kharagpur
**E-mail Id:**
firstname.lastname@example.org; email@example.com
**Institution Name:**
Indian Institute of Technology, Kharagpur
**Problem statement(s):**
Precipitation strengthened austenitic stainless steel is used as a substitute for ferritic/martensitic steels in powerplant applications since they can be operated at higher temperatures. For this purpose, copper has been added in austenitic stainless steel since it improves the high temperature strength of the alloy by formation of nano meter scale copper precipitates. There has been no simulation study on the strengthening of copper precipitate in austenitic matrix. In this study, molecular dynamics (MD) simulation was performed using LAMMPS code to understand the interaction between an edge dislocation and copper precipitate in austenitic stainless steel.
**Work carried, Milestone, Achievements & Graphs, Plots:**
The above MD simulations were carried out to study the effect of precipitate size and spacing on the shear strength was studied. The mechanism controlling the shear strength was found to be either trailing partial detachment or leading partial detachment from the precipitate, which depends on the precipitate size and spacing. Besides, modulus misfit strengthening was found to be the prime
contributor to the overall strength of the present alloy. Based on the simulation results, the existing Russell-Brown model for modulus strengthening was modified for the present case. Some of the plots and images from the present simulation study supporting the above statements are given below.
Publications / Articles etc. link (If any): The manuscript is under preparation and will be submitted soon.
Work presented in conference/s with photographs (if any):
This work was presented at the Advanced Materials Processing, Advanced Steel Technology and Materials for Sustainability (AMPCO’22) conference held at IIT Roorkee held during 17th-19th October, 2022 and at the 76th Annual technical meeting of the Indian Institute of Metals (IIM ATM 2022), held during 13th -16th November, 2022.
Benefits & experience of using PARAM Shakti:
The high performance computation facilities provided by ‘PARAM Shakti’ has been immensely helpful in performing large number of simulations containing millions of atoms for modelling the precipitation strengthening in the steel.
Information required for NSM (National Supercomputing Mission) users
1.1 Domain(s): Atomic & Molecular Sciences
1.2 **Sub-domain(s):** Precipitation strengthening in metals and alloys
1.3 **Application name(s):** Structural applications, High temperature applications (powerplant and aerospace), Defence applications.
**Work Report:**
**Title of the work carried out:**
Effect of temperature on the deformation behaviour of FCC Ni-based systems
**Name & Designation of the Chief Investigator:**
Mr. Amir Hasan, PhD Research Scholar, IIT Kharagpur
**E-mail Id:**
firstname.lastname@example.org
**Institution Name:**
Indian Institute of Technology, Kharagpur
**Problem statement(s):**
To study the effect of Al and Nb concentration on the temperature sensitivity of flow stress of FCC Ni, we performed molecular dynamics (MD) simulation on random Ni-Al and Ni-Nb alloys using LAMMPS code. A large number of random solute distributions (at least five different random distributions) is ideally preferred for statistically predicting the deformation of random Ni-based alloys. Simulating such large systems for a wide range of temperature and considering different random solute distributions for each simulation temperature make the computation highly expensive and tedious.
**Work carried, Milestone, Achievements & Graphs, Plots:**
The above MD simulation results on random Ni-Nb-Al alloys predict the effect of Al, Nb and temperature on the flow stress of the alloy.
Benefits & experience of using PARAM Shakti:
The high-performance computation facilities provided by ‘PARAM Shakti’ has immensely helped to calculate the temperature sensitivity of flow stress in different random Fe-based alloys in a very short duration of time.
Information required for NSM (National Supercomputing Mission) users
1.4 Domain(s): Atomic & Molecular Sciences
1.5 Sub-domain(s): Deformation behaviour of Nickel alloy
1.6 Application name(s): Structural, aerospace, automotive, naval and strategic applications.
Work Report:
Title of the work carried out:
Effect of precipitates on strengthening and damage evolution in metallic alloys.
Name & Designation of the Chief Investigator:
Mr. Anmol Bakshi, PhD Research Scholar, IIT Kharagpur
E-mail Id:
email@example.com
Institution Name:
Indian Institute of Technology, Kharagpur
Problem statement(s):
There is an increasing demand for the development of high-temperature alloys in power generation and aerospace industries since the conversion of thermal energy into mechanical or other forms of energy is more efficient at elevated temperatures. Although steels and Ni-based superalloys are the most favoured for high-temperature applications due to superior strength and creep properties at elevated temperatures, there are certain applications where good conductivity is also required like high heat flux components in rocket engines. In the present work, a newly developed high-temperature Cu based alloy containing a small amount of Co and Al has been considered. It was found that the addition of Co and Al in Cu leads to the formation of fine coherent L12 Co3Al precipitates in the Cu matrix. Molecular dynamics simulation was performed to study the dislocation-precipitate interaction between an edge dislocation and an ordered L12 Co3Al precipitate in a Cu matrix. The effect of precipitate size and precipitate spacing on the critical shear stress for precipitate depinning along with the mechanisms involved in the strengthening in the present system has been investigated at different temperatures.
Work carried, Milestone, Achievements & Graphs, Plots:
In the present work, interaction of an edge dislocation with a Co3Al in Cu matrix is investigated using molecular dynamics simulation. Four different interatomic potentials have been used (as shown in figure 2 below). The variation of strength as a function of size, temperature, precipitate shear modulus and interparticle spacing of the precipitate have been computed. The main results can be summarized as follows:
The maximum value of stress is obtained when the leading partial is entering the precipitate which indicates repulsive interaction of the dislocation with the precipitate.
Critical stress is highly temperature-dependent at very low temperatures to room temperature (10K-300K) with the stress value reducing significantly with the increase in temperature. However, beyond 300K, the shear stress is found to be temperature insensitive, remaining more or less constant with temperature.
Critical shear stress for precipitate depinning increases with increasing precipitate radius.
There is no temperature dependence on the effect of precipitate radius on critical shear stress.
Strength is inversely proportional to the spacing between the precipitates in the slip plane.
Except for the highest shear modulus (115.8 GPa), the strengthening in all the other cases follows a trend with the order hardening in the system. Therefore, order strengthening may play a dominating role in this alloy system.
**Fig.1.** Variation of peak stress for 2 nm precipitate radius at different temperatures for different precipitate shear modulus.
Fig. 2. Critical positions of the dislocation during interaction of edge dislocation with precipitate radius of 2 nm at 300 K for different precipitate shear modulus (a) Potential-1 ($G_{p,0K} = 115.8$ GPa) (b) Potential-2 ($G_{p,0K} = 85.1$ GPa) (c) Potential-3 ($G_{p,0K} = 70.9$ GPa) (d) Potential-4 ($G_{p,0K} = 49.8$ GPa).
Fig. 3. Stress-strain curve for 2 nm precipitate radius with varying precipitate shear modulus at (a) 10 K (b) 100 K (c) 300 K (d) 500 K (e) 700 K (f) 900 K.
Benefits & experience of using PARAM Shakti:
The high-performance computation facilities provided by ‘PARAM Shakti’ has immensely helped to calculate the temperature sensitivity of flow stress in different random Fe-based alloys in a very short duration of time.
**Information required for NSM (National Supercomputing Mission) users**
1.7 **Domain(s)**: Atomic & Molecular Sciences
1.8 **Sub-domain(s)**: Deformation behaviour of metallic alloys.
1.9 **Application name(s)**: High temperature applications, naval and strategic applications.
**Work Report:**
**Title of the work carried out:**
1. A conceptual DFT and information-theoretic approach towards QSPR modeling in polychlorobiphenyls
2. Behavior of HF and (HF)2 inside a fullerene cage: An *in silico* study using different density functionals
3. Li4EPC: A metallo-organic electride comprising metal-nitrogen bonds
**Name & Designation of the Chief Investigator:**
Pratim Kumar Chattaraj and Anoop Ayyappan
**E-mail Id:**
firstname.lastname@example.org
**Institution Name:**
Indian Institute of Technology, Kharagpur
**Publications / Articles etc. link (if any):**
https://doi.org/10.1002/qua.26856, https://doi.org/10.1007/s10910-023-01457-9, https://doi.org/10.1002/qua.27067
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)***: Computational Quantum Chemistry
- **Application name(s)***: Chemical Sciences (Chemistry)
**Work Report:**
**Title of the work carried out:**
Structure elucidation of simple hydrocarbons through Global Optimization using Density Functional Theory and post HF methods
Name & Designation of the Chief Investigator:
Dr. Subhas Ghosal, Associate Professor
E-mail Id:
email@example.com
Institution Name:
National Institute of Technology Durgapur
Problem statement(s):
- Develop a new parallel module in the “Python program for aggregation and reaction” (PyAR) software to increase the efficiency to tackle the current problem.
- Generate the geometries of all combinations of hydrocarbon molecules using this modified algorithm, interfaced with available electronic structure calculation software (e.g. Gaussian, ORCA etc.). Compute the relevant thermodynamic parameters of all unique structures.
- Build a database of optimized geometry and other properties of all possible molecules of a particular C\textsubscript{n}H\textsubscript{m} composition.
Work carried, Milestone, Achievements & Graphs, Plots:
New Carbenes and Cyclic Allenes Energetically Comparable to Experimentally Known 1-Azulenylcarbene.
https://doi.org/10.1021/acsomega.2c03224
Theoretical Investigation on C\textsubscript{11}H\textsubscript{8} Bicyclic Carbene and Allene Isomers.
doi: 10.3389/fphy.2022.907466
Publications / Articles etc. link (if any)*:
- Roy, T.; Thimmakondu, V. S.; Ghosal, S., New Carbenes and Cyclic Allenes Energetically Comparable to Experimentally Known 1-Azulenylcarbene. ACS Omega 2022, 7 (34), 30149-30160.
- Roy, T.; Satpati, S.; Thimmakondu, V. S.; Ghosal, S. Theoretical Investigation on C\textsubscript{11}H\textsubscript{8} Bicyclic Carbene and Allene Isomers. Front. Phys. 2022, 10, No. 907466.
Publisher:
- American Chemical Society.
- Frontiers.
Work presented in conference/s with photographs (if any):
• ‘Potential Energy Surface of low-lying C\textsubscript{11}H\textsubscript{8} Carbenes’ - T. Roy, V. S. Thimmakondu and S. Ghosal as a poster in Theoretical Chemistry Symposium 2021 during December 11-14, 2021 in IISER Kolkata.
• ‘Low-lying structural isomers of C\textsubscript{5}H’ – S. Satpati, T. Roy, A. Anoop, V. S. Thimmamakondu and S. Ghosal as a poster in DAE-BRNS Symposium on Current Trends in Theoretical Chemistry (CTTC-2022) dated September 22-24, 2022.
• ‘New Carbenes and Cyclic Allenes below 1-azulenycarbene’ – T. Roy, V. S. Thimmakondu and S. Ghosal as a poster in DAE-BRNS Symposium on Current Trends in Theoretical Chemistry (CTTC-2022) dated September 22-24, 2022.
**Appreciation / Recognition (if any):**
• Have been invited to present my work at both National and International Conferences.
**Benefits & experience of using PARAM Shakti:**
The computational resources provided by the Param Shakti Super Computer through the NSM project were very helpful for prediction of numerous new molecules of different through PyAR software. The resources were particularly used for computationally intensive coupled cluster calculations and density functional theory calculations for large molecules.
**Information required for NSM (National Supercomputing Mission) users**
1.10 Domain(s)*:
1.11 Computational Physics
1.12 Quantum Mechanics
1.13 Astronomy & Astrophysics
1.14 Sub-domain(s): Quantum Mechanics, Atomic & Molecular Sciences
1.15 Application name(s)*: PyAR software for prediction of high energy molecular structures, CFOUR, Gaussian 09, ORCA, Quantum Espresso, XTB etc
**Work Report:**
**Title of the work carried out:**
Two-Dimensional unsteady Flow Simulation with Integrated Reservoir Operation using HEC-RAS Model
**Name & Designation of the Chief Investigator:**
Dr. Akshara Kaginalkar, Associate Director, HPC- S&EA Group, CDAC, Pune.
**E-mail Id:**
firstname.lastname@example.org
**Institution Name:**
Centre for Development of Advanced Computing, Pune
**Problem statement(s):**
High Performance Computing (HPC) can be used to develop accurate flood forecast and reservoir operation forecasts. HPC involves the use of supercomputers and high-end servers to perform
complex simulations and computations at a faster rate compared to traditional computing methods. The 2d simulation in windows machine takes longer time to get completed. Running the same on HPC will reduce the run time which helps in faster safety mitigation.
**Work carried, Milestone, Achievements & Graphs, Plots:**
The latest version of the HEC-RAS model 6.1 has been successfully ported to the Param Shakti cluster. Execution of quasi-operational run for 2022 flood events on Shakti cluster with 1 node (40 cores) took significantly less time compared to the same running on a windows system with 6 cores.
**Benefits & experience of using PARAM Shakti:**
PARAM Shakti has helped our team immensely to solve our research problems and considerably reduce the computational run time of simulations. We thank the PARAM Shakti support team for continuous support.
**Information required for NSM (National Supercomputing Mission) users**
1.16 **Domain(s)**: NSM – Urban Modelling Project
1.17 **Sub-domain(s)**: Hydrology
1.18 **Application name(s)**: Climate & Environment Sciences
**Work Report:**
**Title of the work carried out:**
CFD simulation of pressure wave refrigerators
**Name & Designation of the Chief Investigator:**
T. K. Nandi
**E-mail Id:**
email@example.com
**Institution Name:**
IIT Kharagpur
**Publications / Articles etc. link (If any):**
One paper communicated, another is under preparation
**Publisher:** Indian Journal of Cryogenics
**Work presented in conference/s with photographs (if any):**
A paper presented at NSCS-28, IIT Kharagpur
**Benefits & experience of using PARAM Shakti:**
It is highly beneficial. Its takes much less time for getting one solution. One Ph.D. student is working on the above-mentioned topic. He is feeling very comfortable.
**Information required for NSM (National Supercomputing Mission) users**
1.19 **Domain(s)**: Computational Fluid Dynamics
1.20 Sub-domain(s):
1.21 Application name(s)*: Cryogenic Refrigeration
Work Report:
Title of the work carried out:
Prediction of potential anode materials for sodium-ion batteries using DFT
Name & Designation of the Chief Investigator:
Malay Kumar Rana (Assistant Professor)
E-mail Id:
firstname.lastname@example.org
Institution Name:
Indian Institute of Science Education and Research (IISER) Berhampur, Govt. ITI Building Eng. School Junction, Berhampur, Odisha 760010
Problem statement(s):
One of the major challenges in developing Na-ion batteries (NIBs) is finding suitable anode materials. Na has the potential to replace Li and can be a part of energy storage NIBs. However, the anode materials used in Li-ion batteries are not applicable to NIBs. Employing density functional theory (DFT), we are searching for better anode materials for NIBs.
Work carried, Milestone, Achievements & Graphs, Plots:
Publications / Articles etc. link (If any) *:
- Tavinder Singh, Jyoti Roy Choudhury, Malay Kumar Rana, “α-graphyne as a promising anode material for Na-ion batteries: a first-principles study”, Nanotechnology, 34 (2023) 045404.
Benefits & experience of using PARAM Shakti:
PARAM Shakti has been helping us a lot in pursuing various research problems as a part of Ph.D. thesis works. Our research would not have been possible without this facility – no words that it has immensely helped my Ph.D. students. Thanks to the Shakti team for their prompt support on various fronts – software installation, resolving any technical issue to run a program, etc. In appreciation of their support, we express our deepest gratitude to them.
We look forward to their continued support.
**Any other relevant information (if any):**
The DFT calculations and other simulations we are performing are computationally intensive. We often require simulations to run for more than 72 hours at a time. Allowing jobs to run for a longer time as needed would be helpful.
PARAM Shakti is doing a great job. In light of its increasing demand, the Government should facilitate the expansion of the facility.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Chemical Sciences
- **Sub-domain(s)**: Material Science, Computational Chemistry, Computational Biology
- **Application name(s)**: Quantum Espresso, SIESTA, LAMMPS, GROMACS, GAUSSIAN, TURBOMOLE
**Work Report:**
**Title of the work carried out:**
Mechanistic insights into various type of transformations (including C-H activation and molecular logic gate)
**Name & Designation of the Chief Investigator:**
Dr. Gourab Kanti Das, Professor of Chemistry
**E-mail Id:**
email@example.com, firstname.lastname@example.org,
email@example.com
**Institution Name:**
Department of Chemistry, Siksha-Bhavana (Institute of Science), Visva-Bharati, Santiniketan, 731235, West Bengal, India.
**Problem Statement(s):**
Mechanistic insights of various C-H activation reactions as well as the detailed theoretical investigations on the understanding of molecular logic gate which include large molecular systems can be highly demanding and sound but at the same time the investigation requires computational facility.
**Work carried out, Milestone, Achievement and Graphs, Plots:**
Mechanism of Iridium (III)-complex catalyzed C-H activation
A mild C–H activation reaction catalysed by an Ir(III)-complex to generate chromones from salicylaldehydes at room temperature has been studied theoretically to explore the reaction mechanism.
The DFT study reveals that the key point of the catalytic cycle is cyclometallation, more precisely it is in the C–H metallation step where the significance of the metal becomes obvious. The favourable pathway includes several steps, namely, coordination of the substrate with the metal catalyst, O–H metallation, C–H metallation, denitrogenation, migration insertion, proton transfer, and demetallation. On removal of one pivalic acid, the metal is activated and the C–H metallation proceeds via oxidative addition followed by reductive elimination. The DFT study clearly indicated that, although there are two possibilities for cyclometallation, it only proceeds via O–H metallation followed by stepwise C–H metallation. The effect of substituents on the mechanism was also been studied. The low energetic span obtained for this catalytic cycle implies that the reaction can proceed at room temperature, and this is consistent with the experimental result.
Synthesis of an advanced metal-guided photochromic system for molecular keypad lock: detailed experimental findings and theoretical understanding.
The dye-containing Schiff base metal complex is a new member of the photochromic family with advantages, such as long-wavelength absorption, high molar absorption coefficient, large Stokes shift, facile synthesis, good photoresponse, and excellent fatigue resistance. The system is highly promising for the fabrication of simple devices such as photoprinting, photopatterning, and UV light sensing. In this work, an excellent metal-guided photochromic (MG-PC) material was synthesized using Rhodamine B hydrazide, trihydroxybenzaldehyde and Zn 2+ via Schiff base chemistry with a view to construct a molecular keypad lock. All the issues related to photochromism (photophysical properties, kinetics, thermodynamics, photostationary state, quantum yield, fatigue resistance and effect of various controlling factors) have been understood and tuned accordingly to achieve the target of a quick responsive MG-PC system. The significantly low activation energy (Ea = 27.53 kJ mol⁻¹) for the thermal bleaching justifies the achievement of the target. The MG-PC material involves photo-tautomerism (PT), which consists of photo-coloration (conversion of a pale green-yellow enol to a pink color keto form exclusively under UV light) and thermal bleaching (return back to original enol form under dark condition below the critical temperature, 50.1°C). The PT proceeds through the metal-guided excited state and ground state intramolecular proton transfer as evident from the large Stokes shift (Iex = 365 nm, Iem = 581 nm). Theoretical analyses (DFT, TD-DFT, PES, FMO, and others) provide deep insight into the mechanistic aspects, and help in understanding the experimental evidence. The present work attempts to solve the long-standing problem associated with the mechanistic path (the passage of proton transfer, transition states, FMO, etc.) involved in photochromism. The photo-responsiveness is categorized firmly for the first time as a photo-thermal reversible process (T-type). The developed system demonstrates a large scope to design molecular logic gates and keypad lock.
Publications
[1] Nandagopal Bar, Pranesh Chowdhury, Debrupa Biswas, Arindam Ray and Gourab Kanti Das, Synthesis of an advanced metal-guided photochromic system for molecular keypad lock: detailed experimental findings and theoretical understanding, New Journal of Chemistry, 46, 8284-8302 (2022) (doi: 10.1039/d1nj06158e). [https://doi.org/10.1039/D1NJ06158E]
[2] Poulami Pal and Gourab Kanti Das. Mechanistic insight highlights the key steps and significance of metal in Ir(III)-catalysed C-H activated chromones generation, Organic & Biomolecular Chemistry, 20, 9703-9721 (2022) (doi: 10.1039/d2ob01785g). [https://doi.org/10.1039/D2OB01785G]
Benefits and experiences of using PARAM Shakti
PARAM Shakti has immensely helped me in guiding my Ph.D. students as well as in many collaborative works. The help desk has been extremely cooperative and supportive throughout this journey. I would like to convey my deepest gratitude from the core of my heart to PARAM Shakti Team.
Any other relevant information (if any)
PARAM Shakti IIT Kharagpur has been wonderfully performing its job which helps the scientists as well as the researchers to carry out their computational investigation in various field of science. It also helps to improve the quality of research by providing the supercomputing facilities to pursue. I would like to appeal to the Govt. of India to allocate substantial funds to PARAM Shakti IITKGP in order to support them for their future endeavors, which includes upgrading their HPC systems.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s):** Chemical Sciences
- **Sub-domain(s):** Reaction Modeling, Reaction Mechanism, DFT
- **Application name(s):**
Software: Gaussian-09, Gaussian-16, GAMESS
Language: Python
Work Report:
Title of the work carried out:
QSim (Quantum Computer Simulator Toolkit)
Name & Designation of the Chief Investigator:
Lakshmi Eswari P R, Director C-DAC Hyderabad
E-mail Id:
firstname.lastname@example.org
Institution Name:
C-DAC Hyderabad
Problem statement(s):
- Optimization and benchmarking of the Quantum Simulator QSim
- GPU port for Quantum computer simulator (QSim)
- Providing the QSim platform to the students/researchers/academicians for quantum running simulations
Work carried, Milestone, Achievements & Graphs, Plots:
Quantum Computer Simulator Toolkit is one of the initiatives of Government of India to address the common challenge of advancing Quantum Computing research in India. The platform is available for access to researchers, faculties and students who want to explore Quantum Computing. It is an outcome of the project “Design and Development of Quantum Computer Toolkit (Simulator, Workbench) and Capacity Building”. This project is being executed collaboratively by C-DAC, IISc Bangalore, IIT Roorkee with the support of Ministry of Electronics and Information Technology (MeitY), GoI.
QSim allows researchers to explore and develop Quantum Algorithms and applications. These algorithms and applications can run without much modifications on actual Quantum Hardware when available in future. QSim is the gateway for Indian Scientists to take the country in direction of future demands of Computing Power.
QSim is accessible via web portal https://qctoolkit.in and is currently set up with the PARAM SHAKTI supercomputing machine as the backend. It has sparked intense interest among researchers/students/academicians from a variety of universities, as well as renowned scientific institutes such as DRDO Labs, ERNET, SETS India, and others. QSim has attracted several start-ups working in the field of quantum technologies as well as other sectors where quantum computing might play a significant role in the future. QSim has evolved into a platform for preparing people for the coming quantum age. The QSim portal currently has around 400+ users and is constantly receiving registrations from across India. It has been showcased in numerous events and workshops organised by C-DAC, IIT Roorkee, and other research laboratories from time to time.
QSim powered by PARAM SHAKTI as its backbone is serving as an important educational/research tool providing an excellent way to attract students / researchers to the field of Quantum Technology and provides a platform to acquire the skills of ‘programming’ as well as ‘designing’ real Quantum Hardware.
- Benchmarking and optimization of QSim is also being carried out on PARAM SAHAKTI
- GPU version of QSim is being tested on PARAM SHAKTI
About QSim
QSim: Quantum Computer Simulator Toolkit
Playground for anyone passionate to learn or experiment in quantum computing, be it students, faculty or researchers.
Launch Workbench
Appreciation / Recognition (if any):
QSim is country's first quantum computer simulator toolkit and it was launched by Hon’ble MoS, MeitY on 27th August 2021, and has enable researchers and students to carry out cost-effective research in quantum computing. Currently QSim is configured to run Quantum circuit simulations on PARAM SHAKTI.
Benefits & experience of using PARAM SHAKTI:
PARAM SHAKTI provides and serves as a very stable backbone of QSim.
Information required for NSM (National Supercomputing Mission) users
1.22 Domain(s)*: Quantum Computing
1.23 Application name(s)*: Quantum Computer Simulator
Work Report:
Title of the work carried out:
Numerical modelling of a pressure wave refrigerator
Name & Designation of the Chief Investigator:
Shariq Zafar, Research Scholar (IIT Kharagpur)
E-mail Id:
email@example.com
Institution Name:
IIT Kharagpur
Publications / Articles etc. link (If any)*: Not yet (I have just started using PARAM Shakti, and numerical simulations are not complete)
Benefits & experience of using PARAM Shakti: PARAM Shakti reduces the time of numerical work significantly. It has been very beneficial in speeding up my PhD work.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computational Fluid Dynamics
- Application name(s)*: Ansys
Work Report:
Title of the work carried out:
Finding plausible mechanisms of transition-metal catalyzed C–H bond functionalization via DFT studies
Name & Designation of the Chief Investigator:
Dr. Modhu Sudan Maji, Associate Professor
E-mail Id:
firstname.lastname@example.org
Institution Name:
Indian Institute of Technology Kharagpur, Kharagpur, West Bengal-721302.
Problem statement(s):
Studying large systems, which can be highly computationally intensive and demanding & also running some calculations for a long duration of time (say, more than 72 hrs).
Work carried, Milestone, Achievements & Graphs, Plots:
Cobalt(III)-catalyzed thiocarbamate directed aminocarbonylation and amination of C–H bond are described to access diverse amides. Biologically relevant pyrrolo[1,2-c]imidazoles were readily accessed via one-pot intramolecular cyclization at thiocarbamoyl directing group. Notably, C–N amidation proceeded smoothly with an elusive catalyst TON of 250 for this Cp*Co(III)-catalysis. Broad scope, scalability, and easy removal of DG are other key features of these methods. The mechanisms of these C–H amidation reactions were proposed through control experiments and DFT
calculations.
**Figure 1:** Computed Gibbs free energies profile (in kcal/mol) for the C–H amidation of pyrrole at the B3LYP(SMD)/Def2-TZVP/SDD//B3LYP/TZVP/SDD level.
*Along with this, we are also doing the detailed DFT calculations to determine the mechanisms of some other transition-metal catalyzed C–H bond functionalization reactions as well as Brønsted acid catalyzed reactions.*
**Publications / Articles etc. link (If any):**
*Shuvendu Saha, Modhu Sudan Maji*, “Cp*Co(iii)-catalyzed thiocarbamate-directed C–Haminocarbonylation, amination, and cascade annulation of pyrroles”, *Chemical Communications*, 58, 10865–10868. *(Impact factor: 6.065)*
**Publisher:** RSC
**Benefits & experience of using PARAM Shakti:**
*PARAM Shakti has helped me immensely in guiding my Ph.D. students on a wide range of research problems. The helpdesk has responded with great promptitude in installing different programs & modules required by us from time to time. In short, helpdesk has been remarkably supportive. We owe the deepest debt of gratitude to IIT Kharagpur and the support team of PARAM Shakti.*
**Information required for NSM (National Supercomputing Mission) users**
- Domain(s): Chemical Sciences
- Sub-domain(s): Organic Chemistry/ Reaction Mechanism
- Application name(s): Dr. Modhu Sudan Maji (Supervisor), Arya Bhattacharyya (Student), Minakshi Ghosh (Student), Abhisek Metya (Student), Susanta Bhunia (Student).
Work Report:
Title of the work carried out:
Mechanical reliability of monolayer MoS2 and WSe2
Name & Designation of the Chief Investigator:
Sankha Mukherjee, Assistant Professor
E-mail Id:
email@example.com
Institution Name:
Indian Institute of Technology Kharagpur, Kharagpur, West Bengal-721302.
Problem statement(s):
To integrate a high density of 2D transitional metal dichalcogenides (TMDs)-based transistors into next-generation electronic devices, one prerequisite is to ensure a low mechanical failure probability and consistent behavior under various loading conditions. However, through more than 300 nanomechanical experiments and 1,200 atomistic simulations, we reveal that monolayer MoS2 and WSe2 exhibit a large scatter in fracture strength and fatigue lifetime resembling common engineering ceramics (e.g., silicon nitride and silicon carbide) and soda-lime glass. Such low reliability is uncovered to originate from thermal fluctuations and the presence and variation of defects. As proposed and further demonstrated, mechanical proof testing can be a practical and effective approach to improve their reliability. It is expected that the reported mechanical reliability testing method and proof testing strategy can be readily applied to other 2D materials and thin films in general.
Work carried, Milestone, Achievements & Graphs, Plots:
Cui, T., S. Mukherjee, M. Onodera, M. Wang, G. Kumral, B. Islam, A. AkibullIslam, M. Shayegannia et al. "Mechanical reliability of monolayer MoS2 and WSe2." Matter 5(9), 2975-2989. Impact factor: 19.97
Publications / Articles etc. link (If any) *:
Cui, Teng, Sankha Mukherjee, Momoko Onodera, Guorui Wang, Boran Kumral, AkibullIslam, Moein Shayegannia et al. "Mechanical reliability of monolayer MoS2 and WSe2." Matter 5, no. 9 (2022): 2975-2989.
Publisher: Cell Press
Benefits & experience of using PARAM Shakti:
The assistance provided by PARAM Shakti has been extremely valuable to me in advising my Ph.D., Masters and UG students on various research issues. The support team has been consistently responsive in installing the necessary programs and modules as per our requirements, demonstrating excellent efficiency. In summary, the Support staff has been incredibly helpful, and we are sincerely grateful to the support team for their unwavering support. In future, an increment/upgrade in the computational resources at ParamShakti and similar HPC facilities across India will be immensely valuable for our researchers to conduct world class computational research in the materials field. This will also lead to many successful and strong international collaborations which will in turn produce a cohort of domestic personnel/professional ready to serve the nation in future.
Any other relevant information (if any):
Investigating large systems that could demand considerable computing power and carrying out computations that extend over a prolonged duration, such as going beyond 48 hours.
For this work, I collaborated with researchers from Canada, United States of America and Japan. Such a huge collaboration, with contributions coming from laboratories and personnel originating from several continents allowed us to answer a very fundamental question related to the mechanical properties of 2D transition metal dichalcogenides. MoS$_2$, WSe$_2$ have interesting electronic properties and are considered as potential candidate to replace Silicon and graphite in next generation electronic devices and rechargeable batteries. Our research revealed that these materials are brittle and the degree of brittleness is comparable to that of common glasses. Expensive density functional theory and molecular dynamics computations performed using the computing facilities at ParamShakti helped us unearth the fact that thermal fluctuations and variation of defects result in low reliability of these materials. The publication from this work was published in the journal ‘Matter’ by Cell Press, which is a prestigious house. The impact factor of this journal is ~20.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Materials Science
- Sub-domain(s): Computational Materials Science
Work Report:
Title of the work carried out:
Dual-resolution Integrative Models for Cell Membrane-Cytoskeleton Interactions
Name & Designation of the Chief Investigator:
Dr. Durba Sengupta, Assoc. Prof.
E-mail Id:
firstname.lastname@example.org
Institution Name:
CSIR-National Chemical Laboratory, Pune
Problem statement(s):
1. Develop and implement dual resolution (coarse-grain/atomistic) simulation methodologies for membrane-cytoskeleton simulations
2. Perform large length-scale simulations at dual resolution (coarse-grain/atomistic) incorporating lipids, proteins and water
3. Identify the molecular effects in membranes due to the cytoskeletal interactions
**Work carried, Milestone, Achievements & Graphs, Plots:**
We have tested the atomistic and CG model in order to validate the dual-resolution models. Molecular dynamics simulations have been performed in atomistic and CG detail. As per the project objectives, we have focused on the cofilin protein in water. Detailed comparisons between the atomistic and CG simulations have been performed.
Preliminary analysis shows that both atomistic and both CG representations are able to reproduce NMR chemical shifts. However, the water dynamics in the CG model is less well represented. We have tested two versions of the force-field (Martini2 and 3), including a recently published version (Martini3). We find that the water dynamics of the Martini 3 model varies distinctly from the atomistic simulations. Subsequently, we have focussed on the Martini2 model for the dual-resolution model. Similarly, complex membrane simulations were performed with membranes of 10 lipid types. The lipid fractions considered were from lipidomics studies to mimic natural membranes and the asymmetric membranes were set up to reduce the net stress in the two leaflets of the membrane. Coarse-grain simulations were performed to validate the lipid-protein interactions.
One of the main outcomes of the simulations was that no stable interactions were observed between cofilin and a model membrane. In contrast, actin-membrane simulations have been previously shown to occur in model membranes. We then considered a multi-component membrane mimicking natural membranes consisting of phospholipids (PC, PE), sphingolipids (glycosphingolipid, sphingomyelin), cholesterol and phosphotinisitol lipids (PI, PIP1, PIP2, PIP3).
The spatial density of lipid molecules around cofilin-1 in the membrane plane. The density distribution was independently calculated for the leaflet bound to cofilin-1 (intracellular) and the opposing (extracellular) leaflet. The plots correspond to the spatial density of (a) PI, (b) PIP 1, (c) PIP 2, (d) PIP 3 lipids in the intracellular leaflet.
Since such a complex membrane has not been tested before, we performed extensive CG simulations to validate the complex membrane and identify the interactions of cofilin with such complex membranes.
Please note that the setup of asymmetric complex membranes is itself challenging as the residual stress needs to be carefully balanced. Two main effects were observed in the membrane due to the interactions of cofilin: lipid...
demixing/phase separation and induced curvature. The specific interactions of cofilin with the PI/PIP lipids leads to lipid clustering in the vicinity and overall lipid demixing (Figure 1). Subsequently, the interactions of cofilin and clustering of PIP lipids leads to a distinct curvature at the site of cofilin binding.
**Publications / Articles etc. link (If any)**:
S Prakash, A Krishna, D Sengupta, 2022, Cofilin-Membrane Interactions: Electrostatic Effects in Phosphoinositide Lipid Binding, ChemPhysChem, e202200509.
**Publisher**: Wiley
**Benefits & experience of using PARAM Shakti**:
Param Shakti allows us to sample these complex biomolecular systems at time- and length-scales not possible in our individual institute computing resources.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Computational Biology
- **Sub-domain(s)**: Protein dynamics and Protein-lipid interactions
- **Application name(s)**: Gromacs
**Work Report:**
**Title of the work carried out**:
Molecular Dynamics simulations of electrolyte systems for lithium-ion batteries
**Name & Designation of the Chief Investigator**:
Prof. Subhasish Basu Majumder, Professor
**E-mail Id**:
email@example.com
**Institution Name**:
Indian Institute of Technology Kharagpur
**Problem statement(s)**:
Pair-Distribution Analysis, Cluster Analysis, Residence-time analysis, and calculations of transport properties of new electrolyte systems for lithium-ion batteries with improved properties over commercially available ones
**Work carried, Milestone, Achievements & Graphs, Plots**:
- Establishment of generalized solubility limit approach in superconcentrated electrolytes for lithium-ion batteries. The results indicate a high potential of superconcentrated electrolytes to mitigate active-material dissolution issues in vanadium-based cathode materials. Results are validated experimentally as well.
Current work includes modifications to the superconcentrated electrolytes to tune the transport properties, and make them compatible with commercial components.
**Publications / Articles etc. link (if any)**:
- Mitra, A., Gilankar, A., Das, S., Jena, S., Das, D., Majumder, S. B., & Das, S. (2022). The generalized solubility limit approach for vanadium based cathodematerials for lithium-ion batteries. *Journal of Materials Chemistry A*, 10(21), 11636–11650.
- Mitra, A., Das, S., Das, D., Majumder, S. B., & Das, S. (2021). Effect of salt concentration on the solubility, ion-dynamics, and transport properties of dissolved vanadium ions in lithium-ion battery electrolytes: Generalized solubility limit approach (Part II). *arXiv preprint arXiv:2111.14591*.
**Publisher**: Journal of Materials Chemistry A (Royal Society of Chemistry), arXiv
**Work presented in conference/s with photographs (if any)**: 239th ECS Meeting
**Benefits & experience of using PARAM Shakti**:
PARAM Shakti has been instrumental in carrying out almost all of our computational tasks for research and development, since our labs are not equipped with dedicated clusters. PARAM Shakti launched during the Covid-19 lockdown, which helped my students to take up different
problem statements, and work on them during the lockdown. After realizing the ease of doing computational studies on PARAM Shakti, we plan to fully utilize this resource for providing a theoretical backing to our experimental research.
**Information required for NSM (National Supercomputing Mission) users**
- Domain(s)*: Material Sciences
- Sub-domain(s): Electroceramics, Electrochemistry
- Application name(s)*: Batteries, Gas Sensors
**Work Report:**
**Title of the work carried out:**
Cu-doping induced phase transformation in CsPbI$_3$ nanocrystals with enhanced structural stability and photoluminescence quantum yield
**Name & Designation of the Chief Investigator:**
Prof. Samit K. Ray, Professor, Dept. of Physics and Prof Sanjeev Kumar Srivastava, Professor, Dept. of Physics
**E-mail Id:**
firstname.lastname@example.org
**Institution Name:**
Indian Institute of Technology Kharagpur
**Problem statement(s):**
To investigate the structural and optical changes in perovskite CsPbI$_3$ on doping with different percentages of Cu atoms
**Work carried, Milestone, Achievements & Graphs, Plots:**
I have found out the band structure, partial density of states (PDOS) and charge distribution of CsPbI$_3$ before and after doping using Quantum Espresso on HPC.
(a) Band structure, (b) PDOS, (c) modelled atomic structure and (d) 2D charge density contour map of undoped CsPbI$_3$. (e) Band structure, (f) PDOS, (g) modelled atomic structure and (h) 2D charge density contour map of 5.6% Cu-doped CsPbI$_3$ centred at
Publications / Articles etc. link (if any)*:
“Cu-doping induced phase transformation in CsPbI$_3$ nanocrystals with enhanced structural stability and photoluminescence quantum yield” - To be published in ACS Chemistry of Materials
Publisher: American Chemical Society
Work presented in conference/s with photographs (if any):
Poster presented on “Doping-induced phase transformation on all-inorganic perovskite CsPbI$_3$ with enhanced structural and optical stability” at the IEEE, 6th International Conference on Emerging Electronics (ICEE), 2022, Bangalore, India
Benefits & experience of using PARAM Shakti:
It is a great facility that we can avail and I have received commendable support by opening tickets – very helpful service. However, it would be really good if the wall time for running jobs is increased as I have big systems to work on.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Material Sciences
- Sub-domain(s): Optoelectronic devices
- Application name(s)*: Finding band structure, Partial density of states and charge distribution for different materials using Quantum Espresso
Work Report:
Title of the work carried out:
Explicit role of spin-vibronic interaction on thermally activated delayed fluorescence
Name & Designation of the Chief Investigator:
Swapan Chakrabarti
E-mail Id:
email@example.com
Institution Name:
Department of Chemistry, University of Calcutta, 92 APC Road, Kolkata 700009
Problem statement(s): Development of methods and MPI Parallelized codes for studying non-radiative quantum dynamical processes and subsequent application on large molecular systems (highly CPU intensive).
Work carried, Milestone, Achievements & Graphs, Plots:
Intersystem crossing induced coupling driven vibrational coherence transfer reverse intersystem crossing
Appendix
Publications / Articles etc. link (If any):
1. Spin-vibronic interaction induced reverse intersystem crossing: A case study with TXO-TPA and TXO-PhCz molecules, Pijush Karak, Kenneth Ruud, Swapan Chakrabarti, *J. Chem. Phys.* 157, 174101 (2022)
2. Demystifying the Origin of Vibrational Coherence Transfer Between the S1 and T1 States of the Pt-pop Complex, , Pijush Karak, Kenneth Ruud, Swapan Chakrabarti, *J. Phys. Chem. Lett.* 12, 9768–9773, (2021)
3. Photophysics of uracil: an explicit time-dependent generating function-based method combining both nonadiabatic and spin-orbit coupling effects, , Pijush Karak, Torsha Moitra, Kenneth Ruud, Swapan Chakrabarti, *PhysChemChemPhys* (Under revision), 2023
Publisher: American Institute of Physics, American Chemical society
Work presented in conference/s with photographs (if any):
Invited Talk at Theoretical Chemistry Symposium (TCS), 2021, IISER, Kolkata
Appreciation / Recognition (if any): Received invitation to deliver talk in the meeting of
1) Asia-Pacific Association for Theoretical and Computational Chemists (19-23 February, 2023, Vietnam)
2) 26th International Workshop on Quantum Systems in Chemistry, Physics, and Biology (QSCP-XXVI) (October 14-20, 2023, Jaipur, India)
Benefits & experience of using PARAM Shakti:
I am immensely benefitted from Param Shakti and my current research is mostly dependent on this facility. Since we are developing methods that are highly sophisticated and running our in-house developed code on single processor machine sometimes take more than a month for getting only one number. In the present circumstances, our MPI parallelized codes running on Param Shakti perform spectacularly.
Any other relevant information (if any):
During the last two years, we have developed methods and three different codes and two of which have already been open-sourced through GitHub and we are currently doing large-scale computation to solve experimentally observed complex
quantum dynamical processes and therefore I appeal for the continuation of Param Shakti resources. Furthermore, to cater the requirement of users, I believe that Govt. of India should provide more financial support to Param Shakti and finally I appreciate CDAC's tireless effort to support the users of this facility.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s):** Quantum Mechanics
- **Sub-domain(s):** Ultrafast quantum Dynamics
- **Application name(s):** Swapan Chakrabarti
---
**Work Report:**
**Title of the work carried out:**
Computational Investigations of the conformational and Interfacial Properties of Biomolecules in Different Solvent Media
**Name & Designation of the Chief Investigator:**
Prof. Sanjoy Bandyopadhyay
**E-mail Id:**
firstname.lastname@example.org
**Institution Name:**
Indian Institute of Technology Kharagpur, Kharagpur, 721302
**Problem statement(s):**
Microscopic Investigation of large systems that are computationally expensive.
**Work carried, Milestone, Achievements & Graphs, Plots:**
A. Microscopic Understanding of the Effects of Ionic Liquids on Protein from Molecular Simulation Studies
We have performed molecular dynamics (MD) simulations of the protein $\alpha$-lactalbuminin aqueous solution containing the ionic liquid (IL) 1-butyl-3-methylimidazolium tetrafluoroborate ([BMIM][BF4]) as the co-solvent at different concentrations. Attempts have been made to obtain quantitative understanding of the effects of the IL on the conformational features of the protein as well as the distributions of the IL and water around it. The calculations revealed enhanced rigidity of the protein with reduced conformational fluctuations and increasingly correlated local motions in the presence of the IL. Non-uniform relative population of the BMIM$^+$ and BF4$^-$ ions at the protein surface with respect to that
in the bulk solution has been observed. It is demonstrated that exchange of water by the IL around the protein results in rearrangement of the hydrogen bond network at the interface with breaking of protein–water hydrogen bonds and formation of protein–IL hydrogen bonds. Importantly, it is found that the protein forms increased number of stronger salt bridges in the presence of IL. This shows that the formation of a greater number of such stronger salt bridges is the origin behind the enhanced rigidity of the protein in the presence of the IL.
B. Contrasting Effects of Ionic Liquids of Varying Degree of Hydrophilicity on the Conformational and Interfacial Properties of a Protein
*Ionic liquids (ILs), depending on their cation–anion combinations, are known to influence the conformational properties and activities of proteins in a nonuniform manner. To obtain microscopic understanding of such influence, it is important to characterize protein–IL interactions and explore the modified solvation environment around the protein. In this work, MD simulations of the globular protein α-lactalbumin have been carried out in aqueous IL solutions containing 1-butyl-3-methylimidazolium cations (BMIM⁺) in combination with a series of anions with varying degree of hydrophilicity, namely, hexafluorophosphate (PF₆⁻), ethyl sulfate (ETS⁻), acetate (OAc⁻), chloride (Cl⁻), dicyanamide (DCA⁻), and nitrate (NO₃⁻). The calculations revealed that ILs with hydrophobic and hydrophilic anions have contrasting influence on conformational flexibility of the protein. It is further observed that the BMIM⁺ cations exhibit site-specific orientations at the interface depending on the hydrophilicity of the anion component. Most importantly, the results demonstrated enhanced propensity of hydrophilic ILs to replace relatively weaker protein–water hydrogen bonds by stronger protein–IL hydrogen bonds at the protein surface as compared to the hydrophobic ILs. Such breaking of protein–water hydrogen bonds at a greater extent leads to greater loss of water hydrating the protein in the presence of hydrophilic ILs, thereby reducing the protein’s stability.*
C. Dynamic Heterogeneity at the Interface of a Protein in Aqueous Ionic Liquid Solutions
Room temperature MD simulations of the globular protein α-lactalbumin in aqueous solutions containing BMIM (1-butyl-3-methylimidazolium) based ionic liquids (ILs) with a series of Hofmeister anions have been carried out. In particular, effects of anions of different shapes/sizes and hydrophobic/hydrophilic characters, namely, thiocyanate (SCN⁻), dicyanamide (DCA⁻), methyl sulfate (MS⁻), triflate (TFO⁻), and bis(trifluoromethane)sulfonimide (TF2N⁻) on the heterogeneous dynamic environment at the interface around the protein have been explored. The calculations revealed exchange of population between water and IL cation–anion components beyond the first layer of bound water molecules at the protein surface. Further, increasingly restricted diffusivity of the IL components and water around the protein has been found to be associated with a longer time scale for the onset of dynamic heterogeneity at the interface. Restricted diffusivity of water at the interface in the presence of the ILs has been found to be correlated with the longer time scale of structural relaxations of protein–water hydrogen bonds at the interface. More importantly, the time scale associated with the reorientations of the anions has been found...
to be anticorrelated with their translational diffusivity, with the effect being more at the interface as compared to the bulk IL solutions. It is demonstrated that the non-uniform ability of the anions to form hydrogen bonds with water due to their differential shapes and hydrophilic characters is the origin of such anticorrelation.
D. Exploring the Conformational Fluctuations of the Aβ42 Peptide in Monomeric State in Aqueous Ionic Liquid Mixtures
Aggregation of intrinsically disordered proteins (IDPs) is often triggered by protein–protein interaction, leading to several neurodegenerative diseases. In this study, we explored the role of 1-butyl-3-methylimidazolium tetrafluoroborate [BMIM][BF4] ionic liquid (IL) on altering secondary structure of the peptide and study the interactions responsible for their conformational modification. The structural features of an ensemble of amyloid beta (Aβ42) peptide monomers have been studied by employing all-atom MD simulations in aqueous IL solutions at room temperature. Our calculations revealed that the Aβ42 peptide exhibits rapidly inter-converting conformations adopting extended chain as well as collapsed coil-like structures with a propensity to form few transient α-helices and β-sheets at intermediate times. We have correlated this higher flexibility of the peptide with formation of less stable salt-bridge in presence of IL in aqueous solution. It is found that water molecules around the polar regions are more structured imparting structural rigidity to the peptide backbone than around the hydrophobic domains. Thus identifying the effect of electrostatic interaction of IL on expulsion of water molecules from the polar domains on the peptide surface can shed light on preventing the aggregation process. We have also determined the most energetically stable peptide conformations from various accessible intermediate states using metadynamics simulations that are characterized by the rugged free energy surface having multiple energy basins.
E. Dynamic Heterogeneity at the Interface of an Intrinsically Disordered Peptide
It is believed that water around an IDP in an aqueous environment plays an important role in guiding its conformational properties and aggregation behavior. However, despite its importance, only a handful of studies exploring the correlation between the conformational motions of an IDP and the microscopic properties of water at its surface are reported. Attempts have been made in this work to study the dynamic properties of water present in the vicinity of α-synuclein, an IDP associated with Parkinson’s disease (PD). Room temperature MD simulations of eight α-synuclein1–95 peptides with a wide range of initial conformations have been carried out in aqueous media. The calculations revealed that due to solid-like caging motions, the translational and rotational mobility of water molecules near the surfaces of the peptide repeat unit segments R1 to R7 are significantly restricted. A small degree of dynamic heterogeneity in the hydration environment around the repeat units has been observed with water near the hydrophobic R6 unit exhibiting relatively more restricted diffusivity. The time scales involving the overall structural relaxations of peptide–water and water–water hydrogen bonds near the peptide have been found to be correlated with the time scale of diffusion of the interfacial water molecules. We believe that the relatively more hindered dynamic environment near R6 can help create water-mediated contacts centered around R6 between peptide monomers at a higher concentration, thereby enhancing the early stages of peptide aggregation.
F. Impact of an Ionic Liquid on Amino Acid Side Chains
Ionic liquids (ILs) are known to modify the structural stability of proteins. The modification of the protein conformation is associated with the accumulation of ILs around the amino acid (AA) side chains and the nature of interactions between them. To understand the microscopic picture of the structural arrangements of ILs around the AA side chains, room temperature MD simulations have been carried out in this work with a series of hydrophobic, polar and charged AAs in aqueous solutions containing the IL 1-butyl-3-methylimidazolium tetrafluoroborate ([BMIM][BF4]) at 2 M concentration. The calculations revealed distinctly non-uniform distribution of the IL components around different AAs. In particular, it is demonstrated that the BMIM⁺ cations preferentially interact with the aromatic AAs through favorable stacking interactions between the cation imidazolium head groups and the aromatic AA side chains. This results in preferential parallel alignments and enhanced population of the cations around the aromatic AAs. The potential of mean force (PMF) calculations revealed that such favorable stacking interactions provide greater stability to the contactpairs (CPs) formed between the aromatic AAs and the IL cations as compared to the other AAs. It is further quantified that for most of the AAs (except the cationic ones), a favorable enthalpy contribution more than compensates for the entropy cost to form stable CPs with the IL cations. These findings are likely to provide valuable fundamental information toward understanding the effects of ILs on protein conformational stability.
Publications / Articles etc. link (If any) *:
A. K. P. Ghanta, T. Pal, S. Mondal, and S. Bandyopadhyay J. Phys. Chem. B 2020, 124, 3909–3921
B. K. P. Ghanta, S. Mondal, S. Mondal, and S. Bandyopadhyay J. Phys. Chem. B 2021, 125, 9441–9453
C. K. P. Ghanta, S. Mondal, and S. Bandyopadhyay J. Phys. Chem. B 2022, 126, 7271–7285
D. T. Pal, S. Sahoo, K.P. Ghanta, and S. Bandyopadhyay J. Mol. Liq. 2022, 368, 120779
E. S. Mondal, K.P. Ghanta, and S. Bandyopadhyay J. Chem. Inf. Model. 2022, 62, 1942–1955
F. K. P. Ghanta, S. Mondal, T. Hajari, and S. Bandyopadhyay https://doi.org/10.1021/acs.jcim.2c01310
Publisher: ACS, Elsevier
Benefits & experience of using PARAM Shakti:
PARAM Shakti supercomputing platform has been extremely useful for successfully carrying out such large-scale simulations involving complex bio-molecules, such as proteins. We gratefully acknowledge the PARAM Shakti support team, who helped us to overcome all challenges in successfully installing and executing the software codes used in our work. We also thank CDAC, Pune for the continuous support provided by them to the users.
Work Report:
Title of the work carried out:
Numerical investigation of heat transfer performance of a cryogenic pulsating heat pipe.
Name & Designation of the Chief Investigator:
Abhinav Singh, Research Scholar
E-mail Id:
email@example.com
Institution Name:
Cryogenic Engineering Centre, Indian Institute of Technology Kharagpur, 721302, West Bengal
Problem statement(s):
To investigate the phase-change heat transfer in a pulsating heat pipe for cryogenic applications.
Work carried, Milestone, Achievements & Graphs, Plots:
Volume fraction contour of a single loop cryogenic pulsating heat pipe. Nitrogen is the working fluid (red: liquid, blue: vapour).
**Work presented in conference/s with photographs (if any):**
Poster presentation at the 28\textsuperscript{th} National Symposium in Cryogenics and Superconductivity (NSCS-28)
**Benefits & experience of using PARAM-Shakti:**
*The PARAM-Shakti has helped me immensely in performing the two-phase numerical simulations. The computational cost has been reduced by a significant amount. Also, the helpdesk team of PARAM-Shakti has responded very well to my queries and issues during my usage. I owe my most profound sense of gratitude towards the National supercomputing Mission (NSM) and to the facility of PARAM-Shakti and its helpdesk support.*
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s):** Computational Fluid Dynamics
- **Application name(s):** Medical applications in MRI systems, space application for cooling infrared cameras.
**Work Report:**
**Title of the work carried out:**
DNS and LES of compressible flows with and without shocks
**Name & Designation of the Chief Investigator:**
Dr Somnath Ghosh, Associate Professor, Aerospace Engineering
**E-mail Id:**
Institution Name:
IIT Kharagpur
Problem statement(s):
The objective is to perform DNS and LES of compressible internal flows with shocks.
Work carried out, Milestone, Achievements & Graphs, Plots:
DNS of shock train in channel flow using bandwidth-optimized WENO schemes. Simulations were performed on 256 cores using near 7.5 million grid points. Computational time: Around 6 months
LES of shock train in a convergent-divergent nozzle using adaptive filtering near the shocks.
Publications / Articles etc. link (If any)*:
- Kumar S and Ghosh S, 2022, Application of bandwidth-optimized WENO schemes to DNS of shock–turbulence interaction problems, Shock waves, 32:69–102, https://doi.org/10.1007/s00193-021-01052-4
- Agneev Roy and Somnath Ghosh, 2022, LES of shock-turbulence interaction in a bell-shaped convergent divergent nozzle, in Aerospace and associated Technology, Proceedings of the Joint Conference of ICTACEM 2021, APCATS 2021, AISAЕ 2021 and AeSI 2021, https://doi.org/10.1201/9781003324539
Publisher: Springer, Taylor and Francis
Work presented in conference/s with photographs (if any):
Joint Conference of ICTACEM 2021, APCATS 2021, AISAЕ 2021 and AeSI 2021, at IIT Kharagpur
Benefits & experience of using PARAM Shakti:
The present numerical simulations would have been impossible to perform without
the Paramshakti. The system has been running quite stably over the past couple of years resulting in generation of valuable data.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Computational Fluid Dynamics
- **Sub-domain(s)**: DNS, LES
- **Application name(s)**: In-house code written in Fortran, uses MPI
**Work Report:**
**Title of the work carried out:**
Computational Chemistry: Applications in Molecular Biology and Molecular Physics
**Name & Designation of the Chief Investigator:**
Dr. Sabyashachi Mishra, Department of Chemistry
**E-mail Id:**
**Institution Name:**
IIT Kharagpur
**Objectives**
- Hybrid QM/MM Investigation of the Role of Metal Ions in the Substrate Binding and Catalysis of the Microbial Enzyme DapE
- Microscopic Behavior of Iodotyrosine Deiodinase: From Substrate to Product Bound State
- Ligands-Induced Open-Close Conformational Change during DapE Catalysis
- Optoelectronic properties of π-conjugated polymers through non-covalent interactions
- Spin-Vibronic Coupling in the Quantum Dynamics of a Fe(III) Complex
- Spin-State Energetics and Magnetic Anisotropy in Penta-coordinated Fe(III) Complexes with Different Axial and Equatorial Ligand Environments
- Applications of Variational Quantum Algorithms in Quantum Chemistry
- Thermal Spin Transition in [Co(terpy)$_2$][BF$_4$]$_2$: A Density Functional and Wave Functional Study
**Publications**
The following publications from our group have acknowledged the usage of Paramshakti resources.
1. Deciphering the Role of the Two Metal-Binding Sites of DapE Enzyme via Metal Substitution
A. Paul and **S. Mishra**
*Comput. Biol. Chem.* 103 (2023) 107832.
2. Ligands-Induced Open-Close Conformational Change during DapE Catalysis: Insights from Molecular Dynamics Simulations
S. Muduli and **S. Mishra**
3. Synthesis and Application of Dual Electron-Deficient Featured Copolymers and their Sequential Fluorination for Ambipolar Organic Thin Film Transistors
D. Patra, X. Zhan, R. Linthoinganbi, S. Muduli, **S. Mishra**, Y. Liu, and S. Park
*J. Mat. Chem. C* 11 (2023) 1457–1463.
4. Spirocyclic rhodamine B benzoisothiazole derivative: A multi-stimuli fluorescent switch manifesting ethanol-responsiveness, photo responsiveness, and acidochromism
B. Himabindu, M. Nath, **S. Mishra**, S. Jayanty
*RSC Adv.* 13 (2023) 5134.
5. Self-Assembling Behaviour of Perylene, Perylene Diimide, and Thionated Perylene Diimide Deciphered through Non-Covalent Interactions
S. Parida, S. K. Patra, and **S. Mishra**
*ChemPhysChem* (2022) e202200361.
6. Spin-Vibronic Coupling in the Quantum Dynamics of a Fe(III) Trigonal Bipyramidal Complex
K. K. Dakua, K. Rajak, and **S. Mishra**
*J. Chem. Phys.* 156 (2022) 134103.
7. Identification of potential inhibitors against FemX of Staphylococcus aureus: A hierarchial in-silico drug repurposing approach
S. Rahman, K. Rajak, **S. Mishra**, and A. K. Das
*J. Mol. Graph. Model.* 115 (2022) 108215.
8. Transition-Metal Phthalocyanines as Redox Mediators in Li-O2 batteries: A Comprehensive Study on the Influence of 3d Electrons in Redox Mediation
S. Mandal, R. N. Samajdar, S. Parida, **S. Mishra**, and A. J. Bhattacharyya
*ACS Appl. Mater. Interfaces* 14 (2022) 26714.
9. Modulation of Electrochemical and Spectroscopic Properties in Ru(II)-Terpyridyl End-capped Ho-mobimetallic Organometallic Complexes by Varying π-Conjugated Organic Spacers
A. Sil, S. S. Roy, V. K. Mishra, S. N. Islam, **S. Mishra**, and S. K. Patra
*Chemistry Select* 7 (2022) e202200152.
10. Metal–Ion Promiscuity of Microbial Enzyme DapE at its Second Metal Binding Site
A. Paul and **S. Mishra**
*J. Biol. Inorg. Chem.* 26 (2021) 569–582.
11. Pomegranate Peel Polyphenols Prophylaxis against SARS-CoV-2 Main Protease by In-Silico Docking and Molecular Dynamics Study
M. Rakshit, S. Muduli, P. P. Srivastav, and **S. Mishra**
*J. Biomol. Struct. Dynamics* 40 (2022) 12917.
12. Selective and Swift-responsive off-on Rhodamine B Based Chemosensors: Recognition of Multi-Metal Ions, On-site Sensing of Fe(III) in Water Samples and Bioimaging in Aqueous Media
H. Battula, S. Muduli, S. P. Bandi, S. Kapoor, **S. Mishra**, H. Aggarwal, V. Venuganti, S. Jayanty. *J. Photochem. Photobiol. A* 426 (2022) 113748
13. 7,7-bis(N, N-diethylethylenediamino)-8,8-dicyanoquinodimethane: Effect of Ethyl Moiety on the Photophysical Property besides Thermal stability
A. Syed, **S. Mishra**, and S. Jayanty. *J. Fluoresc.* 32 (2022) 115.
14. Synthesis, structural characterization, and bonding analysis of two-coordinate copper(I) and silver(I) complexes of the pyrrole-based bis(phosphinimine): new metal-pyrrole ring π-interactions
V. K. Jha, S. Das, V. Subramaniyan, T. Guchhait, K. K. Dakua, **S. Mishra**, and G. Mani. *Dalton Trans.* 50 (2021) 8036-8044.
**Work Report:**
**Title of the work carried out:**
Incorporating Conformational Complexities in the Study of Reaction Mechanisms.
**Name & Designation of the Chief Investigator:**
Dr. Anakuthil Anoop, Associate Professor, Indian Institute of Kharagpur
**E-mail Id:**
firstname.lastname@example.org
**Institution Name:**
IIT Kharagpur
**Research Challenge/s:**
Predicting experimentally properties e.g., enantiomeric excess, of conformationally flexible substratemolecules is challenging. This requires considering many conformers of the substrate and determining the reaction path. We also automate the exploration of the reaction mechanism. Another challenge is to determine the catalytic cycle of the transition metal catalysis reactions.
**Work carried, Milestone, Achievements & Graphs, Plots:**
Publications / Articles etc.:
1. Iridium (III)-Catalyzed Intermolecular Mild N-Arylation of Aliphatic Amides Using Quinoid Carbene: A Migratory Insertion-Based Approach; S. Bera, S. Roy, S. Pal, A. Anoop, R. Samanta, ACS Catalysis, DOI: https://doi.org/10.1021/acscatal.1c02653. (Impact Factor 13.70)
2. Organomagnesium Crown Ethers and Their Binding Affinities with Li+, Na+, K+, Be2+, Mg2+, and Ca2+ Ions – A Theoretical Study; S. Roy, K. Thirumoorthy, U. Padidela, P. Vairaprakash, A. Anoop, V. Thimmakondu, ChemistrySelect, DOI: https://doi.org/10.1002/slc.202102317. (Impact Factor 2.3)
3. Stereochemistry of the Benzylidene γ-Butyrolactone Dictates the Reductive Heck Cyclization Mode in the Asymmetric Synthesis of Aryltetralin Lignans: A Detailed Experimental and Theoretical Study; B. Sen, S. Roy, S. Garai, S. Roy, A. Anoop, and S. Hajra, The Journal of Organic Chemistry, DOI: https://doi.org/10.1021/acs.joc.1c02174. (Impact Factor 4.19)
4. Why an integrated approach between search algorithms and chemical intuition is necessary?; V. Thimmakondu, A. Sinjari, D. Inostroza, P. Vairaprakash, K. Thirumoorthy, S. Roy, A. Anoop, W. Tiznado, Physical Chemistry Chemical Physics, DOI: https://doi.org/10.1039/D2CP00315E. (Impact Factor 4.92)
5. Effect of ancillary ligand on DNA and protein interaction of the two Zn (II) and Co (III) complexes: experimental and theoretical study; M. Das, P. Brandao, S. Mati, S. Roy, A. Anoop, A. James, S. De, U. Das, S. Laha, J. Mondal, B. Samanta, T. Maity, Journal of Biomolecular Structure and Dynamics, DOI: https://doi.org/10.1080/07391102.2021.2001377. (Impact Factor 4.15)
6. Insights into the Active Catalyst Formation from Dinuclear Palladium Acetate in Pd Catalyzed Coupling Reactions: A DFT Study; S. Roy, A. Anoop, The Journal of Physical Chemistry A, DOI: https://doi.org/10.1021/acs.jpca.2c03762. (Impact Factor 2.944)
7. BAl4Mg–/0/+: Global Minima with a Planar Tetracoordinate or Hypercoordinate Boron Atom; M. Khatun, S. Roy, S. Giri, S. Reddy CH, A. Anoop, V. Thimmakondu, Atoms, DOI: https://doi.org/10.3390/atoms9040089. (Impact Factor 1.93)
Publisher: American Chemical Society (ACS), Wiley, Taylor and Francis, MDPI
Work Report:
Title of the work carried out:
Implementation of Automated Search for Building Atomic Nanoclusters, and its Applications on Boron Group and Thiolate Protected Gold Nanoclusters
Name & Designation of the Chief Investigator:
Dr. Anakuthil Anoop, Associate Professor, Indian Institute of Kharagpur
E-mail Id:
email@example.com
Institution Name:
IIT Kharagpur
Research Challenge/s:
Exploration of potential energy surface (PES) of clusters is crucial and costly calculation. In this pursuit, homo elemental, binary, and ternary as well as ligand-based clusters are located in the PES. To study in a cost-effective way, we do benchmark study considering several methods and validate the method for exploration. After that, structural evolution and some of the appropriate properties are studied.
Work carried, Milestone, Achievements & Graphs, Plots:
Publications / Articles etc.:
1. A Global Optimizer for Nanoclusters; M. Khatun, R. S. Majumder, A. Anoop, Frontiers in Chemistry, DOI: https://doi.org/10.3389/fchem.2019.00644 (Impact Factor 5.221)
2. Ca$_4$Mg$^{(0/-)}$: Global Minima with a Planar Tetracoordinate Carbon Atom; N. Job, M. Khatun, K. Thirumoorthy, S. S. Reddy CH, V. Chandrasekaran, A. Anoop, V. Thimmakondu, Atoms, DOI: https://doi.org/10.3390/atoms9020024 (Impact Factor 1.93)
3. BaLa$_4$Mg$^{(0/+)}$: Global Minima with a Planar Tetracoordinate or Hypercoordinate Boron Atom; M. Khatun, S. Roy, S. Giri, S. Reddy CH, A. Anoop, V. Thimmakondu, Atoms, DOI: https://doi.org/10.3390/atoms9040089 (Impact Factor 1.93)
4. CS$_{1n}$Ge$_{4-n}^{2+}$ (n = 1-3): prospective systems containing planar tetracoordinate carbon (ptC); P. Das, M. Khatun, A. Anoop, P. K. Chattaraj Phys. Chem. Chem. Phys., DOI: https://doi.org/10.1039/D2CP01494G (Impact Factor 4.92)
Publisher: Royal Society of Chemistry (RSC), Frontiers Media SA, MDPI
Work presented in conference/s with photographs:
1. Theoretical Chemistry Symposium organized, BITS Pilani, Pilani Campus – 2019
2. National Symposium on Recent Advances in Chemistry Theoretical and Computational Aspects (RAC-TCA 2022), NIT Meghalaya and NEHU, Shillong
Work Report:
Title of the work carried out:
Implementation of Automated Search for Building Atomic Nanoclusters, and its Applications on Boron Group and Thiolate Protected Gold Nanoclusters
Name & Designation of the Chief Investigator:
Dr. Anakuthil Anoop, Associate Professor, Indian Institute of Kharagpur
E-mail Id:
firstname.lastname@example.org
Institution Name:
IIT Kharagpur
Research Challenge/s:
Calculations in photochemical reactions and their pathways involve multiple excited states and non-adiabatic transitions, making their simulation computationally challenging in the domain of modelling the interactions between light and substrate, including the absorption and emission of photons. Simulating excited states accurately and reliably can be a challenge, as they are typically less stable and more reactive than ground states, which amounts to more cost for any calculation. Validating computational results in photochemistry can be challenging, as the relevant experimental data can be difficult to obtain or interpret as not. As with other areas of computational chemistry, choosing the appropriate method for a given photochemical problem can be challenging, as different methods are suited to different types of problems.
Work carried, Milestone, Achievements & Graphs, Plots:
Sequential photorelease of carboxylic acids upon light irradiation from differently substituted species and differently functionalized systems. Studying the qualitative impact on functionalized systems upon electron excitation. Calculation of energy barriers in different systems in excited states.
i) The energy levels of the singlet and triplet excited states of PTZ and mono-OPTZ caged esters and the exciton decay process after photoexcitation.
ii) S1 state PES scan of the C–O fission of positions (a) C1 and (b) C3 calculated at the CAM-B3LYP/cc-pVTZ//CAM-B3LYP/cc-pVTZ level of theory.
Publications / Articles etc.:
1. A natural alkaloid, β-carboline, as a one-and two-photon responsive fluorescent photoremovable protecting group: sequential release of the same or different carboxylic acids; A. Sikder, M. Banerjee, T. Singha, S. Mondal, P. K. Datta, A. Anoop, & N. P. Singh, Organic Letters, DOI: [https://doi.org/10.1021/acs.orglett.0c02549](https://doi.org/10.1021/acs.orglett.0c02549), (Impact Factor 6.005)
2. Switching photorelease to singlet oxygen generation by oxygen functionalization of phenothiazine photocages; M. Ojha, M. Banerjee, S. Ray, A. K. Singh, A. Anoop, & N. P.
Singh, Chemical Communications, DOI: https://doi.org/10.1039/D1CC06950K. (Impact Factor 7.211)
Publisher: American Chemical Society (ACS), Royal Society of Chemistry (RSC)
Work presented in conference/s with photographs:
1. Theoretical Chemistry Symposium, 2021.
2. National Conference on Molecular Modelling and Simulations (NCMMS 2022).
3. National Symposium on Recent Advances in Chemistry Theoretical and Computational Aspects (RAC-TCA 2022), NIT Meghalaya and NEHU, Shillong
Work Report:
Title of the work carried out:
Implementation of Automated Search for Building Atomic Nanoclusters, and its Applications on Boron Group and Thiolate Protected Gold Nanoclusters
Name & Designation of the Chief Investigator:
Dr. Anakuthil Anoop, Associate Professor, Indian Institute of Kharagpur
E-mail Id:
email@example.com
Institution Name:
IIT Kharagpur
Research Challenge/s:
Study of prebiotic chemistry usually requires the chemical evolution of a large pool of species, which demands higher computational costs.
Work carried, Milestone, Achievements & Graphs, Plots:
Publications / Articles etc.:
1. Why Are MgC3H Isomers Missing in the Interstellar Medium?; S. Panda, D. Sivadasan, N. Job, A. Sinjari, K. Thirumoorthy, A. Anoop, and V. Thimmakondu, The Journal of Physical Chemistry A, DOI: https://doi.org/10.1021/acs.jpca.2c02220. (Impact factor 2.944)
Publisher: American Chemical Society (ACS)
Work presented in conference/s with photographs:
National Symposium on Recent Advances in Chemistry Theoretical and Computational Aspects(RAC-TCA 2022), NIT Meghalaya and NEHU, Shillong.
Work Report:
Title of the work carried out:
Implementation of Automated Search for Building Atomic Nanoclusters, and its Applications on Boron Group and Thiolate Protected Gold Nanoclusters
Name & Designation of the Chief Investigator:
Dr. Anakuthil Anoop, Associate Professor, Indian Institute of Kharagpur
E-mail Id:
firstname.lastname@example.org
Institution Name:
IIT Kharagpur
Research Challenge/s:
To investigate the theoretical existence and stability of planar pentacoordinate carbon (ppC) atoms in twomolecules, \([XC_7H_2]^{2+}\) and \([XSi_2C_5H_2]^{2+}\), where \(X = Be\) or \(Mg\). The authors also aim to identify inclusion compounds with alkali and alkaline earth metal ions that have monomer units consisting of tricyclic \(C_7H_2\) isomers containing a ptC atom.
Work carried, Milestone, Achievements & Graphs, Plots:
Publications / Articles etc.:
1. Planar pentacoordinate carbon in \([XC_7H_2]^{2+}\) (\(X= Be\) and \(Mg\)) and its derivatives; P. Sarkar, K. Thirumoorthy, A. Anoop, and V. Thimmakondu, Physical Chemistry Chemical Physics, DOI: https://doi.org/10.1039/D2CP03299F. (Impact Factor 4.92)
Publisher: Royal Society of Chemistry (RSC)
Work presented in conference/s with photographs:
National Symposium on Recent Advances in Chemistry Theoretical and Computational Aspects(RAC-TCA 2022), NIT Meghalaya and NEHU, Shillong.
Work Report:
Title of the work carried out:
Implementation of Automated Search for Building Atomic Nanoclusters, and its Applications on Boron Group and Thiolate Protected Gold Nanoclusters
Name & Designation of the Chief Investigator:
Dr. Anakuthil Anoop, Associate Professor, Indian Institute of Kharagpur
E-mail Id:
email@example.com
Institution Name:
IIT Kharagpur
Research Challenge/s:
“Chemical Space” is a set of all possible compounds where one can imagine a molecular sea. The recent development of software and hardware makes it accessible to steer the billions of structures.
Hydrocarbons are fundamentally important molecules in both organic and prebiotic chemistry. We are exploring are investigating the CnHm formula in various n and m value compositions to explore uncharted territory in the chemical space. It is based on nanocluster study where the aggregation of carbon and hydrogen takes place in the PyAR (Python module for aggregation and reaction) software package. It enables the search from scratch up to the maximum limit in the command line argument. We organize all of the quantum mechanical databases on a searchable website to make them publicly available, and anyone with no coding experience can easily gather all of the calculated properties. It can be used as a training dataset for ML models to explore the unknown properties of the molecules. This can also help to find the mystery behind the origin of life.
Work carried, Milestone, Achievements & Graphs, Plots:
Publications / Articles etc.:
1. “BAI₄Mg⁺⁺⁺: Global Minima with a Planar Tetracoordinate or Hypercoordinate Boron Atom”
M. Khatun, S. Roy, S. Giri, S. Reddy CH, A. Anoop, and V. Thimmakondu, Atoms, DOI: https://doi.org/10.3390/atoms9040089, (Impact Factor 1.93)
Publisher: MDPI
Work presented in conference/s with photographs:
National Symposium on Recent Advances in Chemistry Theoretical and Computational Aspects(RAC-TCA 2022), NIT Meghalaya and NEHU, Shillong.
References:
Benefits & experience of using NPSF:
PARAM Shakti has helped me immensely in guiding my Ph.D. students on a wide range of research problems. The helpdesk has responded with great promptitude in installing different programs & modules required by us from time to time. In short, helpdesk has been remarkably supportive. We owe the deepest debt of gratitude to CDAC-Pune and the support team of PARAM Shakti.
Any other relevant information (if any):
CDAC, Pune has been doing a wonderful job for many years in helping Computational Scientists across India in their active pursuit of research. The strong computational support provided by CDAC-Pune enables us to pursue good quality research. I would like to appeal to the Govt. of India to allocate substantial funds to CDAC-Pune to support the latter in their future endeavors, which includes upgrading their HPC systems. Any HPC system gets outdated in five years. Moreover, the usage of Param Shakti is really high. Param Shakti caters to users from all over India. CDAC-Pune is in dire need of a strong funding support from the Govt. of India. Integration of the latest computational resources into the current HPC system is the crying need of the hour.
Work Report:
Title of the work carried out:
Investigating the Free Energy Landscape of HIAPP Dissociation using Molecular Dynamics Simulations
Name & Designation of the Chief Investigator:
Dr. Neelanjana Sengupta, Associate Professor
E-mail Id:
firstname.lastname@example.org
Institution Name:
Indian Institute of Science Education and Research, Kolkata
Problem statement(s):
Proteins navigate a large milieu of conformations to execute their biological functions. The conformational fluctuations and transitions that underlie such functions can remain elusive. Computer simulations provide a “bottoms up” approach for exploring such phenomena in atomistic detail. Moreover, advanced statistical mechanical methods and algorithm developments can be combined to provide unprecedented insights into how minute changes (such as mutations) can have significant ramifications in biology. The project was originally conceived to explore the free energy landscapes (FELs) associated with the self-assembling properties of human islet amyloid polypeptide (hIAPP) and its mutants. Currently, the scope of the work has expanded significantly to include other intrinsically disordered proteins, enzymes and nucleic acids. Furthermore, this has been accompanied by significant development in analytical algorithms.
Work carried, Milestone, Achievements & Graphs, Plots:
P. Dutta and N. Sengupta*, *ChemPhysChem* 2022, *e202200595 (1-12)*
Figure 4: (A) Discrete FEL of NSP1 CTD projected as a function of the first two dihedral time structured independent components (dIC-1 and dIC-2). The minima are labelled from ‘a’ to ‘h’. A representative structure from each minimum is shown in Fig 5 in orange. (B) EMMD estimated continuous form of the FEL where free energy barriers among the disjoint basins are captured.
P. Dutta, A. Kshirsagar, P. Bibekar and N. Sengupta*, *Biophysical Journal* (2023), *Just Accepted*.
**Publications / Articles etc. link (If any)**:
i) Efficient interrogation of the kinetic barriers demarcating catalytic states of a Tyrosine Kinase with optimal physical descriptors and mixture models
Dutta and Sengupta, *ChemPhysChem* 2022, *e202200595 (1-12)*
ii) Conformational Ensemble of the NSP1 CTD in SARS-Cov2: Perspectives from the Free Energy Landscape
P. Dutta, A. Kshirsagar, P. Bibekar and N. Sengupta*,
*Biophysical Journal* (2023), *Just Accepted*.
**Publisher**: John Wiley & Sons, Cell Press, Elsevier
**Work presented in conference/s with photographs (if any)**:
Talk at *Biophysics at the Exascale Limit: Thematic BPS Meeting* at Hamburg, Germany, May 2022
Talk at *Gordon Research Conference: Protein Folding and Dynamics at Ventura, California, October 2022*
14 more invited (National and International) talks
**Appreciation / Recognition (if any):** Indian Ambassador (2023-2025) to the Biophysical Society, USA
**Benefits & experience of using PARAM Shakti:** Param Shakti has proven to be hugely beneficial to our group’s research. It allows significant conformational sampling of complex biomolecular systems. In addition, it offers a platform to test and employ the latest analytical codes developed in our group.
**Any other relevant information (if any):** It would be additionally useful to have other molecular simulation packages, particularly NAMD, work seamlessly on PARAM Shakti.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Computational Biology, Chemical Sciences and AI/ML
- **Sub-domain(s)**: Molecular Dynamics simulations & Molecular modeling
- **Application name(s)**: GROMACS
**Work Report:**
**Title of the work carried out:**
Uniaxial elongation simulations were performed for polymer-grafted nanoparticle networks with varying numbers of grafted arms. Plasmonic response was studied for networks of different sizes.
**Name & Designation of the Chief Investigator:**
Balaji Iyer V S, Associate Prof.
**E-mail Id:**
email@example.com
**Institution Name:**
Indian Institute of Technology Hyderabad, Kandi, Telangana - 502285.
**Problem Statement:** Studying mechanical response of polymer-grafted nano particle networks composed of rigid spherical nanoparticles with varying number of polymer arms grafted onto their surface via multiscale simulations spanning a wide range of length and timescales. Determine the evolution of the plasmonic response as a function of strain when networks of different sizes are deformed.
Work carried, Milestone, Achievements & Graphs, Plots:
Interacting PGPNs form bonds
Gold nanoclusters
Plasmonic response
Fig 1 Schematic of formation gold nanoparticles arrays in a polarizable background of polymers grafted on the surface and the resulting surface enhanced resonance response.
Fig 2 Schematic of uniaxial deformation of gold nanoclusters
Fig. 2 (a) Schematic representation of polymer grafted nanoparticle (PGN) array at strain $\varepsilon = 0.0$ and $\varepsilon = 0.6$. The vertical black dashed line separates the region between 0 and X. The blue dashed lines (Y1) and red dashed lines (Y2) show the top and bottom layers of the PGN array, excluding the top and bottom two layers respectively. Snapshots of the simulation comparing structural rearrangements of PGN particles in the array for (b) $f = 600$, (c) $f = 900$ and (d) $f = 1200$ at different strain values, and at constant pulling velocity $u = 0.001u_0$ and energy $E = 39kBT$.
**Publication:** Phukan M., Haritha P., Roy, T.R and Iyer B. V. S *Mechanical response of networks formed by end-functionalised spherical polymer grafted nanoparticles*, Soft Matter, 2022, 18, 8591–8604.
**Publisher:** Royal Society Chemistry
**Work presented in conference:**
My student presented a poster, “Effect of number of grafted arms, deformation rates and cross-link energy on the mechanical response of 2D hybrid polymer-particle networks/thin films” at the Complex Fluids Symposium in Kolkata from December 19th to 21st, 2022.
**Benefits & experience of using PARAM Shakti:**
1) **Benefit:** Sufficient support for running GPU codes was useful in performing the simulations.
2) Issue: CPU codes got terminated when GPU account amount was consumed.
Title of the work carried out:
c) Liquid ethylene glycol: prediction of physical properties, conformer population and interfacial enrichment with a refined non-polarizable force field
d) Conformer Selection Upon Dilution with Water: The Fascinating Case of Liquid Ethylene Glycol Studied via Molecular Dynamics Simulations
Name & Designation of the Chief Investigator: Prof. Balasubramanian Sundaram, Assoc. Prof.
Email Id: firstname.lastname@example.org, email@example.com
Institute Name: Jawaharlal Nehru Centre for Advanced Scientific Research (JNCASR)
Problem statement(s):
- Simulations of small molecule-adsorption in framework solids
- Simulations of Liquids (Electrolytes, ionic liquids, and ethylene glycol)
- Protein and protein encapsulated MOFs simulations
- Simulations of Supramolecules
Research Challenge/s:
- Studying large systems, which can be highly computationally intensive and demanding & also running some calculations for a long duration of time (say, more than 72 hrs)
Work carried, Achievements & Graphs, Plots:
Work carried, Milestone, Achievements & Graphs, Plots:
- Three Ph.D. students defended their theses
- Refinement of ethylene glycol force field parameters
- Understanding gas adsorption isotherm step in MOFs that do not show any volume change
- Machine learning model to predict the viscosity of binary LJ fluids
Awards:
Chemical Science Best poster presentation award by RSC at ChemSci2023
Work presented in Conference/s with photographs (if any):
- Presented a poster at 2022 Meeting of Computational Chemistry on Multiscale Modeling of Complex Systems: Methods and Applications held at Barcelona, Spain between 17th and 22nd July, 2022.
- Presented a poster at ChemSci2023: Leaders in the Field Symposium held at JNCASR, Bangalore between 23rd and 25th Jan, 2023.
Publications / Articles etc. link (If any) *:
- Avula, N. V. S.; Veesam, S. K.; Behera, S.; Balasubramanian, S. Building Robust Machine Learning Models for Small Chemical Science Data: The Case of Shear Viscosity of Fluids. Mach. Learn. Sci. Technol. 2022, 3 (4), 045032. https://doi.org/10.1088/2632-2153/acac01.
- Gaur, A.; Balasubramanian, S. Conformer Selection upon Dilution with Water: The Fascinating Case of Liquid Ethylene Glycol Studied via Molecular Dynamics Simulations. ChemistryOpen 2022, e202200132. https://doi.org/10.1002/open.202200132.
- Gaur, A.; Balasubramanian, S. Liquid Ethylene Glycol: Prediction of Physical Properties, Conformer Population and Interfacial Enrichment with a Refined Non-Polarizable Force Field. Phys. Chem. Chem. Phys. 2022, 24 (18), 10985–10992. https://doi.org/10.1039/d2cp00633b
- Kakoty, B.; Vengarathody, R.; Mukherji, S.; Ahuja, V.; Joseph, A.; Narayana, C.; Balasubramanian, S.; Senguttuvan, P. Two for One: Propylene Carbonate Co-Solvent for High Performance Aqueous Zinc-Ion Batteries – Remedies for Persistent Issues at Both Electrodes. J. Mater. Chem. A Mater. Energy Sustain. 2022, 10 (23), 12597–12607. https://doi.org/10.1039/d2ta01501c.
- Laha, S.; Dwarkanath, N.; Sharma, A.; Rambabu, D.; Balasubramanian, S.; Maji, T. K. Tailoring a Robust Al-MOF for Trapping C2H6 and C2H2 towards Efficient C2H4 Purification from Quaternary Mixtures. Chem. Sci. 2022, 13 (24), 7172–7180. https://doi.org/10.1039/d2sc01180h.
• Behera, S.; Balasubramanian, S. Molecular Simulations Explain the Exceptional Thermal Stability, Solvent Tolerance and Solubility of Protein-Polymer Surfactant Bioconjugates in Ionic Liquids. *Phys. Chem. Chem. Phys.* 2022, 24 (36), 21904–21915. https://doi.org/10.1039/d2cp02636h.
• Behera, S.; Balasubramanian, S. Insights into Substrate Behavior in a Solvent-Free Protein Liquid to Rationalize Its Reduced Catalytic Rate. *RSC Adv.* 2022, 12 (19), 11896–11905. https://doi.org/10.1039/d2ra00666a.
• Dwarkanath, N.; Balasubramanian, S. Gate Opening without Volume Change Triggers Cooperative Gas Interactions, Underpins an Isotherm Step in Metal-Organic Frameworks. *Inorg. Chem.* 2022, 61 (28), 10810–10821. https://doi.org/10.1021/acs.inorgchem.2c01053.
**Publisher:** American Chemical Society, Royal Society of Chemistry, Chemistry Europe
**Appreciation / Recognition (if any):**
• Ms. Anjali Gaur of Prof. Balasubramanian’s group was awarded the ‘best poster award’ in ChemSci-2023 organized by the Royal Society of Chemistry at JNCASR.
**References:**
**Benefits & experience of using PARAM Yukti:**
• Availability of many compute nodes on Yukti has enabled us to simulate large systems such as supramolecular polymers and proteins encapsulated in metal-organic frameworks.
**Any other relevant information (if any):**
• We have duly acknowledged the use of NSM Param Yukti supercomputer in all our publications.
**Information required for NSM (National Supercomputing Mission) users**
• Domain(s)*: Materials Science / Physical chemistry
• Sub-domain(s): Computational Sciences, Materials modelling
• Application name(s)*: Computational Physics
Title of the work carried out:
c) 1D coordination polymeric chains on metal substrates: Insights from Density Functional Theory
Name & Designation of the Chief Investigator: Prof. Shobhana Narasimhan
Email Id: firstname.lastname@example.org
Institute Name: Jawaharlal Nehru Centre for Advanced Scientific Research
Problem statement(s):
- On-surface synthesis of 1D metal-organic coordination polymeric chains has gained the attention of the scientific community for its potential application in spintronic and nanotechnology. Here, through Density Functional Theory based calculations, we investigate the electronic and magnetic properties of such metal-organic chains made from colour dye molecules and Fe atoms on various metal substrates with various surface orientations.
Work carried, Milestone, Achievements & Graphs, Plots:
- On-surface Indigo Isomerisation Within 1D Coordination Polymers.
- Self-assembled Magnetic Chain: Fe-coordinated Indigo Coordination Polymer on Au (111).
- Coordination Chemistry of Indigo Self-assembled on Cu (111).
- Out of the above-mentioned projects, two thesis chapters of my student Abhishek have come out. Manuscripts based on these works are under preparation.
Work presented in conference/s with photographs (if any):
- Project 1 has been presented in International Winter School, 2022 and JNCASR In-House symposium, 2022.
Appreciation / Recognition (if any):
- The work in project 1, has been recognised by my student Ritam getting the best poster teaser award in JNCASR In-House Symposium, 2022 and best poster award in the International Winter School, 2022.
Benefits & experience of using PARAM Yukti:
- Param Yukti has been instrumental in the computationally intensive calculations that my group is involved in. Very recently, we have started to fully utilize the GPU facility of Param Yukti which I expect will significantly reduce the computation time. The Yukti support team has been continually active in addressing the issues raised by my group members from time to time.
Domain(s)*: Computational Physics
Sub-domain(s): Density Functional Theory based calculations
Application name(s)*: Quantum Espresso & VASP
Work Report
Title of the work carried out:
a) DSMC simulations of rarefied pressure-driven Poiseuille flows.
Name & Designation of the Chief Investigator:
a) Shashank R, MS(Engg.) Student
Email Id: email@example.com
Institute Name: JNCASR
Problem statement(s):
- Carrying out a detailed study on the hydrodynamics and rheology of pressure-driven rarefied flows that are found in various industrial and extra-terrestrial applications.
Work carried, Milestone, Achievements & Graphs, Plots:
Density contours of pressure driven Poiseuille flow for a molecular gas (left) and granular gas (right), obtained using ParamYukti.
Publications / Articles etc. link (If any) *:
- Conference Proceedings of the 32nd International Symposium on Rarefied Gas Dynamics, 2022 (Under Review).
Publisher: AIP
Work presented in conference/s with photographs (if any):
- Hydrodynamics, normal stress differences and heat transport in rarefied pressure-driven Poiseuille flows, Shashank Ravichandir and Meheboob Alam, 32nd International Symposium on Rarefied Gas Dynamics, Seoul, 2022.
Benefits & experience of using PARAM Yukti:
- Obtained results in 3-4 hours which would otherwise have taken 80-100 hours.
- Hassle free experience of submitting jobs.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computational Fluid Dynamics
- Sub-domain(s): Rarefied Gases
- Application name(s)*: Flow around a satellite during atmospheric re-entry, flows of gases during rocket propulsion, etc.
Title of the work carried out:
a) Molecular modelling of complex liquids
Name & Designation of the Chief Investigator: Avula Nikhil (C/O Prof. Balasubramanian Sundaram)
Email Id: firstname.lastname@example.org
Institute Name: *: Jawaharlal Nehru Centre for Advanced Scientific Research (JNCASR)
Problem statement(s):
- Electrolytes are one of the important pieces of the renewable energy puzzle. Molecular Dynamics (MD) simulations have helped elucidate the microscopic origins of many physical phenomena in electrolytes. In this work, my focus was to propose methods to systematically refine force field parameters in order to achieve quantitative agreement with experimental data.
Work carried, Milestone, Achievements & Graphs, Plots:
- In this work, we propose a three step semi-automated procedure - (1) atomic site charges are obtained from quantum calculations of the bulk condensed phase; (2) a quenched Monte Carlo (QMC) optimizer is used to shortlist suitable force field candidates, which are then tested using pilot simulations; and (3) manual refinement is performed to further improve the accuracy of the force field. The refinement procedure is applied on [DEME][TFSI] IL, a front-runner as an electrolyte for electric double layer capacitors and
single-molecule-based Devices. Recently, we also used Deep Neural Network based potentials carefully trained on ab initio data of CsI and NaCl and show that they indeed capture the “anomalous diffusion” in these solutions. The following picture highlights the force field refinement procedure.
**Publications / Articles etc. link (If any)**:
- Avula, N. V. S.; Karmakar, A.; Kumar, R.; Balasubramanian, S.; Efficient Parametrization of Force Field for the Quantitative Prediction of the Physical Properties of Ionic Liquid Electrolytes. *J. Chem. Theory Comput.* 2021, 17, 4274–4290 ([link](#))
- Avula, N. V. S.; Veesam, S. K.; Behera, S.; Balasubramanian, S. Building robust machine learning models for small chemical science data: the case of shear viscosity of fluids. *Machine Learning: Science and Technology* 2022, 3, 045032 ([link](#))
**Benefits & experience of using PARAM Yukti**:
- The heterogeneous compute environment (both GPUs and CPUs) provided by PARAM Yukti allowed us to smoothly run various workflows – be it high throughput data generation or a single long calculation over 72 hours. We benefited immensely by these resources to the extent that some of our works would not have been possible without them. We thank NSM and PARAM Yukti staff for their prompt support and we acknowledge them in our publications and presentations
**Information required for NSM (National Supercomputing Mission) users**
- Domain(s)*: Computational Chemistry and Materials
- Application name(s)*: Chemical and Materials sciences
Title of the work carried out:
a) Different kinds of catalysis and energy conversion in polymer and MOF materials
Name & Designation of the Chief Investigator: Prof. Tapas Kumar Maji, Professor
Email Id: email@example.com
Institute Name: Jawaharlal Nehru Centre for Advanced Scientific Research,
Problem statement(s):
- DFT calculations for catalysis mechanism
Work carried, Milestone, Achievements & Graphs, Plots:
a)
b)
Publications / Articles etc. link (If any) *:
- S. Karmakar, S. Barman, F. A. Rahimi and T. K. Maji, Covalent grafting of molecular photosensitizer and catalyst on MOF-808: Effect of pore confinement toward visible light-driven CO$_2$ reduction in water, Energy Environ. Sci., 2021, 14, 2429-2440 (Impact factor: 38.53).
[https://pubs.rsc.org/en/Content/ArticleLanding/2021/EE/D0EE03643A#!divAbstract]
- S. Karmakar, A. Ghosh, K. Prasad, F. A. Rahimi, D. Rambabu, R. Haldar and T. K. Maji, Multicolour lanthanide(III) porous 1D coordination polymers: Tunable wide spectrum emission and efficient Cu$^{II}$ sensing, Dalton Trans., 2021, 50, 13002-13011 (Impact factor: 4.569). [https://pubs.rsc.org/en/content/articlelanding/2021/dt/d1dt01860d]
- S. Barman, A. Singh, F. A. Rahimi, T. K. Maji, Metal-free catalysis: A Redox-active Donor-Acceptor Conjugated Microporous Polymer for Selective Visible Light-driven CO$_2$ Reduction to CH$_4$, J. Am. Chem. Soc., 2021, 143, 16284-16292 (Impact factor: 16.38).
[https://pubs.acs.org/doi/10.1021/jacs.1c07916]
- P. Verma, F. A. Rahimi, D. Samanta, A. Kundu, J. Dasgupta and T. K. Maji, Visible Light Driven Photocatalytic CO$_2$ Reduction to CO/CH$_4$ using Metal-Organic ‘Soft’ Coordination Polymer Gel, Angew. Chem. Int. Ed., 2022, 61, e202116094 (Impact factor: 16.82).
[https://onlinelibrary.wiley.com/doi/full/10.1002/anie.202116094]
- A. Ghosh, S. Karmakar, F. A. Rahimi, R. Roy, S. Nath, U. Gautam and T. K. Maji, Confinement Matters: Stabilization of CdS Nanoparticles inside a Post-Modified MOF towards Photocatalytic Hydrogen Evolution, ACS Appl. Mater. Interfaces, 2022, 14, 25220-25231 (Impact factor: 10.38) [https://pubs.acs.org/doi/10.1021/acsami.1c23458].
Publisher: Prof. Tapas Kumar Maji
References:
- S. Karmakar, S. Barman, F. A. Rahimi and T. K. Maji, Covalent grafting of molecular photosensitizer and catalyst on MOF-808: Effect of pore confinement toward visible light-driven CO$_2$ reduction in water, Energy Environ. Sci., 2021, 14, 2429-2440 (Impact factor: 38.53).
- S. Karmakar, A. Ghosh, K. Prasad, F. A. Rahimi, D. Rambabu, R. Haldar and T. K. Maji, Multicolour lanthanide(III) porous 1D coordination polymers: Tunable wide spectrum emission and efficient Cu$^{II}$ sensing, Dalton Trans., 2021, 50, 13002-13011 (Impact factor: 4.569).
- S. Barman, A. Singh, F. A. Rahimi, T. K. Maji, Metal-free catalysis: A Redox-active Donor-Acceptor Conjugated Microporous Polymer for Selective Visible Light-driven CO$_2$ Reduction to CH$_4$, J. Am. Chem. Soc., 2021, 143, 16284-16292 (Impact factor: 16.38).
- P. Verma, F. A. Rahimi, D. Samanta, A. Kundu, J. Dasgupta and T. K. Maji, Visible Light Driven Photocatalytic CO$_2$ Reduction to CO/CH$_4$ using Metal-Organic ‘Soft’ Coordination Polymer Gel, Angew. Chem. Int. Ed., 2022, 61, e202116094 (Impact factor: 16.82).
- A. Ghosh, S. Karmakar, F. A. Rahimi, R. Roy, S. Nath, U. Gautam and T. K. Maji, Confinement Matters: Stabilization of CdS Nanoparticles inside a Post-Modified MOF towards Photocatalytic Hydrogen Evolution, ACS Appl. Mater. Interfaces, 2022, 14, 25220-25231 (Impact factor: 10.38).
Benefits & experience of using PARAM Yukti:
- DFT calculation performed to establish the catalysis mechanism were quite helpful to enhance the impact of the paper so that it could be published in big journal.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Material Sciences
- Sub-domain(s): Catalysis and energy conversion in polymer and MOF materials
- Application name(s)*: Computational Fluid Dynamics
Title of the work carried out:
a) Pressure Induced Phase transition in quasi 1D superconductor TaSe3
Name & Designation of the Chief Investigator: Prof .Swaran K Pati
Email Id: firstname.lastname@example.org
Institute Name: JNCASR
Problem statement(s):
- High pressure Raman studies of TaSe$_3$ shows signatures of phase transition around 2.5GPa and 8GPa.
- Earlier strain dependent experimental and DFT studies indicate TaSe$_3$ undergoing a topological phase transition with strain.
- Probing the topological nature of TaSe$_3$ at high pressure using DFT would shed light on the behaviour of the material at high pressures.
Work carried, Milestone, Achievements & Graphs, Plots:
- First principles calculations were performed to study the band topology of TaSe$_3$ at pressures ranging from 0GPa to 15GPa.
- The band structure reveals band inversion at an odd number of time reversal invariant momenta, and an opening of the band gap with the inclusion of spin orbit interaction.
- This points towards the material being a $Z_2$ topological material.
- The topological invariant was calculated at a selected number of pressure values, by looking at the evolution of the Wannier Charge Centers (WCC) and the calculation reveals a weak to strong to weak topological phase transition at around 4GPa and 7GPa respectively.
Fig 1: Volume vs Pressure from DFT calculations
Fig 2: c/a vs Pressure and b/a vs Pressure from Raman studies and from DFT.
Fig 3: Pressure vs band gap for TRIM points
Benefits & experience of using PARAM Yukti:
- All of my calculations require high memory and are long simulations. Param Yukti has helped me immensely by providing me with the appropriate calculation resources as well as by making the computations faster.
Information required for NSM (National Supercomputing Mission) users
- Domain(s): Material Sciences
- Application name(s): Quantum Espresso (cpu and gpu), VASP, Z2PACK
Title of the work carried out:
a) Pressure Induced Phase transition in quasi 1D superconductor TaSe3
Name & Designation of the Chief Investigator: Prof. Swapan K Pati
Email Id: email@example.com
Institute Name: JNCASR
Problem Statement 1:
- To study phase behavior and dynamics of active colloids in a colloid-polymer mixture under spherical confinement.
Work carried, Milestone, Achievements, Graphs and Plots:
- Macroscopic rotation of active colloids in a colloid-polymer mixture confined
inside a spherical cavity.
https://arxiv.org/abs/2112.00500
Initial mixed states (first row) and steady state snapshots (second row) for different compositions of colloids and polymers when colloids are passive. Colloids (polymers) are presented in red (blue).
Steady state snapshots (first row) and two-dimensional cross section in equitorial plane for different compositions of colloids and polymers when colloids are active. Colloids (polymers) are presented in red (blue).
Challenge: This study is of much recent interest and requires extensive simulations of various compositions of colloids and polymers via long time runs in order to obtain steady state configurations.
Problem Statement 2:
- To study kinetics of phase ordering in systems with long range interactions.
Work carried, Milestone, Achievements, Graphs and Plots:
- Kinetics of phase ordering in long-range Ising model (LRIM) with conserved order-parameter dynamics via Monte Carlo Simulations.
Challenge:
- Simulation of systems with long-range interaction is computationally very expensive. Monte carlo simulation of long-range Ising model (LRIM) requires calculation of energy of the system in every time step. The presence of periodic images in the boundaries of the systems makes the energy calculation computationally challenging and time consuming. We use our own codes written in Fortran, parallelized with OpenMP and Intel MPI to study the kinetics of phase separation in LRIM for both conserved and non-conserved order parameter dynamics.
Publications:
- Arabinda Bera, Kurt Binder, Sergei A. Egorov, Subir K. Das, “Macroscopic rotation of active colloids in a colloid-polymer mixture confined inside a spherical cavity”, arXiv:2112.00500v1 (2021).
- Soumik Ghosh, Subir K. Das, “Kinetics of phase ordering in long-range Ising model (LRIM) with conserved order-parameter via Monte Carlo Simulations”, manuscript under preparation.
Benefits and experience of using PARAM Yukti:
- We are obliged to Param Yukti for helping us in performing the simulations of a wide range of computationally challenging research problems. We are thankful to the NSM team for providing assistance and training to install modules and packages at the time of need.
INFORMATION REQUIRED FOR NSM USERS
- **Domain**: Statistical Mechanics and Soft Matter
- **Application name**: Complex Systems and Statistical Physics.
**Title of the work carried out:**
- Understanding fatigue failure mechanism
**Name & Designation of the Chief Investigator**: Swarnendu Maity
**Email Id**: firstname.lastname@example.org
**Institute Name**: JNCASR
**Problem statement(s)**:
- Identify failure time through various quantities
- Understand the mechanism behind failure
- Predict failure time beforehand from different conditions.
**Work carried, Milestone, Achievements & Graphs, Plots**:
- Using SLLOD simulation failure time is calculated using the following quantities (a) when there forms two potential energy (pe) minima in a cycle, (b) when hysteresis is less strain curve in a cycle, (c) when shear band is formed (no shear band is formed for small system sizes), (d) when mean square displacement shows diffusive behaviour, (e) when no. Os active particles travelled more than 0.1*(radius of larger particles) is larger than 98.5% of total no. of particles.
**Benefits & experience of using PARAM Yukti**:
- All the long atomistic simulations using SLLOD is run using the computer resource of param yukti.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Computational Sciences
- **Application name(s)**: LAMMPS
**Title of the work carried out:**
- An Artificial Intelligence based forecasting model for non-linear multivariate biomedical time series
**Name & Designation of the Chief Investigator**: Assistant professor Rajarajan Ganesan; Dr. Nitin Auluck
**Email Id**: email@example.com, firstname.lastname@example.org
Institute Name: Postgraduate Institute of Medical Education and Research, Chandigarh, Indian Institute of Technology, Ropar
Problem statement(s): The aim of the project is:
- Design and development of a multivariate time series analysis algorithm for clustering, classification and forecasting modelling.
- Design and development of extract transform load (ETL) pipelines for HPC applications towards processing of multivariate time series data.
Work carried, Milestone, Achievements & Graphs, Plots:
Work-1
- A regular expression-based methodology to extract clinical investigations from multiple portable document format (PDF) files. A multiprocessing framework for simultaneously processing multiple files in a High-Performance Cluster as shown in Figure 1.
- A method to extract blood investigations from PDF reports was developed and implemented.
- Uses SPMD architecture to extract relevant data from thousands of reports in a multiprocessing framework.
- Enabled data extraction in minutes rather than hours as compared to extraction via local computers.
- Can scale to all the available processors in a single node i.e. 40 in case of PARAM Yukti.
Work-2
• Develop artificial intelligence models based on non-linear time-series data of blood pressure and heart rate to predict the ICU stay, hospital stay, and survival outcome of cardiac surgical patients.
• Construct an end-to-end data analysis pipeline which incorporates artefacts removal, non-linear noise reduction, and features engineering as shown in Figure 2.
- SMOTE [1] and NearMiss [2] technique to alleviate the inadequate classification generated by imbalanced data.
- The Gaussian Naive Bayes + Logistic Regression (GNB+LR) model is the best model for survival analysis, having the highest AUC of 0.72, Accuracy of 83%, and an F1-score of 0.86 as shown in Figure 3.
- The Gradient boosting model [3] is the best model for the analysis of hospital stay, offering the highest R2-score (0.023).
- The XGBoost regressor [4] is the best model for ICU stay analysis, offering the highest R2-score (0.125).
Figure 2: The overall methodology followed in developing the prediction model
Work-3
- Develop a neural network-based real-time time-series forecasting system that can predict the near future values of HR and iBP based on short-term physiological history.
- The raw data was processed to remove artefacts, and the processed data was further utilised for training DNN models as shown in Figure 4.
- The trained models were deployed as a graphical user interface (GUI) using pyqt5 [5] that enabled hospital staff to visualize and investigate the predicted data as shown in Figure 5.
- Before training the NN model, hyper-parameters are manually selected training variables. The crucial hyper-parameters for the NN models employed in this work are activation function (sigmoid, tanh, ReLu, leaky ReLu etc.), [6] number of input layer neurons (size of time window), number of hidden layers, number of hidden neurons etc.
- A subset of hyper-parameters with the highest accuracy are chosen for training of DNN models as shown in Figures 6,7,8, and 9.
- The Long Short Term Memory (LSTM) model achieved the best performance for HR time series prediction having root mean square error (RMSE) of 5.26 and mean absolute error (MAE) of 2.57.
- The Bidirectional Short Term Memory (BiLSTM) achieved RMSE (10.22) and MAE (6.28), making it the best-performing model for IBP time series forecasting.
Figure 4: The overall methodology of developed DNN model
Figure 5: GUI Integration
Figure 6: Comparative analysis of Input Window Size for time series parameters a) IBP b) HR
Figure 7: Comparative analysis of Hidden Layers for time series parameters a) IBP b) HR
Figure 8: Comparative analysis of Activation Functions for time series parameters a) IBP b) HR
Figure 9: Comparative analysis of Hidden Neurons for time series parameters a) IBP b) HR
**Work 4:**
Develop drift detection and ensemble model based adaptive framework for predictive maintenance of ICU stay and hospital stay of cardiac surgery patients as shown in figure 10.
Figure 10: The overall methodology followed by drift detection and adaptive framework
The various drift detection techniques have been utilized such as population stability index, Kolmogorov Smirnov Test (KS), Wasserstein Distance, and Cramer Von Mises Test (CVM) to detect drift in the new data.
The ensemble learning based adaptive model adapts through the changes in the environment and reduces drastic degradation in performance.
**Publications / Articles etc. link (If any)**:
- S. Konar, N. Auluck, R. Ganesan, A. Goyal, T. Kaur, M. Sahi, T. Samra, S. K. Singh Thingnam, and G. D. Puri, “A non-linear time series based artificial intelligence model to predict outcome in cardiac surgery”, Health and Technology, Springer, Nov 2022, pp. 1169 - 1181.
- T. Kaur, R. Ganesan, M. Sahi, G. D. Puri, S. Konar, A. Mittal, T. Samra, S. K. Singh Thingnam, and N. Auluck, “Neural network-based non-linear time series forecasting for cardiac surgery applications”, Artificial Intelligence in Medicine, Elsevier, in review.
- S. Konar, G. D. Puri, T. Samra, A. Goyal, N. Auluck, T. Kaur, M. Sahi, and R. Ganesan, “A supercomputer based multiprocessing framework for large scale automated data extraction from medical records”, manuscript ready.
- T. Kaur, R. Ganesan, M. Sahi, G. D. Puri, S. Konar, A. Mittal, T. Samra, S. K. Singh Thingnam, and N. Auluck, “Drift Detection and Adaptive Framework for Non-Linear Time Series Data”, manuscript ready.
**References**:
- You J, Lou E, Afrouziyeh M, Zukiwsky NM, Zuidhof MJ. A supervised machine learning method to detect anomalous real-time broiler breeder body weight data recorded by a precision feeding system. Computers and Electronics in Agriculture. 2021;185:106171.
- Chen J, Huang H, Cohn AG, Zhang D, Zhou M. Machine learning-based classification of rock discontinuity trace: SMOTE oversampling integrated with GBT ensemble learning. International Journal of Mining Science and Technology. 2021.
Natekin A, Knoll A. Gradient boosting machines, a tutorial. Frontiers in neurorobotics. 2013;7:21.
Asselman A, Khaldi M, Aammou S. Enhancing the prediction of student performance based on the machine learning XGBoost algorithm. Interactive Learning Environments. 2021;p. 1–20.
Willman JM. Beginning PyQt. Springer; 2020
Philemon MD, Ismail Z, Dare J. A review of epidemic forecasting using artificial neural networks. International Journal of Epidemiologic Research. 2019;6(3):132–143.
**Benefits & experience of using PARAM Yukti:**
- The availability of PARAM Yukti has accelerated our workflow to an unprecedented scale. Tasks that we were accomplishing in weeks are now a matter of minutes and to be honest we have barely scratched its full potential yet. Apart from these accelerated workflows, it has opened avenues for new applications especially in the area of medicine. In the domain of data mining/extraction only, we have achieved efficiency and effectiveness that was not possible with our existing computing resources. The experience of using PARAM Yukti was flawless. The user manuals and the other resources such as DLI training which was made available to users is bringing down the efforts and application development time.
**Any other relevant information (if any):**
- ETL Pipelines are currently being migrated to utilise GPU accelerated computing by using CuPy open-source library. CuPy utilizes CUDA Toolkit libraries like cuBLAS, cuSPARSE, cuFFT, cuDNN and NCCL to make full use of the GPU architecture.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: AI/ML/DL
- **Sub-domain(s)**: HPC Applications
- **Application name(s)**: Medical Applications including Data Extraction/Mining
Title of the work carried out:
Understanding the role of elemental order on the evolution of local atomic structure in multicomponent metallic glasses
Name & Designation of the Chief Investigator:
Prof. Krishanu Biswas, Professor
E-mail Id:
email@example.com
Institution Name:
Indian Institute of Technology Kanpur, Kalyanpur, Kanpur, Uttar Pradesh – 208016
Work carried, Milestone, Achievements & Graphs, Plots:
We have successfully been able to simulate the atomic structure of two metallic glasses under investigation along with the coordination states and the various short-range order polyhedral (Voronoi polyhedral) prevalent within the structure of the materials. These results are intermediate in nature and the work is yet to be published. Therefore, a set of results have been provided here.
Figure 1 - Variation of (a) primary and secondary shear band density, $\psi$, and (b) interband spacing for PSBs in the subsurface deformation zone for various investigated BMGs.
Figure 2 - Comparative (a) total $g(r)$ and partial $g_{ij}(r)$ curves for (b) Cu-Cu, (c) Cu-Zr and (d) Zr-Zr pairs for Cu$_{50}$Zr$_{50}$ and Cu$_{42}$Zr$_{48}$Ag$_{10}$ BMGs at 300 K.
Figure 3 - Fraction of the most popular VPs of Zr-, Cu-, and Ag-centered clusters for (a) Cu$_{50}$Zr$_{50}$ and (b) Cu$_{42}$Zr$_{48}$Ag$_{10}$ BMGs at 300 K.
Publications / Articles etc. link (If any):
The manuscript consisting of the aforementioned results is under preparation and will soon be communicated for publication in relevant journal.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s):** Material Sciences
- **Sub-domain(s):** Atomic Structure of Multicomponent Metallic Glasses
- **Application name(s):** LAMMPS (Molecular Dynamic Simulations)
Title of the work carried out:
The effect of Si addition on the structure and mechanical properties of equiatomic CoCrFeMnNi high entropy alloy by experiment and simulation
Name & Designation of the Chief Investigator:
Krishanu Biswas, Professor
E-mail Id:
firstname.lastname@example.org
Institution Name:
Indian Institute of Technology Kanpur, Kalyanpur, Kanpur, Uttar Pradesh – 208016
Problem statement(s):
Stacking Fault Energy and Local lattice distortion calculation in High Entropy Alloys
Work carried, Milestone, Achievements & Graphs, Plots:
Fig 1 Two repetitions along the [111] direction of (a) the ideal fcc supercell with 9 (111)-layers and (b) and (c) are the tilted supercell with 9 (111)-layers after shearing of ideal FCC supercell in [-211] directions.
Fig 2 (a) Fully relaxed structure of different Si-containing alloys with the marked position of Si atoms (green circle with the yellow cross of Si atom) (b) % local lattice distortion in the vicinity of Si atoms w.r.t 1st NN
Publications / Articles etc. link (If any)*: https://doi.org/10.1016/j.mtla.2023.101707
Publisher: ELSEVIER
Information required for NSM (National Supercomputing Mission) users
- **Domain(s):** Material Science/
- **Sub-domain(s):** Structure-Mechanical properties correlation in metallic alloys
- **Application name(s):** DFT calculation using VASP in Material Science
Title of the work carried out:
Resolving ion-to-electron scale physics in kinetic Alfven wave turbulence
Name & Designation of the Chief Investigator:
Dr. Kirit Makwana, Assistant Professor
E-mail Id:
email@example.com
Institution Name:
Dept. of Physics, Indian Institute of Technology (IIT) Hyderabad
Problem statement(s):
Kinetic range turbulence is observed in plasma turbulence of solar wind. This is turbulence at small length scales where kinetic physics operates. The problem statement of this project is to resolve the difference between ion and electron length scales of this turbulence by using simulations of a semi-implicit particle-in-cell (PIC) code. Another problem statement is to identify the fundamental length scale of coherent structures in this regime of turbulence.
Work carried, Milestone, Achievements & Graphs, Plots:
We have successfully demonstrated a new way of injecting kinetic Alfven waves (KAWs) in PIC simulations using two-fluid models. This is validated by showing that the simulated frequencies of the waves match well with a fully kinetic dispersion solver.
We were also able to investigate non-linear interactions of KAW modes in 2.5D. We found that the interactions are local and mostly in the magnetic-field perpendicular direction. This is quite different from expectations of 3D turbulence, so we are now investigating the magnetic energy spectrum in 3D simulation geometry.
Publications / Articles etc. link:
Kirit Makwana, Srinikitha Bhagvati, & Johan Sharma, “Linear dispersion and nonlinear interactions in 2.5D particle-in-cell simulations of kinetic Alfven waves”, submitted and under review in journal Plasma Physics Reports
Work presented in conference/s with photographs:
• Oral presentation at AAPPS-DPP 5th Asia-Pacific conference on Plasma Physics, September 2021
• Oral presentation at 37th National Symposium on Plasma Science and Technology, IIT Jodhpur, Dec 2022 (photos from conference below)
• Physics seminar at IIT-BHU and IIT-Kanpur, 2022
Benefits & experience of using PARAM SANGANAK:
I am grateful to IIT Kanpur’s PARAM Sanganak facility, the simulations and scientific study we are doing would not be possible without PARAM Sanganak. I am especially thankful for the fact that PARAM Sanganak has very little down time, and so it is readily available most of the time. This was especially useful during the holidays when I had to prepare a presentation from these results.
Information required for NSM (National Supercomputing Mission) users
• Domain(s): Astrophysics, Computational Physics
• Sub-domain(s): Plasma Physics
• Application name(s): Particle-in-cell simulations, iPIC3D, OpenMPI, HDF5, Python Numpy
Title of the work carried out: Development and Applications of New Density Functional Theory Program Package
Name & Designation of the Chief Investigator: Nisanth N. Nair
E-mail Id: firstname.lastname@example.org
Institution Name: Indian Institute of Technology Kanpur
Problem statement(s):
(A) Development of a stand alone electronic structure program (AMDKIIT) using plane wave basis set - that is fully developed within the academia of this country. Further, new methods will be developed to speed up the Hartree Fock exchange energy calculations involved in the hybrid functional density functional theory.
(B) Applications of DFT techniques to study catalytic reactions in zeolites.
(C) Development of Enhanced sampling method named parallel bias temperature accelerated sliced sampling (PBTASS)
(D) Application of Thermodynamic Integration-driven Adiabatic Free Energy Dynamics (TI-dAFED) method to compute the pka-shift of Asp26 residue in thioredoxin protein
(E) Development of unified framework to run temperature accelerated sliced samping (TASS) using OpenMM with UFEDMM plugin
(F) Application of hybrid functional based QM/MM to study enzymatic reactions.
**Work carried, Milestone, Achievements & Graphs, Plots:**
**AMDKIIT Code Development:** The following milestones related to the development of new code have been achieved.
- A new electronic structure code for performing plane-wave based DFT calculation has been developed.
- The code is able to perform single point energy calculations and geometry optimizations for various molecules (H$_2$, H$_2$O etc.).
- Parallel efficiency, computational cost, and accuracy of the code tested.
- Created a new YAML based input file and also GUI for generating the input.
- Enable to use pseudopotential file both in a unified PP format (UPF) for all types of PPs and older psp formats.
- Implementation of open-shell DFT, density gradient implementation, interfacing with LibXC library.
- Application of DFT (QM/MM) calculations to zeolite catalysis.
**Hybrid DFT functional based Molecular Dynamics Simulations:** Molecular dynamics (MD) with hybrid functionals (PBE0) and plane wave basis set is preferred for accurate prediction of energetics, reaction mechanism, and structural as well as dynamic properties of soft matter systems. However, such MD simulations are seldom performed due to the incredibly high computational cost compared to GGA functionals (PBE) because of the certain percentage of exact exchange computations. In recent years, we introduced a new method, called Multiple Time Stepping Adaptive Compressed Exchange-Operator (MTACE), which could speed up hybrid-DFT based MD simulations by an order of magnitude. The MTACE method is based on the idea of multiple time stepping (MTS) using the Adaptively Compressed Exchange (ACE) operator. This achieved a speed up of 10 times for a system containing hundred atoms. Although using a large time step could further decrease the computational cost, it affected the accuracy of integration beyond a value due to the inherent resonances. We devised a new way to overcome this problem by achieving a speedup of 30 in our calculations, without compromising the accuracy. With this, we are able to use our developed code to study computationally intensive catalytic reactions at the level of hybrid-density functional theory.
Modeling Catalytic Reactions in Zeolites: Conversion of alkanes to liquid fuels and other chemicals has a great demand in many industrial applications. The key challenge in the alkane conversion is the activation of the C–H bond. Protonated zeolites are known to activate the C–H bond in alkanes. Modeling of such catalytic reactions and estimation of reaction free energies especially when entropy has a non-negligible contribution in the reactant state due to the translational motion in the pores are computationally challenging. The large size of the zeolite systems also poses difficulty in modeling such reactions. We address these problems through extensive fully relaxed hybrid quantum mechanics- and molecular mechanics-based molecular dynamics simulations and free energy calculations using the temperature-accelerated sliced sampling approach. We model a proton-exchange reaction between methane and the Brønsted acid site of zeolite at 300 K. We investigate the differential reactivity of H-ZSM-5 and H-MCM-22 zeolites toward proton exchange and probe the role of acid strength, internal structure, and entropy.
Exploration of high dimensional free energy landscapes by a combination of temperature-accelerated sliced sampling and parallel biasing: A powerful enhanced sampling technique to efficiently explore high-dimensional free energy landscapes is proposed here. By a combination of parallel-biasing, temperature acceleration, and restrained sampling of collective variables, the method can explore high-dimensional surfaces in an extremely efficient manner. The method can sample more than 50% of the eight-dimensional free energy landscape of alanine-pentapeptide if all the 33 umbrella windows run for just 2 ns, and nearly the whole surface in just 20 ns. Finally, the method is applied to a more realistic problem wherein we compute the broad four-dimensional free energy surface corresponding to the deacylation of a drug molecule which is covalently complexed with a β-lactamase enzyme. We demonstrated that using parallel bias in TASS improves the efficiency of exploration of high-dimensional free energy landscapes.
Computational Study of pK\textsubscript{a} Shift of Aspartate Residue in Thioredoxin: Role of Configurational Sampling and Solvent Model
Alchemical free energy calculations are widely used in predicting pK\textsubscript{a} in biomolecular systems. These calculations are carried out using either Free Energy Perturbation (FEP) or Thermodynamic Integration (TI). In these methods, free energy differences are calculated by introducing some non-physical intermediate states between two physically relevant states. When applied to condensed matter systems, the predictive power of these methods is affected by the slow convergence in the free energy estimates, mainly due to the drastic environmental changes while moving from one state to the other. Numerous efforts have been made to improve the accuracy and efficiency of such calculations, especially by boosting conformational sampling. In this work, we use a technique that enhances the conformational sampling by temperature acceleration of collective variables for alchemical transformations and applies it to the prediction of pK\textsubscript{a} of the buried Asp\textsubscript{26} residue in thioredoxin protein. It shows the importance of enhanced sampling and effect of solvent models in the pK\textsubscript{a} calculations.
Inhibition Mechanism of Class D β-Lactamases by Avibactam
The class D β-lactamases (DBLs) have been showing increasing resistance to antibiotics which is a matter of grave concern. This class of enzymes is especially dangerous because it hydrolyses even the last resort antibiotics, like carbapenems. The development of efficient inhibitors against DBLs calls for a molecular-level understanding of the hydrolysis mechanism. We investigated the mechanism of inhibition of OXA-48 DBL enzyme by avibactam, through molecular dynamics simulations and free energy calculations. The study uncovers the role of active site residues, especially the unique N-carbamylated lysine (Lys73). We explored various probable reaction paths to obtain a free energy profile for the complete hydrolysis reaction. The study presents important intermediates along the reaction path, which are well corroborated with X-ray crystal structures. A comparison is drawn between the hydrolysis of a conventional β-lactam drug, namely meropenem, and avibactam. This highlights the important feature that makes avibactam a strong inhibitor. Such features can be used in future drug development to increase inhibitory activity of drugs.
Bucket Sampling: A New Sampling Approach using Artificial Neural Networks
Well-Sliced Metadynamics is one of the enhanced sampling techniques for exploration of high dimensional free energy surfaces and computation of free energetics in a divide and conquer way. The method allows for a controlled sampling of a high dimensional free energy surface. The method has been applied to a large number of problems such as chemical reactions and protein folding. However, one of the disadvantages with the method is that the computational burden increases with the number of umbrella windows to be used. In this work, we propose a new method to alleviate this issue by using broad windows of sampling thereby reducing the total number of windows to be used during the simulations. Projection of the free energy surface is then reconstructed using a Gaussian basis representation of mean forces which in turn is obtained from trained Artificial Neural Networks. We demonstrate the accuracy and efficiency of this method on protein folding and drug binding problems.
Recipes for Performing Enhanced Sampling Simulations using Temperature Acceleration of Extended Collective Variable Space using OpenMM
Collective variable (CV)-based enhanced sampling techniques are widely used today for accelerating barrier. Temperature Accelerated Sliced Sampling (TASS), use a unique extended variable formalism to achieve quick exploration of conformational space. This technique is powerful, as it permits the sampling of a large number CVs compared to other techniques. We developed a unified framework to perform TASS using the open-source molecular dynamics engine OpenMM with UFEDMM plugin. The implementation allows users to have interoperability of sampling techniques, employ state-of-the-art thermostats, and multiple time-stepping. As a demonstration we used it to compute the high dimensional conformational landscape of Trp-Cage protein in explicit water.
Publications / Articles etc. link (If any)*:
1. Sagarmoy Mandal, Ritama Kar, Tobias Klöffel, Bernd Meyer, Nisanth N. Nair, “Improving the scaling and performance of multiple time stepping-based molecular dynamics with hybrid density functionals”, *Journal of Computational Chemistry*, **2022**, 9 (43), 588-597, [10.1002/jcc.26816](https://doi.org/10.1002/jcc.26816); **Publisher**: Wiley
2. Rahul Verma and Nisanth N. Nair, “Proton-Exchange Reaction in Acidic Zeolites: Mechanism and Free Energetics”, *The Journal of Physical Chemistry C*, **2022**, 126 (45), 19169-19177. [https://doi.org/10.1021/acs.jpcc.2c06146](https://doi.org/10.1021/acs.jpcc.2c06146); **Publisher**: American Chemical Society
3. Sagarmoy Mandal, Ritama Kar, Bernd Meyer, Nisanth N. Nair, “Hybrid Functional and Plane Waves based Ab Initio Molecular Dynamics Study of the Aqueous Fe2+/Fe3+ Redox Reaction”, *ChemPhysChem*, **2022**, 202200617, [10.1002/cphc.202200617](https://doi.org/10.1002/cphc.202200617); **Publisher**: Wiley-VCH
4. Abhinav Gupta, Shivani Verma, Ramsha Javed, Suraj Sudhakar, Saurabh Srivastava, and Nisanth N. Nair, “Exploration of high dimensional free energy landscapes by a combination of temperature-accelerated sliced sampling and parallel biasing”, *Journal of Computational Chemistry*, **2022**, 43, 1186–1200. [10.1002/jcc.26882](https://doi.org/10.1002/jcc.26882); **Publisher**: Wiley
5. S. Verma, N. N. Nair.”Computational Study of pKa shift of Aspartate residue in Thioredoxin: Role of Configurational Sampling and Solvent Model, 2023 (submitted): [arXiv:2211.13637v1](https://arxiv.org/abs/2211.13637)
6. Vaishali Thakkur, Chandan Das, and Nisanth N. Nair, “Inhibition Mechanism of Class D β-Lactamases by Avibactam”, *ACS Catalysis*, **2022**, 12, 16, 10338–10352. [https://doi.org/10.1021/acscatal.2c02693](https://doi.org/10.1021/acscatal.2c02693); **Publisher**: American Chemical Society
**Work presented in conference/s with photographs (if any):**
- The PI is presenting the work at the Designing Catalysts on Computers (DCC22) conference, Indian Association for the Cultivation of Science, Kolkata, India (Dec 2-3, 2022)
- The student working in this project, Ms. Ritama Kar, is presenting a poster at the Designing Catalysts on Computers (DCC22) conference, held at the Indian Association for the Cultivation of Science, Kolkata, India (Dec 2-3, 2022).
• Ms. Ritama Kar (PhD Student) working in this project has been selected for the oral presentation in the “19th International conference on Density Functional Theory and its Applications”, 2022 (DFT22), held in Brussels, Belgium (Aug 28 to Sept 2, 2022).
• Mr. Abhinav Gupta (PhD student) presented his work in recent advanced in rare events (RARE), 2021 held via an online mode. (Dec 15-18, 2021)
• Mr Shitanshu Bajpai (PhD student) presented his work in conference “Molecular Simulation Focus on Method” 2022 held at TIFR Hyderabad .( Dec 13-14, 2022)
Ms. Ramsha Javed presented her poster at the Designing Catalysts on Computers (DCC22) conference, held at the Indian Association for the Cultivation of Science, Kolkata, India (Dec 2-3, 2022).
Ms. Ramsha Javed (PhD student) presented her work in recent advances in modelling rare events (RARE), 2021 held via an online mode. (Dec 15-18, 2021)
The student also presented a poster in 20 years of Metadynamics, CECAM, 2022 held via an online mode. (September 5-8, 2022)
Ms. Vaishali Thakkur gave a poster presentation for her work at the theoretical chemistry symposium (TCS) 2021 held online.
Ms. Vaishali Thakkur presented her poster at the RARE meeting, 2021 held in online mode. (Dec 15-18, 2021).
**Appreciation / Recognition (if any):**
Ms. Ritama Kar (PhD student) working on the project has received the best poster at the Designing Catalysts on Computers (DCC22) conference, held at the Indian Association for the Cultivation of Science, Kolkata, India (Dec 2-3, 2022).
**Benefits & experience of using PARAM Sanganak:** Excellent computing power, excellent scaling efficiency, and very good supporting staff.
**Information required for NSM (National Supercomputing Mission) users**
- Domain(s)*: Computational Sciences
- Application name(s)*: CPMD, GROMACS, AMBER, PLUMED
**Work Report:**
**Title of the work carried out:**
Atomistic simulation and machine learning to understand structure and properties of materials.
**Name & Designation of the Chief Investigator:**
Somnath Bhowmick, Associate Professor
**E-mail Id:**
email@example.com
**Institution Name:**
Indian Institute of Technology Kanpur
Problem statement(s):
We focus on atomistic simulations to understand the structure property correlation of materials.
Work carried, Milestone, Achievements & Graphs, Plots:
Study of generalized stacking fault, published in Materialia (2022)
Study of 2D ferroelectricity, published in Journal of Applied Physics (2022)
Publications / Articles etc. link:
- Strain-tunable in-plane ferroelectricity and lateral tunnel junction in monolayer group-IV mono-chalcogenides, A Priydarshi, YS Chauhan, S Bhowmick, A Agarwal, *Journal of Applied Physics* 131 (3), 034101 (2022).
- Large and anisotropic carrier mobility in monolayers of the MA$_2$Z$_4$ series (M = Cr, Mo, W; A = Si, Ge; and Z = N, P), A Priydarshi, YS Chauhan, S Bhowmick, A Agarwal, *Nanoscale* 14 (33), 11988-11997 (2022).
- Effect of pressure on stacking fault energy and deformation behavior of face-centered cubic metals, A Linda, PK Tripathi, S Nagar, S Bhowmick, *Materialia Volume 26, December 2022*, 101598.
Work presented in conference/s with photographs (if any):
- Title: Effect of pressure on stacking fault energy and deformation behavior of face-centered cubic metals
Authors: Albert Linda, Pawan Kumar Tripathi, Sainyam Nagar, Somnath Bhowmick
Name of conference: Perspectives in Materials Research 2022
Venue: IISC Bangalore
Date: 21-23, December 2022
- Title: Surrogate approach towards accelerated prediction of microstructure evolution through history-dependent Machine learning models
Benefits & experience of using PARAM Sanganak:
Atomistic simulations and machine learning require huge computational resources. PARAM Sanganak has really helped the students to carry out high quality research in the field of computational materials science. However, if additional support is provided by installing popular packages like VASP in PARAM Sanganak, it would be greatly appreciated.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Materials science
- Application name(s)*: LAMMPS, Quantum Espresso, VASP
Title of the work carried out:
Investigation of compressible vortex rings with trailing jet and its interaction with the cone mounted on a flat plate applicable to the design of optimized launch pad deflector.
Name & Designation of the Chief Investigator:
Prof. Debopam Das
E-mail Id:
firstname.lastname@example.org
Institution Name:
Indian Institute of Technology Kanpur
Problem statement(s):
The design of effective deflector for the rocket launch pads is crucial for the safe take-off of the launch vehicle, however the reflecting shock impinging on the launch vehicle and structural vibration due to tonal acoustic radiations are not well understood. Therefore, the aim is to investigate the phenomenon in detail with a high-fidelity simulation.
Work carried, Milestone, Achievements & Graphs, Plots:
Simulation of Compressible vortex ring and trailing jet in free blast conditions. The data is being analyzed. Draft for the manuscript is under preparation.
Compressible vortex ring impinging on the flat plate mounted cone –
For the impingement case, one simulation has been completed, the data is validated with the experiments and after analysis a parametric study will be conducted.
The results leading to the optimal design of the cone would be disseminated in the form of a publication.
Benefits & experience of using PARAM Sanganak:
The problem in hand requires a fine mesh to capture the shocks present in the flow, this leads to millions of cells to be simulated, which is not possible in ordinary computing machines. However, it was simulated on the PARAM effortlessly.
Any other relevant information:
The support team has been very helpful in resolving technical glitches and day to day trouble shooting.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s):** Computational Fluid Dynamics
- **Sub-domain(s):** Compressible flows
- **Application name(s):** Ansys Fluent
---
**Title of the work carried out:**
Attention based Audio Embeddings for Query-by-Example
**Name & Designation of the Chief Investigator:**
Prof. Dr. Vipul Arora, Associate Professor
**E-mail Id:**
email@example.com
**Institution Name:**
Indian Institute of Technology Kanpur
**Problem statement(s):**
Robust audio representation learning using deep learning
**Work carried, Milestone, Achievements & Graphs, Plots:**
Developed an audio fingerprinting system, robust against high noise and reverberation levels. Our system outperforms the existing state-of-the-art systems.
Publications / Articles etc. link:
Attention-based audio embeddings for query-by-example Singh, Anup*, Demuynck, Kris, Arora, Vipul
Publisher: ISMIR 2022
Work presented in conference/s with photographs: ISMIR 2022, Bengaluru
Benefits & experience of using PARAM Shakti:
The NVIDIA V100 GPU cards are very fast and efficient, which helped the PhD students to expedite their experiments.
Any other relevant information:
There should be training sessions/tutorials to make people aware of how to use the high-performance computing facility efficiently. There must be some provision to regularly check the users who do not use the resources efficiently and notify them. This will help in reducing the queue time for the pending jobs.
Information required for NSM (National Supercomputing Mission) users
- Domain(s): AI/ML/DL
- Sub-domain(s): Audio signal processing
- Application name(s): Audio fingerprinting
Title of the work carried out:
Temporal Statistics of Rotating Turbulence
Name & Designation of the Chief Investigator:
Sagar Chakraborty, Professor
E-mail Id:
firstname.lastname@example.org
Institution Name:
Indian Institute of Technology Kanpur
Problem statement(s):
Effects of the global time-scale imposed by the rotation in rotating turbulence?
Work carried, Milestone, Achievements & Graphs, Plots:
We tested our theoretical predictions on the relevance and the scaling of nonlinear time-scales and rotation time-scale against data from numerical simulations carried out in PARAM Sanganak cluster at IIT Kanpur.
We found that the timescales in the rotation-dominated lengthscales are scale-independent in our study based on a multifractal approach and shell model simulations performed in PARAM Sanganak cluster at IIT Kanpur.
Publications / Articles etc. link:
Shailendra K. Rathor, Sagar Chakraborty, and Samriddhi Sankar Ray, “Dynamic scaling in rotating turbulence: A shell model study”. Physical Review E (Letters) 105, L063102 (2022).
https://doi.org/10.1103/PhysRevE.105.L063102
Information required for NSM (National Supercomputing Mission) users
- **Domain(s):** Complex Systems and Statistical Physics, Computational Fluid Dynamics
- **Sub-domain(s):** Fluid Turbulence
- **Application name(s):** A C++ code for variants of shell model of turbulence, and the pseudo-spectral code Tarang
---
**Title of the work carried out:**
Molecular mechanism of G-protein activation via phosphorylation of tyrosine residues.
**Name & Designation of the Chief Investigator:**
Kunal Shewani, Graduate student
**E-mail Id:**
email@example.com
**Institution Name:**
Indian Institute of Science Education and Research Bhopal (IISERB), Bhopal, Madhya Pradesh-462066
**Problem statement(s):**
Heterotrimeric G-proteins (Gαβγ) are the signal transducers that gate the flow of information from extracellular cues to intracellular effectors, which controls cell behaviour. Canonically, agonist-bound G-protein coupled receptors (GPCRs) adopt active conformations and associate with guanosine diphosphate (GDP) bound G-proteins, which facilitates the release of GDP from the Gα subunit. This event is followed by the binding of guanosine triphosphate (GTP) to the Gα subunit and the dissociation of Gβγ from the heterotrimer.
Moreover, receptor tyrosine kinases (RTKs), a class of cell surface receptors, have been experimentally identified to activate G-proteins (Gαi) through the phosphorylation of tyrosine residues present in Gα subunit.
**Work carried, Milestone, Achievements & Graphs, Plots:**
Our aim is to explore conformational landscape of G-protein activation. By building Markov state model (MSM) we are trying to find the metastable states it visits during activation process. We have generated short trajectories of cumulative length of 30 microseconds using unbiased molecular dynamics simulations. Currently we are performing validation of our model.
**Benefits & experience of using PARAM Sanganak:**
Param Sanganak has been of immense help to me in my research project. To build Markov state model it requires a dataset of huge size which would not have been possible to generate without NSM.
program. I’m thankful to the committee in charge for making this valuable national asset available to us.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s):** Computational Biology
- **Sub-domain(s):** Computational Biophysics
- **Application name(s):** Molecular Dynamics Simulations (GROMACS)
---
**Title of the work carried out:**
Computational Studies for Energy and Environmental Applications
**Name & Designation of the Chief Investigator:**
Prof. Jayant K. Singh, Poonam & Prabhu Goel Chair Professor & Head
**E-mail Id:**
firstname.lastname@example.org
**Institution Name:**
Indian Institute of Technology Kanpur
**Problem statements:**
We conduct multiscale simulations to explore the cardinal physics and molecular chemistry of new molecules for energy, environment and health applications using ParamSanganak and High Performance Computing facility at IIT Kanpur. Our simulation studies capture a wide spectrum of time and length scale via quantum calculation to mesoscale simulations using a variety of simulation packages along with in-house softwares like MIST (Molecular Insight Simulation Tool) and d-SEAMS (Deferred Structural Elucidation Analysis for Molecular Simulations). The research in our group is mainly focused on thermodynamic and interfacial behaviour of surfactants, self-assembly of amphiphilic molecules, ice nucleation, development of anti-icing surfaces, carbon capture, gas storage and separation, etc. We have also implemented various machine learning (ML) models and artificial intelligence (AI) to accelerate the discovery of new materials and drugs. We also perform the state-of-the-art first-principles calculations for a series of transition metal carbides and nitrides (MXenes) to understand the catalytic reactions and surface chemistry, especially in the realm of electrochemical catalysis.
**Work carried, Milestone, Achievements & Graphs, Plots:**
Our research work has brought new insights into surfactant behaviour at air-water and oil-water interfaces, understood the role of different factors affecting phases of ice and amphiphilic molecules, and developed new materials for energy storage. We proposed a unique CO$_2$RR behavior on O-terminated MXenes by choosing *HCOOH pathway, where the majority of electrocatalytic CO$_2$ reductions prefer the ubiquitous *CO intermediates. Our milestone and achievements are mentioned below:
**Insights into the Phase Diagram of Pluronic L64 Using Coarse-grained Molecular Dynamics Simulations:** We investigated the concentration-dependent phase diagram of pluronic L64 in aqueous media at 300 and 320 K using coarse-grained (CG) molecular dynamics (MD) simulations. The CG model is derived by adapting the Martini model for nonbonded interactions along with the Boltzmann
inversion (BI) of bonded interactions from all-atom (AA) simulations. Our derived CG model successfully captures the experimentally observed micellar-, hexagonal-, lamellar-, and polymer-rich solution phases. The end-to-end distance reveals the conformational change from an open-chain structure in the micellar phase to a folded-chain structure in the lamellar phase, increasing the orientational order. An increase in temperature leads to the expulsion of water molecules from the L64 moiety, suggesting an increase in L64 hydrophobicity. Thermodynamic analysis using the two-phase thermodynamics (2PT) method suggests the entropy of the system decreases with increasing L64 concentration and the decrease in free energy ($F$) with temperature is mainly driven by the entropic factor ($-\Delta S$). Further, the increase in aggregation number at lower concentrations and self-assembly at very high concentrations is energetically driven, whereas the change from the micellar phase to the lamellar phase with increasing L64 concentration is entropically driven. Our model provides molecular insights into L64 phases which can be further explored to design functionality-based suprastructures for drug delivery and tissue engineering applications.
**Pressure induced phase diagram of double-layer under confinement:** The ice phases display peculiar orientational behavior as a function of pressure, leading to a broad mixture of hydrogen bonding networks. Under a constrained environment, phase transitions between these amorphous/crystalline phases of ice are highly dependent on the confinement geometry, pressure, temperature, and other unknown variables. Here, we study the phase diagram of double-layer ice phases inside carbon nanotubes (CNTs) with varying diameters as a function of pressure (-5 GPa to 5 GPa) using dispersion-corrected DFT functionals. To understand the energy variations among different structures, we have carefully analysed the results using various DFT functionals and found that the choice of correction does not change the overall conclusion. The confinement width was found to play a crucial role in the square and square tube phases in the intermediate pressure range of about 0–1 GPa.
Unlike the phase transition in pure bilayer ice structures, the relative enthalpies demonstrate that the pentagonal phase, rather than the hexagonal structure, is the most stable ice polymorph at ambient pressure as well as in a deep negative pressure region, whereas the b-RH phase dominates under high pressure. These findings on double-layer ice phases not only bring novel insights into the phase diagram of a wider pressure regime under varying confinement widths, but also enrich the knowledge to explore the potential applications of the ice phases.
**Electrochemical reduction of CO$_2$ into hydrocarbon fuels:** The utilization of carbon dioxide (CO$_2$) for converting it into value-added products (carbon capture and utilization) is of primary concern to overcome the greenhouse effect being caused by the increased levels of atmospheric CO$_2$. Within this aim, we perform the state-of-the-art first-principles calculations for a series of transition metal carbides and nitrides (MXenes) to understand the catalytic reactions and surface chemistry, especially in the realm of electrochemical catalysis. We proposed a unique CO$_2$RR behavior on O-terminated MXenes by choosing *HCOOH pathway, where the majority of electrocatalytic CO$_2$ reductions prefer the ubiquitous *CO intermediates. The proposed reliable scaling relationships demonstrate better coordination between the reaction intermediates and binding energies. We observed that the catalytic selectivity for the CO$_2$RR on the studied MXenes is higher than HER, indicating that the selectivity between them is crucial and depends on the efficiency of the catalyst. The insight obtained from these thorough and comprehensive observations of the initial activation, limiting potentials, scaling relationships, protonation steps, together with the evolution of electrode overpotentials for several reaction mechanisms illustrate the promising features of MXenes in designing electrocatalytic materials.
Figure 3: Electrochemical CO$_2$ conversion into value-added chemical products (Catal. Sci. Technol., 2022, 12, 2223-2231).
Publications / Articles:
- D. Pramanik, A. B. Pawar, S. Roy and J. K. Singh, “Mechanistic insights of key host proteins and potential repurposed inhibitors regulating SARS-CoV-2 pathway”, J Comput Chem. 43, 1237 (2022)
- S. H. Mir,* V. K. Yadav and J. K. Singh, “Efficient CO$_2$ Capture and Activation on Novel Two-Dimensional Transition Metal Borides”, ACS Appl. Mater. Interfaces, 14, 29703 (2022)
- M. Bhendale, A. Srivastava, and J. K. Singh, “Insights into the Phase Diagram of Pluronic L64 Using Coarse Grained Molecular Dynamics Simulations”, J. Phys. Chem., B 126, 4731 (2022)
- M. V. Jyothirmai, B. Moses Abraham and J. K. Singh "Pressure-induced phase diagram of double-layer ice under confinement: A first-principles study", Phys. Chem. Chem. Phys., 24, 16647 (2022)
- V. Parey, B. Moses Abraham, M. V. Jyothirmai and J. K. Singh "Mechanistic insights for electrochemical reduction of CO$_2$ into hydrocarbon fuels over O-terminated MXenes", Catal. Sci. Technol., 12, 2223 (2022)
Awards:
- NASI- Reliance Industries Platinum Jubilee Award 2022
- Deepak Group’s Padma Bhushan Prof. L. K. Doraiswamy CHECON Distinguished Speaker Award 2022
- STEM IMPACT Awards 2022
Work presented in conferences:
- Jayant K. Singh, “Net Zero: Current Status and Challenges” CHEMCON-2022, HBTU Kanpur, 27-30 December, 2022 (Invited Talk)
- Mangesh Bhendale, Arpita Srivastava and Jayant K. Singh, “Insights into the Thermodynamics and Morphology of Different Phases of Pluronic L64 from Molecular Dynamics Simulations Using Derived Coarse-Grained, ESAT 2022, 32nd European Symposium on Applied Thermodynamics 2022, TU Graz, Austria, 17-19 July 2022 (Oral Presentation)
- Mangesh Bhendale and Jayant K. Singh "Interdigitated aggregation of polymer-surfactant system: A coarse-grained molecular dynamics study", 27th Biennial Thermodynamics Conference Series, University of Bath, UK, 7-9 Sept 2022 (Poster and Oral Presentation)
- D. Roshini, M. V. Jyothirmai and Jayant K .Singh, “A Combined DFT and Machine Learning Aided Screening of g-C3N4 based Single Atom Catalysts for efficient Hydrogen generation” at International Conference in Asia organized by Union of Materials Research Society, Materials Research society of India (IUMRS-ICA), IIT Jodhpur, December 19-23, 2022 (Poster Presentation)
- Priyanka Sinha, B. Moses Abraham and Jayant K .Singh , “Accelerating the Discovery of 2D MXene Catalysts for Hydrogen Evolution Reaction through Machine Learning Strategy” at International Conference in Asia organized by Union of Materials Research Society, Materials Research society of India (IUMRS-ICA), IIT Jodhpur, December 19-23, 2022
Appreciation / Recognition:
- Have been awarded with the prestigious NASI- Reliance Industries Platinum Jubilee Award 2022, covering both physical and biological sciences.
• Received Deepak Group’s Padma Bhushan Prof. L K Doraiswamy Chemcon Distinguished Speaker Award.
**Benefits & experience of using PARAM Sanganak:**
The large scale and massive computational facilities provided by PARAM Sanganak that are specifically designed to run parallel programs are very helpful for our group to solve wide range of scientific problems in the field of energy and environment problems. The training, support and advice team at PARAM Sanganak facilitated quality services in an easy, useful, and valid manner during installation of programs and in solving errors.
**Information required for NSM (National Supercomputing Mission) users**
- **Domains:** Computational Sciences
- **Sub-domains:** Molecular dynamics, machine learning, density functional theory
**Title of the work carried out:**
High fidelity numerical simulations of turbulent reactive flows
**Name & Designation of the Chief Investigator:**
Dr. Santanu De, Associate Professor
**E-mail Id:**
email@example.com
**Institution Name:**
Indian Institute of Technology Kanpur
**Work carried, Milestone, Achievements & Graphs, Plots:**
**Direct Numerical Simulation of Compressible Reacting Flows**
A fundamental understanding of compressible reacting flows is vital towards advancing our knowledge related to the design of combustion devices operating especially at high-speeds. Such flows are not much amenable to experimental studies and thus require the use of advanced numerical tools, to analyze it in an extensive manner. Direct Numerical Simulations aim to resolve the wide spectrum of length and time scales prevalent in such complex flows. An attempt has been made to accurately resolve the flow and scalar fields and thereby understand the underlying compressibility-turbulence-chemistry interactions.
To achieve this, 3-dimensional instantaneous Navier-Stokes equations along with the multicomponent species and energy transport equations are solved on very fine grids using AUSM (Advection Upstream Splitting Method), methodology for accurate resolution of discontinuities encountered in such high-speed flows, with minimal numerical diffusion involved. The domain under consideration is a cube involving mixing between a fuel, Hydrogen (lower) and an oxidizer, Air (upper) stream with periodic boundary conditions, signifying a temporally evolving shear layer configuration. Some initial perturbations are artificially generated at the air-fuel interface, to achieve a rapid transition to fully turbulent state. The shear generated instabilities at the fuel-air interface lead to the formation of highly turbulent mixing regions, and as a result of that the mixture auto-ignites and product species like water etc. are formed as a result of combustion.
Figure 1: Hydrogen (fuel specie) mass fraction contour (Left) and Water (product specie) mass fraction contour (Right).
1. Development of a transported filtered density function solver within LES framework and its applications
Turbulent combusting flows exhibit local extinction and re-ignition events. These phenomena are difficult as chemical reaction rates are highly non-linear. A Large eddy simulation (LES) based transported filtered density function (TFDF) has been developed in OpenFOAM. The filtered density function equation is solved stochastically using the Eulerian Stochastic Field (ESF) method. The solver is validated against experimental measurements of Sandia piloted flame series and further used to simulate lifted hydrogen jet flame in a vitiated coflow.
Figure 2: Instantaneous contour of temperature in Kelvin for Flame D (left) and Flame F (right)
2. Atomization of liquid jet in cross flow
A hybrid approach is adopted based on the volume of fluid (VOF) and Lagrangian particle tracking (LPT) algorithm within the large eddy simulation (LES) framework to model the primary and secondary atomization of liquid fuel. A case study of jet in cross flow with different diameter of inlet jet is performed to understand the effect of liquid fuel atomization, below simulation results are done in $70 \times 70 \times 200$ D. Where D is 1.4 mm.
Figure 4: Contours of liquid volume fraction (left) and lagrangian particles (right)
3. MMC-LES of spray combustion: analysis of mixing time-scale and flame structure
Large-eddy simulations (LES) of a series of turbulent, pilot-stabilised, dilute acetone spray flames are performed using the sparse-Lagrangian multiple mapping conditioning approach (MMC-LES). The major objective of this work is to assess the adaptability of the recently
proposed dynamically evaluated molecular mixing time-scale model for MMC-LES, referred to as the *dyn-aISO* model, to the non-reacting and reacting two-phase flows. This is the first application to perform a dynamic evaluation of the mixing time-scale for turbulent spray combustion using the transported filtered density function (FDF) approach. A non-reacting case and four reacting flames with varying fuel mass loading are investigated, where the flame transitions from a diffusion flame to a premixed flame structure with a decrease in fuel loading. As is conventional for MMC-LES, a sparse resolution of one stochastic particle per six Eulerian finite-volume cells is used in this study, offering a much cheaper computing expense than the conventional transported FDF approach. The liquid evaporation is represented based on a nonequilibrium model at the droplet surface. The reaction chemistry is based on an augmented GRI 3.0 mechanism containing 39 species and 226 reactions to represent the oxidation of acetone. Predictions with *dyn-aISO* model are compared with the constant coefficient anisotropic mixing time scale model and the isotropic C-K model. Thorough validation of liquid-phase statistics and gas-phase temperature is performed with available experimental data and popular studies from the literature. Analysis of the flame structure, with different time-scale models, for both non-premixed and premixed type flame is also carried out. Quantification of the parameters affecting the timescale, such as model constants of the sub-Lagrangian-grid scale (*sigs*) mixture fraction variance (Cf), and its scalar dissipation rate is provided in comparison to their conventionally chosen static coefficient values. Predictions with the *dyn-aISO* model are quite good for the diffusion-type flames, while some discrepancies are noticed while predicting a premixed flame structure for lower liquid loading case having near stoichiometric jet exit mixture composition.
**Publications / Articles etc. link:**
*Sharma E.*, De S. and Cleary M., 2022, *A fully dynamic mixing time-scale model for the sparse Lagrangian multiple mapping conditioning approach*, Combustion and Flame, 238, 111872*
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Computational Fluid Dynamics
- **Sub-domain(s)**: Combustion and Energy Systems
- **Application name(s)**: Turbulent combustion
**Title of the work carried out**: Wing-tip vortices: evolution and control
**Name & Designation of the Chief Investigator**:
Dr. Navrose, Assistant Professor, Department of Aerospace Engineering, IIT Kanpur.
**E-mail Id**: firstname.lastname@example.org
**Institution Name**:
Indian Institute of Technology Kanpur, Kanpur-208016, Uttar Pradesh INDIA
**Problem statement(s)**:
Mohd. Suhail Naim (Ph.D student)
**Evolution of optimally perturbed Wing-Tip vortices**
We investigate numerically the effectiveness of optimal perturbation in controlling the growth of instabilities in the flow past a wing. Optimal perturbation is periodically introduced into the wake and the flow evolution is studied. The long-term evolution of perturbed wing-tip vortices is analysed in a reference frame that moves roughly at the speed of the perturbation ( $U_\infty$, free stream speed). The displacement of the wing-tip vortices in response to the disturbance serves as a model for the actual disturbance.
**(b) Vortex dynamics in the wake of a finite span wing in stable stratification.**
We aim to study the evolution of wing-tip vortices under the effect of atmospheric stratification.
**Work carried, Milestone, Achievements & Graphs, Plots:**
FIGURE 1. Re = 1000 flow past a flat plate wing with $\alpha = 5^\circ$ and AR = 6: (a) isosurfaces of streamwise vorticity showing pair of unperturbed wing-tip vortices, (b) linear optimal perturbation for T=10 shown by the spanwise vorticity Navrose et al. [9], (c) isosurfaces of streamwise vorticity shows perturbation shape when it has reached x=54c from the leading edge in the far wake and (d) corresponding perturbed wing-tip vortices near x=50c.
**FIGURE 2.** (a) Displacement of the wing-tip vortices in the spanwise and vertical direction by the perturbation located at $x=54c$ and (b) model representation of perturbed wing-tip vortices corresponding to instant shown in Fig. 1(d); here the displacement has been superimposed on the Batchelor vortex equivalent to velocity field at $x=50c$.
**FIGURE 3.** Stages of evolving Wing-tip vortices perturbed with a single perturbation located in the middle of the axial extent highlighted by shaded region: (a) initial condition and (b) at time=330, shown by isocontours of axial vorticity.
**Figure 4.** Evolution of the maximum displacement of the perturbed wing-tip vortices about the unperturbed location.
Figure 5. Re=1000, with N(stratification parameter)=0 and 0.1. Evolution of wing-tip vortices in a stratified environment.
Publications / Articles etc. link (If any)*:
Publisher:
Awards (If any):
Work presented in conference/s with photographs (if any):
(a) M. Suhail Naim and Navrose, “Evolution of optimally perturbed Wing-Tip vortices”, 14th European Fluid Mechanics Conference(EFMC14) in Athens, Greece on September 13-16, 2022. (https://www.erasmus.gr/microsites/1240)
(b) M. Suhail Naim and Navrose, “Long Time Evolution Of Optimally Perturbed Wing-Tip Vortices”, 1st International Conference on Advances in Heat Transfer and Fluid Dynamics AHTFD-22 AMU, Aligarh, India, Dec 1-3, 2022 (https://ahtfd22.in/index.html), Paper No.-103
(c) M. Suhail Naim and Navrose, “Vortex dynamics in the wake of a finite span wing in stable stratification”, APS March Meeting 2023 (https://meetings.aps.org/Meeting/MAR23/Session/UU03.10).
Appreciation / Recognition (if any):
References:
Benefits & experience of using PARAM Shakti:
PARAM SANGANAK has greatly assisted in our work on high fidelity flow simulations. Using the resources of Param sanganak, we can resolve finer spatial and temporal scales for a better understanding of flow physics. We gratefully acknowledge the services of the support team.
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Computational Fluid Dynamics
Sub-domain(s):
Application name(s)*: The computations are carried out using
Title of the work carried out *: Investigating the effect of LiI on Li$_2$O$_2$ decomposition in Lithium-air batteries.
Name & Designation of the Chief Investigator*: Dr. Kanwar S. Nalwa, Associate Professor, Sustainable Energy Engineering
E-mail Id*: email@example.com
Institution Name*: Indian Institute of Technology Kanpur, Kalyanpur, Kanpur, Uttar Pradesh, 208016
Problem statement(s):
Studying the reaction pathways in gas phase as well as solvent phase of Li$_2$O$_2$ decomposition in the presence of LiI in large systems. These calculations are difficult and expensive to compute, and they take a long duration of time to produce the necessary outcomes.
Fig. Lithium -Oxygen Battery[1]
Although lithium-air batteries offer a very high theoretical energy density, there are several issues that prevent them from being used on a big scale. The main problem is the breakdown of the discharge product while it is being charged. The insulating properties of the discharge product Li$_2$O$_2$ make it difficult for an electron to escape while charging. Because of this, it requires a very high overpotential to breakdown, which lowers battery efficiency. To lower the Charging overpotential, LiI is being added to the system as a liquid catalyst. On this system, we ran the gas phase computations and got the results we were looking for. We're currently researching the same processes in the solvent phase (DMSO).
Work carried, Milestone, Achievements & Graphs, Plots:
Methodology:
We use density functional theory calculations to probe the mechanism(s) and barriers of Li$_2$O$_2$ decomposition in the presence and absence of I$_3$I. All the Density Functional Theory calculations were performed using Vienna Ab initio Simulation Package (VASP). The generalized Gradient Method (GGA) was used within the scheme of Perdew-Burke-Ernzerhof (PBE) exchange-correlation functional. The core electrons of the system were described using Projected Augmented Wave (PAW) method. The plane wave basis set was considered with a cut-off energy of 500 eV. All calculations were spin-polarized. The DFT-D3 correction within the Grimme Scheme was utilized to account for the Van Der Waals interactions.
**Results:**
We have adsorbed the Li$_2$O$_2$, LiO$_2$ molecules on the graphene surface and compared it with the literature, Our results are comparable to the literature work with Adsorption energies obtained as follows:
| Molecule | Adsorption Energy (Calc)(eV) | Adsorption Energy (Literature)(eV) |
|----------|-----------------------------|-----------------------------------|
| Li$_2$O$_2$ | -0.56 | -0.62 |
| LiO$_2$ | -0.42 | -0.45 |
There are several Li$_2$O$_2$ breakdown pathways that have been explored in the literature, we have considered one with the lowest energy barrier. In this process, Li$_2$O$_2$ is broken down into two stages. First, the formation of LiO$_2$ with the removal of one lithium ion, followed by the removal of another lithium ion from LiO$_2$ in the next step. In comparison to the removal of second lithium-ion, the first lithium-ion removal has a larger energy barrier making it a rate-determining step in the reaction. In the first step of its reaction with Li$_2$O$_2$, iodine removes a lithium-ion to form I$_3$I. Next, it removes another lithium ion from LiO$_2$ to form I$_3$I and O$_2$ gas. We find that the first lithium-ion removal in the presence of iodine has a barrier that is 1.4 eV lower than that in the absence of iodine.
**CINEB Pathway:**
\[
\text{Li}_2\text{O}_2 \rightarrow 2\text{Li}^+ + \text{O}_2 + 2\text{e}^-
\]
CINEB Pathway:
\[ 2I^- \rightarrow 2I + 2e^- \]
\[ Li_2O_2 + 2I \rightarrow 2LiI + O_2 \]
Fig. The reaction pathway of Li$_2$O$_2$ decomposition in gas phase a) Without addition of Iodine b) With addition of Iodine
After obtaining the effect of Lil on Li$_2$O$_2$ in gas phase we are performing the same calculations in solvent phase using DMSO as the solvent. For this we have equilibrated the Li$_2$O$_2$ in DMSO for 9ps and calculated the kinetic and potential energy. Once we get the equilibrium calculation we will calculate the decomposition barrier.
Fig. Molecular Dynamics Equilibration of Li$_2$O$_2$ (Discharge Product) in DMSO solvent
References:
Chem. Rev. 2020, 120, 14, 6626–6683, March 5, 2020
Benefits & experience of using PARAM Shakti:
I'm immensely appreciative of the Param Sanganak facility. It has been extremely beneficial to my students' PhD and MTech projects. This feature is what allows the calculations to proceed quickly and converge within time. For all the inquiries, the helpdesk has been really helpful and responsive. The lessons and training on how to use the HPC facility have also been of the uttermost value. We are extremely grateful to NSM for giving us access to this facility.
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Material Sciences
Sub-domain(s): Energy storage materials
Application name(s)*: Lithium air batteries
Title of the work carried out *: Simulation of rotating Rayleigh—Bénard convection.
Name & Designation of the Chief Investigator*: Dr Pranav Joshi, Assistant Professor
E-mail Id*: firstname.lastname@example.org
Institution Name*: Indian Institute of Technology Kanpur, India.
Problem statement(s): Understanding the flow structure and the mechanism of heat transport in rotating Rayleigh—Bénard convection.
Work carried, Milestone, Achievements & Graphs, Plots: Simulations have been performed to study rotating Rayleigh—Bénard convection at various values of the Ekman number (non-dimensional rotation rate). The non-dimensional heat transfer (Nusselt number) is being used as a diagnostic to study the various regimes of rotating convection.
Figure: Variation of Nusselt number with Rayleigh number (non-dimensional buoyancy forcing) for various values of the Ekman number
**Publications / Articles etc. link (If any) *:** NA
**Publisher:** NA
**Awards (If any):** NA
**Work presented in conference/s with photographs (if any):** An oral presentation was given at ME@75 Research Frontiers Conference on the topic: Heat transport in Rotating Rayleigh—Bénard Convection. Photographs are not available.
**Appreciation / Recognition (if any):** NA
**References:** NA
**Benefits & experience of using PARAM Shakti:** Param Sanganak facility has reduced the computational time with its parallel computing ability for as fine grid size as 256x256x256 for these simulations.
**Any other relevant information (if any):** NA
**Information required for NSM (National Supercomputing Mission) users.**
**Domain(s)*:** Computational Fluid Dynamics
**Sub-domain(s):** Fluid Flow and Heat Transfer, Turbulent flows
---
**Title of the work carried out *:** Direct numerical simulation of Rotating Rayleigh—Bénard Convection (RRBC).
**Name & Designation of the Chief Investigator*:** Dr. Pranav Joshi, Asst. Professor
**E-mail Id*:** email@example.com
**Institution Name*:** Indian Institute of Technology Kanpur, Kanpur, U.P. - 208016
**Application name(s)*:** pySaras
**Problem statement(s):** A Numerical Investigation of Rotating convection by taking Rayleigh-Bénard Convection (RBC) as a working model. By putting a numerical probe in Direct Numerical Simulation (DNS) we study the characteristics of the temperature and velocity fluctuations in the bulk and the boundary layers for various rotation rates. A statistical analysis of the time scales of the flow is performed. The heat transfer characterized by the Nusselt number is also investigated.
**Work carried, Milestone, Achievements & Graphs, Plots:**
Time series plot for Ra=10^7 and Ta=10^8:
Wall mode convection at $Ra=10^7$ and $Ta=10^{10}$.
Temperature distribution at central plane (Top view) at $Ra=10^7$ and $Ta=10^{10}$
Publications / Articles etc. link (If any) *: NA
Publisher: NA
Awards (If any): NA
Work presented in conference/s with photographs (if any): NA
Appreciation / Recognition (if any): NA
References:
Benefits & experience of using PARAM Shakti:
Any other relevant information (if any):
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Computational Fluid Dynamics.
Sub-domain(s): Fluid Flow and Heat Transfer, Turbulent flows.
Title of the work carried out:
e) Nuclear quantum effects on structural properties and dynamics at metal water interfaces: Coupling QMMM and Path Integral Molecular Dynamics
Name & Designation of the Chief Investigator: Prasenjit Ghosh, Associate Professor
Email Id: firstname.lastname@example.org, email@example.com
Institute Name: IISER Pune
Problem statement(s):
Understanding metal water interfaces is of utmost importance from the perspective of developing new catalysts for hydrogen evolution reaction from water splitting. Further, the presence of light protons and the H-bond network of water necessitates the incorporation of nuclear quantum effects in these systems. However, computational studies of these systems are challenging due to the large system sizes necessary to make realistic models and the necessity to perform simulations for long time scales. In this project, we mitigate these challenges by developing a computational framework where quantum mechanics molecular mechanics based simulations has been coupled with path integral molecular dynamics. In particular, we have used this novel framework to study platinum-water interfaces.
Work carried, Milestone, Achievements & Graphs, Plots:
This is an ongoing project. We are still completing the analysis. A summary of the results obtained so far are given below:
We have successfully implemented the above methodology in the CP2K software.
The quantum nature of the nuclei results in large fluctuations of the OH bonds in the water molecules at the interface. This results in spontaneous splitting of the water molecules at the interface as shown in Fig.1.
Fig.1: Spontaneous dissociation of water and hopping of protons due to the quantum nature of the nuclei. The nuclear quantum effects result in reduction of the work function of the electrode, indicating that it is easier to extract electrons from the surface as shown in Fig. 2.
Fig. 2: Change in Pt work function due to nuclear quantum effects. The left hand side is for Pt(111)-water interface, while the one on the right is for 0.5 ML H-Pt(111)-water interface.
**Work presented in conference/s with photographs (if any):**
Seminar on *Nuclear quantum effects on the structural properties of Pt/water interface: Coupling QMMM with PIMD* at the Atomistic Simulations Seminar Series of the Condensed Matter and Statistical Physics Section of the Abdus Salam ICTP, Trieste, Italy, July 13, 2022.
Invited talk on *Effect of Nuclear Quantum Fluctuations on electronic properties of a metal-water interface and its implication on electrocatalysis* at the School on Computational Modelling and Simulations of Materials for Energy and Environment, with focus on Catalysis, JNCASR Bangalore, December 12-14, 2022.
Invited talk on *Effect of Nuclear Quantum Fluctuations on electronic properties of a metal-water interface and its implication on electrocatalysis* at the conference titled Designing Catalysts through Computers-2022, IACS Kolkata, December 2-3, 2022.
Presenting my work at the School on Computational Modelling and Simulations of Materials for Energy and Environment, with focus on Catalysis, JNCASR Bangalore, December 12-14, 2022.
Presenting my work at the conference titled Designing Catalysts through Computers- 2022, IACS Kolkata, December 2-3, 2022.
Appreciation / Recognition (if any): I would like to acknowledge the strong support of the Param-Utkarsh team whenever I faced any difficulty in using the facility. I was amazed by the fact that there was no downtime.
Benefits & experience of using PARAM Utkarsh: My simulations were easily parallelizable across nodes. However, each simulation required large number of nodes. Without access to Param-Utkarsh, it would not have been possible to complete these simulations in time. I would also like to acknowledge the prompt response that I had received from the support team whenever I had any difficulty.
Title of the work carried out: f)
Name & Designation of the Chief Investigator: Prof Bhabani Shankar Mallik
Email Id: firstname.lastname@example.org
Institute Name: IIT Hyderabad
Problem statement(s):
- DFT and MD Study
Work carried, Milestone, Achievements & Graphs, Plots:
- No, just try to installed software and learn about software
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Quantum Dynamic, Material Science
- Sub-domain(s): DFT Calculation
- Application name(s)*: VASP, CP2k, Quantum expresso
Title of the work carried out:
a) Study of various 3D thermoelectric materials for energy harvesting applications.
Name & Designation of the Chief Investigator: Dr. Mukhtiyar Singh, Assistant Professor, Department of Applied Physics
Email Id: email@example.com
Institute Name: Delhi Technological University, Shahbad Daulatpur, Main Bawana Road, Delhi
Research Challenge/s:
- Our study is focussed on the detailed physical insight into the structural, thermal, and dynamical properties of 8-valence electron Half Heusler (HH) and oxide compounds. The optimization of figure of merit by tuning carrier concentrations is an effective way to realize efficient thermoelectric. These systems are heavy in computational nature, and for more accurate realization we need multiple nodes for long time (at least 120 hours)
Work carried, Milestone, Achievements & Graphs, Plots:
Fig. 13. Calculated ZT values of (a) LiCaAs and (b) LiCaSb as a function of carrier concentration within constant relaxation time approximation (i.e., $\tau = 1 \times 10^{-14}$ s) at different temperatures ranging from 300 K to 800 K.
Figure 9. The variation in power factor with carrier concentrations at varying temperatures for various polymorphs of HfO$_2$.
Publications / Articles etc. (If any):
- Rajesh Kumar, Ramesh Kumar, Mukhtiyar Singh, Deshraj Meena and Ankush Vij, Carrier concentration mediated enhancement in thermoelectric performance of various polymorphs of hafnium oxide: a plausible material for high temperature thermoelectric energy harvesting application, Journal of Physics D: Applied Physics, Volume 55, Number 49
- https://doi.org/10.1088/1361-6463/ac9986 (Impact factor: 3.40)
Sangeeta, Mukhtiyar Singh, Augmented thermoelectric performance of LiCaX (X = As, Sb) Half Heusler compounds via carrier concentration optimization, Journal of Physics and Chemistry of Solids, Volume 174, March 2023, 111182, https://doi.org/10.1016/j.jpcs.2022.111182 (Impact factor: 4.383)
Benefits & experience of using NPSF:
PARAM Seva has helped me immensely in guiding my Ph.D. students. This helped the students to explore a wide range of research problems. We are still trying to enhance our knowledge by solving different problems of our field. We owe the deepest debt of gratitude to CDAC-Pune and the support team of PARAM Seva.
Any other relevant information (if any):
CDAC, Pune has been doing a wonderful job for many years in helping Computational Scientists across India in their active pursuit of research. The strong computational support provided by CDAC-Pune enables us to pursue good-quality research. I would like to appeal to the Govt. of India to allocate substantial funds to CDAC-Pune to support the latter in their future endeavours, which includes upgrading their HPC systems. Param Seva caters to users from all over India. CDAC-Pune is in dire need of a strong funding support from the Govt. of India. Integration of the latest computational resources into the current HPC system is the crying need of the hour.
Title of the work carried out:
computational study of the regio- and stereoselectivity of diene hydroboration reactions
Name & Designation of the Chief Investigator: Dr. Saurabh K. Singh, Assistant Professor, Department of Chemistry, Indian Institute of Technology Hyderabad
Email Id: firstname.lastname@example.org
Institute Name: Indian Institute of Technology Hyderabad
Problem statement(s):
• We aim to find the reaction pathway of the reaction by finding transition states and intermediates.
Work carried, Milestone, Achievements & Graphs, Plots:
We use DFT so that it is used to calculate the activation energy, reaction enthalpy, and other properties of the different intermediate species involved in the catalytic reaction, providing valuable insights into the reaction mechanism.
Furthermore, DFT can be used to study the adsorption and desorption of reactants and intermediates on the surface of the catalyst, as well as the interaction between the catalyst and reactants. This information is essential for optimizing the catalyst design and performance.
**Awards (if any):** UGC-JRF Fellowship
**Benefits & experience of using PARAM Seva:**
- PARAM SEVA has proven to be a useful means for students to carry out research in the field of computational chemistry. We have been able to install all the required applications/codes on PARAM SEVA as per our requirement for the calculations that are required in our lab. Moreover, the response from ‘Shivay-support’ has always been prompt and helpful.
**Information required for NSM (National Supercomputing Mission) users**
- Domain(s)*: chemical sciences, Computational Sciences
- Application name(s)*: ORCA, CP2K
**Title of the work carried out:**
a) Investigation on Electronic Structures and electron-phonon interaction in Perovskite Superconductors.
**Name & Designation of the Chief Investigator:** Prof. P.M. Sarun, Associate Professor, Department of Physics
**Email Id:** email@example.com, firstname.lastname@example.org (Chief investigator)
**Institute Name:** IIT (ISM) Dhanbad
**Problem statement(s):**
- To investigate the electronic structures and electron-phonon interaction of oxide perovskite materials using Density Functional Theory in Quantum-espresso package. To investigate electron phonon interaction EPW code is used.
Work carried, Milestone, Achievements & Graphs, Plots:
- I have investigated the electronic structure, optical properties and electron-phonon interaction in different kinds of perovskite materials. Phonon calculations were done in Phonopy. Electron-phonon interactions were calculated using EPW code.
Publications / Articles etc. link (If any) *: Manuscript has been submitted.
Awards (If any): Best poster presentation award in ICNOC-2022
Work presented in conference/s with photographs (if any):
- Poster presentation in International Conference on Nanotechnology: Opportunities and Challenges, 2022 (ICNOC-2022), took place in Jamia Millia Islamia University (Virtual mode), 28-30th November, 2022.
Presented a poster in International conference on Evolution of Electronic Structure Theory and Experimental Realization, 2023 (EESTER-2023), took place in SRM IST and IIT Madras, 4-12th January, 2023. Photograph is attached below.
Benefits & experience of using PARAM Seva:
- Param Seva is helping me a lot to carry out the DFT calculations for large systems having around 80-100 atoms. Support team is also very helpful. I got support instantly when I face any problem like installing different packages and modules. I owe the deepest gratitude to the Param Seva team.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Material Sciences, Quantum Mechanics
- Sub-domain(s): Computational Physics
- Application name(s)*: Quantum Espresso, Wannier90, EPW, Phonopy.
Title of the work carried out:
a) Study on Droplet breakup for Non-Newtonian fluids.
Name & Designation of the Chief Investigator: Dr. Raja Banerjee, Professor
Email Id: email@example.com
Institute Name: Indian Institute of Technology Hyderabad
Problem statement(s):
• Investigation on droplet breakup for various parameter and external conditions to develop a more versatile droplet breakup model.
Work carried, Milestone, Achievements & Graphs, Plots:
• Kant, Krishna and Banerjee, R, Effect of Density Ratios on Droplet Breakup for Newtonian and Power-Law Fluids. Available at SSRN: https://ssrn.com/abstract=4317624 or http://dx.doi.org/10.2139/ssrn.4317624 (Under Review)
Plot for critical Weber number showing the comparison of simulation result with the developed correlation.
Kant, Krishna and Banerjee, R, Deformation, Drag and Breakup Modelling for Non-Newtonian Fluids (Under Preparation)
Benefits & experience of using PARAM Seva:
- Utilizing PARAM Seva has been tremendously beneficial in completing my Ph.D. research. By leveraging its high-performance computing capabilities, I was able to run simulations with a mesh size of 10 million using 96 processors. This significantly expedited my work and enabled me to complete it within the designated timeframe.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computational Fluid Dynamics
- Sub-domain(s): Multiphase Flows, OpenFoam
- Application name(s)*: Krishna Kant
Title of the work carried out:
a) To model primary breakup of liquid sheet working over wide density ratio application suitable for both flat and annular liquid sheets.
Name & Designation of the Chief Investigator: Prof Raja Banerjee
Email Id: firstname.lastname@example.org
Institute Name: IIT Hyderabad
Problem statement(s):
- The work presented below is a CFD simulation of liquid spray coming through four guide channels forming a spray cone which is used in many applications right from small Sanitizer spray to high aerospace rocket fuel spray engines.
- How this atomization of bulk liquid breaking into tiny droplets its breakup mechanism is studied. This breakup mechanism is divided into two regions. Primary breakup and secondary breakup mechanism. Primary breakup models were developed in past forty years
which had some semi-empirical model constants. These were the tuning parameters changes with specific operating, geometric and flow conditions.
• In the current study an improved models is developed and verified with experiments.
• Where there is difficulty in performing experiments, numerically the problem is solved. This kind of study is rarely appeared in the past after a thorough literature survey is done.
Benefits & experience of using PARAM Seva:
• Its computational cost charges are very less compared to Microsoft Azure and other cloud computing platforms. So, in India if this kind of infrastructure with high configured supercomputing machines available at many places will definitely help a lot in research activities. Earlier we were using nmdc cluster which is installed in our institutes data centre. Now after working on NSM gave good experience of getting results in short span of time. I really thank full to Param Seva working team for supporting in all the way directly or indirectly.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computational Fluid Dynamics
- Sub-domain(s): Multiphase flow (VOF Model)
- Application name(s)*: Spray Applications where Pressure Swirl Atomizers are used
Title of the work carried out:
a) Development of air pollution modeling and forecasting framework for urban areas of India
Name & Designation of the Chief Investigator: Dr. Mainak Thakur (Assistant Professor IIIT Sricity)
Email Id: email@example.com
Institute Name: Indian Institute of Information Technology, Sricity
Problem statement(s):
- Development of Air pollutant concentration modeling and forecasting systems
Work carried, Milestone, Achievements & Graphs, Plots:
Work carried out/ ongoing
| SL No. | Modeling part | Status |
|--------|--------------------------------------------------------------------------------|----------|
| 1. | Development of Spatio-temporal pollutant concentration forecasting framework for urban areas (PM$_{2.5}$) | Completed|
| 2. | Development of spatial simulator engine for pollutant concentration spatial estimation | Ongoing |
| 3. | Development of multi-variate spatiotemporal forecasting framework | Ongoing |
| 4. | Development of wind speed forecasting framework | Ongoing |
Figure: Actual vs Predicted plot for our proposed SA-PM2.5-GNN model (SI No. 1) (Development of Spatio-temporal pollutant concentration forecasting framework)
Publications / Articles etc. link (If any) *:
- A City-based PM$_{2.5}$ Forecasting Framework using Spatially Attentive Cluster-based Graph Neural Network Model. Subhojit Mandal, Mainak Thakur (Submitted/ under review)
Wind Speed Forecasting at Indian Offshore Wind Site Dhanuskodi. Nandha Kishore S R, Mainak Thakur, Subhojit Mandal (Under preparation)
The graphical abstract is provided below for the research work no. 1.
**Graphical Abstract**
A City-based PM$_{2.5}$ Forecasting Framework using Spatially Attentive Cluster-based Graph Neural Network Model
**Publisher:** Elsevier
**Benefits & experience of using PARAM Seva:**
- We are very much thankful for the service provided by Param seva curators and administration. Because of the computation facilities provided by the PARAM Seva, we are able to achieve a milestone of developing a PM$_{2.5}$ forecasting framework. We believe the National Supercomputing Mission is executing an excellent job in providing resources for the researchers from small scale institutes and giving them a push towards accomplishment of their projects.
**Information required for NSM (National Supercomputing Mission) users**
- Domain(s)*: Climate and Environmental Sciences
- Sub-domain(s): Air pollution forecasting
- Application: Air pollution modeling and forecasting
Title of the work carried out:
a) Molecular dynamics study to check the thermodynamics study of the protein-ligand complexes.
Name & Designation of the Chief Investigator: Kailash
Email Id: firstname.lastname@example.org
Institute Name: CURaj
Publications / Articles etc. link (If any) *: 1 Publication under pipeline
Publisher: JBSD
Work presented in conference/s with photographs (if any):
- Poster presented at IIIM, Jammu, International conference organised by the SMVDU, Katra, Jammu
Title of the work carried out:
a) Federated Learning, Deep learning.
Name & Designation of the Chief Investigator: Dr. P. Rajalakshmi
Email Id: email@example.com
Institute Name: Indian Institute of Technology, Hyderabad
Problem statement(s):
- To design an intelligent and robust Intrusion Detection Model to secure Next-Generation IoT Networks.
Work carried, Milestone, Achievements & Graphs, Plots:
- Recently we did a comparative analysis of using and not using Class balancing techniques under Federated settings. To alleviate Class Imbalance we adopted Balance FL [1]. It improved mean classification accuracy over FedAvg by approximately 9 and 18% on the NSL-KDD and Edge IIoT datasets, respectively. However, we did not use ParamSeva for the computation of this work. Currently, I am working to make our IDS robust against adversarial attacks. I will cite param seva whenever I will publish my ongoing work.
References:
- X. Shuai, Y. Shen, S. Jiang, Z. Zhao, Z. Yan, and G. Xing, “BalanceFl: Addressing class imbalance in long-tail federated learning,” in 2022 21st ACM/IEEE International Conference on Information Processing in Sensor Networks (IPSN). IEEE, 2022, pp. 271–284
Benefits & experience of using PARAM Seva:
I appreciate PARAM Seva, It helps me a lot to train DL models under federated settings.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: AI/ML/DL
- **Sub-domain(s)**: Federated Learning, Deep Learning
- **Application name(s)**: Python, PyTorch, TensorFlow
---
**Title of the work carried out:**
a) Lattice thermal transport behavior of materials.
**Name & Designation of the Chief Investigator:** Vineet Kumar Sharma, Research Scholar
(Supervised by Prof. V. Kanchana)
**Email Id:** firstname.lastname@example.org
**Institute Name:** Indian Institute of Technology Hyderabad
---
**Problem statement(s):**
- Work carried, Milestone, Achievements & Graphs, Plots: 1) We have explored the lattice dynamics of various complex crystalline materials. Understanding the lattice dynamics is very important for transport applications out of any examined material. (The calculations are done, Analysis and manuscript preparation are ongoing)
- We have examined the topological phases in both the phonon dispersion and electronic band structure. (This work will be communicated soon)
**Publications / Articles etc. link (If any) *:**
- Manuscript preparation is going on and will be communicated soon
**Benefits & experience of using PARAM Seva:**
- We are thankful to the NSM committee members for providing computational facilities to perform high-performance computing. These lattice thermal conductivity calculations are very expansive and cannot be performed on high-end workstations itself. This NSM facility has reduced the complexity of our calculations and it provided us with the desired results
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Computational Physics, Materials Sciences
- **Sub-domain(s)**: Quantum Materials
- **Application name(s)**: VASP
Title of the work carried out:
a) CaPdBi: A nontrivial topological candidate.
Name & Designation of the Chief Investigator: Sushree Sarita Sahoo, Research Scholar (Supervised by Prof. V. Kanchana)
Email Id: email@example.com
Institute Name: Indian Institute of Technology Hyderabad
Problem statement(s):
- Work carried, Milestone, Achievements & Graphs, Plots: CaPdBi: A nontrivial topological candidate (under review)
Work presented in conference/s with photographs (if any):
- Presented a poster on conference: Emergent phenomena in Quantum MATerials (E-QMAT) 2022 organized by IIT Roorkee
Benefits & experience of using PARAM Seva:
- The NSM committee members provided computational resources that allowed us to undertake high-performance computing. Most of our computations need large amounts of computation and cannot be accomplished on even the most powerful workstations. This NSM facility helped us in reducing the difficulty of our computations.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computational Physics, Materials Sciences
- Sub-domain(s): Quantum Materials
- Application name(s)*: VASP
Title of the work carried out:
a) Not Yt. Joined recently in December 2022
Name & Designation of the Chief Investigator: Dr. Himanshu Joshi
Email Id: firstname.lastname@example.org
Institute Name: Indian Institute of Technology Hyderabad
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computational Biology, Image Processing, Atomic & Molecular Sciences
• Sub-domain(s): DNA-Protein interaction simulations
• Application name(s)*: NAMD, GROMACS, VMD, AMBER
**Title of the work carried out:**
a) Understanding the dynamics of a membrane protein in Gram-negative bacteria
b) Biomolecular Sequence Analysis
**Name & Designation of the Chief Investigator:** Dr. Thenmalarchelvi Rathinavelan, Associate Professor
**Email Id:** email@example.com
**Institute Name:** Indian Institute of Technology Hyderabad
**Problem statement(s):**
• To study the effect of the protein on antimicrobial resistance; Understand the evolution of SARS-CoV-2; Ion-protein binding site prediction
**Publications / Articles etc. link (If any) *:**
• Sequence patterns and HMM profiles to predict proteome wide zinc finger motifs (10.1016/j.patcog.2022.109134)
• SARS-CoV-2 whole-proteome sequences from environment as an indicator of community viral distribution, evolution and epidemiological dynamics: A cohort analysis of Austria (10.1111/1758-2229.13102)
• Biophysical interaction between lanthanum chloride and (CG)n or (GC)n repeats: A reversible B-to-Z DNA transition (10.1016/j.ijbiomac.2022.07.020)
**Publisher:** Elsevier and Wiley
**Benefits & experience of using PARAM Seva:**
Towards the understanding of biomolecular sequence and conformations in the context of tackling microbial infections for the benefit of mankind and publications; We are well satisfied with the technical support of ParamSeva. However, the utilization cost may hamper the future utilizations.
**Information required for NSM (National Supercomputing Mission) users**
• Domain(s)*: Computational Biology, Bioinformatics
• Sub-domain(s): Sequence, structure and dynamical analyses of biomacromolecules
• Application name(s)*: Antimicrobial Resistance, SARS-CoV-2
Title of the work carried out:
a) Study of 2D materials and their heterostructure using first principle method.
Name & Designation of the Chief Investigator: Dr. Nirmal Ganguli, Assistant professor
Email Id: firstname.lastname@example.org
Institute Name: IISER Bhopal
Problem statement(s):
- To study electronic structure of materials using a computing software (like VASP, QE), requires lots of memory and time duration.
Work carried, Milestone, Achievements & Graphs, Plots: Relaxed Silicon nanowires.
Benefits & experience of using PARAM Seva:
- Queue availability is little easier.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Material Science
- Sub-domain(s): Heterostructure and nanomaterials
- Application name(s)*: VASP, Wannier90, Quantum Espresso
Title of the work carried out:
a) Molecular Modelling of Magnetic Anisotropy in Transition Metal and Lanthanide Based Single-Molecule Magnets
Name & Designation of the Chief Investigator: *: Dr. Saurabh K. Singh, Assistant Professor, Department of Chemistry
Email Id: email@example.com
Problem statement(s):
- We aim to analyze the magnetic properties of metal-based molecular magnets using computational methods viz. density functional and high-level multireference theory.
Work carried, Milestone, Achievements & Graphs, Plots:
In our lab we carry out DFT calculation for a variety of projects. For example, we probe the electronic structure and bonding in complexes; we study the magnetic anisotropy in well characterised transition and inner-transition metal complexes. These calculations enable us to analyse various magnetic and electronic properties that help us study exchanging coupling, modelling magnetic anisotropy, spin-state energetics, understanding ligand field environment, and calculating EPR/NMR properties. In addition to these, we also use DFT calculations to study catalytic cycles and gain further mechanistic insights. We have also carried out DFT calculations on neosilyllithium catalyzed hydroboration of alkynes and alkenes in presence of pinacolborane and hydroboration of nitriles, esters, and amides catalyzed by simple neosilyllithium to understand the reaction mechanisms.
Publications / Articles etc. link (If any) *:
- Dhiraj Siddhartha Ingle, Aditya Chandrakant Yadav, Kusum Kumari, Saurabh Kumar Singh, Deepu J. Babu, Kotagiri Venkata Rao*, "Post-synthetic π-extension of peryleneconjugated porous polymer via APEX reactions: Tunable optical and gas storage properties", Chem. Commun., 2023, 59, 454-457
- Yue Zhou, Shruti Moorthy, Xiao-Qin Wei,* Saurabh Kumar Singh*, Zhengfang Tian and Dong Shao, "A porous cobalt(II) single-ion magnet framework exhibiting high room temperature proton conductivity", Dalton Trans., 2023, 52, 909-918
- Xing-Cai Huang,* W. Yong, Shruti Moorthy, Z.-Y. Su, J.-J. Kong and Saurabh Kumar Singh*, "A pentagonal bipyramidal Co(II) single-ion magnet based on an asymmetric tetradentate ligand
with easy plane anisotropy", *Polyhedron*, 2023, **232**, 116275
- Amit Chakrabarty, Naushad Ahmed, Shruti Moorthy, J., Ali, J. Gaura, *Saurabh Kumar Singh* *, Guillaume Rogez*, V. Chandrasekhar*, "Exchange-Driven Slow Relaxation of Magnetization in NiII2LnIII2 (LnIII = Y, Gd, Tb and Dy) Butterfly complexes: Experimental and Theoretical Studies", *Dalton Trans.*, 2022, **51**, 14721-14733
- Soumalya Roy, Pooja Shukla, Naushad Ahmed*, M.-H. Du, Ibtesham Tarannum, X-J.Kong, T. Gupta*, *Saurabh Kumar Singh* *, Sourav Das*, "Interplay between anisotropy and magnetic exchange to modulate magnetic relaxation behaviors of phenoxo bridged Dy2 dimers with axial β-diketonate co-ligands" *Dalton Trans.*, 2022, **51**, 18187-18202.
- Duncan H. Moseley, Zhiming Liu, Alexandria N. Bone, Shelby E. Stavretis, Saurabh Kumar Singh, Mihail Atanasov, Zhenguang Lu, Mykhaylo Ozerov, Komalavalli Thirunavukkuarasu, Yongqiang Cheng, Luke L. Daemen, Daphné Lubert-Perquel, Dmitry Smirnov, Frank Neese, A. J. Ramirez-Cuesta, Stephen Hill, Kim R. Dunbar, Zi-Ling Xue*, "Comprehensive Studies of Magnetic Transitions and Spin-Phonon Couplings in a Tetrahedral Cobalt Complex", *Inorg. Chem*. 2022, **61**, 17123–17136
- N. Ahmed, M. Nandeshwar, Prem P. Sahu, Pradip Kumar Sahu, Sanjit Konar* SaurabhKumar Singh* and Ganesan Prabusankar* "Interplay with axial halide ligands (F-, Cl-, Br-) to modulate/switch the magnetic anisotropy in octahedral [CoII(L)2X2] complexes", submitted 2023.
**Work presented in conference/s with photographs (if any):**
- Presented a talk in IISc Bangalore on “Molecular Modelling of Spin-Hamiltonian Parameters in the Co(II) based Single-Ion Magnets” held in December 2nd-4th 2022
- Presented a talk on “Correlating Electronic Structure and Magnetic Anisotropy in f-elements using First Principle Calculations” in Asian Conference on Molecular Magnetism II held in Dec, 6th-10th 2022 in IISER Bhopal.
- Presented a talk on “Correlating Covalency and Chemical Bonding with Magnetic Anisotropy of Co(II) Complexes: Insights from First Principle Calculations” in Modern Trends in Molecular Magnetism in Kharagpur held in Dec, 11th to 15th 2022
**Benefits & experience of using PARAM Seva:**
- PARAM Seva has proven to be a useful means for students to carry out research in the field of computational chemistry. We have been able to install all the required applications/codes on PARAM Seva as per our requirement for the calculations that are required in our lab. Moreover, the response from ‘Seva-support’ has always been prompt and helpful
**Information required for NSM (National Supercomputing Mission) users**
- Domain(s)*: Chemical Science
- Sub-domain(s): Computational Chemistry
- Application name(s)*: ORCA, VASP, Quantum Espresso
**Title of the work carried out:**
a) High thermoelectric performance of layered LaAgXO(X = Se, Te) from electrical and thermal transport calculations:
Problem statement(s):
- Finding the thermoelectric properties of novel materials.
Work carried, Milestone, Achievements & Graphs, Plots:
The lattice thermal conductivity of both LaAgXO is ultra-low with values around 0.20 W/mK along the ‘c’ axis at 300 K due to low lifetime and low group velocity. This is lower than other well-known thermoelectric materials like PbTe and SnSe.
Rattling motion observed in the Ag-Te tetrahedral layer might be the reason for the significant suppression of the kl.x
We predict huge ZT values of 1.63 for p-type and 2.8 for n-type LaAgTeO at 900 K, which are higher than that of promising thermoelectric materials such as BiCuSeO (1.4) and LaCuSeO (2.71).
Publications / Articles etc. link (If any) *:
- Accepted in Physical Review Materials
Publisher:
Benefits & experience of using PARAM Seva:
PARAM Yuva II has helped me immensely in guiding my Ph.D. students on a wide range of research problems. The helpdesk has responded with great promptitude in installing different programs & modules required by us from time to time. In short, helpdesk has been remarkably supportive. We owe the deepest debt of gratitude to CDAC-Pune and the support team of PARAM Yuva II.
Title of the work carried out:
a) Transmembrane permeation through human Aquaporin10(hAQP10) and its interaction with gold nanoparticles: A molecular dynamics simulation study.
Name & Designation of the Chief Investigator: Dr Himanshu Joshi, Assistant Professor, Department of Biotechnology
Email Id: firstname.lastname@example.org
Institute Name: Indian Institute of Technology Hyderabad
Problem statement:
- Study the interaction of gold nanoparticles with human aquaporin10.
Work carried, Milestone, Achievements & Graphs, Plots:
Work presented in conference/s with photographs (if any): Poster presentation at Indian Institute of Technology, Hyderabad on account of Biotech Foundation Day 2023.
Benefits & experience of using PARAM Seva:
- PARAM seva has helped me immensely in my MTech thesis project in running simulations. In short, helpdesk has been very supportive, and I am very grateful to PARAM seva.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Molecular Dynamics Simulations
- Application name(s)*: computational biophysics
Title of the work carried out:
a) Computationally predicting novel properties in materials using first principles calculations.
Name & Designation of the Chief Investigator: Prof V Kanchana (Dean Faculty)
Email Id: email@example.com
Institute Name: IIT Hyderabad
Work carried, Milestone, Achievements & Graphs, Plots:
High thermoelectric performance of layered LaAgXO (X = Se, Te) from electrical and thermal transport calculations (Accepted in Physical Review Materials)
- The lattice thermal conductivity of both LaAgXO is ultra-low with values around 0.20 W/mK along the ‘c’ axis at 300 K due to low lifetime and low group velocity. This is lower than other well-known thermoelectric materials like PbTe and SnSe.
- Rattling motion observed in the Ag-Te tetrahedral layer might be the reason for the significant suppression of the kl. We predict huge ZT values of 1.63 for p-type and 2.8 for n-type LaAgTeO
- at 900 K, which are higher than that of promising thermoelectric materials such as BiCuSeO(1.4) and LaCuSeO (2.71)
- Electronic structure and physical properties of the candidate topological material GdAgGe (Accepted in Physical Review B).
The electronic band-structure calculations suggest that both the hole and the electron charge carriers contribute to the transport properties, and the electronic band structure displays linear band crossings near the Fermi level.
GdAgGe has a nodal line with drumhead surface states coupled with a nonzero Berry phase, making it a nontrivial nodal-line semimetal.
**Some other works:**
- Promising high temperature thermoelectric performance of layered oxypnictide YZnAsO (under review)
- CaPdBi: A nontrivial topological candidate (under review)
**Publications / Articles etc. link (If any) *:**
- High thermoelectric performance of layered LaAgXO (X = Se, Te) from electrical and thermal transport calculations (Accepted in Physical Review Materials).
- Electronic structure and physical properties of the candidate topological material GdAgGe (Accepted in Physical Review B)
**Work presented in conference/s with photographs (if any):**
An invited talk on “Topological features of potential materials” in international conference on Artificial Intelligence in Materials science and Engineering (INCAIMSE 2022), organized by Anurag University during 21st -22nd December 2022
Appreciation / Recognition (if any):
- An invited talk on “Topological effects in Magnetic materials” in the Asia-Pacific Conference on Condensed Matter Physics 2022 (A2MP2022) during 21st to 23rd November 2022 held at Institute for Materials Research, Tohoku University.
- An invited talk on “Topological features of potential materials” in International conference on Artificial Intelligence in Materials science and Engineering (INCAIMSE 2022), organized by Anurag University during 21st -22nd December 2022.
- An invited talk on “Insight into the potential topological materials” in National conference on Electronic Structure (NCES 2022) in collaboration with TIFR Mumbai, SNBNCBS, Kolkata and IOP Bhubaneswar at Goa University.
- An invited talk on “Designing Novel Materials from Computations” in 3rd Indo-Korea Virtual Conference on Development of Advanced Materials for Future Technologies (DAMFT-2022) during 22nd-23rd April 2022.
- An invited talk on “Designing Novel materials from computations” in International Conference on Hierarchically Structured Materials (ICHSM 2022) at SRM Institute of Science and Technology, Chennai during 24th -25th March 2022.
- An invited talk on “First principles unravelling of new generation of thermoelectric” at IITDM Kanchipuram on 22nd March 2022
Benefits & experience of using PARAM Seva:
PARAM Seva enabled us to run calculations efficiently, quickly and reliably. We were able to explore and analyse (and still exploring) complex systems using this facility which is impossible in the normal workstation. Wall time has to be increased and user charges should be very nominal.
**Information required for NSM (National Supercomputing Mission) users:**
- **Domain(s)**: Computational Physics, Material Sciences
- **Application name(s)**: VASP, WANNIER90, WANNIERTOOLS
**Title of the work carried out:**
a) Decoding the interaction of nanoparticles with nanoparticles.
**Name & Designation of the Chief Investigator:** Dr. Himanshu Joshi, Assistant Professor, Department of Biotechnology
**Email Id:** firstname.lastname@example.org
**Institute Name:** Indian Institute of Technology Hyderabad
**Research Challenge/s:**
Checking the interaction of Drugs and metallic nanoparticles with Biomolecules by Molecular dynamic simulation
**Publications / Articles etc. (If any):**
- Akshit Prajapati,# Aditya Srivastava,# Sri Amruthaa Sankaranarayanan,# Monika Pebam,# Hima Sree Buddhiraju,# Paloma Patra,# Priyanka Yadav, Himanshu Joshi,* and Aravind Kumar Rengan*. High-Affinity DNA Nanomatrix: A Platform Technology for Synergistic Drug Delivery and Photothermal Therapy. (Impact factor: 7.015)
Benefits & experience of using NPSF:
- I am very grateful for having Supercomputers in our institute, as my research area is entirely computational, so PARAM SEVA plays an essential role in the progress of my research.
Title of the work carried out:
a) Designing Functional materials for Hydrogen Storage
Name & Designation of the Chief Investigator: Prof. Ajay Chaudhari
Email Id: email@example.com
Institute Name: The Institute of Science, Mumbai
Problem statement(s):
- To design materials for hydrogen storage using density functional theory.
Work carried, Milestone, Achievements & Graphs, Plots:
- Ti doped B12C6N6 nanocages have been considered for the hydrogen storage
Publications / Articles etc. link (If any) *:
- Poonam Parkar and Ajay Chaudhari
- Reversible hydrogen storage on multiple Ti-doped B12C6N6 nanocage
- J. Energy Storage (Submitted after Major revision for Publication –Impact factor 8.9)
Publisher:
Work presented in conference/s with photographs (if any):
- Research Scholar Ms. Poonam Parkar presented her work in National Conference on “Spintronics based Advanced Nanomaterials”, organised by Guru Nanak Khalsa College, Mumbai, Dec. 16-17, 2022
Appreciation / Recognition (if any):
I delivered invited talk in following two conferences:
- International Conference on Advances in Renewable energy-2023 (ICARE-2023),
- S.R.T.M. University, Nanded, Jan. 11-13, 2023 (Invited Talk)
- National Conference on Spintronics based Advanced Nanomaterials, Guru NanakKhalsa College, Mumbai, Dec. 16-17, 2022 (Invited Talk)
Benefits & experience of using PARAM Seva:
- HPC system at PARAM SEVA has helped us to speed up our calculations. We used Quantum Espresso and ORCA softwares for our calculations. I really appreciate the help received very quickly from the support team. We are thankful to the Param Seva team for the wonderful job they are doing.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Materials Sciences
- Application name(s)*: Quantum Espresso, ORCA
Title of the work carried out:
a) Repository for High-Performance Phase-field Solvers for Microstructure Simulations (MicroSim)
Name & Designation of the Chief Investigator: Dr. Saswata Bhattacharya, Associate Professor, Department of Materials Science and Metallurgical Engineering,
Email Id: firstname.lastname@example.org
Institute Name: Indian Institute of Technology Hyderabad
Funding: National Supercomputing Mission, Government of India
*MicroSim is a consortium project with PIs from several institutes – Dr. Abhik N Choudhury (IISc, Bangalore), Dr. Saswata Bhattacharyya (IIT Hyderabad), Dr. G. Phanikumar (IIT, Madras), Dr. M. P. Gururajan (IIT, Bombay), Dr. Vaishali Shah (Savitribai Phule Pune University), Dr. Venkatesh Shenoy (C-DAC)*
Research statement and Objectives:
- Development of open-source phase-field software-stack for high-performance computing.
- Main objectives are development and packaging of phase-field codes into a software that is readily tailorable and usable by the academia and Industry. The developed software should be able to utilize the high-performance computing infrastructure as part of the National supercomputing mission.
Modular structure
The project involves the development and integration of the following modules under a common software framework with unified input of parameters and output files. Following modules have been developed.
• Modules based on Finite difference discretization with multi-CPU MPI parallelization, multiGPU and multinode CUDA parallelization, and OpenCL parallelization.
• Modules based on the Fourier transform based discretization on CPU.
• Modules using Cuda-FFT and CuFFTMP on NVIDIA GPUs.
• Module based on multi-physics solvers OpenFoam and AMReX libraries
**Work carried, Milestone, Achievements & Graphs, Plots:**
We have created a common framework for the home-grown modules where the inputs are derived through an “Infile” that take values to generic keys which are common to all software modules along with model specific keys that are particular to a given module. A python wrapper has been developed that allows the generation of the Infile containing the simulation and material specific parameters. The python wrapper also allows for consolidated creation of Infile, code execution and visualization of the results involving a call to open-source software Paraview.
**Example MicroSim Modules**
GUI of MicroSim software
Grain Growth
Coarsening
Elastic Stress Effects
Additionally, we developed a novel GPU-accelerated phase-field framework to study phase transformations within nanoparticles. Example simulations of evolution of Janus/core-shell/inverse core-shell configurations are shown below:
Publications
- P. Pankaj, Saswata Bhattacharyya, Subhradeep Chatterjee, “Competition of core-shell and Janus morphology in bimetallic nanoparticles: Insights from a phase-field model”, *Acta Materialia*, Volume 233, 2022, 117933 https://doi.org/10.1016/j.actamat.2022.117933.
- P. Pankaj, Saswata Bhattacharyya, Subhradeep Chatterjee, “Surface-directed and bulk spinodal decomposition compete to decide the morphology of bimetallic nanoparticles”, *Modelling Simul. Mater. Sci. Eng.* 31, 015003, 2023 https://doi.org/10.1088/1361-651X/aca420
Invited Talks
- Saswata Bhattacharya “Multiscale Modeling of Process-Microstructure-Property Relations in Materials: Approaches and Challenges” 76th IIM-ATM, November 2022
- Saswata Bhattacharya “Modelling of Process-Microstructure-Property Relations” Workshop on ‘Modelling Phase Transformations in Steel during Its Manufacturing’, Tata Steel Ltd.
Workshops on MicroSim
- First workshop – MicroSim First Release January 2022
YouTube link to 1st MicroSim Workshop
https://www.youtube.com/watch?v=frDSRar
Second workshop – MicroSim Second Release July 2022
YouTube link to 2\textsuperscript{nd} MicroSim Workshop
https://www.youtube.com/watch?v=CMa6VvjofGE&list=PLJQREXdnoYLKg6OeHwFyIjrSn6Mu3zTDU&index=7DGX machines.
Release of MicroSim 2.0
MicroSim team during the release of version 2
Features:
- First indigenous software for phase-field simulations
- Open source and modular
- Variety of high-performance solvers (multiprocessor, multiGPU)
- An easy-to-use GUI
Title of the work carried out:
a) Uniaxial elongation simulations were performed for polymer-grafted nanoparticle networks with varying numbers of grafted arms.
Name & Designation of the Chief Investigator: Balaji Iyer V S, Associate Prof.
Email Id: email@example.com
Institute Name: Indian Institute of Technology Hyderabad
Problem Statement:
- Studying mechanical response of polymer-grafted nano particle networks composed of rigid spherical nanoparticles with varying number of polymer arms grafted onto their surface via multiscale simulations spanning a wide range of length and timescales.
Work carried, Milestone, Achievements & Graphs, Plots:
Fig. 1 (a) Schematic representation of polymer grafted nanoparticle (PGN) array at strain $\varepsilon = 0.0$ and $\varepsilon = 0.6$. The vertical black dashed line separates the region between 0 and X. The blue dashed lines (Y1) and red dashed lines (Y2) show the top and bottom layers of the PGN array, excluding the top and bottom two layers respectively. Snapshots of the simulation comparing structural rearrangements of PGN particles in the array for (b) $f = 600$, (c) $f = 900$ and (d) $f = 1200$.
= 1200 at different strain values, and at constant pulling velocity $u = 0.001u_0$ and energy $E = 39kBT$.
**Publication:**
- Phukan M., Haritha P., Roy, T. R and Iyer B. V. S Mechanical response of networks formed by end-functionalised spherical polymer grafted nanoparticles, Soft Matter, 2022, 18, 8591–8604.
**Publisher:**
- Royal Society Chemistry
**Work presented in conference:**
- My student presented a poster, “Effect of number of grafted arms, deformation rates and cross-link energy on the mechanical response of 2D hybrid polymer-particle networks/thin films” at the Complex Fluids Symposium in Kolkata from December 19th to 21st, 2022.
**Benefits & experience of using PARAM Seva:**
- Effortless accessibility, providing a seamless user experience.
- Minimal queue times, particularly for CPU programs which run promptly upon submission in PARAM Seva.
- The advantageous wall time of 4 days, enabling hassle-free execution of extended simulations.
**Title of the work carried out:**
a) Urban modeling: Development of multi-sectorial Simulation lab and science based decision support framework to address urban Environment issues
**Name & Designation of the Chief Investigator:** Prof. U C Mohanty, Adjunct Professor, IIT Bhubaneswar & Dr. V Vinoj, Associate Professor
**Email Id:** firstname.lastname@example.org; email@example.com; firstname.lastname@example.org
**Institute Name:** IIT Bhubaneswar
**Problem statement(s):**
- Fidelity of the WRF model in deciphering the role of urbanization during heat waves in India; a tale of two cities.
- Role of Planetary Boundary Layer Physics in Urban-scale Weather Model for Predicting the Heat Waves over Tropical City.
- Impact of incorporation of WUDAPT LCZ urban classifications into the WRF model for the prediction of extreme weather events over Bhubaneswar city.
Work carried, Milestone, Achievements & Graphs, Plots:
- Completed the 50 runs for the “Evaluation of the prediction of Heat Waves using the WRF model coupled with PBL Parameterization schemes over Bhubaneswar city of East Coast of India”.
- Completed the 50 runs for the “Relation between the urbanization and temperature over inland and coastal regions of India using WRF”
- Competed 27 runs for the “Assessment of Radiation and Urban physics with various initial conditions for the prediction of heat waves over Bhubaneswar, Odisha using the mesoscale model”.
- Completed the 70 runs for the “Performance evaluation of heavy rainfall events using a high-resolution WRF model”.
- Completed 60 background error runs for assimilation purposes.
Publication:
- Boyaj, A., N. R. Karrevula., D. P. Reddy., R. Nadimpalli., P. Sinha, M. Swain., A. Srivastava., K. K. Osuri, U. C. Mohanty, Sahidul Islam, and Akshara Kaginalkar. (2023). Role of radiation and canopy model in predicting heat waves using WRF over the city of Bhubaneswar, Odisha (*Meteorology and Atmospheric Physics*).
- Karrevula, N. R., A. Boyaj., P. Sinha., R. Nadimpalli., U. C. Mohanty., S. Islam., A. Kaginalkar., V. Vinoj. (2023). Role of Planetary Boundary Layer Physics in Urban-scale Weather Model for Predicting the Heat Waves over Tropical City. (*under internal review*).
- Boyaj, A., N. R. Karrevula., P. Patel., K. Ashok., U. C. Mohanty. (2023). Fidelity of the WRF model in deciphering the role of urbanization on heat waves in India; a tale of two cities (*under internal review*).
Publisher:
- Springer
Work presented in conference:
- Participated and gave an oral presentation in a National conference on “Land-Atmosphere Interactions Controlling Weather & Climate: Applications of Numerical Models and Observations” organized by the Department of Earth and Atmospheric Sciences on January 09-12, 2023 at NIT Rourkela, Odisha.
Information required for NSM (National Supercomputing Mission) users
- Application name(s)*: Numerical weather prediction using WRF model
Title of the work carried out:
Early warning system & Flood prediction for Mahanadi River Basin for Season 2022
Name & Designation of the Chief Investigator: Upasanad Dutta (Joint Director, C-DAC Pune)
Email Id: email@example.com, firstname.lastname@example.org
Institute Name: ESEG C-DAC Pune
Problem statement(s):
- To provide inundation spread and village level inundation reports timely for Mahanadi River Basin(Flood Season 2022)
- To study impact of Evapotranspiration (ET)
- To study impact of changed CFL values
Work carried, Milestone, Achievements & Graphs, Plots:
Work carried
- Around 1080 jobs were scheduled and run for dissemination of information
- Jobs with ET and without ET were submitted to carry out a study
- Jobs with changing CFL and default CFL were submitted
- Jobs to generate mesh and extract surface details were also submitted
Milestone
- Timely Dissemination of information
- Compare results with and without ET
- Compare results with changed CFL and with default CFL
Achievements & Graphs
- Timely Disseminated of information such as village level inundation, every three hourly water spread, water level
- Compared results with ET and without ET found significance impact of ET in Mahanadi river basin
- Compared output dissemination timings difference new value of CFL has reduced the compute time significantly
Plots
CFL and without CFL per Timestep comparison
| Field_Location_ID | vsm_depth_No ET at 12:00 on 11 Oct 2022 (m) | vsm_depth With ET at 12:00 on 11 Oct 2022 (m) | vsm_depth_diff (m) |
|-------------------|---------------------------------------------|-----------------------------------------------|---------------------|
| 8_22_09_2012_depression | 0.395 | 0.395 | 0.00 |
| 8_37_09_2012_morphly | 0.246 | 0.172 | 0.07 |
| 8_37_09_2012_morphly | 0.246 | 0.143 | 0.10 |
| 8_22_09_2012_morphy_grass | 0.361 | 0.343 | 0.02 |
| 8_22_09_2012_Tarali | 0.000 | 0.000 | 0.00 |
| 8_22_09_2012_morphy_road | 0.000 | 0.000 | 0.00 |
| 8_22_09_2012_morphyroad | 0.000 | 0.000 | 0.00 |
| 8_22_09_2012_morphyroad | 0.022 | 0.012 | 0.00 |
| 8_22_09_2012_Taragar_Riverbank_gauge | 0.138 | 0.149 | 0.01 |
| 8_22_09_2012_Taragar_Riverbank_gauge | 0.138 | 0.142 | 0.01 |
| 10_22_09_2012_Taragar_Riverbank_Gauge | 0.136 | 0.151 | 0.01 |
| 15_22_09_2012_Pasture | 0.023 | 0.023 | 0.00 |
| 16_22_09_2012_Infiltration | 0.161 | 0.180 | 0.02 |
| 18_22_09_2012_Infiltration | 0.447 | 0.447 | 0.00 |
| 19_22_09_2012_Infiltration | 0.161 | 0.141 | 0.02 |
| 20_22_09_2012_Infiltration | 0.000 | 0.000 | 0.00 |
| 21_22_09_2012_Infiltration | 0.000 | 0.000 | 0.00 |
| 22_22_09_2012_Infiltration_Botanical_garden | 0.701 | 0.700 | 0.00 |
| 23_22_09_2012_Infiltration_Along_Road | 0.034 | 0.030 | 0.00 |
| 24_22_09_2012_Infiltration_River_Body | 0.416 | 0.417 | 0.00 |
| 37_28_09_2012_Depression | 0.749 | 0.640 | 0.11 |
| 38_28_09_2012_Infiltration | 0.153 | 0.144 | 0.01 |
| 39_28_09_2012_Rice_Field | 0.036 | 0.012 | 0.01 |
| 40_28_09_2012_Infiltration | 0.276 | 0.183 | 0.09 |
| 41_28_09_2012_Infiltration | 0.038 | 0.000 | 0.04 |
| 42_28_09_2012_Infiltration | 0.776 | 0.755 | 0.02 |
| 43_28_09_2012_Infiltration_Central_Fire_Research_Institute | 0.149 | 0.149 | 0.00 |
| 44_27_09_2012_Infiltration | 0.654 | 0.819 | 0.16 |
| 45_27_09_2012_Tarali | 1.168 | 1.092 | 0.08 |
| 46_27_09_2012_Tarali_downs_to_Hussar_River | 1.334 | 1.061 | 0.27 |
Table showing depth difference ‘with and without ET’
Work presented in conference/s with photographs (if any):
- Presented work during visit of Shri V.D. Roy, Director, FCA-II, Central Water Commission, Ministry of Jal Shakti to C-DAC Pune
Presented work during stakeholder meet at Bhubaneshwar
Benefits & experience of using PARAM Seva:
- For Flood Season 2022 it was really beneficial to get reservation for Delta region of Mahanadi which includes **45 nodes, 46 cores** and for upper and Mid Mahanadi **20 nodes and 46 cores**
- It has benefited us to predict flood for 2 days for delta part of Mahanadi river basin within 3 hours and we could disseminate results as per required timeline by CWC/client.
- Support portal i.e. ticketing system is good to raise our issues and get resolved
- Reservation of High Memory node for pre-processing and post processing helped us to process data and results on time.
Information required for NSM (National Supercomputing Mission) users
• Domain(s)*: Fluid Dynamics
• Sub-domain(s): hydrodynamic modelling – flood forecasting
• Application name(s)*: Early warning system & Flood prediction for River Basins of India
Title of the work carried out:
a) Computational design of spintronics materials
Name & Designation of the Chief Investigator: Dr.R. Thangavel, Associate Professor, Department of Physics, IIT(ISM) Dhanbad
Email Id: email@example.com, firstname.lastname@example.org
Institute Name: Indian Institute of Technology (Indian School of Mines), Dhanbad
Problem statement(s):
• Intrinsic magnetism is desired for robust long-range magnetic ordering and it remains an open problem to realize both ferromagnetism and semiconducting properties in a single material. We use the density functional theory and Monte Carlo simulations to study the magnetic properties of a particular material and the phase transition respectively. Generally, we have to use large systems consisting of large number of atoms which makes the computational resource expensive. Some calculations as in phonon band structure or hybrid functional calculation takes long duration of walltime (say, more than 96 hours)
Work carried, Milestone, Achievements & Graphs, Plots:
• Spin polarized Density Functional Theory calculations of Transition Metal Dichalcogenides and Alkaline Earth Halides using Quantum Espresso module
• Recently, we have submitted a manuscript in Physica Scripta, IOP Publishing and parts of the calculation is done using PARAM Seva
• Presented poster in online mode in the International Conference on Nanotechnology; Opportunities & Challenges (ICNOC-2022), hosted by Jamia Millia Islamia (Central University), New Delhi on November 28-29, 2022
Publications / Articles etc. link (If any) * :
• Currently, I have submitted the revision of a manuscript. The final decision is pending.
Work presented in conference/s with photographs (if any):
Presented poster in the *International school and conference on* Evolution of Electronic Structure Theory and Experimental Realization (EESTER 2023, 3rd Edition) held at IIT Madras and SRM IST Kattankulathur, Chennai from 4th to 12th January 2023
**Benefits & experience of using PARAM Seva:**
- The experience of using a supercomputer is fascinating. PARAM Seva has time and again helped me in carrying out the time-consuming calculations with ease. Specially, I liked the optimal usage of the PARAM Seva resources and the administrators regulating it. This helps to run calculations without unnecessary waiting time at the queue by the job submission script. The help desk is also great as it addresses the user’s query satisfactorily. Whenever, we need to install any particular module or package time to time, the support center is there to help. The benefits are immense and the computational research potential has been boosted since the time I got my account in the PARAM Seva.
**Information required for NSM (National Supercomputing Mission) users**
- Domain(s)*: Material Sciences and Computational Physics
- Sub-domain(s): Quantum Mechanics
- Application name(s)*: Quantum ESPRESSO, Wannier90
**Title of the work carried out:**
a) Computational design of 2D photocatalyst for water-splitting applications
**Name & Designation of the Chief Investigator:** Dr.R. Thangavel, Associate Professor, Department of Physics, IIT(ISM) Dhanbad
**Email Id:** email@example.com, firstname.lastname@example.org
**Institute Name:** Indian Institute of Technology (Indian School of Mines), Dhanbad
Problem statement(s):
- Water-splitting is a method, which is used to produce green hydrogen with no CO$_2$ emission. Semiconductor photocatalyst is used to split water into hydrogen and oxygen. Hence, we design different 2D heterostructure and trilayer vdW structure for their use in water-splitting applications. Strain engineering is and electric field is introduced into the system to enhance their photocatalytic properties. We use density functional theory with hybrid functional, HSE06 to study the electronic and photocatalytic properties of the 2D materials. Finally, solar-to hydrogen conversion efficiency is calculated for the considered system.
Work carried, Milestone, Achievements & Graphs, Plots:
- Structural, electronic and photocatalytic properties of a 2D vdW trilayer heterojunction is investigated using Quantum Espresso software.
- Electronic and photocatalytic properties of a 2D vdW heterostructure.
Publications / Articles etc. link (if any) * :
- I have performed some calculation for completing my thesis. The manuscript is under preparation
Benefits & experience of using PARAM Seva:
- I have a very good experience of using PARAM Seva. In my work, HSE, phonon and molecular dynamics calculations are mainly performed, which is very time-consuming calculation. PARAM Seva made my journey easy, with minimal waiting time at the queue after the job submission. I have performed HSE calculation using 24 atoms, which was not possible using PARAM seva. I got my account very quickly after applying for opening a new account in PARAM Seva.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Material Sciences and Computational Physics
- Sub-domain(s): Quantum Mechanics
- Application name(s)*: Quantum ESPRESSO, Wannier90
Title of the work carried out:
a) Computational design of 2D photocatalyst for water-splitting applications
Name & Designation of the Chief Investigator: Jaspreet Singh, Research scholar
(supervised by Prof. V Kanchana)
Email Id: email@example.com
Institute Name: IIT Hyderabad
Work carried, Milestone, Achievements & Graphs, Plots:
- Electronic structure and physical properties of the candidate topological material GdAgGe (Accepted in Physical Review B)
The electronic band-structure calculations suggest that both the hole and the electron charge carriers contribute to the transport properties, and the electronic band structure displays linear band crossings near the Fermi level.
GdAgGe has a nodal line with drumhead surface states coupled with a nonzero Berry phase, making it a nontrivial nodal-line semimetal.
Publications / Articles etc. link (If any) * :
- Electronic structure and physical properties of the candidate topological material GdAgGe (Accepted in Physical Review B)
Benefits & experience of using PARAM Seva:
- PARAM Seva enabled us to run calculations efficiently, quickly and reliably. We were able to explore and analyse (and still exploring) complex systems using this facility which is impossible in the normal workstation.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computational Physics, Material Sciences
- Application name(s)*: VASP, Wannier90, WANNIERTOOLS
Title of the work carried out:
A) Promising high temperature thermoelectric performance of layered oxypnictide YZnAsO
Name & Designation of the Chief Investigator: Subhajit Sau (Guide: Prof. V. Kanchana)
(supervised by Prof. V Kanchana)
Email Id: firstname.lastname@example.org
Institute Name: IIT Hyderabad
Work carried, Milestone, Achievements & Graphs, Plots: Work under revision.
Benefits & experience of using PARAM Seva:
PARAM Seva enabled us to run calculations efficiently, quickly and reliably. We were able to explore and analyse (and still exploring) complex systems using this facility which is impossible in the normal workstation.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computational Physics, Material Science
- Sub-domain(s): Computational Condensed matter physics
- Application name(s)*: Thermoelectric Properties
Title of the work carried out:
a) Encapsulation/deposition of single molecule magnets and spin crossover on surfaces and metal organic frameworks.
Name & Designation of the Chief Investigator: Dr. Saurabh K. Singh, Assistant Professor
Email Id: email@example.com
Institute Name: IIT Hyderabad
Problem statement(s):
- Our aim is to stabilize the spin crossover complexes and single molecule magnets by putting them on different supports like surfaces and metal organic frameworks and study their magnetic properties.
Work carried, Milestone, Achievements & Graphs, Plots:
We have optimized different surfaces and metal organic frameworks along with the single molecule magnets and spin crossover complexes. The magnetic studies and other properties calculation is in process.
Benefits & experience of using PARAM Seva:
- PARAM Seva has proven to be a useful means for students to carry out research in the field of computational chemistry. We have been able to install all the required applications/codes on PARAM Seva as per our requirement for the calculations that are required in our lab. Moreover, the response from ‘Seva-support’ has always been prompt and helpful.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Chemical Science
- Sub-domain(s): Computational Chemistry
- Application name(s)*: CP2K, ORCA
Title of the work carried out:
a) Exploring the topological aspects of electron and phonon in ferromagnetic intermetallic systems
Name & Designation of the Chief Investigator: Anusree C V, Research Scholar
Email Id: firstname.lastname@example.org
Institute Name: IIT Hyderabad
Problem statement(s):
- Topological materials have become a topic of great interest in recent years due to their unique electronic and transport properties. It is indeed rare to find a material that exhibits both nontrivial electronic and phononic topology. This is because the conditions that lead to nontrivial electronic and phononic topology are often mutually exclusive, and it can be challenging to find materials that simultaneously satisfy both conditions.
Work carried, Milestone, Achievements & Graphs, Plots:
- In this work, the properties of ferromagnetic layered compounds with a tetragonal (p4/nmm) space group structure, known as Cu2Sb type compounds, were analyzed through first-principles calculations and symmetry analysis. The research proposed the discovery of 111-type intermetallic compounds with a combination of exceptional topological features in both the electronic and phononic states. These compounds are characterized by nodal surfaces in the bulk Brillouin zone that is protected by time-reversal symmetry and nonsymmorphic two-fold screw-rotation symmetry. In addition, the study found that the presence of nodal lines in both the quasiparticle spectra, as well as by virtue of spin-orbit coupling, intriguing transport properties were found that have the potential to drive anomalous Hall conductivity. The findings of this work deepen our understanding of the nodal surface and nodal line phenomena in the 111-type intermetallic compounds. (Manuscript under preparation).
Work presented in conference/s with photographs (if any):
- Have been invited to present my work at National Conference "Emergent Phenomena in Quantum Materials" (E-QMat 2022) organized by IIT Roorkee.
References:
- W. Wu, Y. Liu, S. Li, C. Zhong, Z.-M. Yu, X.-L. Sheng, Y. X. Zhao, and S. A. Yang, Phys. Rev. B 97, 115125 (2018) https://doi.org/10.1103/PhysRevB.97.1151252.
- T. He, Y. Liu, L. Tian, X. Zhang, W. Meng, X. Dai, and. Liu, Phys. Rev. B 103, 085135 (2021). https://doi.org/10.1103/PhysRevB.103.235140.
- T. Yang, L. Jin, Y. Liu, X. Zhang, and X. Wang, Phys. Rev. B 103, 235140 (2021). https://doi.org/10.1103/PhysRevB.103.235140.
Benefits & experience of using PARAM Seva:
- The NSM committee members provided computational resources that allowed us to
undertake high-performance computing, and we are grateful for that. Due to their complexity, these lattice thermal conductivity calculations cannot be completed on high-end workstations alone. This NSM function helped us achieve the desired results while reducing the difficulty of our calculations.
**Information required for NSM (National Supercomputing Mission) users**
Domain(s)*: Computational Physics, Materials Sciences
Sub-domain(s): Quantum Materials
Application name(s)*: VASP
Title of the work carried out:
a) Artificial intelligence for solving biological tasks and bioinformatics analysis
Name & Designation of the Chief Investigator: Dr. Shrikant Mantri, Scientist – E, NABI, Mohali
Email Id: email@example.com
Institute Name: National Agri-Food Biotechnology Institute
1.24 Problem statement(s):
Predicting protein-protein interaction (PPI), Bacteria phenotyping using Raman spectroscopy and Deep learning, Microbiome data mining to discover novel patterns and DNA Methylation
1.25 Work carried, Milestone, Achievements & Graphs, Plots:
Work carried:
a. Building deep learning models to predict the bZIP protein-protein interaction
b. Building deep learning models to identify the bacteria from Raman spectra
c. Building an HPC pipeline to mine the novel pattern in the microbiome at a large scale.
d. Analysing the DNA methylation genomics data to determine the impact of nutrition on epigenetic regulation
Milestone
a. Final stage of model implementation and model testing
b. Final phase of model testing.
c. Implementation is in progress
d. Manuscript writing is in progress
1.26 Publications / Articles etc. link (If any)*:
• Dalwinder Singh, Akansha Madhawan and Joy Roy, “RNA classification with machine learning: Advances, challenges and opportunities,” Ready for Communication.
1.27 Publisher:
1.28 Awards (If any):
1.29 Work presented in conference/s with photographs (if any):
• Showcased PARAM Smriti Poster at Theoretical Chemistry and Biology, CRIKC Symposium held at National Institute of Pharmaceutical Education and Research (NIPER), Mohali on 15th October 2022
1.30 Appreciation / Recognition (if any):
1.31 References:
1.32 Benefits & experience of using PARAM Smriti:
PARAM Smriti is a state-of-art computational facility that provides CPU- and GPU-based resources to accelerate computationally intensive work. The facility is also contributing to extending the scientific work at a large scale with high memory nodes and large secondary storage.
The services offered by PARAM Smriti facility as well as team are excellent so far. Any technical and application problem is resolved within a few days with the help of the online support portal. The chaksu portal allows tracking the usage, generating reports and viewing user bills. Overall, my experience is positive, and I am looking forward to using this facility for a long time to do my research.
1.33 Any other relevant information (if any):
I would like to thank National Supercomputing Mission (NSM) and Centre for Development of Advanced Computing (CDAC) Pune for providing such a national level facility to Indian researchers.
**Information required for NSM (National Supercomputing Mission) users**
Domain(s)*: Computational Biology and AI/ML/DL,
Sub-domain(s): Deep learning, Biology
Application name(s)*: Tensorflow, pyTorch, antiSMASH, sklearn, Bismark, Blast, BWA
**Title of the work carried out *:** RNA & genomic data sequences analysis of bread wheat
**Name & Designation of the Chief Investigator*:** Dr. Monika Garg & Scientist -E
**E-mail Id*:** firstname.lastname@example.org
**Institution Name*:** National Agri-Food Biotechnology Institute
1.34 Problem statement(s): Design of celiac resistant variety
1.35 Work carried, Milestone, Achievements & Graphs, Plots: Genome and transcriptome analysis of different varieties of wheat
1.36 Publications / Articles etc. link (If any)*: nil
1.37 Publisher: nil
1.38 Awards (If any): nil
1.39 Work presented in conference/s with photographs (if any): nil
1.40 Appreciation / Recognition (if any): nil
1.41 References: nil
1.42 Benefits & experience of using PARAM Smriti: Easily accessible, bulk data analysis in shorter time
1.43 Any other relevant information (if any):
**Information required for NSM (National Supercomputing Mission) users**
1.44 Domain(s)*: Agri-biotechnology
1.45 Sub-domain(s): computational biology
1.46 Application name(s)*: Era Chaudhary
---
**Title of the work carried out**: Genome mining to discover novel patterns.
**Name & Designation of the Chief Investigator**: Dr. Shrikant S. Mantri, Scientist-E
**E-mail Id**: email@example.com
**Institution Name**: National Agri-Food Biotechnology Institute, Mohali, Sector 81, SAS Nagar, Punjab, India, 14030
Research Challenge/s:
Large Metagenome mining using various computational tools requiring high memory and storage and requiring large wall-time to complete the jobs.
Work carried, Milestone, Achievements & Graphs, Plots:
Title of the work carried out:
b) Parallel Computational Fluid Dynamics Solver for Pollution Dispersion in a city/region
Name & Designation of the Chief Investigator:
b) PI: Prof. Mahendra K. Verma
c) Co-PI: Mr. Sahidul Islam
Email Id: firstname.lastname@example.org
Institute Name: C-DAC Pune
Problem statement(s):
to develop a coupled CFD model to capture the urban representation of micro-scale city environmental conditions
Work carried, Milestone, Achievements & Graphs, Plots:
The project has started in August 2021. We have just got login details in Jan 2022. We are yet to use Param Sanganak computing resources.
References:
- Benefits & experience of using PARAM Sanganak:
- Any other relevant information (if any):
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Atmospheric / Environment Sciences
- Sub-domain(s): CFD modelling
- Application name(s)*:
- Climate & Environment Sciences
- Computational Fluid Dynamics
- Data analytics
Title of the work carried out:
b) Resolving ion-to-electron scale physics in kinetic Alfvén wave turbulence
Name & Designation of the Chief Investigator: Kirit Kumar Makwana, Assistant Professor
Email Id: email@example.com
1.1 Title of the work carried out *: Molecular Simulations
1.2 Name & Designation of the Chief Investigator*: Prof. Ashwani Pareek, Executive director, Nabi, Mohali.
1.3 E-mail Id*: firstname.lastname@example.org
1.4 Institution Name*: National agri food biotechnology Institute
1.5 Problem statement(s): metalloid transport through aquaporins.
1.6 Work carried, Milestone, Achievements & Graphs, Plots:
Generated energetic landscape of permeation events.
1.7 Publications / Articles etc. link (If any)*: In communication
1.8 Publisher: Elsevier
1.9 Awards (If any):
1.10 Work presented in conference/s with photographs (if any):
Presenting poster at theoretical chemistry and biology symposium held at the NIPER, Mohali on 15th October, 2022.
1.11 Appreciation / Recognition (if any):
1.12 References:
1.13 Benefits & experience of using PARAM Smriti:
PARAM Smriti has been of immense help in gaining experience on a diverse range of research problems. The support team at the helpdesk has been remarkably responsive in promptly installing various programs and modules required by us from time to time.
1.14 Any other relevant information (if any):
The robust computational support offered by CDAC has enabled us to conduct high-quality research. I would like to urge the Indian government to allocate significant funding to CDAC.
2. Information required for NSM (National Supercomputing Mission) users
2.1 Domain(s)*: Computational Biology
2.2 Sub-domain(s): Atomic & Molecular Sciences
2.3 Application name(s)*: CHARMM
(Indicative list of Domains)
- Astronomy & Astrophysics
- Atomic & Molecular Sciences
Title of the work carried out *:
Development, Porting, Testing, Benchmarking, and Applications of MTA Software
Name & Designation of the Chief Investigator*:
Professor Shridhar R. Gadre
INSA Senior Scientist and
Honorary Distinguished Professor
Departments of Chemistry & Scientific Computing, Modelling and Simulation
Savitribai Phule Pune University, Pune-411007
E-mail id*: email@example.com, firstname.lastname@example.org
Institution Name*: Savitribai Phule Pune University, Pune-411007
Problem statement(s):
Development, Porting, Testing, Benchmarking, and Applications of MTA Software. This software has been developed in Professor Gadre’s group over the past 15 years. The aim of the work is to apply the software for solving a variety of problems and make it available to the interested user community in India.
Work carried, Milestone, Achievements & Graphs, Plots:
The testing and applications of MTA code carried out during the project period fall into two main categories. It is difficult or impossible to carry out these calculations without the use of fragmentation methods such as MTA.
a) Constructing the potential energy surface (PES) of large molecules using high-level correlated theory such as CCSD or CCSD(T). This work is using molecular tailoring approach (MTA). These PES’s could be used for obtaining MD/FF parameters.
b) Estimation of individual weak interaction energies in molecular clusters. A method, based on MTA, has been developed and applied to a wide variety of clusters. These include clusters of water, benzene, hydrogen fluoride etc.
Milestone, Achievements:
Molecular Tailoring Approach (MTA) code has been ported on PARAM SMRITI facility and has been extensively benchmarked on a wide variety of systems. The work has resulted into 2 research articles, published in standard, refereed journals. One of these publications is in collaboration with experimentalists/theoreticians from abroad.
Publications / Articles etc. (only the articles already published are listed)
a) Development and testing of an algorithm for efficient MP2/CCSD(T) energy estimation of molecular clusters with the 2-body approach
b) Constructing Potential Energy Surface with Correlated Theory for Dipeptides Using Molecular Tailoring Approach
S. S. Khire, G. Nandini, N. D. Gurav, Anmol Kumar and S. R. Gadre,
ChemPhysChem (Accepted for publication, 2023)
Publishers:
The publisher of these standard, refereed journals is Wiley.
Awards (if any):
Professor Gadre was awarded the Lifetime Achievement Award by the Indian Chemical Society, Kolkata in 2022.
Work presented in conference/s with photographs (if any):
a. The work was presented in the form of research seminars in conferences held at several institutions, e.g. IUAC, New Delhi; IIT Goa; APATCC held at IIT Mumbai etc.
b. We have organized two workshops (one online and one face-to-face) with a view to train potential users of MTA code developed by us.
Appreciation / Recognition (if any):
Professor Gadre was awarded the Lifetime Achievement Award by the Indian Chemical Society, Kolkata in 2022. Professor Gadre has recently been offered Adjunct Professorship by IIT Goa.
References:
The list of publications is given above in 1.7.
Benefits & experience of using PARAM SMRITI:
The PARAM SMRITI is a wonderful facility. MTA code was ported to Param SMRITI facility and for most of the time, ran very well. All the Publications resulting from this work have acknowledged the support from the NSM project and the Param SMRITI facility. Most of the times, the support from the SMRIT Support Team has been very good. However, for solving acute problems of the users such as the inability of the users to log-in or to run their codes due to system problems need to be quickly addressed using phone/online meet.
Any other relevant information (if any):
The aim of the work is to apply the indigenously developed MTA software for solving a variety of problems and make it available to the interested user community in India. The next phase of the project should fund the propagation of such indigenously developed software.
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Chemical Sciences/Computational Chemistry
Sub-domain(s): Computational Chemistry, Quantum Mechanics, Molecular Physics and Spectroscopy
Application name(s)*: FORTRAN compiler
Title of the work carried out *: Transport properties of Bulk systems
Name & Designation of the Chief Investigator*: Dr. Ambesh Dixit
E-mail Id*: email@example.com
Institution Name*: Indian Institute of Technology Jodhpur
Problem statement(s): Determining Electronic, optical and Dynamical properties of the bulk material and thermoelectric properties
Work carried, Milestone, Achievements & Graphs, Plots: yes, in previous report I submitted work carried regarding electronic and optical plots. In this line further, I determine the elastic properties and many body calculation of the chancogen perovskite material.
Publications / Articles etc. link (If any)*: Work is in progress
Publisher:
Awards (If any):
Work presented in conference/s with photographs (if any): We presented a poster recently during 11-13 January 2023 at the “21st international workshop on computational physics and material science: Total energy and Force methods” at International Centre for Theoretical Physics (ICTP) Trieste Italy. I am attaching the certificate of the international workshop.
Appreciation / Recognition (if any): Yes, people appreciated my work, which I presented in the workshop.
References:
Benefits & experience of using PARAM Smriti: Yes, I can run simultaneously jobs and it increases my research work speed. I acknowledged PARAM smriti in my poster presentation as well.
Any other relevant information (if any):
The most important thing I am very thankful for is Param Smriti's managers and staff, who have helped us promptly during our queries and installation process. I am attaching the certificate of the poster presentation in the workshop.
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Computational Physics
Sub-domain(s): Condensed Matter Physics
Application name(s)*: EPW, Quantum Espresso, Vasp, Yambo, AMSET
Title of the work carried out: Study of low dimensional thermoelectric materials for energy conversion.
Name & Designation of the Chief Investigator: Dr. Mukhtiyar Singh, Assistant Professor, Department of Applied Physics
E-mail Id: firstname.lastname@example.org
Institution Name: Delhi Technological University, Shahbad Daulatpur, Main Bawana Road, Delhi-110042 (INDIA)
Research Challenge/s:
Our study is focused on the detailed physical insight into the structural, thermal, and dynamical properties of nitride-based compounds. The dynamically stability of the studied compound is shown in attached figure. These systems are heavy in computational nature, and for more accurate realization we need multiple nodes for long time (at least 120 hours).
Work carried, Milestone, Achievements & Graphs, Plots:
Publications / Articles etc. (If any):
We are analysing our results, and the manuscript is under progress
Awards (If any):
Appreciation / Recognition (if any):
References:
Benefits & experience of using NPSF:
PARAM Smriti has helped me immensely in guiding my Ph.D. students. This helped the students to explore a wide range of research problems. We are still trying to enhance our knowledge by solving different problems of our field. We owe the deepest debt of gratitude to CDAC-Pune and the support team of PARAM Smriti.
Any other relevant information (if any):
CDAC, Pune has been doing a wonderful job for many years in helping Computational Scientists across India in their active pursuit of research. The strong computational support provided by CDAC-Pune enables us to pursue good quality research. I would like to appeal to the Govt. of India to allocate substantial funds to CDAC-Pune to support the latter in their future endeavours, which includes upgrading their HPC systems. Param Seva caters to users from all over India. CDAC-Pune is in dire need of a strong funding support from the Govt. of India. Integration of the latest computational resources into the current HPC system is the crying need of the hour.
Title of the work carried out: Electron Attachment to DNA nucleobases and Wobble Base Pairs
Name & Designation of the Chief Investigator: Achintya Kumar Dutta, Associate Professor
E-mail Id: email@example.com, firstname.lastname@example.org
Institution Name: IIT Bombay, Powai, Mumbai, Maharashtra-40007
Problem statement(s):
Electron Attachment to Wobble Base Pairs, Electron Attachment to DNA: The Protective Role of Amino Acids. 1.6 Work carried, Milestone, Achievements & Graphs, Plots: 1. We have analysed the low-energy electron attachment to wobble base pairs using the equation motion coupled cluster method and extended basis sets. A doorway mechanism exists for the attachment of the additional electron to the base pairs, where the initially formed dipole-bound anion captures the incoming electron. The doorway dipole-bound anionic state subsequently leads to the formation of a valence-bound state, and the transfer of extra electron occurs by mixing of electronic and nuclear degrees of
freedom. The formation of the valence-bound anion is associated with proton transfer in hypoxanthine-cytosine and hypoxanthine-adenine base pairs, which happens through a concerted electron-proton transfer process. The calculated rate constant for the dipole-bound to valence-bound transition in wobble base pairs is slower than that observed in the Watson-Crick guanine-cytosine base pair with different activation functions, i.e., ‘selu’, ‘relu’, ‘sigmoid’, ‘sin’, ‘hardlim’, ‘tribas’, ‘radbas’, and ‘sign’.
Adiabatic PEC corresponding to the dipole-bound to valence-bound transition for wobble (a) G:U, (b) I:C, (c) I:U, and (d) I:A base pair.
We have studied the effect of amino acids on electron attachment properties of DNA nucleobases, taking cytosine as a model system. The equation of motion coupled cluster theory with an extended basis set has been used to simulate the electron attached state of the DNA model system. Four selected amino acids, Arginine, Alanine, Lysine, and Glycine which form a major component of histone proteins are considered to investigate their role in electron attachment to DNA nucleobase. The electron attachment to cytosine in all the cytosine-amino acid dimer complexes follows a doorway mechanism, where the electron gets transferred from initial dipole-bound doorway state to the final nucleobase-bound state through the mixing of electronic and nuclear degrees of freedom. In higher amino acid concentration, amino acid bound state acts as the doorway state, where the initial electron density is localized on the amino acid, away from the nucleobase. This leads to the physical shielding of nucleobase from the incoming extra electron. At the same time, the presence of amino acids can increase the stability of nucleobase-bound anionic state, which can suppress the dissociative electron attachment induced sugar phosphate bond breaking.
Adiabatic potential energy curve of the ground and first excited state of cytosine-glycine complex at EA-EOM-DLPNO-CCSD/aug-cc-pVTZ.
Evolution of lowest anionic state of cytosine in the presence of bulk glycine environment.
Publications / Articles etc.: 1. Jishnu Narayanan S J, Arnab Bacchar, Divya Tripathi, and Achintya Kumar Dutta*, “Electron Attachment to Wobble Base Pairs”, Journal of Physical Chemistry A. (Accepted), (Impact factor: 2.944) 2. Pooja Verma, and Achintya Kumar Dutta*, “Electron Attachment to DNA: The Protective Role of Amino Acids”, Journal of Physical Chemistry A. (In Revision)
Awards (if any):
Work presented in conference/s with photographs (if any):
Appreciation / Recognition (if any):
References:
Benefits & experience of using PARAM Smriti: PARAM Smriti supercomputing facility by CDAC, Pune has been of great help to my research group. Our group primarily attempts to solve chemical problems using wavefunction-based methods such as coupled-cluster (CC) theory. Computational calculations with wavefunction-based techniques are notorious for their large disk and memory requirements. PARAM Smriti supercomputer is equipped with a higher number of cores and memory per node. We were able to meet our computational needs after the facility has been available to us. Also, the support team at CDAC very efficiently provides the necessary assistance regarding any issues. We express our sincere gratitude to CDAC, Pune and the team behind PARAM Smriti.
Any other relevant information: Establishing an adequate number of high-performance computing (HPC) facilities is vital for the progress of research and technology in our country. CDAC has been working tirelessly to make superior computing resources available to scientists in our country. However, as per Moore’s law, the HPC facilities would become obsolete if not upgraded every few years. Therefore, substantial funding from the government is essential for CDAC to upgrade existing facilities and establish new ones. Hence, we request the government to support CDAC in their mission by providing better financial support. 2. Information required for NSM (National Supercomputing Mission) users 2.1 Domain: Chemistry
Sub-domain: Theoretical Chemistry 2.3 Application name: Chemical Sciences, Quantum Mechanics, Electronic Structure Theory.
Title of the work carried out *: Omics data analysis and statistical analysis
Name & Designation of the Chief Investigator*: Dr. Monika Garg, Scientist E, National Agri-Food Biotechnology Institute, Mohali, India.
User: Dr. Apoorv Tiwari (Project Scientist - I ) Under supervision of Dr. Monika Garg.
E-mail Id*: email@example.com
Institution Name*: National Agri-Food Biotechnology Institute, Mohali, India.
Problem statement(s):
Annotate and analyse the genomic and transcriptomic data (sequences) of different wheat genotypes to predict the genes and variants for trait of interest (anthocyanins, disease resistant, phytochemical biosynthesis, etc). The genome size of wheat is large and to analyse this is needed intensive computational support and job running time in days. PARAM Smriti supercomputing facility provide us solution for the same.
**Work carried, Milestone, Achievements & Graphs, Plots:**
We have identified the genes responsible for biosynthesis of anthocyanins in colored wheat by the use of Param Smriti supercomputing. Other related work is going on and soon the results will be in the form of published work in the reputed journals.
**Publications / Articles etc. link (If any):**
The publication is ready for submission (Genome-transcriptome transition approaches to characterize anthocyanin biosynthetic pathway genes in blue black and purple wheat finds their role in color development and stress response).
**Publisher:** N/A
**Awards (if any):**
**Work presented in conference/s with photographs (if any):** N/A
**Appreciation / Recognition (if any):** N/A
**References:** N/A
**Benefits & experience of using PARAM Smriti:**
The computational facility provided by the PARAM Smriti is proving us the opportunity to analyze annotate the large data set within a short period of time. We are presenting our deepest gratitude to the PARAM Smriti and its help-desk for provide us 24x7 assistance to use this facility.
**Any other relevant information (if any):** N/A
**Information required for NSM (National Supercomputing Mission) users**
**Domain(s)**: Computational Biology, Bioinformatics, Atomic & Molecular Sciences
**Sub-domain(s)**: Genomics, Proteomics, Transcriptomics, Molecular Modeling of macromolecules
**Application name(s)**: Dr. Apoorv Tiwari (Project Scientist -I), NABI, Mohali, India.
Title of the work carried out *: New discovery of the materials with the help of ML
Name & Designation of the Chief Investigator*: Dr. Dipankar Mandal, Scientist-E
E-mail Id*: firstname.lastname@example.org
Institution Name*: Institute of Nano Science and Technology, Mohali
Problem statement(s): Discovery of the new materials with the assistance of machine learning
Work carried, Milestone, Achievements & Graphs, Plots: Work is ongoing
Publications / Articles etc. link (if any)*: NA
Publisher:
Awards (If any):
Work presented in conference/s with photographs (if any):
Appreciation / Recognition (if any):
References:
Benefits & experience of using PARAM Shakti:
Any other relevant information (if any):
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Materials Science, AI/ML/DL
Sub-domain(s): Computational Material Science and machine learning
Application name(s)*: Quantum Espresso, Pandas, Tensorflow
Title of the work carried out *: Understanding the Ferromagnetic Quantum Criticality using First Principles calculations.
Name & Designation of the Chief Investigator*: Jiji T. J. Pulikkotil, Senior Principal Scientist
E-mail Id*: email@example.com , firstname.lastname@example.org
Institution Name*: CSIR-National Physical Laboratory, New Delhi
Problem statement(s): To study the crystal structure, electronic structure properties and magnetism in quantum materials under normal conditions and, also when subjected to hydrostatic pressure, external fields and chemical doping.
Work carried, Milestone, Achievements & Graphs, Plots: Optimization of the crystal structure, and calculation of electronic structure, magnetic properties and energy-magnetization landscape of RE-TM-X systems, where RE= rare earths, TM= transition metals and X=Si and Ge.
Publications / Articles etc. link (If any)*: 1. Propensity of magnetism in RE-TM-X compounds : Manuscript in preparation
Publisher:
Awards (If any):
Work presented in conference/s with photographs (if any):
Appreciation / Recognition (if any):
References:
Benefits & experience of using PARAM Smriti: PARAM Smriti has helped me immensely. High speed computations have enabled me to calculate results within a few hours which would have otherwise taken several days on a normal desktop. The support team at PARAM Smriti responds to my queries very quickly to help and resolve the difficulties faced by me. I certainly would like to appreciate their assistance.
Any other relevant information (if any):
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Quantum Mechanics and Material Sciences
Sub-domain(s): Crystal Structure, Electronic Structure, Magnetism, Electron Transport
Application name(s)*: Quantum ESPRESSO, ELK code
Title of the work carried out *: Screening the activity and selectivity of various 2D- material based single, double, and triple atom catalysts for CO2 reduction to value added chemicals.
Name & Designation of the Chief Investigator*: Dr. Manzoor Ahmad Dar, Assistant Professor, Department of Chemistry
E-mail Id*: email@example.com
Institution Name*: Islamic University of Science and Technology, Kashmir, 192122
**Problem statement(s):**
Understanding the structure of the catalyst/reactants and the reaction pathways at the atomic level using computational approach which serves as a better predictive tool in elucidating the reaction mechanism at the atomic level as compared to the experimental approach.
**Work carried, Milestone, Achievements & Graphs, Plots:**
| First-Principles Investigation of the Electrocatalytic Reduction of CO$_2$ on Zirconium-Based Single, Double, and Triple Atom Catalysts Anchored on Graphitic Carbon Nitride Monolayer | Understanding the Activity of Single Atom Catalysts for CO$_2$ reduction to C$_2$ products: A High Throughput Screening |
|---|---|
| *ACS Appl. Nano Mater.* 2022, 5, 10, 15409–15417 | *(Under submission in ‘J.Catal’)* |
Publications / Articles etc. link (if any)*:
1. Hassan, A.; Anis, I.; Shafi, S.; Assad, A.; Rasool, A.; Khanam, R.; Bhat, G. A.; Krishnamurty, S.; Dar, M. A., First-Principles Investigation of the Electrocatalytic Reduction of CO2 on Zirconium-Based Single-, Double-, and Triple-Atom Catalysts Anchored on a Graphitic Carbon Nitride Monolayer. *ACS Applied Nano Materials* 2022, 5 (10), 15409-15417 (Impact Factor: 5.638)
Publisher: American Chemical Society
Awards (If any): Nil
Work presented in conference/s with photographs (if any):
Felicitating Prof. E. D. Jemmis at a conference named 'Designing Catalysts on Computers' (DCC-22) held at Indian Institute for Cultivation of Science (IACS), Kolkata on 02-12-2022
Presenting the poster of my research work at DCC-22, IACS, Kolkata on 03-12-2022
Appreciation / Recognition (if any): Nil
References:
Benefits & experience of using PARAM Smriti:
Being a PhD student of one of the less endowed universities of the country, in terms of funding and research prospects, I have been enormously helped by the PARAM Smriti and PARAM Brahma computational facility to carry out my research work in a fast and impactful way. The support team
has been extremely helpful and prompt in resolving various issues regarding the applications/system and also in the installation of softwares/packages needed from time to time. I am highly thankful to the PARAM Smriti supercomputing facility to give me a chance for exploring the world of computational chemistry.
**Any other relevant information (if any):**
The supercomputing facility provided by the CDAC-Pune is playing a game changing role in the field of computational chemistry as there are lot of enthusiastic researchers who are willing to work in the field of Computational Chemistry in the country but don’t have any computational facility provided by their institutions. Hence, it is worth mentioning that CDAC-Pune should get a strong financial support from the Government of India so that it can contribute to the advancement of the scientific research in the country.
**Information required for NSM (National Supercomputing Mission) users**
**Domain(s)**: Chemical Sciences, Quantum Mechanics
**Sub-domain(s)**: Computational Chemistry
**Application name(s)**: Guassian, VASP, CP2K, VESTA, MOLDEN
---
**Title of the work carried out**: CO2 hydrogenation to valuable chemicals over multifunctional catalyst system
**Name & Designation of the Chief Investigator**: Akanksha Goyal (Research Scholar)
**E-mail Id**: firstname.lastname@example.org
**Institution Name**: Indian Institute of Technology Ropar
---
**Problem statement(s)**:
1. To design the Catalysts involved in the direct CO2 to methanol conversion process.
2. To optimize Lattice constants.
3. To develop Reaction Pathways and surface Energy Profiles for CO2 hydrogenation over selected catalyst.
**Work carried, Milestone, Achievements & Graphs, Plots**:
Modelling and lattice constant optimization of multifunctional catalyst system for the preliminary study of CO2 to methanol conversion.
**Publications / Articles etc. link (If any)**: Not Yet
**Publisher**: NA
**Awards (If any)**: NA
Work presented in conference/s with photographs (if any): NA
Appreciation / Recognition (if any): NA
References: NA
Benefits & experience of using PARAM Smriti: I appreciate the facility and timely support provided by the Paramsmriti team. The facility is very helpful for my project.
Any other relevant information (if any): Only a few primary calculations are finished yet and the proposed project demands huge computational expenses (The project duration is mentioned to be around 3 years while account creation). As the completion of this project may result in multiple publications this project is further subdivided into 3-4 sub-objectives. And each objective may cost rigorous use of Param smriti computational facility for 3-4 months (~3 Million CPU-hrs for every 4 months). After every 3-4 months completed work and objectives will be communicated for the rest of the project period.
I request not freeze the account frequently as it disrupts the project timelines. We also consider the sincere use and acknowledgement of the facility.
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Material Science
ub-domain(s): Computational Catalysis
Application name(s)*: Vienna Ab-initio Simulation Package (VASP), Quantum Espresso
Title of the work carried out *: Atomistic Modelling of Single Atom Catalysts (SACs) for the Electrocatalytic Nitrogen Reduction Reaction
Name & Designation of the Chief Investigator*: Anjumun Rasool, DST INSPIRE Fellow (DST/INSPIR/03/2021/001252, IF200321).
E-mail Id*: email@example.com
Institution Name*: Islamic University of Science and Technology, 1-University Avenue, Awantipora, J & K, 192122.
Problem statement(s): Designing highly efficient and environmentally friendly single atom catalysts for NRR by utilizing cost effective elements such as boron and aluminium.
Work carried, Milestone, Achievements & Graphs, Plots: We have designed single and double boron-based catalysts for nitrogen reduction reaction (NRR) by using DFT calculations. In this work, we investigate effect of support on the catalytic activity of single and double boron by adsorbing them on different monolayers such as graphene, graphyne, g-C3N4, GaN and MoS2. In this work, we found that double boron atom adsorbed on g-C3N4 possess superior NRR activity with limiting
potential value of 0.35 eV. We also design single, double and triple aluminium atom adsorbed on graphdiyne catalyst for NRR using DFT calculation.
**Fig.1. Favourable free pathway of NRR on B$_2$@g-C3N4 catalyst.**
Fig. 2. Projected density of states of N$_2$ adsorbed on different boron based catalysts
1.7 Publications / Articles etc. link (If any)*:
188.8.131.52 Modulation of NRR activity of single and double boron atom catalysts by different supports (under compilation)
1.8 Awards (If any):
Was awarded best poster presenter award at DCC-22 conference held in IACS on 02-03, December, 2022.
Work presented in conference/s with photographs (if any): Presented a poster at Designing Catalysts on Computers-2022 (DCC-22) conference held in Indian Association for the Cultivation of Science Jadavpur, Kolkata – 700032 on 02-03, December, 2022.
Appreciation / Recognition (if any): Have been invited to present my work at both National and International Conferences.
Benefits & experience of using PARAM Smriti: Carrying out my research work was impossible without supercomputing facilities provided by PARAM Smriti. As I am carrying out my research from an institute where least supercomputing facilities are available. Because of PARAM Smriti supercomputing facility we were able to design numerous catalysts for NRR. One nice thing about this facility is that they inform their users about the maintenance and power shutdown prior to two or three days. As a matter of the fact users take backup and perform other part of research such as extracting data, making images etc.
Domain(s)*: Chemical Sciences
Sub-domain(s): Computational and Theoretical Sciences
Application name(s)*: VASP, Guassian-16, Quantum Espresso and CP2K.
Title of the work carried out *: 2D materials and van der Waals heterostructures for energy conversion
Name & Designation of the Chief Investigator*: Prof. Abir De Sarkar, Scientist-F & Dean (Faculty)
E-mail Id*: firstname.lastname@example.org, email@example.com
Institution Name*: Institute of Nanoscience and Technology, Sector-81, SAS Nagar, Punjab-140306
1.5 **Problem statement(s):**
Three structures consisting of $n$ layers of MoS$_2$ stacked over a single layer of phosphorene have been considered, where $n = 1–3$, as shown in the figure below. The variation of work function with the number of MoS$_2$ layers has been studied in the MoS$_2$–BP heterostructure.
1.6 **Work carried, Milestone, Achievements & Graphs, Plots:**
1.7 **Publications / Articles etc. link (If any)**:
https://iopscience.iop.org/article/10.1088/1361-6528/aca61a
1.8 **Publisher**: IOPscience
1.9 **Awards (If any)**:
1.10 **Work presented in conference/s with photographs (if any)**:
**Appreciation / Recognition (if any):**
**References:**
**Benefits & experience of using PARAM Smriti:** PARAM Smriti has been very useful in performing DFT calculations, even for large atomic systems, due to its good and fast performance. The support team has also been very helpful in resolving the issues and aiding in application support. The cluster/network connection was down a few times without any earlier notice.
**Any other relevant information (if any):** 2. Information required for NSM (National Supercomputing Mission) users
**Domain(s)**: Material Sciences, Computational Physics, Quantum Mechanics
**Sub-domain(s)**:
**Application name(s)**: VASP
Title of the work carried out *: Satellite radar data processing
Name & Designation of the Chief Investigator*: Dr. Chandrakanta Ojha
E-mail Id*: firstname.lastname@example.org
Institution Name*: IISER Mohali
Problem statement(s):
Work carried, Milestone, Achievements & Graphs, Plots: No processing or plotting work has been carried out; it had issues with the required software installation and supporting libraries.
Publications / Articles etc. link (If any)*: N/A
Publisher: 1.9 Awards (If any): Work presented in conference/s with photographs (if any):
Appreciation / Recognition (if any):
References: 1.13 Benefits & experience of using PARAM Shakti:
Any other relevant information (if any):
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Remote Sensing
Sub-domain(s):
Application name(s)*: Geological science
Title of the work carried out *: Molecular Simulation Studies for Electrolytes, Hydrogen Storage and Other Applications
Name & Designation of the Chief Investigator*: Dr. Kishant Kumar & Assistant Professor
E-mail Id*: email@example.com
Institution Name*: Indian Institute of Technology Ropar
Problem statement(s):
Atomic level of understanding in designing electrolytes for lithium-ion batteries as well as materials for hydrogen storage.
Work carried, Milestone, Achievements & Graphs, Plots:
Preliminary validation and benchmarkings are being carried out.
Publications / Articles etc. link (If any)*:
Early stage of research work
Publisher: NA
Awards (if any): NA
Work presented in conference/s with photographs (if any): NA
Appreciation / Recognition (if any): NA
References: NA
Benefits & experience of using PARAM Shakti:
PARAM SHAKTI is a well maintained high formance computer under national supercomputing mission (NSM). The idea of bringing NSM facilities through the every region of country is really a remarkable effort.
Any other relevant information (if any): NA
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Computational Sciences, Quantum Mechanics and Atomic & Molecular Sciences
Sub-domain(s): Molecular Dynamics and First Principle Calculation
Application name(s)*:
Title of the work carried out *: Genome Assembly and Annotation of a parasitoid wasp, Nasonia oneida.
Name & Designation of the Chief Investigator*: Shashi B. Pandit (Associate professor), Department of Biological Sciences, IISER Mohali
E-mail id*: firstname.lastname@example.org
Institution Name*: Indian Institute of Science Education and Research, Mohali.
1.5 **Problem statement(s):** Assembly of a large eukaryotic genome is computationally intensive which requires use of high-RAM consuming genome assemblers and tools.
1.6 **Work carried, Milestone, Achievements & Graphs, Plots:**
1.7 **Publications / Articles etc. link (If any)**: Manuscript preparation in progress
1.8 **Publisher:** Manuscript preparation in progress
1.9 **Awards (If any):** (Achieved by experimental collaborator, Anjali Rana, Supervisor, Dr. Rhitoban Ray Choudhury, IISER Mohali)
1. Best poster presentation award in international conference on “Anti-Microbial Resistance and Microbiome Under Changing Climate” held from 10 - 12 October, 2022, Pondicherry University, Puducherry, India.
2. Best poster presentation award in 26th Punjab Science Congress (National conference) on the theme “Environment, Food security and Health with respect to climate change”, held from 7-9 February, 2023, SGGSW University, Fatehgarh Sahib, Punjab, India.
1.10 Work presented in conference/s with photographs (if any): Achieved by experimental collaborator, Anjali Rana
1.11 Appreciation / Recognition (if any): Achieved by experimental collaborator, Anjali Rana
1.12 References: Will be updated after preparing manuscript.
1.13 Benefits & experience of using PARAM Smriti: It really helps scaling the analysis magnitude, otherwise only a dream to do in lab computers.
1.14 Any other relevant information (if any): Please increase wall time to 7 Days at least, if you’re doing on request basis, please update me back.
2. Information required for NSM (National Supercomputing Mission) users
2.1 Domain(s)*: Bioinformatics, and Computational Sciences
2.2 Sub-domain(s): Metagenomics and genome annotation.
2.3 Application name(s)*: Genome annotation pipeline
Title of the work carried out *: Effect of catalyst support on HDO of Phenol
Name & Designation of the Chief Investigator*: Dr. Arghya Banerjee (Assistant Professor)
E-mail Id*: email@example.com
Institution Name*: Indian Institute of Technology Ropar
Problem statement(s):
1. To design the Nanoparticles of two different transition metals,
2. To add developed NPs over three different supports.
3. To develop Reaction Mechanisms and Energetics for phenol HDO over selected surfaces (6 cases in total)
Work carried, Milestone, Achievements & Graphs, Plots:
1. Lattice constant optimized for three different supports
2. Nanocluster of type one is selected
3. Nanocluster is added over supports in the most stable configuration after trial and error of different possible configurations
4. Adsorption of Phenol over developed supported nanoclusters (4-5 guesses of configuration over each system of supported catalyst.
Publications / Articles etc. link (If any)*: Not Yet
Publisher: NA
Awards (If any): NA
Work presented in conference/s with photographs (if any): NA
Appreciation / Recognition (if any): NA
References: NA
Benefits & experience of using PARAM Smriti: I appreciate the facility and timely support provided by the Paramsmriti team.
Any other relevant information (if any): Only a few primary calculations are finished yet and the proposed project demands huge computational expenses (around 2-3 months of rigours use of the Paramsmriti facility Or may cost 2-2.5 Million CPU hrs). As for completion of this project, we need to find adsorption energy of around 20 intermediates, a transition state of around 8-10 steps and the same no. of frequency calculations to confirm the transition state over selected 6 surfaces. This study needs to check for all possible configurations of adsorption over different sites (5-8 guesses for each adsorbing species for each system of catalyst) and locating the transition state is also a bit complicated and may cost 1-3 trials for each step over these surfaces.
I request the unfreezing of the account for the completion of the project.
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Material Science
Sub-domain(s): Computational Catalysis
Application name(s)*: Vienna Ab-initio Simulation Package (VASP), Quantum Espresso
Title of the work carried out *: Transport properties of 2D systems
Name & Designation of the Chief Investigator*: Dr. Ambesh Dixit
E-mail Id*: firstname.lastname@example.org
Institution Name*: Indian Institute of Technology Jodhpur
Problem statement(s): Determining mobility and thermal transport properties via applying electron-phonon coupling and using density functional theory
Work carried, Milestone, Achievements & Graphs, Plots: Still going on
Publications / Articles etc. link (if any)*: Work is in progress
Publisher:
Awards (If any):
Work presented in conference/s with photographs (if any): We presented a poster recently during 11-13 January 2023 at the “21st international workshop on computational physics and material science: Total energy and Force methods” at International Centre for Theoretical Physics (ICTP) Trieste Italy. The certificate is yet to release so I am unable to attach it.
Appreciation / Recognition (if any): 1.12 References:
Benefits & experience of using PARAM Smriti: Truly, it allows us to think big and to implement computation work with large memory. Otherwise, this would have been impossible for us here at IIT Jodhpur HPC.
Any other relevant information (if any): If Param Smriti can increase the computation time by more than four days, it would be more beneficial for us because many jobs remain uncompleted with four days limit. The most important thing I am very thankful for is Param Smriti's managers and staff, who have helped us promptly during our queries and installation process.
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Computational Physics
Sub-domain(s): Condensed Matter Physics
Application name(s)*: EPW, Quantum Espresso, Vasp, Yambo
Title of the Work Carried Out: Strain-driven phonon-assisted tuning of excitonic lifetime in two-dimensional optoelectronic semiconductors
Name & Designation of the Chief Investigator: Dr. Sitangshu Bhattacharya, Assistant Professor.
E-mail Id: email@example.com
Institute Name: Department of Electronics and Communication Engineering, Indian Institute of Information Technology - Allahabad, Prayagraj, Uttar Pradesh 211 015.
Problem statement: The proposal is about understanding excitonic binding energies and photoluminescence of two-dimensional (2D) graphene like systems using rigorous advanced many-body formalism such as GW and Bethe-Salpeter equation (BSE). An exciton in a solid is an electron-hole pair, bounded by an attractive Coulombic force. This interacting pair or quasi-particle is in-fact solely
responsible for electro-luminescence offered by a material. An intense experimental and theoretical attention, for a very long time has been devoted in the understanding of excitonic lifetime and energy eigenvalues, which has puzzled many scientists and research groups across the globe. Not until 1950, when the development of quantum field theory has penned down the formalisms of the dynamics of excitonic motion, however plagued with strong computational and mathematical intricacies. Thanks to the recent next-generation massively parallel computer architectures that helps solve the excitonic binding energies using the most accurate equation of motion theory till date - the BSE. BSE is a two-body equation of motion that characterizes the interacting picture of an electron-hole pair inside a crystal. The solution of this equation provides a direct access to the crystal’s linear optical responses against all frequencies. In this work, we target the hexagonal crystalline families such as transitional di and mono chalcogenide-based semiconductors, hexagonal boron nitride (h-BN), etc., to set the roadmap for the extent of the spatial localization, radiative and non-radiative lifetimes and their temperature dependencies. A particular biaxial strain-optimized solution is also set to check the fine-tuning of the excitonic lifetime. In addition to excitons visible in absorption spectra, an exciton map in the entire Brillouin zone including dark excitons will be established in order to identify possible deexcitation mechanisms for temperature dependent luminescence (excitons beyond the dipole limit \((q \to 0)\)) and characterise the exciton propagation at the nanoscale. Finally, the effect of spin-orbit coupling on the electronic and excitonic band topologies and the role of the exciton-phonon coupling on the temperature dependence of the optical spectra will be analysed.
Work carried, Milestone, Achievements &; Graphs, Plots: We are at good pace with the timeline of our progress. By this time, we have selected a couple of semiconductors with hexagonal crystal structure: for example: h-MoS2 (Molybdenum Sulphide), h-BN and the novel h-WC (Tungsten Carbide). We target the phonon-assisted excitonic lifetimes in these 2D semiconductors. We adopt the following procedures:
• The excitonic lifetimes based on the solution of Bethe Salpeter equation (BSE) are computed using the ab-initio codes Quantum Espresso and Yambo. The many bodies density functional perturbation theory code is then be used to calculate correctly the exciton-phonon couplings that give rise to temperature dependent optical absorption spectra and excitonic lifetimes.
• The BSE in addition will also be computed at all Brillion zone excitonic momenta space to obtain the indirect exciton absorption that go beyond the usual optical dipole limit. The results of the density functional perturbation theory will be used to understand the luminosity (photoluminescence excitation) at different temperatures.
• The effect of spin-orbit couplings will be analysed in order to observe splitting in the absorption spectra that may generate dark and bright excitons. We demonstrate first the optical band gap, excitonic absorption and the excitonic energy dispersion of monolayer MoS2 in Fig. 1 below.
Figure 1. (a) Electronic dispersion using the ground-state DFT and excited-state self-consistent GW theory. The valence band maximum is set to zero level. A Zeeman-like strong spin-orbit splitting in the valence band at K is clearly visible. The conduction band minima are degenerate at $\Sigma$ and $\Delta$. The lowest bound direct exciton is at 1.93 eV. (b) Spin-resolved absorption spectra using the BSE solution showing the fundamental excitonic binding energy of about 1.27 eV. The vertical lines are the respective oscillator strengths. The overestimated dotted line is due to the independent particle spectra. Excitonic dispersion as function of excitonic momentum. The solid lines are for the bright excitons while the grey is for the dark. Density functional perturbation theory is used to understand the temperature dependent of the 2 bare (DFT) band gap of MoS2.
This is shown below in Fig. 2. Such computations are results from a converged Fan and Debye-Waller self-energy computations. Because of the complexities involved, a data of this form is extremely useful and r
Figure 2. Temperature dependent band-gap of MoS$_2$ monolayer using ab-initio density functional perturbation theory. The dots are from the ab-initio calculations. The Debye temperature of 660 K is obtained. In case of WC monolayer, we found this material to be an indirect band gap material. We report 3 for the first time about its indirect gap of 1.096 eV and a direct gap of 1.30 eV. The main orbitals occupying the top valence and conduction bands are due to element W with 4D and 5D states. The spin occupancies are found to be due to +1/2 and -1/2 respectively. The effect of element C is negligible in the band near zero Fermi level. We found the top of the valence band is located near M, while the bottom of the conduction band is between midway of K and $\Gamma$. Additionally, we observed a very strong spin splitting in bottom of the conduction band. Such splitting is very useful to obtain a strong excitonic binding energy.
Figure 3. Partial electronic orbital occupancy in WC monolayer using the ground-state DFT. The orbital projections are superimposed over the electronic density of states.
Fig. 4 reports a very careful convergence of excited state Hartree-Fock and GW gaps for a number of parameters in case of WC monolayer. Once can see the dots represents a repetition of the computations done by varying the self-energy cut-off and Kohn-Sham states until the gaps are converging within 2 meV. Such converged calculations are very time consuming and expensive. We use these final converged parameters to compute the GW gaps as shown in Fig. 5.
Figure 4. Ab-initio convergence studies of novel WC monolayer. The convergence is sought for Hartree-Fock and GW band gap with respect to screening self-energy and polarization bands.
In Fig. 5 (a) below we demonstrate this bare (DFT) and converged self-consistent GW band gap. We report for the first time a GW indirect gap of 2.37 eV and a direct gap of 2.42 eV for this material. We found that in this case, the direct gap is between K and $\Gamma$ of the Brillouin zone, while the indirect gap is located between M and between K and $\Gamma$.
We also found that GW theory opens up the spin-orbit splitting of the conduction minima and valence maxima became to a large extent. From Fig. 5(b) we see that gradient of the difference of the conduction minima and valence maxima. These provides vital information to understand van Hove singularities which ultimately demonstrate the possible optical transitions. Figure 6 shows the linear regression analysis of the quasi-particle GW energies. These slopes are used for the subsequent computation of optical transitions. $5 \Gamma \Gamma$
Figure 5. (a) Ab-initio DFT and self-consistent GW electronic dispersion in novel WC monolayer.
(b) Study of the band-nesting for possible electronic excitations.
Figure 6. Self-consistent GW quasi-particle energy gap convergence with respect to the DFT gap in WC monolayer via regression.
The absorption spectra in monolayer WC is shown below in Fig. 7. We demonstrate this optical spectra through the solution of many-body BSE theory. The spectra is demonstrated to get converged until five top and bottom conduction transition bands.
**Figure 7.** Absorption spectra convergences with respect to the transition bands in monolayer WC. The spectra is obtained after solving the BSE using the ab-initio many body perturbative theory. The vertical line at 1.38 eV is the first excitonic peak. The quasi-particle direct gap is at 2.42 eV.
**Figure 8.** Phonon assisted photoluminescence in hBN. The vertical line is the lowest indirect exciton at 5.18 eV. Once can clearly see the phonon replica at lower temperature.
Figure 8 demonstrate the photoluminescence (PL) from monolayer hBN. The PL spectra is obtained by solving the exciton energies at their finite momentum. A rigorous many body BSE is soved using ab-initio codes by using the electron-phonon self energy to construct the exciton phonon interaction. The temperature is induced through Bose Einstein factor. The long tails are exponential fall which satisfies the bosonic character of excitons.
*In summary, we have obtained almost 80% of the target objectives for 2D semiconductors namely MoS$_2$, hBN and WC. We are currently left with executing the PL spectra for WC. This will take another week or so to perform all the residual computations. Once these are met, we shall move*
onto the strain parts.
1.7 Publications / Articles etc. link (If any): The work is currently under preparation to submit in high quality peer reviewed journals.
1.8 Publisher: The work is expected to be submitted to ACS journals.
1.9 Awards, if any: Not applied.
1.10 Work presented in conference/s with photographs:
Figure 9. Invited speaker in IEEE-EDS Workshop on Devices and Circuits, held in Radisson Hotel Khajuraho, Madhya Pradesh during January 26-28, 2023 and organized by IIT Kanpur and IIT Indore. The title of the talk was "Temperature dependent band-gaps in semiconductors."
1.11 Appreciation / Recognition (if any):
Invited speaker in 6th IEEE International Conference on Emerging Electronics (ICEE) (Hilton, Bangalore, December 12th – 14th, 2022) organised by IIsc Bangalore and IEEE Electron Device Society. The title of the talk was "Temperature Dependent Band Gaps and Giant Excitonic Binding Energies in Novel 2D beta-phase Nitrogen Arsenide and Nitrogen Antimonide."
Title of the work carried out:
a) High fidelity numerical simulations of shock boundary layer interactions in transonic buffet over swept and delta wings
Name & Designation of the Chief Investigator: Kartik Venkatraman
Email Id: firstname.lastname@example.org
Institute Name: Indian Institute of Science, Bangalore
Problem statement(s):
- The focus here is to investigate the nature of shock boundary layer interaction of flow over a swept wing with a supercritical wing section in the transonic Mach number regime coupled with the elastodynamics of the wing. The nature of shock boundary layer interactions, the mechanism of transonic buffet, the onset of flow instability, and the role of aeroelastic interactions in either mitigating or amplifying these instabilities, are some of the questions that these simulations seek to answer.
Milestones and Achievements
- Validation of computational transonic buffet simulations with experiment.
- Partitioned peer-to-peer coupling of fluid-elastodynamic solvers in the HPC platform and validation with experimental results in transonic aeroelasticity.
- Simulations of rigid and flexible wing section over a range of parameter variations at sub-critical, critical, and post-critical transonic flow regimes.
- Global stability analysis of the onset of transonic buffet.
- Examined the mechanisms that dominate at the sub-critical, critical, and post-critical phases of buffet onset using spectral orthogonal decomposition (SPOD) and spatio-temporal correlation analysis.
Transonic buffet in a supercritical section wing of finite span. $M = 0.85$, $Re \sim 6$ million, AOA = 5 deg.
(b) $c_l$ versus shock excursion
(d) $c_d$ versus shock excursion
Delta wing shock boundary layer interaction. $M=0.85$, $Re = 6$ million, AOA = 24.6 deg.
(d) Axial velocity contours at different stations along root chord
Fig. 4.39 X-Vorticity contour, $\alpha = 24.6^\circ$
Publications / Articles etc. (If any)*:
- Magan Singh and Kartik Venkatraman; The influence of angle of attack on thenature of transonic shock buffet in a finite span wing. 57th Association de A´eronautique et Astronautique de France (3AF) International Conference on Applied Aerodynamics (AERO2023). March 29-31, 2023. Bordeaux, France.
- Adithya Mayya and Kartik Venkatraman; Transonic shock-vortex and shock-boundary layer interactions over a delta wing. 57th Association de A´eronautique et Astronautique de France (3AF) International Conference on Applied Aerodynamics (AERO2023). March 29-31, 2023. Bordeaux, France.
- Magan Singh and Kartik Venkatraman; Transonic buffet in the Benchmark Supercritical Wing. AIAA SciTech Forum. 23-27 January, 2023. National Harbor, USA. Online.
- Md Arif, Magan Singh, Pradeepa Tumkur Karnick, and Kartik Venkatraman; Two-dimensional transonic buffet in a supercritical wing section. AIAA SciTech Forum. 23-27 January, 2023. National Harbor, USA. Online.
- Magan Singh, Pradeepa Tumkur Karnick, and Kartik Venkatraman; Transonic buffet and the influence of finite wing span. AIAA Aviation Forum and Exposition. June 2022, Chicago, USA. Online.
- Adithya Mayya, Pradeepa Tumkur Karnick, and Kartik Venkatraman; Shock-boundary layer interaction over a slender delta wing. AIAA Aviation Forum and Exposition. June 2022, Chicago, USA. Online.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Computational Fluid Dynamics
- **Application name(s)**: Computational Aeroelasticity
**Title of the work carried out:**
- a) Development of an open-source phase-field software for microstructure simulations (MicroSim)
**Name & Designation of the Chief Investigator:** Abhik Choudhury, Associate Professor.
**Email Id:** email@example.com
**Institute Name:** Indian Institute of Science Bangalore
Problem statement(s):
- Developing an open-source software MicroSim (Microstructural Simulator) containing solvers using the phase-field method for simulating mesoscopic phenomena in materials. The solvers in MicroSim are capable of utilizing both CPUs (through MPI) and GPUs (through CUDA or OpenCL).
Work carried, Milestone, Achievements & Graphs, Plots:
Following are the details of the Milestones and achievements
The solvers in MicroSim are capable of utilizing both CPUs (through MPI) and GPUs (through CUDA or OpenCL), contrary to the available alternative softwares and thus considerably faster. Also, the solvers have different discretization strategies (finite difference, finite volume and Fast Fourier transform) with different models. All solvers have the possibilities for incorporating thermodynamic information either from databases using the pycalphad interface or by extracting from commercial databases. It is also possible to have user defined functions (free energy, anisotropy etc). A graphical user interface has been developed for generating input files for simulations, running the solvers and post-processing. The salient features of the solvers are described in the following, along with their possible future updates.
Graphical user interface for generating input to the simulations.
Post-processing tools for analyzing the results from generated output.
Thermodynamic coupling with databases for modeling of real alloys: MicroSim offers several strategies for coupling to databases depending on the availability of encrypted or unencrypted information. This allows for efficient coupling strategies for the simulation of phase transformations in industrially relevant alloys.
Fig 1: Dendrite tip growth velocity as a function of time for undercooling of 4 K (left) and 13 K (right) in AlZn alloy simulated using Param Pravega. The CPU simulations used a multi-phase multi-component phase-field solver based on a regular-grid finite-difference discretization, with a simple Euler forward time marching scheme. The solver is parallelized using a simple block domain-decomposition using MPI. The OpenCL simulations used a multi-component based solver that is based on the Kim Kim Suzuki model which uses a finite difference discretization with explicit time stepping. The code utilizes the OpenCL based framework for utilizing both CPU and GPU infrastructure. All simulations have $1000^2$ grids for comparison.
Fig 2: Dendrite tip growth velocity as a function of time for undercooling of 4 K (left) and 13 K (right)
in AlZn alloy simulated using Param Pravega. The simulation details are same as described in Fig 1.
Fig 3: Simulations of three dimensional single dendrite solidification of AlZn alloy for undercooling of 30 K using OpenFOAM with 25 nodes of Param Pravega. The simulations were continued for about 6 hours. Each domain has $500^3$ finite volume cells. The dendrite at the left is aligned to the principal axes, while the one at the right is along the diagonal of the simulation domain.
- Development of modules for conducting multi-grain solidification and casting simulations. This allows the simulation of real-world microstructures during imposed cooling rates. In addition, the extent of microsegregation of the different components that is relevant for any postsolidification heat-treatment can also be derived.
Fig 3: Multigrain solidification of AlZn alloy under constant cooling rate simulated using OpenFOAM with 48 nodes (each having 48 CPUs) of Param Pravega. The simulation was continued for about 4 hours. The domain has $6000^2$ finite volume cells. The variable theta indicates the orientation angle of the grains in radian.
- **Publications / Articles etc. link (If any):**
- *MicroSim: A high performance phase-field solver based on CPU and GPU implementations* (under preparation).
- Second release of our MicroSim: The solver is available at our GitHub repository: [https://github.com/ICME-India/MicroSim](https://github.com/ICME-India/MicroSim).
- A workshop was conducted for getting users acquainted with the capabilities of MicroSim, details can be found on our website: [https://microsim.co.in/](https://microsim.co.in/).
- A link to youtube videos of our recorded lectures can also be found at [https://microsim.co.in/](https://microsim.co.in/)
- **Work presented in conference/s with photographs (if any):**
Dasari Mohan, Tanmay Dutta, Ajay Sagar, Saurav Shenoy, M.P. Gururajan, Saswata Bhattacharya, Gandham Phanikumar, Abhik N. Choudhury “MicroSim: A user friendly open source tool for phase-field simulations based on CPU and GPU implementations” in Accelerated Materials Design and Scientific and Technological Perspectives (AMDAM) & 76th Annual Technical Meeting (ATM), 13 – 16 November 2022, Hyderabad
(Invited talk) Abhik Choudhury, M.P. Gururajan, Saswata Bhattacharyya, Gandham Phanikumar, Prita Pant, Venkatesh Shenoi, Vaishali Shah, “MicroSim-An Indigeneous phase-field software for microstructural simulations” in Accelerated Materials Design and Scientific and Technological Perspectives (AMDAM) & 76th Annual Technical Meeting (ATM), 13 – 16 November 2022, Hyderabad and 29th IEEE International Conference on High Performance Computing, Data and Analytics
Information required for NSM (National Supercomputing Mission) users
- **Domain(s):** Material Sciences, Computational Sciences
- **Sub-domain(s):** Integrated Computational Material Engineering
- **Application name(s):** Intel One API, OpenCL, OpenFOAM, AMReX, GSL (Indicative list of Domains)
References
1. S. Bhattacharyya, H. Mohan, M. P. Gururajan, A. Sagar, S. Bhattacharya, G. Phanikumar, A. N. Choudhury, “MicroSim: A user-friendly open-source tool for phase-field simulations based on CPU and GPU implementations”, *J. Comput. Phys.*, vol. 458, p. 110988, 2022.
2. S. Bhattacharyya, H. Mohan, M. P. Gururajan, A. Sagar, S. Bhattacharya, G. Phanikumar, A. N. Choudhury, “MicroSim: A user-friendly open-source tool for phase-field simulations based on CPU and GPU implementations”, *J. Comput. Phys.*, vol. 458, p. 110988, 2022.
3. S. Bhattacharyya, H. Mohan, M. P. Gururajan, A. Sagar, S. Bhattacharya, G. Phanikumar, A. N. Choudhury, “MicroSim: A user-friendly open-source tool for phase-field simulations based on CPU and GPU implementations”, *J. Comput. Phys.*, vol. 458, p. 110988, 2022.
Title of the work carried out:
a) Global gyrokinetic simulation of fusion plasmas
Name & Designation of the Chief Investigator: Dr. Animesh Kuley, Assistant Professor
Email Id: firstname.lastname@example.org
Institute Name: Department of Physics, IISc Bangalore
Problem statement(s):
- *Global gyrokinetic simulations of electrostatic microturbulent transport using kinetic electrons in LHD stellarator*, Tajinder Singh, Javier H Nicolau, Zhihong Lin, Sarveshwar Sharma, Abhijit Sen, and Animesh Kuley, Nuclear Fusion 62, 126006 (2022).
- Global gyrokinetic simulations of ion temperature gradient (ITG) and trapped electron mode (TEM) in the LHD stellarator are carried out using the gyrokinetic toroidal code (GTC) with kinetic electrons. ITG simulations show that kinetic electron effects increase the growth rate by more than 50% and more than double the turbulent transport levels compared with simulations using adiabatic electrons. Zonal flow dominates the saturation mechanism in the ITG turbulence. Nonlinear simulations of the TEM turbulence show that the main saturation mechanism is not the zonal flow but the inverse cascade of high to low toroidal harmonics. Further nonlinear simulations with various pressure profiles indicate that the ITG turbulence is more effective in driving heat conductivity whereas the TEM turbulence is more effective for particle diffusivity.
- *Gyrokinetic simulation of electrostatic microturbulence in ADITYA-U tokamak*, Tajinder Singh, Deepti Sharma, Tanmay Macwan, Sarveshwar Sharma, Joydeep Ghosh, Abhijit Sen, Zhihong Lin, and Animesh Kuley, Nuclear Fusion 63, under review (2023).
- First-principles global gyrokinetic simulations of the electrostatic microturbulence driven by the pressure gradients of thermal ions and electrons are carried out for the ADITYA-U tokamak geometry using experimental plasma profiles with collisional effects. The dominant instability is determined to be the trapped electron mode (TEM) based on the linear eigenmode structure and its propagation in the electron diamagnetic direction. The collisional effects suppress the turbulence and transport to a certain extent. The turbulent transport level of ion diffusivity determined by the nonlinear simulations is found to match well with the experimentally measured value of $\sim 0.2 \text{ m}^2/\text{sec}$. The electron heat conductivity estimated from the experimentally measured energy confinement time is within 20% of the simulated value of $\sim 1.2 \text{ m}^2/\text{sec}$. Further nonlinear simulations by artificially suppressing the zonal flow show that the zonal flow is not playing any crucial role in the turbulence.
saturation, while the nonlinear saturation is dominated by the inverse cascade of the higher poloidal and toroidal modes to the lower one. The frequency spectrum of the electrostatic fluctuations is also found to be in good agreement with the experimentally recorded spectrum in ADITYA-U, with a bandwidth ranging from $\sim 0$ to $50$ kHz.
- **Work carried, Milestone, Achievements & Graphs, Plots:**
*Fig.1: The real space 3D contour plot of the ITG electrostatic potential on the diagnosed flux surface of LHD stellarator. Linear phase, nonlinear phase with zonal slow, and nonlinear phase without zonal flow.*
*Fig.2: (a) Contour plot of the electrostatic potential, (b) Time history of heat diffusivity (dashed) and conductivity for electrons and ions, and (c) comparison of the spectrum of electrostatic potential.*
**Publications / Articles etc. link (If any) *:**
Global gyrokinetic simulations of electrostatic microturbulent transport using kinetic electrons in LHD stellarator, Tajinder Singh, Javier H Nicolau, Zhihong Lin, Sarveshwar Sharma, Abhijit Sen, and Animesh Kuley, Nuclear Fusion **62**, 126006 (2022).
Gyrokinetic simulation of electrostatic microturbulence in ADITYA-U tokamak, Tajinder Singh, Deepti Sharma, Tanmay Macwan, Sarveshwar Sharma, Joydeep Ghosh, Abhijit Sen, Zhihong Lin, and Animesh Kuley, Nuclear Fusion 63, under review (2023).
Work presented in conference/s with photographs (if any):
- Global gyrokinetic simulations of electrostatic microturbulence transport using kinetic electrons in LHD heliotron, contributed talk for 27th international conference on numerical simulation of plasmas (ICNSP), August 30 to September 2, 2022, Japan.
- Gyrokinetic simulation of electrostatic microturbulence in ADITYA-U tokamak, AAPPS-DPP2022 Remote E-conference, October 2022, Japan.
Benefits & experience of using PARAM Pravega:
- The present machine has only 584 nodes (28032 cores). This number is extremely small from the user base and usage point of view of the IISc community. IISc is leading in computational science, where more than 100 faculties and their respective groups are involved in numerical research (compared to any other place in India). Now we all face an extremely large queue to run our simulations, which is frustrating and unacceptable to this community. We also must understand that we don’t have enough money always to use high-priority jobs. In one sense, Param Pravega is indeed oversubscribed, which should be the case for proper justification of the installation of new machines. However, by looking at the user base, IISc must have bigger machines with more nodes/cores to do cutting-edge research in numerical simulations. If possible, NSM must provide more nodes to Param Pravega. I understand that SERC is continuously taking feedback from the users to find a better solution for the queue time. But we must try to ask for more nodes in Param Pravega from NSM.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computational Physics
- Sub-domain(s): Fusion Plasmas
- Application name(s)*: Gyrokinetic simulation
- Domain(s)*: Computational Physics
- Sub-domain(s): Fusion Plasmas
- Application name(s)*: Gyrokinetic simulation
Title of the work carried out:
c) Land-surface vegetation and Indian monsoon onset in a coupled model
Name & Designation of the Chief Investigator: Arindam Chakraborty Professor
Email Id: email@example.com
Institute Name: Indian Institute of Science, Bengaluru
Problem statement(s):
- Most of start-of-the-art climate models (or general circulation models; GCM) simulate colder than observed sea surface temperature over the globe. GCMs are also known for simulating lower than observed rainfall over land, especially over south Asia during boreal summer. Such dry bias in GCM simulated precipitation is generally attributed to the cold bias in ocean temperature. Land surface processes, especially its vegetation, has generally received much less attention in this regard. Recent availability of satellite derived vegetation data and high-speed computers provides an opportunity to investigate the role of vegetation in monsoon in climate models.
Work carried, Milestone, Achievements & Graphs, Plots:
- In this work we used the Climate Forecast System version-2 (CFSv2) to explore the role of land-surface processes on monsoon onset and its intraseasonal variation. We replaced the land-surface model's existing vegetation type over India with that derived from recent satellite-based observations. We find that land-surface vegetation plays a crucial role in determining the dry bias in the CFSv2 model. The modifications helped improve the seasonal mean rainfall over northwest India by 6%. The improvements are especially noticeable during the monsoon season's onset (14%) and withdrawal (10%) phases (Figure 1, left panel). Simulations with modified vegetation advanced the onset dates over Kerala, central India, and northwest India closer to that observed. This improvement in the mean onset dates is most prominent over northwest India (Figure 1, right panel).
Figure 1: Left: Mean precipitation over northwest India. Precipitation over northwest India during the onset phase (June 1 to July 15), withdrawal phase (September 1–30), and seasonal mean (June–September, JJAS) from Observation, Control, and Modified Veg simulations. Right: Onset dates. The dates of onset of monsoon over Kerala (MOK), central India (MOCI), and northwest India (MONWI) in observation (Obs) and control (Cntl) and modified vegetation (VegM) simulations of the CFSv2 model.
Publications / Articles etc. link (if any)
- Chakraborty, A., JB Samuel, and A. Paleri, 2022: Role of land-surface vegetation in the march of Indian monsoon onset isochrones in a coupled models, Quarterly Journal of the Royal Meteorological Society
DOI: https://doi.org/10.1002/qj.4398
Publisher:
- Royal Meteorological Society, London
Title of the work carried out:
c) Population scale whole genome sequencing data analysis in Indians: Implications for uncovering the genetic architecture of cognitive changes associated with aging
Name & Designation of the Chief Investigator: Dr. Bratati Kahali, Associate Professor
Email Id: bratati @iisc.ac.in
Institute Name: Indian Institute of Science Bangalore
Problem statement(s):
The specific objectives for the project are:
• Identify the common and rare single nucleotide polymorphisms in the Indian population-based cohorts designed to understand the risk and protective factors of dementia through whole genome sequencing data analysis.
• Identify the structural variations, insertions, deletions, and copy number variations in these individuals.
• Systematic genome wide evaluation of the genetic risk and protective factors associated with cognitive change in case of healthy aging as well as for dementia in the Indian population through association studies.
• Generate polygenic risk scores for cognitive measures and dementia rating in the Indian population comprising the study individuals.
• **Work carried, Milestone, Achievements & Graphs, Plots:**
Our study population is 3,000 individuals recruited in the SANSCOG and TLSA cohorts (Srinivaspura Aging, Neuro Senescence and COGnition study and Tata Longitudinal Study on Aging). We called genetic variants from 600 samples by BWA-v0.7.17-SAMtools-v1.10-Picard-GATK-v184.108.40.206 pipeline or raw whole genome sequencing data generated by the Illumina Novaseq 6000, and have identified SNPs and InDels. The Illumina Novaseq 6000 sequencer generates concatenating per-cycle base call (.cbcl) files at the end of the sequencing run for multiplexed samples, from which we generate demultiplexed unaligned bam (.ubam) using GATK IlluminaBasecallsToSam. We sort the .ubam files based on the query name using sambamba, followed by generating a sequence alignment mapping (SAM) file for restoring original quality score and other certain properties using GATK-RevertedSam. Then the GATK-MarkIlluminaAdapter module allows us to mark the 5' start position of the specified adapter sequence and 3' ends position of the specified adapters of the reads if available in the SAM file converting this SAM file into FASTQ format using GATK-SamToFastq module. We align each sample against current hg38 human reference build with HLA decoys using BWA MEM. The resultant coordinate sorted .bam is generated which are processed to mark duplicates. Using GATK-BaseRecalibrator and GATK-ApplyBQSR modules, we recalibrate the base qualities, which improves the accuracy of our variant calls. This base recalibrated .bam files are used for processing quality controls such as estimating unique coverage, contamination checks, alignment statistics, inferring sample sex, and other metrics.
Thereafter, we generate individual level variants, calling germline SNPs, and InDels using GATK-Haplotypecaller. This module will generate consolidated GVCF files, which will be used for joint genotyping of multiple samples in a compute-efficient manner for project level joint genotyping.
Imputation based on WGS: Constructing merged imputation panel: We downloaded the most recent version of quality filtered and phased 1000 genome datasets, which includes 3202 samples from 26 different populations. We extract phased autosomal genotypes of 601 south Asian samples from this for imputation. After above-mentioned quality checks on sequenced Indian samples, we phase the haplotypes using SHAPEITv5 using genomic maps from GRCh38, and conversion into .haps/.legend format. Thereafter, we merge the 1000G-SAS and CBR phased haplotypes to create a unified reference panel using IMPUTE2. The combined reference panel consists of >30 million markers from >1000
individuals. With the help of this combined reference panel, the genotypes from 1900 study individuals are imputed. We measure imputation accuracy as the average squared correlation (mean R2) between masked array genotypes and imputed allele dosages (posterior mean genotypes).
These imputed genotypes are taken for genome-wide association analysis.
For discovering large genomic structural variations (SV), we used the consensus of split-read, read-pair, and read-depth methods ensure concurrent, robust, and accurate SV calling for our study samples since SV detection from short read WGS data can yield somewhat differing results from different callers. We performed SV discovery and genotyping using LUMPY (v0.2.13), and re-genotyped with SVTyper. We discarded all SVs that had insufficient split-read support for each individual to avoid false discovery of SVs. Then, we also separately executed DELLY (v0.8.5), which integrated read-pair (discordant paired-end) and split-reads algorithm to detect structural variations sensitively and accurately, and outputs genotyped merged SV sites across all samples in bcf format. Each of the callers has been extensively validated in their respective publications. Further, we merged our identified SVs at two levels: sample level and cohort level. In the sample level, we merged DELLY and LUMPY called SVs only when they have been discovered by both the methods, with the distance between the relative breakpoints at each end being 1000 bp, and the minimum length of the SV must be 50bp. Our parsimonious final list of SVs in vcf format is the merged consensus output for SVs that are at least 50bp long identified by DELLY and LUMPY. While at the population level, we merged all our individuals’ SVs with 1000 bp breakpoints. We exclude the telomeric, centromeric, and repeat regions. In X and Y chromosomes, we considered those SVs which are exclusively either in PAR or non-PAR regions. Then, we calculated allele frequencies for each SV.
To detect copy number variations (CNVs) in our population, the read-depth signals were calculated for the 10,000bp sliding window by parsing each BAM file. The raw read-depths located on similar windows were summed to generate the absolute RD for all high-similarity windows. The GC bias was corrected for each individual and the corrected RD was normalized to a single standard before population-level CNV detection. After normalizing RD from each individual, CNV regions were detected by merging the population read-depth, CNV allele frequency, and significant correlation with adjacent windows. We then removed variants with the fraction of reads mapped with zero quality within the call region. Then finally, we genotyped each CNV from read-depth of all individuals using Gaussian mixture modes and it generates individual level CNV vcf files. Then we generated a population level VCF file for our study individuals by using an in-house python script.
Cognitive scores association: For all association models, we implement linear mixed effects regression, while adjusting for relatedness, sex, age, age-squared, principal components accounting for genetic ancestry, levels of education. We obtain the residuals and test the inverse-normalized residuals against genotype of each variant.
Publications / Articles etc. (If any) *:
- Krithika Subramanian, Anupriya Sadhasivam, Mehak Chopra, Bratati Kahali*. Identification and characterization of genomic structural variation in the Indian population.
- Krithika Subramanian, Shreya Jha, Sree Vishmaya V, Bratati Kahali*. Identification and interpretation of evolutionary signatures for human complexdisease
associated genomic loci.
- Shreya Chakraborty, Bratati Kahali.* Whole exome wide association analysis provides insight into the genetic architecture of human cognition in the presence of metabolic risk factors during aging.
**Work presented in conference/s with photographs (if any):**
Shreya Chakraborty and Krithika Subramanian presented the above work in the following venues:
- Delivered oral presentation titled Identification and characterization of genomic structural variation in population-based cohorts from South India at the 47th Annual conference of the Indian Society of Human Genetics (ISHG) and International Symposium on New Genetics and its contributions to Human Health and Wealth held from Jan 23 – 25, 2023, Andhra University, Visakhapatnam, India.
- Presented virtual poster titled Identification and characterization of genomic structural variation in population-based cohorts from South India at the Genome Informatics 2022, Wellcome Connecting Science, UK, September 21 2022, 2022.
- Presented virtual poster titled “Genome-wide association study uncovers novel loci for metabolic and cognition traits in the Indian population” at Genome Informatics Conference 2022 held from 21st-23rd September 2022 in Wellcome Genome Campus, UK.
- Delivered oral presentation titled “Exome-wide analysis reveals role of LRP1 and additional novel loci in cognition” on 23rd January 2023 at the 47th Annual Conference of the Indian Society of Human Genetics (ISHG) and International Symposium on ‘New Genetics and its Contributions to Human Health and Wealth’ held from 23rd-25th January 2023 in Andhra University, Visakhapatnam, India.
**Benefits & experience of using PARAM Pravega:**
- PARAM Pravega has been helpful in doing the high-throughput analysis required for human genomic data analysis.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: HPC applications- Computational Biology, Bioinformatics
- **Sub-domain(s)**: Computational Genomics, Human Genetics
- **Application name(s)**: Computational Biology, Bioinformatics
Title of the work carried out:
a) Climate Modeling of Stratospheric aerosol geoengineering
Name & Designation of the Chief Investigator: Prof. Govindasamy Bala
Email Id: firstname.lastname@example.org
Institute Name: Indian Institute of Science
Problem statement(s):
- Use a comprehensive climate model and the NSM supercomputing resources to simulate the stratospheric aerosol geoengineering option (proposed to offset climate change) and its impacts on the tropical water cycle.
- Simulate the effect of varying latitudinal distribution of sulfate aerosols in the stratosphere.
- Simulate the injection of sulfate aerosols into the stratosphere.
- Study the sensitivity of the Indian monsoon precipitation to the altitude, latitude and the amount of sulphate aerosols in the stratosphere.
Publications / Articles etc. link (If any) *:
- Shinto Roose, G. Bala, KS Krishnamohan, Long Cao, Ken Caldeira, 2023: Quantification of Tropical Monsoon Precipitation Changes in terms of Interhemispheric Differences in Stratospheric Sulfate Aerosol Optical Depth, Climate Dynamics (Revised)
- Harpreet Kaur, G. Bala and Ashwin Seshadri, 2023: Why is Climate Sensitivity for Solar Forcing Smaller than for an Equivalent CO2 Forcing? Journal of Climate, DOI:
Work presented in conference/s with photographs (if any):
- Quantification of Tropical Monsoon Precipitation Changes in terms of Interhemispheric Differences in Stratospheric Sulfate Aerosol Optical Depth, American Geophysical Union Fall Meeting, 12-16 December 2022, Chicago, USA
- Dependence of climate feedbacks on the latitudinal distribution of radiative forcing,
- American Geophysical Union Fall Meeting, 12-16 December 2022, Chicago, USA
Appreciation / Recognition (if any):
- Follow up funding (Rs. 2.3 crores) from the DST Climate Change Program to pursue this modelling study for the next 3-4 years
Benefits & experience of using PARAM Pravega:
- This computationally intensive climate modelling work would not be possible without a super computer like Param Pravega.
- The queue is too long in Param. The submitted jobs wait about 10 days. A good time to wait for a job to run is 6-12 hours. With a wait time of 10 days, it is nearly impossible to make progress in modelling work. I request the NSM team to address this issue at the earliest. Thank you.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Climate & Environmental Sciences
Sub-domain(s): Climate change, Climate Modeling, Stratospheric aerosols, Solar geoengineering, Indian Monsoon
Application name(s)*: *: “Climate Modeling of Stratospheric aerosol geoengineering”
Title of the work carried out:
b) Scalable simulation workflows towards exascale PDE solvers: application to combustion
Name & Designation of the Chief Investigator: Konduri Aditya, Assistant Professor
Email Id: email@example.com
Institute Name: Indian Institute of Science
Problem statement(s):
- Implementation of low-storage Runge-Kutta time integration schemes in scalable asynchronous partial differential equation solvers
- Spontaneous ignition and flame propagation in hydrogen/methane reheat flames: effect of pressure and hydrogen fraction
Work carried, Milestone, Achievements & Graphs, Plots:
The asynchronous computing method based on finite-difference schemes has shown promise in significantly improving the scalability of time-dependent partial differential equation (PDE) solvers by either relaxing data synchronization or avoiding communication between processing elements (PEs) on massively parallel machines. This method uses high-order accurate asynchrony-tolerant (AT) schemes coupled with appropriate time integration schemes to provide the desired accuracy required by high-fidelity solvers such as the direct numerical simulations for fluid flow. For time integration, Runge-Kutta (RK) schemes, particularly the low-storage implementation, are widely used due to their ability to provide good stability properties and be computationally efficient. However, the implementation of AT schemes with multi-stage RK schemes necessitates an over-decomposition of the spatial domain in a parallel setting, leading to increased message sizes for communication and redundant computations. In this paper, we propose a novel method to couple asynchrony-tolerant and low-storage explicit RK schemes in solving time-dependent PDEs that would result in a significant reduction in communications and relaxed synchronizations. We develop new asynchrony-tolerant schemes for ghost or buffer point updates that are necessary to maintain desired order of accuracy. The accuracy of this method is investigated, both theoretically and numerically, using simple one-dimensional linear model equations. Thereafter, we demonstrate the scalability of the proposed numerical method through three-dimensional simulations of decaying Burgers’ turbulence, performed using two different asynchronous algorithms: communication-avoiding and synchronization-avoiding algorithms. The scalability studies up to 27,000 cores were found to yield speed-ups up to 6× compared to a baseline synchronous algorithm. Overall, the proposed approach shows the potential to improve the scalability of exascale PDE solvers significantly.
Figure: Strong scaling graphs for $240^3$ grid size. (a) and (b) total execution time ($T_{tot}$) for fourth and sixth-order accurate solutions, respectively. The speed-ups in CAA and SAA relative to the baseline SA are also provided for each simulation configuration in the graphs.
Direct numerical simulations (DNS) with detailed chemical kinetics and chemical explosive mode analysis (CEMA) are performed to investigate the effect of operating pressure and hydrogen/methane blending at reheat combustion conditions. Building upon previous three-dimensional DNS datasets of reheat hydrogen flames, the present work considers two-dimensional configurations that render computationally-feasible simulations of high-pressure combustion and significantly more complex hydrocarbon chemistry. A geometrically-simplified representation of the reheat combustor is adopted and the parameters for the simulations are carefully chosen to mimic gas turbine operation conditions, which are constrained to achieve a target flame position and flame temperature. The two-dimensional DNS results are first assessed against the available three-dimensional data and then analysed to extract the main trends exhibited by the reheat combustion process in respect to the fraction of the fuel consumed by spontaneous ignition and flame propagation, for increasing pressures and hydrogen fractions. Due to significant differences in the accuracy of the turbulent and thermal boundary layers between the three-dimensional and the two-dimensional configurations, a different global flame shape is observed (V-shaped flame vs W-shape flame) together with a $\sim 10\%$ bias in the fraction of fuel consumed by spontaneous ignition. Furthermore, results from the scaling studies reveal clear trends and a significant decrease in the fuel consumption by spontaneous ignition at the higher pressures and hydrogen fractions, for the conditions investigated.
Fig. 5: Instantaneous isocontours of normalized heat release rate and mass fraction of $HO_2$ from Cases 2, 3 and 4 (at 1, 5 and 10 bar pressure, respectively). The values used for normalization are provided in the plots.
Fig. 6: Bar chart quantifying the fraction of $H_2$ fuel consumed by spontaneous ignition and by flame propagation, for different operating pressures. The error bars indicate the time-variance in the fuel consumption rate.
Publications / Articles etc. link (If any) *:
- Goswami, S.K., Matthew, V.J. and Aditya, K., 2023. Implementation of low-storage Runge-Kutta time integration schemes in scalable asynchronous partial differential equation solvers. Journal of Computational Physics, p.111922.
- Jonnalagadda, A., Kulkarni, S., Rodhiya, A., Kolla, H. and Aditya, K., 2023. A co-kurtosis based dimensionality reduction method for combustion datasets. Combustion and Flame, 250, p.112635.
Publisher:
- Journal of Computational Physics (Elsevier), Combustion and Flame (Elsevier)
Awards (If any):
- Arcot Ramachandran Young Investigator Award, IISc 2022-2024
Work presented in conference/s with photographs (if any):
- HiPC Student Research Symposium 2022, SIAM Computational Science and Engineering 2023, Asian Computational Fluid Dynamics Conference 2022 (Invited Talk)
Benefits & experience of using PARAM Pravega:
- This machine enabled us to carry out state-of-the-art massively parallel simulation relevant to hydrogen combustion for decarbonisation.
- The machine provides good performance at scale.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Computational Fluid Dynamics, Computational Physics
- **Sub-domain(s)**: Combustion, Simulation workflows
- **Application name(s)**: S3D, FLAME solver
Gravity flow of granular materials through a vertical channel
K. KesavaRao, retired professor
firstname.lastname@example.org
Indian Institute of Science
Problem statement(s):
- Analysis of the gravity flow of granular materials through a vertical channel using the discrete element method (DEM) and continuum models
Work carried, Milestone, Achievements & Graphs, Plots:
The channel has a rectangular cross section, with walls separated by a distance $2W$ in the $x$-direction (horizontal direction perpendicular to the walls), and dimensions $H$ in the vertical direction and $B$ in the $z$-direction (horizontal direction parallel to the walls). In the simulations, periodic boundary conditions are applied in the $y$- and $z$-directions. The flow is parameterised by the average volume fraction $\phi_{\text{bar}}$, which is the ratio of the volume of particles and the channel.
Discrete Element Method (DEM) simulations are performed with slightly deformable spheres. Detailed results for this configuration do not appear to have been reported earlier. The results show a plug near the centre line $x = 0$ and shear layers near the walls, in accord with earlier work. There is a sharp decrease in the solids fraction $\phi$ near the wall, a result that is not captured by the models of Barker et al. (2017), Schaeffer et al. (2019), and Henann and Kamrin (2013). Contrary to the common assumption, slip is observed even for rough walls that are coated with a layer of particles. The DEM results show that the slip velocity boundary condition is reasonable as the slip length is independent of $\phi_{\text{bar}}$ and the width of the channel $2W$, and depends on the wall roughness. The wall friction boundary condition may also be used, but the angle of wall friction depends on $\phi_{\text{bar}}$. It is not clear whether this is realistic.
The models do not predict the normal stress differences (NSD) shown by the DEM results. It appears that NSD have not been reported earlier for the channel problem. The velocity and the $\phi$ profiles predicted by the models are qualitatively similar to the DEM results, but quantitative agreement is not good in general.
The variation of the friction coefficient $\mu$ with the inertial number $I$ has been fitted to data obtained from the plane shear simulations of Chialvo et al. (2012), using a functional form proposed in the literature for chute flow. However, it differs qualitatively from the DEM results, showing that $\mu(I)$ is not a true constitutive equation. It is shown that the extended kinetic theory of Berzi et al. (2020) may have an undesirable feature as the $\phi$ profile has a slope discontinuity at a particular value of $\phi$, in contrast to the DEM results.
It is found that the scaled vertical velocity $(u_y - u_{\text{slip}})/(u_{\text{max}} - u_{\text{slip}})$ is a unique function of $\delta_0.95$, where $u_{\text{slip}}$ is the slip velocity at the left wall ($x = -W$), $u_{\text{max}}$ is the magnitude of the maximum velocity, and $\delta_0.95$ is the distance at which the scaled velocity = 0.95. This scaling has not been reported earlier. It fits the DEM results very well. Fairly good agreement is obtained for the velocities measured adjacent to the front face of the channel by the author, and also the data of Natarajan et al. (1995) and Ananda et al. (2008). A careful examination of the $\phi$ profiles leads to the identification of 4 zones, namely, a plug zone near the centre where $\phi = 0.63$ for $2W/d_p = 100$, a dense shearing zone where $\phi$ decreases to $\phi_{\text{ad}} = 0.587$, a loose shearing zone where $\phi$ decreases...
further, and a wall shearing zone of thickness about $2d_p$ where $\phi$ decreases sharply. Here $d_p$ is the particle diameter. The subscript `ad' denotes arrested dynamics, and it implies that a collection of hard spheres cannot be sheared for $\phi > \phi_{ad}$. In the present system, shearing can occur even for $\phi > \phi_{ad}$ because of the finite stiffness of the spheres. This classification represents an advance over the traditional one wherein only two zones are considered, a plug zone and a shear layer. In the wall shearing zone and the loose shearing zone, the shear rate and the temperature do not depend on the spring constant in the normal direction, implying that hard-particle models of kinetic theory may be used. These models cannot be used in the dense shearing zone and the plug zone. In the loose shearing zone, the author has shown that the functions for a channel agree well with those for flow down an inclined plane. This is an interesting observation.
A new oscillatory flow is reported, where transverse oscillations appear in the center of mass position. Based on DEM simulations, an flow regime map is constructed in the $\phi$-$2W$ plane. Steady fully developed flow occurs for a narrow range of $\phi$, $\phi_{cr} \leq \phi \leq 0.62$. For $\phi < \phi_{min}$, transverse oscillations occur in the $x$-direction, and the flow is accelerated (free fall) for $\phi < \phi_{cr}$. Purely transverse oscillations do not appear to have been reported earlier for simulations of soft spheres. The amplitude of the dominant frequency of the $x$-coordinate of the center of mass scales proportional to $\sqrt{\phi - \phi_{cr}}$ indicating that a supercritical Hopf bifurcation occurs at $\phi_{cr}$. The dominant frequency of the vertical velocity is two times that of the horizontal velocity fluctuation, and the higher harmonics for the different variables exhibit specific relations to the dominant frequency.
Another important finding is that the presence of an oscillatory state is sensitively dependent on the dissipation and friction coefficients in the particle-particle and particle-wall collisions. It is found that a reduction in the value of the coefficient of interparticle friction destabilizes the oscillatory flow, leading to an accelerated flow. On the other hand, if the interparticle damping coefficient $\xi_n$ associated with the contact force in the normal direction is set to zero, the oscillations disappear and a steady flow is observed. The author has proposed a plausible qualitative explanation for the effect of $\xi_n$, including the counter-intuitive result that a higher value of $\xi_n$ leads to a higher value of the magnitude of the time-averaged vertical component of the velocity of the center of mass.
Experiments were conducted with the aim of comparing the data with the DEM results and model predictions. There is a fairly good agreement between the velocity data and the DEM results for $2W/d_p = 50$ and 60, but a larger discrepancy for $2W/d_p = 40$. It is not clear why the latter overestimates the data. The mass flow rate given by the DEM results agrees fairly well with the measured values, and a similar trend is observed for the profiles of the inertial number and the grain temperature $T$.
The time-averaged dynamic normal and shear stresses predicted by the DEM agree fairly well with the measured values. In the zone of converging flow near the exit slot, the velocities predicted by the DEM agree well with the measured values. On the other hand, there is a lot of scatter in the temperature results for the former and the agreement is poor.
Note: This work was done in collaboration with Prof. V. Kumaran and our Ph.D. student Mr. Bhanjan Debnath.
**Publications Articles etc. link (If any):**
Debnath, B., Rao, K.K., and Kumaran, V., Different shear regimes in the dense granular flow in a vertical channel, *J. Fluid Mech.* 945, A25, doi:10.1017/jfm.2022.482
Benefits & experience of using PARAM Pravega:
- Running jobs in ParamPravega is much faster than the previous Cray system.
- Because of this advanced NSM system, we could simulate systems which are 10 to 15 times larger than the usual computational domain in less time.
- Feedback related to queue system - the waiting period after submission of a job is more than 2 weeks (sometimes 3 weeks). The queue system in running jobs can be modified so that the waiting period reduces.
- Consider this request and install the Gaussian 16 program.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Chemical Engineering
- Application name(s)*: Flow of granular materials
Title of the work carried out:
a) Computational Studies of the circumgalactic medium
Name & Designation of the Chief Investigator: Dr. Prateek Sharma
Email Id: email@example.com
Institute Name: IISc Bangalore
Publications / Articles etc. link (If any) *:
- “Velocity structure functions in multiphase turbulence: interpreting kinematics of H-alpha filaments in cool-core clusters,” R. Mohapatra, M. Jetti, P. Sharma, C. Federrath, Monthly Notices of Royal Astronomical Society, 2022, 510, 2327
- “Cooling flows around cold clouds in the circumgalactic medium: steady-state models and comparison with TNG50,” A. Dutta, P. Sharma, D. Nelson, Monthly Notices of Royal Astronomical Society, 2022, 510, 3561
- “Characterizing the turbulent multiphase haloes with periodic box simulations,” R. Mohapatra, M. Jetti, P. Sharma, C. Federrath, Monthly Notices of Royal Astronomical Society, 2022, 510, 3778
- “Cosmic rays from massive star clusters: a close look at Westerlund 1,” S. Bhadra, S. Gupta, B. B. Nath, P. Sharma, Monthly Notices of Royal Astronomical Society, 2022, 510, 5579
- “Multiphase turbulence in galactic haloes: effect of the driving,” R. Mohapatra, C. Federrath, P. Sharma, Monthly Notices of Royal Astronomical Society, 2022, 514, 3139
- “Cosmological evolution of gas and supermassive balck holes in idealized isolated haloes,” S. Dattathri, P. Sharma, Monthly Notices of Royal Astronomical Society, 2022, 514, 826
- “Deprojection of X-ray data in galaxy clusters: confronting simulations with observations,” K. C. Sarkar, A. Dey, P. Sharma, Monthly Notices of Royal Astronomical Society, 2022, 516, 992
“Misaligned jets from Sgr A* and the origin of Fermi/e-Rosita bubbles,” K. C. Sarkar, S. Mondal, P. Sharma, T. Piran, submitted to Astrophysical Journal, arXiv:2211.1296
Benefits & experience of using PARAM Pravega: The queues on PARAM Pravega are very busy. NSM must come up with a better framework for frequent and fair evaluation of proposals.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Astronomy & Astrophysics
- **Sub-domain(s)**: Hydrodynamic and MHD simulations of the circumgalactic medium
**Title of the work carried out:**
a) Materials design for energy applications using computations
**Name & Designation of the Chief Investigator:** Dr Sai Gautam Gopalakrishnan, Assistant Professor
**Email Id:** firstname.lastname@example.org
**Institute Name:** Indian Institute of Science
**Problem statement(s):**
- Discovery of new electrode materials for beyond Li-ion batteries, understanding redox mechanisms in candidate intercalation battery electrodes, elucidating the role of anion vacancies in bifunctional electrocatalysts, quantifying the role of exchange-correlation functionals in prediction of migration barriers
**Work carried, Milestone, Achievements & Graphs, Plots:**
The details of the works carried out can be found in the publications mentioned below. Following is a figure illustrating the discovery of novel intercalation electrodes for Ca-ion batteries, done via high-throughput density functional theory calculations.
Publications/Articles etc. (if any)*:
- https://doi.org/10.1021/acs.chemmater.2c02841
- https://doi.org/10.1021/acs.aem.2c02257
- https://doi.org/10.1039/d2cp00473a
- https://doi.org/10.1038/s41524-022-00837-0
Publisher:
- American Chemical Society
- Royal Society of Chemistry
- Nature publication group
Work presented in conference/s with photographs (if any):
- 21st February 2023, Invited talk at International Conference on Advanced Materials 2023, Goa
- 12th December 2022, Invited talk at IEEE-International Conference on Emerging Electronics 2022, Bengaluru
- 23rd September 2022, Invited talk at Shell.ai Scientific Conference, Bengaluru
- 26th June 2022, Poster at International Meeting on Lithium batteries, Sydney, Australia
- 9th May 2022, Talk at Materials Research Society Spring Meeting 2022, Honolulu, USA
Appreciation / Recognition (if any):
- Associate, Indian Academy of Science Bengaluru, 2022-25
References:
- D.B. Tekliye et al., Chem. Mater. 2022, 34, 10133-10143
- G.R. Dillip et al., ACS Appl. Energy Mater. 2022, 5, 13635-13644
- P.K. Jha et al., Phys. Chem. Chem. Phys. 2022, 24, 22756
- R. Devi et al., npj Comput. Mater. 2022, 8, 160
Benefits & experience of using PARAM Pravega:
While having access to Param Pravega is an integral part of executing our research objectives, the experience of using Param Pravega has become quite underwhelming in the recent past. With queue times ranging from 6 weeks to several months for simple, “small” calculations, Param Pravega has become an unreliable source for performing any kind of research. Unless the computational capacity of the machine is dramatically increased in the near future, it will become completely useless in the near future.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Materials Sciences
- **Sub-domain(s)**: Computational Materials Science and Materials Informatics
- **Application name(s)**: Vienna ab initio simulation package
**Title of the work carried out:**
a) Origin of dynamic heterogeneity on the plasma membrane
**Name & Designation of the Chief Investigator:** Sumantra Sarkar, Assistant Professor
**Email Id:** email@example.com
**Institute Name:** Indian Institute of Science
**Problem statement(s):**
- Understanding the temperature dependence of membrane lipid diffusion.
**Work carried, Milestone, Achievements & Graphs, Plots:**
- We have been running simulations of the plasma membrane at different temperatures. We have run production simulations and analysis is ongoing.
---
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Complex Systems and Statistical Physics
- **Sub-domain(s)**: Biophysics
**Title of the work carried out:**
a) Improving Adversarial Robustness of Deep Neural Networks
**Name & Designation of the Chief Investigator:** Prof. R. Venkatesh Babu, Professor
**Email Id:** firstname.lastname@example.org
**Institute Name:** Indian Institute of Science
**Problem statement(s):**
- Deep Neural Networks are vulnerable to adversarial attacks, which can fool the models to misclassify any given input image. This work aimed at improving the robustness of Deep Networks against such attacks.
**Work carried, Milestone, Achievements & Graphs, Plots:**
- Scaling Adversarial Training to Large Perturbation Bounds: The vulnerability of Deep Neural Networks to Adversarial Attacks has fuelled research towards building robust models. While
most Adversarial Training algorithms aim at defending attacks constrained within low magnitude Lp norm bounds, real-world adversaries are not limited by such constraints. In this work, we aim to achieve adversarial robustness within larger bounds, against perturbations that may be perceptible, but do not change human (or Oracle) prediction. The presence of images that flip Oracle predictions and those that do not makes this a challenging setting for adversarial robustness. We discuss the ideal goals of an adversarial defense algorithm beyond perceptual limits, and further highlight the shortcomings of naively extending existing training algorithms to higher perturbation bounds. In order to overcome these shortcomings, we propose a novel defense, Oracle-Aligned Adversarial Training (OA-AT), to align the predictions of the network with that of an Oracle during adversarial training. The proposed approach achieves state-of-the-art performance at large epsilon bounds (such as an L-inf bound of 16/255 on CIFAR-10) while outperforming existing defenses (AWP, TRADES, PGD-AT) at standard bounds (8/255) as well. The code for implementing OAAT is available here: this https URL.
- Efficient and Effective Augmentation Strategy for Adversarial Training: Adversarial training of Deep Neural Networks is known to be significantly more data-hungry when compared to standard training. Furthermore, complex data augmentations such as AutoAugment, which have led to substantial gains in standard training of image classifiers, have not been successful with Adversarial Training. We first explain this contrasting behavior by viewing augmentation during training as a problem of domain generalization, and further propose Diverse Augmentation-based Joint Adversarial Training (DAJAT) to use data augmentations effectively in adversarial training. We aim to handle the conflicting goals of enhancing the diversity of the training dataset and training with data that is close to the test distribution by using a combination of simple and complex augmentations with separate batch normalization layers during training. We further utilize the popular Jensen-Shannon divergence loss to encourage the joint learning of the diverse augmentations, thereby allowing simple augmentations to guide the learning of complex ones. Lastly, to improve the computational efficiency of the proposed method, we propose and utilize a two-step defense, Ascending Constraint Adversarial Training (ACAT), that uses an increasing epsilon schedule and weight-space smoothing to prevent gradient masking. The proposed method DAJAT achieves substantially better robustness-accuracy trade-off when compared to existing methods on the RobustBench Leaderboard on ResNet-18 and WideResNet-34-10. The code for implementing DAJAT is available here: this https URL.
**Publications / Articles etc. link (If any) *:**
- Scaling Adversarial Training to Large Perturbation Bounds: Published and presented at an A-star conference - ECCV’22 (European Conference on Computer Vision)
Link: https://www.ecva.net/papers/eccv_2022/papers_ECCV/papers/136650295.pdf
- Efficient and Effective Augmentation Strategy for Adversarial Training: Published and present at an A-star conference – NeurIPS’23 (Neural Information Processing Systems)
Link: https://openreview.net/forum?id=ODkBI1d3phW
**Work presented in conference/s with photographs (if any):**
Scaling Adversarial Training to Large Perturbation Bounds: Published and presented at an A-star conference - ECCV’22 (European Conference on Computer Vision)
Appreciation / Recognition (if any): The works published have demonstrated state-of-the-art robustness on the popular RobustBench repository on CIFAR-10 and CIFAR-100 for a long period of time on Wide-ResNet-34-10 architecture. (https://robustbench.github.io/)
References:
- Scaling Adversarial Training to Large Perturbation Bounds:
- Link: https://www.ecva.net/papers/eccv_2022/papers_ECCV/papers/136650295.pdf
- Efficient and Effective Augmentation Strategy for Adversarial Training:
- Link: https://openreview.net/forum?id=ODkBI1d3phW
Benefits & experience of using PARAM Pravega:
Adversarial training has a large overhead on training time, due to which our research was earlier limited to only finding efficient methods of improving robustness. Thanks to PARAM Pravega, we are now able to compete with mainstream research in the field and compete at a global level. The works
published have demonstrated state-of-the-art robustness on the popular RobustBench repository for a long period of time on Wide-ResNet-34-10 architecture. (https://robustbench.github.io/)
PARAM Pravega allows the parallelization of long runs to complete faster, and the use of multiple GPUs to speed up research.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Materials Sciences
- **Sub-domain(s)**: Computational Materials Science and Materials Informatics
- **Application name(s)**: Vienna ab initio simulation package
---
**Title of the work carried out:**
a) Computational Nanotechnology for Energy and Water
**Name & Designation of the Chief Investigator:** Dr. Ananth Govind Rajan, Assistant
**Email Id:** email@example.com
**Institute Name:** Indian Institute of Science
---
**Problem statement(s):**
- Our research problems involve the use of density functional theory (DFT) calculations as well as molecular dynamics (MD) and kinetic Monte Carlo (KMC) simulations to quantify the thermodynamics and kinetics underlying nanoscale processes that are useful in applications at the water-energy nexus, e.g., electrochemical energy conversion, water desalination, and gas separations.
**Work carried, Milestone, Achievements & Graphs, Plots:**
We have used the Param Pravega machine to carry out quantum-mechanical DFT calculations, MD simulations, and KMC simulations to understand the synthesis of two-dimensional (2D) materials and their applications in the fields of membrane separations, electro- and thermo-catalysis, and nanofluidics. These simulations have: (i) shed light into how grain boundaries and defects modulate water and ion transport through nanopores, (ii) explained why surface roughness impacts the interfacial properties of 2D materials, (iii) led to the discovery of single-atom catalysts for carbon dioxide (CO$_2$) reduction to useful chemicals and electrochemical water splitting for sustainable hydrogen/oxygen production, (iv) helped understand nanofluidic flows inside confined spaces, and (v) unravelled the mechanisms underlying nanopore formation in 2D materials.
**Publications / Articles etc. link (If any) *:**
- Sharma, B. B.; Govind Rajan, A. How Grain Boundaries and Interfacial Electrostatic Interactions Modulate Water Desalination via Nanoporous Hexagonal Boron Nitride. *J. Phys. Chem. B* **2022**, *126*, 1284–1300.
• Kumar Verma, A.; Govind Rajan, A. Surface Roughness Explains the Observed Water Contact Angle and Slip Length on 2D Hexagonal Boron Nitride. *Langmuir* **2022**, *38*, 9210–9220.
• Sheshanarayana, R.; Govind Rajan, A. Tailoring Nanoporous Graphene via Machine Learning: Predicting Probabilities and Formation Times of Arbitrary Nanopore Shapes. *J. Chem. Phys.* **2022**, *156*, 204703.
**Publisher:** American Chemical Society (articles (1) and (2) above) and American Institute of Physics (article (3) above)
**Awards (If any):**
• Best Presentation Award, International Conference in Chemical Engineering: Enabling the Transition Towards a Sustainable Future, IIT Roorkee (to Mr. Shiv Kumar)
• International Travel Support, Science and Engineering Research Board (SERB), Government of India (to Dr. Ananth Govind Rajan and Dr. Sagar Ghorai)
• Kumar-Gandhi Award for Best Poster, Chemical Engineering Symposium 2022, Indian Institute of Science (to Mr. Piyush Sharma)
**Work presented in conference/s with photographs (if any):**
| Date | Title |
|------------|----------------------------------------------------------------------|
| Dec. 2022 | “Single-Atom Alloys for CO₂ Reduction to C₁ Hydrocarbons on Cu(111): Thermodynamics and Kinetics on Al-Doped Copper,” *Designing Catalysts on Computers (DCC) Meeting*, Indian Association for the Cultivation of Science, Kolkata, India |
| Nov. 2022 | “Probing Realistic Water-2D Material Interfaces Via Combined Quantum & Classical Simulations”, *Spotlights in Thermodynamics and Computational Molecular Science (Invited Talks)*, AIChE 2022 Meeting, Phoenix, Arizona, United States |
| Nov. 2022 | “Modeling the Combined Effects of Temperature, Pressure, and pH on Oxygen Evolution Thermodynamics and Kinetics”, *AIChE 2022 Meeting*, Phoenix, Arizona, United States (with Martinez, J. M. P. and Carter, E. A.) |
| Sep. 2022 | “Prediction of Accurate Enhancement Factors for Confined Water Flow in Boron Nitride Nanotubes”, *International Conference on Chemical Engineering: Enabling Transition Towards a Sustainable Future*, Indian Institute of Technology Roorkee, Roorkee, India (presented by Kumar, S., who won the best oral presentation award for this talk) |
Aug. 2022 “Combining Density Functional Theory and Kinetic Monte Carlo with Graph Theory and Machine Learning to Predict Nanopore Shapes in 2D Materials”, *Psi-k 2022 Meeting*, Lausanne, Switzerland (with Sheshanarayana, R. and Bhowmik, S.)
Aug. 2022 “How Grain Boundaries and Interfacial Electrostatic Interactions Modulate Water Desalination via Nanoporous hBN”, *American Chemical Society (ACS) Fall 2022 Meeting* (with Sharma, B. B.)
Aug. 2022 “Tailoring Nanoporous Graphene via Machine Learning: Predicting Probabilities and Formation Times of Arbitrary Nanopore Shapes”, *American Chemical Society (ACS) Fall 2022 Meeting* (with Sheshanarayana, R.)
Mar. 2022 “Combined First-Principles and Classical Modeling of hBN-Water Interfaces: How Surface Roughness and Defects Modulate Wettability and Friction”, *American Physical Society (APS) India Satellite March Meeting 2021* (presented by Verma, Ashutosh K.)
Jan. 2022 “How Grain Boundaries and Interfacial Electrostatic Interactions Modulate Water Desalination Via Nanoporous Hexagonal Boron Nitride”, Workshop on Thin Film Nanostructured Membranes for Gas Separation, Storage and Water Desalination, *Indian Institute of Science*, Bengaluru
**Benefits & experience of using PARAM Pravega:**
- Param Pravega is a large-scale machine catering to the supercomputing requirements of researchers from IISc as well as other institutes working on a wide range of challenging and intense computational problems. We have had a good experience working with Param Pravega in terms of the speed of the jobs. The increase in the clock speed as well as the number of cores per machine have led to notably faster execution times for our jobs. However, in some instances, there is a high load on the Param Pravega machine, leading to long wait times. As a result, it would be helpful if the National Supercomputing Mission (NSM) can further increase the capacity (total number of compute cores) of NSM machines in the country, including Param Pravega, so that our researchers can attempt even more ambitious research goals and complete research projects in a timely manner.
Information required for NSM (NationalSupercomputingMission) users
Domain(s)*: HPC Applications
Sub-domain(s): Computational chemistry and material science
Application name(s)*: Chemical Sciences, Complex Systems and Statistical Physics, Computational Physics, Material Sciences, Quantum Mechanics, AI/ML/DL
Title of the work carried out:
a) Understanding the role of H2 addition on swirl stabilized partially premixed flames using large eddy simulations
Name & Designation of the Chief Investigator: Santosh Hemchandra, Associate Professor
Email Id: firstname.lastname@example.org
Institute Name: Indian Institute of Science
Problem statement(s):
- Validate explicit filtering large eddy simulation (EFLES) method for an industrially relevant swirl stabilized combustor flow
Work carried, Milestone, Achievements & Graphs, Plots:
The work till date has progressed using the explicit filtering large eddy simulation method under development in my group for reacting flow studies. Prior work on this had applied the method as formulated to a premixed methane-air jet flame. In this project we apply the method to compute the following cases for the PRECCINSTA burner,
Case 1, fully premixed methane-air case at conditions given in table 1.
Cases 2 – 4, technically premixed methane-air cases at conditions given in table 1.
| SINum | $\phi_o$ | $T_{\infty}$ (K) | $P$ ($kW$) | $H_2$ (% vol) | Type |
|-------|----------|------------------|------------|---------------|------|
| 1 | 0.65 | 300 | 20 | 0 | PM |
| 2 | 0.65 | 300 | 20 | 0 | TPM |
| 3 | 0.65 | 300 | 20 | 20 | TPM |
| 4 | 0.65 | 300 | 20 | 50 | TPM |
Table 1: Flow conditions for proposed computations of PRECCINSTA experiments
We now describe the research activities carried out over the past six months towards performing the above computations.
Combustion model generalization (Jan 2022 - Oct 2022)
During the course of simulations in connection with case 1 in table 1 above, we noted that the combustion model as formulated in our prior study: Datta, A., Mathew, J. and Hemchandra, S., Combustion and flame, vol. 237, 2022 referred to as EFLES1, was not able to resolve premixed flame dynamics in regions where the mesh size was much larger than the length scale of the premixed flame. We needed to introduce a broadening factor on the reaction rate term to accomplish this. While this did improve the accuracy of the flame propagation speed determined on the mesh in the LES, it did not solve the problem of numerical instability. We then decided to perform a different set of simulations using another, geometrically simpler and experimentally well characterized lifted ethylene jet flame (Kohler et al, Combustion and Flame, vol. 159, 2012) to address this problem. The outcomes of these unforeseen additional efforts are as follows,
In general, the filter adaption described in EFLES1 needed to be applied on oxidizer mass fraction and temperature fields, in addition to the fuel mass fraction field in order ensure steep gradients in these fields did not develop.
The gradient threshold at which filter adaption described in EFLES1 is triggered is now dependent of how well a thickness length scale associated with the local gradients compares with the *local* mesh size.
The reaction zone broadening parameter, determined to recover flame speed for a given reference grid size must now be scaled on the mesh based on *local* mesh spacing
The above three points were implemented and tested within our flow solver over the period from Jan 2022 – Oct 2022, along with several runs of the new ethylene jet case. The success of these runs gave us the confidence to return to the case 1 PRECCINSTA simulation starting November 2022. We will refer to the new combustion model that implements points 1-3 in the previous paragraph as EFLES2. We also decided to reduce the mesh size of the PRECCINSTA simulations using EFLES2 by focusing fine meshes in regions of the domain where the experimental data we’re using for validation, shows the presence of flame fronts. Making these changes resulted in meshes with ~5-6 million points when compared to ~90 million points earlier. The new mesh sizes are consistent with those being used by other groups and other methods worldwide for similar operating conditions in the same geometry. We will now present snapshots from the new ongoing simulations with EFLES2 from the PRECCINSTA case 1 study.
LES – PRECCINSTA case 1
Figure 1 shows a snapshot from the ongoing case 1 LES using EFLES2. Fig. a shows the instantaneous temperature field. The mesh size is ~ 300 microns upto a downstream distance of ~2D from the nozzle exit plane and is aggressively stretched thereafter. Note that Fig. a shows that the flame shape is well resolved in the fine mesh region but severe broadening is observed in the coarse mesh region downstream as one would expect. This solution would not have succeeded with the old ELFES1 method. Fig. b and c show an instantaneous OH mass fraction field from the LES and a typical OH-PLIF intensity field from the experiment. Note that while in fig. b, the field shown can be interpreted quantitatively, this cannot be done for the field in Fig. c. Nevertheless, comparing the geometry of the dark regions in both figures shows that the EFLES2 method is able to qualitatively capture the dynamics of the flame.
Figure 1: Typical snapshot of ongoing case 1 simulations using the EFLES 2 method (a) temperature field (b) OH field at the same time instant (c) an OH-PLIF snapshot from the experiment. Note the qualitative similarity in the two fields between (b) and (c).
**Achievements**
Summary of Progress against approved work-plan/time schedule of activities planned in the project (Give bulleted list. Indicate percent completed)
- Case 1 LES solution – 0 -6 months nearing completion
- Case 2 -4 LES solutions – to be started
- Additional lifted ethylene jet flame solutions completed
The new EFLES2 formulation that allows for flame resolution on arbitrarily coarse meshes and the significant reduction in computational cost that has been achieved as a result.
**Publications / Articles etc. link (If any) *:**
- Gupta, S., Datta, A., Boxx, I. and Hemchandra, S., “Precessing vortex core suppression in a swirlstabilized combustor with hydrogen addition”, ASME TurboExpo, 2023 (recommended for journal publication as is)
**Publisher:** American society for mechanical engineers
**Work presented in conference/s with photographs (if any):**
See 1.7 above. This paper will be presented at the ASME TurboExpo conference in June 2023 in Boston, USA
**Benefits & experience of using PARAM Pravega:**
When we started the project, we were not aware of the new developments to the combustion modelling approach that were discovered during the project. This is to be expected when one attempts original model development work of the sort performed in the project to date. The compute facility provided helped perform many trial simulations without which this new model development would have been impossible. As mentioned above, the learning from these simulations has also helped marginally reduce the overall computational resource request for the performance of this project.
Information required for NSM (National Supercomputing Mission) users
- **Domain(s)**: Computational fluid dynamics
- **Application name(s)**: Large eddy simulation of chemically reacting flow
**Title of the work carried out:**
a) Scalable computational methodologies towards extreme-scale *ab initio* calculations:
Applications to quantum modelling of functional materials
**Name & Designation of the Chief Investigator:** S Dr. Phani Motamarri, Assistant Professor
**Email Id:** email@example.com
**Institute Name:** Indian Institute of Science
**Problem statement(s):**
- Projection approaches for large-scale chemical bonding analysis.
- Methods for ion transport in solid electrolytes using finite-element based density functional theory.
- Projection methods for accelerating large-scale eigenvalue problems.
- Fast hardware-aware matrix-free computational of finite-element discretized matrix-multivector products.
**Work carried, Milestone, Achievements & Graphs, Plots:**
- **Fast hardware-aware matrix-free computations of finite-element discretized matrix-multivector products**: Recent hardware-aware algorithms for higher order finite-element (FE) discretized matrix-vector multiplications suggest that on-the-fly matrix-vector products can reduce arithmetic complexity and improve data access efficiency. These matrix-free approaches leverage the tensor-structured nature of the FE polynomial basis to evaluate the underlying integrals without explicitly constructing the global sparse matrix. Furthermore, iterative solvers for large-scale eigenvalue problems or linear systems of equations with multiple RHS vectors arising from FE discretizations necessitate efficient matrix-multivector products involving multiple vectors. However, the current state-of-the-art implementations of such matrix-free algorithms are well suited for the action of FE-discretized matrices on a single vector and are not directly applicable for matrix-multivector products with many vectors. In this work, we propose a computationally efficient and scalable matrix-free implementation procedure for computing FE-discretized matrix-multivector products on both multi-node CPU and GPU architectures.
**Relevant Publication:** J1 in Sec 1.7 below
• **Projection methods for accelerating large-scale eigenvalue problems**: Large-scale matrix eigenvalue problems arising from the discretization of the DFT equations employing a systematically convergent basis traditionally rely on iterative orthogonal projection methods, which are shown to be computationally efficient and scalable on massively parallel computing architectures. However, as the size of the material system increases, these methods are known to incur dominant computational costs through the Rayleigh-Ritz projection step of the discretized Kohn-Sham Hamiltonian matrix and the subsequent subspace diagonalization of the projected matrix. In this work, we explore scalable polynomial expansion approaches based on recursive Fermi- operator expansion using mixed-precision arithmetic as an alternative to the subspace diagonalization of the projected Hamiltonian matrix to reduce the computational cost. We perform a detailed comparison of these polynomial expansion approaches to the traditional approach of explicit diagonalization, utilizing state-of-the-art ELPA library on both multi-node CPU and GPU architectures, and assess their relative performance in terms of accuracy, computational efficiency, scaling behaviour and energy efficiency.
*Relevant Publication*: J2 in Sec 1.7 below
• **Projection approaches for large-scale chemical bonding analysis**: An efficient and scalable computational approach was proposed for conducting chemical bonding analysis -via- projected population analysis from real-space finite-element (FE) based Kohn-Sham density functional theory calculations (DFT). This work provides an important direction towards extracting chemical bonding information from large-scale DFT calculations on materials systems involving thousands of atoms while accommodating periodic, semi-periodic or fully non-periodic boundary conditions. Towards this, we derive the relevant mathematical expressions and develop efficient numerical implementation procedures that are scalable on multi-node CPU architectures to compute the projected overlap and Hamilton populations. This is accomplished by projecting either the self-consistently converged FE discretized Kohn-Sham eigenstates, or the FE discretized Hamiltonian onto a subspace spanned by localized atom-centered basis set. The proposed method is implemented in a unified framework within DFT-FE where the ground-state DFT calculations and the population analysis are performed on the same finite-element grid. Extensive benchmarking of the proposed approaches with *LOBSTER* code, a widely used projected population analysis code shows an excellent match of population energy diagrams and demonstrates a significant computational advantage on various representative material systems. We further highlight the advantage of our scalable implementation in a case study to extract bonding insights in increasing sizes of Si nanoparticles up to 1000 atoms, a candidate material for hydrogen storage.
*Relevant Publication*: J3 in Sec 1.7 below
Methods for ion transport in solid electrolytes using finite-element based DFT: The main goal of this work is two-fold. Firstly, validate the predictive capability of quantum mechanical calculations -via- finite-element-based DFT (DFT-FE) in computing formation energies, surface energies, ion-migration barriers and transport properties of solid electrolytes. Secondly, demonstrate the critical capability of DFT-FE for characterising ion migration in solid electrolytes in the presence of an electric field, taking advantage of the semi-periodic boundary conditions which can be imposed in DFT-FE. This study forms the first and most crucial step in enabling large-scale accurate DFT calculations for gaining insights into ion migration in poly-crystalline electrolytes, characterising grain boundary dependence on ion migration, and probing the electrode || electrolyte interface, all in the presence of an external electric field. These insights are extremely difficult to obtain with the current state-of-the-art plane-wave codes and provide an important direction to complement experimentalists in characterising the electrode || electrolyte interfaces. To accomplish these goals, a computational framework for conducting ab-initio molecular dynamics (MD) and Nudged-elastic band has been implemented within the DFT-FE framework. Furthermore, a computational methodology has been devised to incorporate the presence of an electric field in DFT-FE. Validation studies on commonly used solid-electrolytes have been conducted to assess the accuracy of the implementations.
Relevant Publication: J4 in Sec 1.7 below
Publications / Articles etc. link (If any) *:
- J1. N. Kodali, G. Panigrahi, D. Panda, P. Motamarri, “Fast hardware-aware matrix-free computations of higher-order finite-element discretized matrix multi-vector products”, Computers & Mathematics with Applications (under review)
https://doi.org/10.48550/arXiv.2208.07129
- J2. S. Khadatkar, P. Motamarri, “Recursive Fermi-operator expansion strategies to accelerate subspace diagonalization for large eigenvalue problems in density functional theory”, Journal of Chemical Physics Communications (under review in special edition on HPC in Chemical Physics) https://doi.org/10.48550/arXiv.2301.04642
- J3. K. Ramakrishnan, S. K. K. Nori, S. Lee, G. P. Das, S. Bhattacharjee, P. Motamarri: Scalable computational approach to extract chemical bonding from real-space DFT calculations using finite-element basis: A projected orbital and Hamiltonian population analysis, Journal of Chemical Theory and Computation, (under review after resubmission with revisions)
https://doi.org/10.48550/arXiv.2205.14836
- J4. K. Ramakrishnan, S. G. Gopalakrishnan, P. Motamarri; “Energetics and ion transport using finite-element based DFT: validation studies and characterizing ion mobility in the presence of electric field”, npj Computational materials (under review),
Awards / Appreciation/ Recognition (If any):
- Member of Technical Papers Program Committee SC’23 (2022-2023)
- NSM R&D for Exascale Research Grant Award, India (2021-2023)
Work presented in conference/s with photographs (if any):
- Phani Motamarri: Scalable finite-element based approaches towards extreme-scale modelling of materials: Applications to energy storage, NSM Session, 29th IEEE International Conference on High Performance Computing, Data, and Analytics, Bangalore, India
- Gourab Panigrahi, Nikhil Kodali, Phani Motamarri: An efficient hardware-aware matrix-free implementation for finite-element discretized matrix-multivector products, 14th Student Research Symposium on High-Performance Computing, Data and Analytics (HiPC) (2022), Bangalore, India
- Kartick Ramakrishnan, Phani Motamarri: Large-scale real-space finite-element based DFT calculations: Application to energy storage devices, Psi-K Conference, EPFL Lausanne, Switzerland.
Benefits & experience of using PARAM Pravega:
- It is a good resource for quick testing of proposed methods and algorithms using large-scale computing resources. However, it has huge queuing times and we could not get data required for our papers in time. We needed to resort to other computational resources in other countries by writing various proposals.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computational Physics/Sciences
- Sub-domain(s): Extreme-scale methods for quantum modelling of materials
- Application name(s)*: In-house developed DFT code “DFT-FE”
Title of the work carried out:
a) High-performance computing Studies of Turbulence in Fluids, Electrical wave Turbulence in Models for Cardiac Tissue, and Bacterial Turbulence;
Name & Designation of the Chief Investigator: (Hon.) Prof. Rahul Pandit, Department of Physics
Email Id: firstname.lastname@example.org
Institute Name: Indian Institute of Science
Problem statement(s):
Broad Area of Research: HPC Applications; Sub Area: Turbulence in Fluids, Electrical-wave Turbulence in Models for Cardiac Tissue, and Bacterial Turbulence.
- High-performance-computing studies of the following problems:
- (a) Turbulence: statistical properties of fluid and multi-fluid turbulence; and also superfluid turbulence with particles;
(b) Spiral- and scroll-wave turbulence of electrical waves of activation in state-of-the-art mathematical models for cardiac tissue; this is of relevance to the control of life-threatening arrhythmias like ventricular fibrillation;
(c) the statistical properties of bacterial turbulence, a rapidly developing field of research.
Publications / Articles etc. link (If any) *:
- KV Rajany, R Majumder, AR Nayak, and R Pandit, The effects of inhomogeneities on scroll-wave dynamics in an anatomically realistic mathematical model for canine ventricular tissue Physics Open 9, 100090 (2021).
- N Roshan and R Pandit, A Study of Properties of the Ca 2+ - Dependent Delayed Afterdepolarizations in a Mathematical Model for Human Ventricular Myocytes, Computing in Cardiology (CinC) 48, 1-4 (2021).
- C Cartes, E Tirapegui, R Pandit, and M Brachet, The Galerkin- truncated Burgers equation: Crossover from inviscid-thermalised to Kardar-Parisi-Zhang scaling, Phil. Trans. R. Soc. A 380: 20210090 (2022).
- M.K. Mulimani, S. Zimik, and R. Pandit, An in silico study of electrophysiological parameters that affect the spiral-wave frequency in mathematical models for cardiac tissue, Front. Phys. 9:819873 (2022).
- S.S.V. Kolluru, P. Sharma, and R. Pandit, Insights from a pseudospectral study of a potentially singular solution of the three- dimensional axisymmetric incompressible Euler equation, Physical Review E 105 (6), 065107 (2022).
- S. Bhattacharjee, E. Mortikov, A. Debolskiy, E. Kadantsev, R. Pandit, T. Vesala, G. Sahoo, Direct Numerical Simulation of a Turbulent Channel Flow with Forchheimer Drag, Boundary-Layer Meteorology 14 September (2022); https://doi.org/10.1007/s10546-022-00731-8.
- S.K. Yadav, H. Miura, and R. Pandit, Statistical Properties of three- dimensional Hall Magnetohydrodynamics Turbulence, Phys. Fluids 34, 095135 (2022); https://doi.org/10.1063/5.0107434.
- K.V. Rajany, A.R. Nayak, R. Majumder, and R. Pandit, Spiral-and scroll-wave dynamics in mathematical models for canine and human ventricular tissue with varying Potassium and Calcium currents, Physics Open 13 (2022) 100120; https://doi.org/10.1016/j.physo.2022.100120.
• K.R. Amin, R. Nagarajan, R. Pandit, and A. Bid, Multifractal conductance fluctuations in high-mobility graphene in the Integer Quantum Hall regime, Phys. Rev. Lett. 129, 186802 (2022) (Editor’s Suggestion).
• N Pal, R Ramadugu, P Perlekar, and R. Pandit, Ephemeral Antibubbles: Spatiotemporal Evolution from Direct Numerical Simulations, Physical Review Research 4, 043128 (2022).
• J.D. Gibbon, K.V. Kiran, N.B. Padhan et al., An analytical and computational study of the incompressible Toner-Tu Equations, Physica D (2022), doi: https://doi.org/10.1016/j.physd.2022.133594.
• Shukla, A.K. Verma, V. Shukla, A. Bhatnagar, and R. Pandit, Inertial particles in superfluid turbulence: Coflow and counterflow Phys. Fluids 35, 015153 (2023); doi: 10.1063/5.0129767.
**Awards (If any):**
- Selected as National Science Chair
**Benefits & experience of using PARAM Pravega:**
This helps when my students have to carry out long runs for the problems mentioned above.
**Information required for NSM (National Supercomputing Mission) users**
- **Domain(s)**: Broad Area of Research: HPC Applications.
- **Sub-domain(s)**: Sub Area: Turbulence in Fluids, Electrical-wave Turbulence in Models for Cardiac Tissue, and Bacterial Turbulence.
**Title of the work carried out:**
Assessing the sensitivity of parameters and impact of hydrologic modelling decision in simulation of floods.
**Name & Designation of the Chief Investigator:** D. Nagesh Kumar, Professor, Department of Civil Engineering,
**Email Id:** email@example.com
**Institute Name:** Indian Institute of Science
**Problem statement(s):**
**Broad Area of Research:** Recent studies argue that hydrological models must be configured for the specific objectives they need to address. Model configuration involves multiple model decision steps, such as choice of model structure, spatial discretization, spatial representation of forcing and performance metrics to calibrate them. We investigated the influence of each of the decisions in turn
in a standardized framework to understand how differences in these decisions impact flood simulations. These kinds of studies are limited because of the computational demand. The extensive sensitivity analysis and model calibration required for the study is carried out by parallel processing in Param Pravega. In this study, we used the capability of SUMMA model as it allows a straightforward comparison of different model structure choices and can easily be reconfigured for different spatial organization. We also employed a sequential sensitivity analysis using the Efficient Elementary Effect (EEE) method to select the sensitive parameters for each model structure considered in this study. Based on the various choice of model decisions, 36 unique model configurations are constructed and each of them are separately calibrated by the performance metrics. The impact and relative importance of modeling decisions are quantified by ANOVA and effect size respectively. As a test case, we use accurate simulation of flood peaks (expressed as deviation in peak flow, deviation in peak time and relative volume error) that occurred in the Netravathi basin of Karnataka, India to study the impact of the model decisions.
**Work carried, Milestone, Achievements & Graphs, Plots:**
- Installed SUMMA and mizuRoute models required for the study in Param Pravega
- Sensitivity analysis and model calibration required are carried out by parallelizing the model runs in Param Pravega.
**Publications / Articles etc. link (If any) *:**
Alexander,A.A., Nagesh Kumar,D., Knoben W. J. M., Clark Martyn P., (2023). Assessing the sensitivity of parameters and impact of hydrologic modeling decisions in simulation of floods. Journal of Hydrology (ID: HYDROL50796) [Submitted]
**Publisher:** Elsevier
**Work presented in conference/s with photographs (if any):**
Alexander,A.A., Nagesh Kumar,D.“Impact of Subjective Modelling Decisions on Simulation of Flood Events: A Case Study on the Indian Catchment.” Proceedings of the AGU Fall Meeting, Chicago, IL, December 12 -16, 2022. American Geophysical Union, 2022.
**Benefits & experience of using PARAM Pravega:**
- The Param Pravega support team is highly responsive in addressing inquiries.
- The revision of the priority assigned to each queue was beneficial particularly for smaller queues.
- However, the problem of extended queues and lengthy wait times persists.
**Information required for NSM (NationalSupercomputingMission) users**
- **Domain(s)**: Climate & Environment Sciences
- **Sub-domain(s)**: Hydrology
- **Application name(s)**: Hydrological modeling using SUMMA and mizuRoute models.
Title of the work carried out:
a) Implementation of Stochastic GW; b. Phonon linewidths in twisted bilayer graphene; c. Exciton fine structure in twisted transition metal dichalcogenide heterostructures
Name & Designation of the Chief Investigator: Manish Jain
Email Id: firstname.lastname@example.org
Institute Name: Indian Institute of Science
Problem statement(s):
- Stochastic implementation of GW is a linear scaling method, ideally suited for calculating quasiparticle energies of large systems. Implementing this would enable one to calculate quasiparticle energies for defect systems.
- Phonon linewidth in most materials is primarily determined by electron-phonon and phonon-phonon interactions. Twisted bilayer graphene has shown a large number of interesting phenomenon including superconductivity. We have computed phonon lifetimes in twisted bilayer graphene as a function of twist angle, doping and temperature. We developed a framework for calculating electron-phonon and phonon-phonon interactions in these systems with large number of atoms.
- Moiré superlattices of transition metal dichalcogenide (TMD) heterostructures give rise to rich excitonic phenomena associated with the interlayer twist angle and induced changes in the involved quantum states. Theoretical calculations of excitons in such systems are typically based on model moiré potentials to mitigate the computational cost. However, an ab initio understanding of the electron-hole coupling dominating the excitations is crucial to realize the twist-induced modifications of the optical selection rules.
Work carried, Milestone, Achievements & Graphs, Plots:
- The code for calculating quasiparticles with stochastic GW method has been implemented and benchmarked. It gives excellent agreement with other GW codes for a set of 20 molecules on which it was benchmarked. A manuscript of the work is currently being written. A large calculation to showcase the code is also currently underway.
- The electron-phonon and phonon-phonon interaction codes have been written and used to understand the doping, temperature and twist angle dependence. The results are in excellent agreement with experiments. A manuscript is being written and further calculations for electron linewidth and temperature-dependent resistivity are underway.
- We use many-body perturbation theory to compute and analyze the relation between twist angle and exciton properties in twisted TMD heterostructures. We present a general approach for unfolding excitonic states from the moiré Brillouin zone onto the Brillouin zones of the separate layers. Applying this method to a large-angle twisted MoS$_2$/MoSe$_2$ bilayer, we find that the optical excitation spectrum is dominated by mixed transitions between electrons and holes with different momenta in the separate monolayers, leading to unexpected and angle-dependent hybridization between interlayer and intralayer excitons. Our findings offer a design pathway for tuning exciton layer-localization in TMD heterostructures as a function of twist angle.
Publications / Articles etc. link (If any) *:
- Exciton fine structure in twisted transition metal dichalcogenide heterostructures. S Kundu, T Amit, HR Krishnamurthy, M Jain, S Refaely-Abramson
- Tuning exciton complexes in twisted bilayer at intermediate misorientation. R Debnath, S Sett, S Kundu, R Biswas, V Raghunathan, M Jain, A Ghosh, A Singh Physical Review B 106 (12), 125409 (2022).
- Molybdenum and Tungsten Di-sulfides: First Principles Investigation of Adatom Attachment and Diffusion on c-plane Alpha Sapphire and Correlation with Growth. A Lalithambika, VK Kumar, M Jain, S Raghavan
- Crystal Growth & Design 22 (8), 4708-4720 (2022). Breakdown of semiclassical description of thermoelectricity in near-magic angle twisted bilayer graphene. B Ghawri, PS Mahapatra, M Garg, S Mandal, S Bhowmik, A Jayaraman, R Soni, K Watanabe, T Taniguchi, HR Krishnamurthy, M Jain, S Banerjee, U Chandni, A Ghosh Nature Communications 13 (1), 1522 (2022).
- Moiré induced topology and flat bands in twisted bilayer: A first-principles study. S Kundu, MH Naik, HR Krishnamurthy, M Jain Physical Review B 105 (8), L081108 (2022).
- Twister: Construction and structural relaxation of commensurate moiré superlattices. S Naik, MH Naik, I Maity, M Jain Computer Physics Communications 271, 108184 (2022).
Benefits & experience of using PARAM Pravega:
- Most of the calculations would not have been possible without PARAM Pravega. The only downside to the machine is that it is oversubscribed.
Information required for NSM (National Supercomputing Mission) users
- Domain(s)*: Computational Physics/Materials Sciences
- Sub-domain(s): Condensed Matter Physics
- Application name(s)*: PARSEC, BerkeleyGW, Quantum Espresso
Title of the work carried out: Density functional theory-based indicators to predict the corrosion inhibition potentials of ceramic oxides in harsh corrosive media.
Name & Designation of the Chief Investigator: Anson Thomas, Puneet Gupta
Email Id: email@example.com
Institute Name: Indian Institute of Technology, Roorkee, Uttarakhand, India
PROBLEM STATEMENT(S):
Corrosion is a problem that has been plaguing industries since its genesis. Computational methods have been utilized to gain insights into the interaction of corrosive atoms and corrosion inhibitors (CIs) with metal surfaces.\textsuperscript{1,2} Various groups computed the adsorption-inhibition potentials of ceramic oxides and alloys using indicators such as binding energy, Bader charge, and DOS analysis. However, most computational studies dealt only with a single corrosion inhibitor over a particular MO surface, used only a single corrosive environment, or focussed on interactions of the CIs with metal surfaces.\textsuperscript{3–5} A comprehensive study in which various ceramic oxides are compared for their corrosion-inhibition properties in different corrosive media is not available in the literature.
WORK CARRIED, MILESTONE, ACHIEVEMENTS & GRAPHS, PLOTS:
The aim of this study was to develop a computational model that can predict the corrosion-inhibition properties of ceramic oxides in different corrosive environments. The model was built based on periodic DFT. The model was tested on four different corrosion inhibitors, Al2O3, TiO2, HfO2, and ZrO2.
Their performances were tested in three different corrosive media, Cl-rich, O-rich and S-rich media, all of which are well known to cause corrosion of metal surfaces and alloys. All calculations were done using PWscf code which is a part of the Quantum ESPRESSO suite.
Figure 1: Metal oxide slabs (a: Al2O3, b: TiO2, c: HfO2, d: ZrO2) before and after adsorption of Cl atoms.
Likewise, S and O atoms were also adsorbed and analyzed.
Figure 2: The energy released on adsorption (Eads) and accompanying charge transfer plotted for each metaloxide in the three different corrosive media
PUBLICATIONS / ARTICLES ETC.:
Thomas, A.; Khan, T. S.; Gupta, P. Density Functional Theory Based Indicators to Predict the Corrosion Inhibition Potentials of Ceramic Oxides in Harsh Corrosive Media. Phys. Chem. Chem. Phys. 2023, 25 (3), 2537–2545. (doi: 10.1039/D2CP05474D)
PUBLISHER: Physical Chemistry Chemical Physics, The Royal Society of Chemistry
WORK PRESENTED IN CONFERENCE/S WITH PHOTOGRAPHS (IF ANY):
The work was presented in the form of a poster at the international conference on Chemical Engineering: enabling Transition towards Sustainable Future (ChemTSF) organized by the Department of Chemical Engineering, IIT Roorkee (8-10 Sept 2022)
The work was also presented at the Annual Research Scholar’s Day, Chemday-2022, organized by the Department of Chemistry (9 Nov 2022)
REFERENCES:
1. E. E. Ebenso, C. Verma, L. O. Olasunkanmi, E. D. Akpan, D. K. Verma, H. Lgaz, L. Guo, S. Kaya and M. A. Quraishi, Molecular modelling of compounds used for corrosion inhibition studies: a review, Phys. Chem. Chem. Phys., 2021, 23, 19987–20027.
2. C. Verma, E. E. Ebenso, M. A. Quraishi and C. M. Hussain, Recent developments in sustainable corrosion inhibitors: design, performance and industrial scale applications, Mater. Adv., 2021, 2, 3806–3850.
3. F. Chiter, M. L. Bonnet, C. Lacaze-Dufaure, H. Tang and N. Pébère, Corrosion protection of Al(111) by 8-hydroxyquinoline: A comprehensive DFT study, Phys. Chem. Chem. Phys., 2018, 20, 21474–21486.
4. A. Sundar, G. Chen and L. Qi, Substitutional adsorptions of chloride at grain boundary sites on hydroxylated alumina surfaces initialize localized corrosion, npj Mater. Degrad., 2021, 5, 18.
5. J. Li, J. Zhao, H. Shao, Y. Zhang, H. Dong, L. Xia and S. Hu, Anticorrosion mechanism of Cr-doped nickel-base alloy in Br/O environment: a DFT study, Mol. Simul., 2019, 45, 1506–1514.
BENEFITS & EXPERIENCE OF USING PARAM GANGA:
The utilization of PARAM Ganga has been shot in the arm for my research work. I have been able to focus much on the work instead of worrying about software and library installations, troubleshooting, and so on. The wide variety of softwares provided has also helped me extend my domains from simple computational chemistry to several fields. This feat wouldn’t be possible without the computational mammoth, PARAM Ganga. The excellent Ganga Support Team is usually prompt to answer the tickets that are raised and provide working solutions. They are also very supportive and help in exceptional cases. For instance, during the course of the project, some of the calculations to be done were highly extensive, requiring storages much larger than the allocated 200GBs in scratch. The team was kind enough to increase memory allocation to several TBs as per the requirement.
In summary, I have been immensely benefitted from the resources provided on PARAM Ganga, and I extend my sincere gratitude to the whole CDAC Team, and NSM for this resource, in addition to MeitY and DST for funding the same.
ANY OTHER RELEVANT INFORMATION (IF ANY):
CDAC has been doing a tremendous job in terms of giving resources to educational institutions, along with conducting various workshops and conferences to enrich the scholars with knowledge. It would be really nice to conduct more such workshops and conferences in both offline and online modes for research scholars.
**Title of the work carried out:**
a) The study of topology in magnetic and correlated systems.
**Name & Designation of the Chief Investigator:** Amarjyoti Choudhury (Ph.D scholar)
**Email Id:** firstname.lastname@example.org
**Institute Name:** Indian Institute of Technology Roorkee (IIT Roorkee)
**Research Challenge/s:**
The density functional theory (DFT) calculation in magnetic topological material is computationally time-consuming and some calculations run for a long duration which needs high memory.
**Publications / Articles etc.**
1. A. Choudhury, N. Mohanta, and T. Maitra, Interplay of magnetism and band topology in Eu$_{1-x}$Ca$_x$Mg$_2$Bi$_2$ (x = 0, 0.5) from first principles study, arXiv:2210.04250 (2022).
**Benefits & experience of using PARAM Ganga:**
Since my PhD work mostly depends on DFT calculation, the PARAM Ganga helped me a lot to reduce the time consumed for running large super cell calculations and memory issues in the calculation which I had faced before other work station.
**Information required for NSM (National Supercomputing Mission) users**
**Domain(s)**: Computational
**Application name(s)**: VASP, WANNIER90, Wannier-tool
---
**Title of the work carried out:**
Entanglement Dynamics in Gravitating Quantum Systems
**Name & Designation of the Chief Investigator:** Ankit Kumar, Research Scholar, Dept. of Physics
**Email Id:** email@example.com; firstname.lastname@example.org
**Institute Name:** Indian Institute of Technology Roorkee (IIT Roorkee)
**Research Challenge**
Dynamics of a quantum mechanical wave packet evolving in an astonishingly weak gravitational field created by another nearby quantum particle. An accurate simulation required huge amount of computational resources.
**Milestone Plot**
Figure 1 Accumulation of entanglement with gravitational potential truncated at the cubic term. The configuration is for two Osmium spheres of mass $m = 0.25$ pg separated by a distance $L = 2.5$ times their radius. Both the masses are initially prepared in pure Gaussian with a position spread of 2.5 nm. $E$ denotes the logarithmic negativity of the quantum covariance matrix and $S$ denotes the von Neumann entanglement entropy of the density matrix.
**Preprint**
“Entanglement Test of Third-Order Coupling in Gravitating Quantum Systems”, Ankit Kumar, Tanjung Krisnanda, P. Arumugam, and Tomasz Paterek arXiv:2206.12897
**Software repository**
An accurate pentadiagonal matrix solution for the time-dependent Schrodinger equation https://zenodo.org/10.5281/zenodo.7275668 https://github.com/vyason/Cayley-TDSE
**Invited talk**
14 Jan 2023 @ FCRIT, University of Mumbai, Mumbai, India “Using Matrices to Solve the Time-Dependence of Quantum States”
**Work presented in conference**
28-30 Sept 2022 @ Nanyang Technological University, Singapore
Title of the work carried out:
Impact of Reference-Layer Stray Field on the Write-Error Rate of Perpendicular Spin-Transfer-Torque Random-Access Memory
Name & Designation of the Chief Investigator: Brajesh Kumar Kaushik, Professor, Tanmoy Pramanik, Assistant Professor
Email Id: email@example.com, firstname.lastname@example.org
Institute Name: Indian Institute of Technology Roorkee
Problem statement(s):
Relation of the SAF stray field to write-error anomaly in perpendicular spin-transfer-torque magnetic random-access memory
Work carried, Milestone, Achievements & Graphs, Plots:
A finite-temperature micromagnetic study of magnetization switching and write-error rates in a perpendicular magnetic tunnel junction with and without synthetic antiferromagnetic layer (SAF) is presented. We demonstrate a direct relation of the WER ballooning to the SAF-induced stray field using finite-temperature micromagnetic simulation of STT switching of a perpendicular STT-RAM cell. We observe various modes of domain-wall switching consistent with previous experimental and theoretical reports. We find that these modes do not show an appreciable change in the WER slope adequate to explain the ballooning effect. However, once the SAF-induced stray field is taken into consideration, the nucleation (to initiate the switching) and annihilation (to complete the switching) of domains could be severely impacted due to the edge nonuniformity of the stray field. Specifically, we show that the bubbles of the unswitched domain can remain trapped around the edge of the free layer and cause the free layer to flip back to the initial state once the switching current or voltage is turned off. The increase in WER due to these metastable states could explain the ballooning effect observed in the experiments. Optimizing the SAF balance and minimizing the stray field would help to avoid such metastable states and ballooning effects.
I (a)
Standalone FL
FL (1.2 nm)
MgO (1 nm)
RL (1 nm)
(b) With SAF
SAF I (1 nm)
Ru (1 nm)
SAF II (2 nm)
SAF III (1 nm)
(RL only acting as a spin-polarization source, stray field not included)
II (a)
Diameter = 120 nm
SAF III
Avg. SAF III
Standalone FL
SAF III, 233 K
Standalone FL, 233 K
(b) Diameter = 90 nm
SAF III
Avg. SAF III
Standalone FL
(c) Diameter = 80 nm
SAF III
Avg. SAF III
Standalone FL
(d) Diameter = 56 nm
SAF III
Avg. SAF III
Standalone FL
I. Device structure, dimension, and layer thicknesses (a) Standalone FL – the RL is assumed to have no stray field on the FL and (b) MTJ stack with SAF layers included. Three different SAF designs for (b) are considered – “SAF I,” “SAF II,” and “SAF III”. For all three SAF configurations, the stray field inside the FL along the diameter is plotted in (c) and (d) for perpendicular and in-plane directions, respectively.
II. Impact of SAF-induced stray field on the WER slopes for varying FL diameter: (a) 120 nm, (b) 90 nm, (c) 80 nm, and (d) 56 nm.
[Figures taken from https://journals.aps.org/prapplied/abstract/10.1103/PhysRevApplied.19.024016]
Publications / Articles etc. link (If any)*:
https://journals.aps.org/prapplied/abstract/10.1103/PhysRevApplied.19.024016
Publisher:
Journal of Physical Review Applied, APS
Benefits & experience of using PARAM Ganga:
PARAM Ganga has saved us a lot of time and effort while performing the simulations.
Title of the work carried out:
a). An in-silico investigation of different conformations of the PhaC enzyme essential in the synthesis of sustainable plastic polyhydroxyalkanoate
b). In-silico investigation of the PHA synthase enzyme of bacterial strain HLI13B.
c). Genome analysis of keratinolytic bacteria, Bacillus cereus IIPK35, reveals keratinolytic degradation mechanism through MD simulation
Name & Designation of the Chief Investigator: Dr. Saugata Hazra, Associate Professor, Mr. Gireesh Kumar Shroti, PhD Scholar
Email Id: email@example.com, firstname.lastname@example.org
Institute Name: Indian Institute of Technology (IIT) Roorkee.
Problem statement(s):
1. Investigating PhaC enzyme’s structure and dynamics of its different conformations using MD simulation
2. To investigate and understand the structure and dynamics of the PHA synthase enzyme of bacterial strain HLI13B.
3. Performing Genome analysis of keratinolytic bacteria from Bacillus cereus IIPK35, performing docking of keratin-derived peptides with identified keratinase and perform MD simulation to understand its mechanism.
Work carried, Milestone, Achievements & Graphs, Plots:
Dynamics of PhaC enzyme in different conformations
Docking and simulation of keratin derived peptide with keratinase identified from *B. cereus* IIPK35
**Publications / Articles etc. link (if any)**:
- Shroti G.K., Junghare V., Ansari K., Hazra S., An in-silico investigation of different conformations of the PhaC enzyme essential in the synthesis of sustainable plastic polyhydroxyalkanoate, Journal of Biomolecular Structure and Dynamics (submitted).
- Shroti G.K., Junghare V., Ansari K., Hazra S., In-silico investigation of the PHA synthase enzyme of bacterial strain HLI13B (Manuscript under preparation)
- Junghare V., Gazra R., Shroti G. K., Jana A., Ghosh D., Hazra S., Genome analysis of keratinolytic bacteria, Bacillus cereus IIPK35, reveals keratinolytic degradation mechanism through MD simulation (Manuscript under preparation)
**Benefits & experience of using PARAM Ganga:**
The use of PARAM Ganga makes the simulation and analysis fast and efficient.
**Title of the work carried out:**
Mercury-instructed assembly (MiA): architecting clathrintriskelion-inspired highly functional C3-symmetric triskelion nanotorus functional structures into microtorus structures.
**Name & Designation of the Chief Investigator:** Nikunj Kumar, IIrd Year Ph.D. research scholar
**Email Id:** email@example.com
PROBLEM STATEMENT(S):
Peptide-based self-assembling small molecules is a growing field of interest in nanotechnology for creating unusual and meaningful nanoarchitectures.\textsuperscript{1,2} Joshi and coworkers synthesized a triskelion peptide (1) which self-assembles to form nanotorus structures having diameter around 200-300 nm. When Hg (II) ions are introduced into the system these nanotorus structures were changed to structures having diameter around 1-2 µm (Figure 1). We carried out DFT based calculations to study the effect of Hg (II) ions on fascinating self-assembled structures of triskelion peptide 1.
WORK CARRIED, MILESTONE, ACHIEVEMENTS & GRAPHS, PLOTS:
A computational model was constructed by considering truncated peptide chains in all three arms of the peptide 1 interacting with the metal. In the truncated model, we only included the first tryptophan fragment, and the remaining chain was replaced by H to reduce the computational cost (Figure 2). When HgCl\textsubscript{2} was introduced to the system, it fits inside the cavity made by peptide fragments that changes the orientation of indole ring. The inter-molecular distance between the indole rings increases on incorporating HgCl\textsubscript{2} leading to the expansion of the cavity. The tryptophan residue interacts with the metal through the electron-rich cloud of π-electrons of the indole rings by the Cation-π interaction\textsuperscript{3} to form a metal complex with binding energy −7.7 kcal mol\textsuperscript{−1}. (Figure 3). The ORCA quantum package\textsuperscript{4} version 4.2.1 was used for all DFT calculations.
Figure 2: 3-D structure of Truncated Model
Figure 3: Interaction of the metal complex HgM, hydrogens attached to the carbon atoms are omitted to enhance the visual clarity.
PUBLICATIONS / ARTICLES ETC. LINK (IF ANY)*:
K. Kesharwani, R. Singh, N. Kumar, N. Singh, P. Gupta and K. B. Joshi, *Nanoscale*, 2022, **14** (28), 10200-10210.
*Nanoscale, 2022, 14, 10200-10210 DOI: 10.1039/D2NR01524B*
PUBLISHER: Nanoscale, The Royal Society of Chemistry
REFERENCES:
1. N. Singh, R. Singh, S. Sharma, K. Kesharwani, K. B. Joshi and S. Verma, *New J. Chem.*, 2021, **45**(1), 153–161.
2. R. Singh, N. K. Mishra, P. Gupta and K. B. Joshi, *Chem. Asian J.*, 2020, **15**, 531–539.
3. M. Ngu-Schweimlein, J. Merle, W. Meeker, K. R. Langdon and T. Nixon, *Inorg. Chim. Acta.*, 2020, **506**, 119552.
4. F. Neese, *Wiley Interdiscip. Rev. Comput. Mol. Sci.*, 2012, **2**, 73-78.
BENEFITS & EXPERIENCE OF USING PARAM GANGA:
The utilization of PARAM Ganga has been extremely useful for my research work. The large molecules that would take days to get optimized in normal HPCs, now with the help of PARAM Ganga, get optimized in a few hours. The support provided by the team in software and library installations and troubleshooting the bugs has been superb since the installation of the PARAM Ganga. The wide range of software and resources has been opening new windows for carrying out my research work in both detailed and efficient manners. In summary, I have immensely benefitted from the resources provided on PARAM Ganga, and I extend my sincere gratitude to the whole CDAC Team and NSM for this resource, in addition to MeitY and DST for funding the same.
**Title of the work carried out:**
Molecular Dynamics Simulation for beta lactamase enzyme using GROMACS software
**Name & Designation of the Chief Investigator:** M K Ansari, Dr G. D. Varma (Professor)
**Email Id:** firstname.lastname@example.org
**Institute Name:** IIT Roorkee
**Problem statement(s):**
Currently working on different types of beta lactamase enzymes interaction with drugs to study the antimicrobial resistance factors and find the suitable target for drugs as a inhibitor.
**Publications / Articles etc. link (If any)**: Manuscript is Under preparation stage
**Benefits & experience of using PARAM Ganga:**
It is quite fast compared to the facility we have at our lab. And it's make computation easy and smooth.
**Title of the work carried out:**
Orbitally driven spin reorientation in Mn doped YBaCuFeO5.
**Name & Designation of the Chief Investigator:** Mukesh Sharma, Tulika Maitra
**Email Id:** email@example.com
**Institute Name:** IIT Roorkee
**Problem statement(s):**
YBaCuFeO5 (YBCFO) is a type II multiferroic material and hence very important for device applications, especially in making memory devices. It exhibits multiferroic features below room temperature, thus infeasible for room temperature devices. Fe-Cu disordering in YBCFO is observed as a key factor in increasing this multiferroic temperature, so it is prominent material among researchers for studies. Studying the effect of disorders in YBCFO is our major task here.
**Work carried, Milestone, Achievements & Graphs, Plots:**
We have been involved in the following studies:
- Structure optimisation w.r.t. various F-Cu ordering using ab-initio approach.
- Studying the evolution of electronic and magnetic structures w.r.t. doping.
- Charge density calculations and analysis.
Study of exchange process among magnetic ions.
**Publications / Articles etc. link (If any)**: [https://arxiv.org/abs/2302.04072](https://arxiv.org/abs/2302.04072) (Submitted in JPCS)
**Publisher**: Mukesh Sharma, Tulika Maitra
**Benefits & experience of using PARAM Ganga**:
With more nodes and fast processors, PARAM Ganga helped a lot in providing the results in a shorter time, which was impossible with an ordinary workstation.
**Information required for NSM (National SupercomputingMission) users**
**Domain(s)**: Computational Physics
**Application name(s)**: VASP, ELK, SIESTA, WANNIER90
---
**Title of the work carried out**:
Aerosol experiments with the selected CMIP5 model output over the Hindu Kush Himalayan Region using RegCM4.7
**Name & Designation of the Chief Investigator**: Praveen Kumar Singh, Research Scholar
**Email Id**: firstname.lastname@example.org
**Institute Name**: IIT Roorkee
**Problem statement(s)**:
We used a regional climate model to separate impact of aerosols on the future climate variability.
**Work carried, Milestone, Achievements & Graphs, Plots**:
We have completed the experiments and we are analysing the data. Some plots are presented here. We are working on the manuscripts.
Model Precipitation (mm/day) JJAS
Model Precipitation (mm/day) ON
Model Precipitation (mm/day) DJF
Model 2 m Temperature (°C)
MAM
Model 2 m Temperature (°C)
DJF
CRU 2 m Temperature (°C)
JJAS
Publications / Articles etc. link (If any) : Publications are under preparation
Information required for NSM (National Supercomputing Mission) users
Domain(s): Climate & Environment Sciences
Sub-domain(s): Climate Change
Application name(s): RegCM4.7
Title of the work carried out:
a) Ultra-low lattice thermal conductivity in Bi-doped KMgSb and role of spin-orbit coupling in thermoelectric performance: An ab-initio study
b) Spin and current transport in robust half-metallic CoFeGe: An ab-initio investigation
Name & Designation of the Chief Investigator: Dr. Hem C. Kandpal, Asst. Professor
Email Id: email@example.com; firstname.lastname@example.org;
Institute Name: IIT Roorkee
Problem statement(s):
a). Study of electronic and thermal transport and effect of doping and hydrostatic pressure in layered materials. The lattice thermal conductivity is computationally very expensive (We performed density functional theory (DFT) computation on > 10000 structures, each containing 48 atoms).
b). Study of spin and charge transport in half-Heusler compound CoFeGe. We have investigated anomalous Hall conductivity (AHC) and spin Hall conductivity (SHC) which helped us calculate Hall current polarization. We have also reported the longitudinal current polarization. The study helps understanding the potential applications of CoFeGe in spintronics
Publications / Articles etc. link (If any)*:
1. The publication is under review.
A preprint is available at https://doi.org/10.48550/arXiv.2301.04969
2. The publication is under review.
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Materials Science
Sub-domain(s): Transport properties (Spin, charge, and phonon)
Application name(s)*: VASP, Wien2k, and Wannier90
Title of the work carried out:
Theoretical studies on effect of linkage variation of donor/s on the naphthalene diimide based acceptor and its optical properties.
Name & Designation of the Chief Investigator: Dr. K.R. Justin Thomas, Professor, C Saini,
Email : email@example.com
Institute Name: IIT Roorkee
Problem statement(s): Tuning the donor-acceptor configuration to achieve TADF characteristics in the naphthalimide derivatives.
Work carried, Milestone, Achievements & Graphs, Plots:
We have chosen these molecules for computational studies.
HOMO and LUMO calculated using PARAM Ganga supercomputer.
Benefits & experience of using PARAM Ganga:
Param Ganga supercomputing facilities help us to complete the No. of days work in the No. of hours only.
Title of the work carried out:
a) Systematic shell-model study of $^{98-130}$Cd isotopes.
b) Study of nuclear shell structure and radii of neutron-rich nuclei.
c) Beta decay properties of nuclei in the south region of $^{208}$Pb.
Name & Designation of the Chief Investigator: Prof. Praveen C. Srivastava (Associate Professor)
Email: firstname.lastname@example.org; email@example.com; firstname.lastname@example.org
Institute Name: IIT Roorkee
Abstract of the work:
a) Systematic shell-model study of $^{98-130}$Cd isotopes.
We have performed shell-model calculations for the systematic study of even-even $^{98-130}$Cd isotopes with NNLOGO interaction derived from coupled cluster approach, where $^{84}$Se is taken as an inert core. Results for these Cd-isotopes using a realistic effective shell-model interaction, derived from the G-matrix approach with core $^{88}$Sr, have also been shown. We have compared our calculated low-lying excited energy spectra and electromagnetic properties with the experimental data. On the basis of recently available experimental data, we have also predicted spins and parities corresponding to unconfirmed states. We have also reported the properties of 8+ isomeric states in $^{98-104,130}$Cd isotopes.
(Submitted in Journal of Physics G: Nuclear and Particle Physics.)
Information required for NSM (National Supercomputing Mission) users:
1. Domain(s): Computational Physics
2. Sub-domain(s): Computational Nuclear Physics
3. Application name(s): KSHELL, NuShellX.
Title of the work carried out:
Comparison of major and minor subclasses of Class A beta-lactamase using multi-level analysis
Name & Designation of the Chief Investigator: Riya Karan, PhD Scholar; Dr. Saugata Hazra, Associate Professor.
Email : email@example.com, firstname.lastname@example.org
Institute Name: IIT Roorkee
Problem statement(s):
Identifying considerable differences between the major and minor subclasses of class A beta-lactamase, which have not previously been identified by existing classification of class A beta-lactamase that is ultimately assist us to define newer group with characteristics feature.
Work carried, Milestone, Achievements & Graphs, Plots:
RMSD
RMSF
Rg
SASA
Extended loop flexibility
Omega loop flexibility
Dynamic nature of the chosen representative apo structures from major and minor subclasses of Class A beta-lactamase **TEM-1** **SHV-1** **CTX-M-1** **PER-1** **VEB-1** **CIA-1**
Dynamic nature of the chosen representative structures with ampicillin from major and minor subclasses of Class A beta-lactamase **TEM-1** **SHV-1** **CTX-M-1** **PER-1** **VEB-1** **CIA-1**
**Work presented in conference/s with photographs (if any):** Poster presentation at 49\textsuperscript{th} National seminar on crystallography (November 28-30, 2022)
**Benefits & experience of using PARAM Ganga:**
The use of PARAM Ganga makes the simulation and analysis fast and efficient.
**Information required for NSM (National Supercomputing Mission) users**
1. Domain(s)*: Computational biology
2. Sub-domain(s): MD simulation
3. Application name(s)*: Gromacs
**Title of the work carried out:**
Mechanical response of amorphous silica modelled by larger scale particle based simulation
**Name & Designation of the Chief Investigator:** Prof. Shiladitya Sengupta & Assistant Professor
**Email:** email@example.com
**Institute Name:** IIT Roorkee
**Problem statement(s):**
Understanding the response of amorphous materials to applied stress is important from both a fundamental and an applied perspective. [1,2] We investigate the mechanical response of the amorphous silica using large scale, particle based simulation of the modified version of Beest-Karmar-Santen (BKS) model for silica introduced by Saika-Voivod et al. (VSPBKS model). [3,4] We use uniform athermal/quasistatic shear (AQS) protocol. In response to applied shear deformations, plastic rearrangements occur, eventually leading to yielding. We analysed the drop in potential energy, stress, mean square displacement (msd) in z-direction, and jump in the msd and maximum displacement in z-direction as indicator of the plastic event. Our analysis provides new estimate of local mechanical properties of silica.
**Work carried, Milestone, Achievements & Graphs, Plots:**
The Fig.01(a-c) shows the per potential energy, stress (in xy-direction), and mean square displacement (msd) in z-direction vs strain curve for a system with 13824 particles. The each drop in potential energy, stress and step increment in msd in z-direction indication of plastic event. In this work we are interested only at first drop in the potential energy, stress (in xy direction), and step increment in msd in z-direction. The snapshot of the displacement field across the first drop in potential energy shown in Fig.02(a-c). At the first drop in potential energy some of the particles show non-affine displacement (plastic event region highlighted in circle region). Before and after the first drop in potential energy all particles show affine displacement (Fig.02a,c).
**Fig01.** The per particle potential energy, stress (in xy direction), and mean square displacement in z-direction vs strain curve with N=13824 particle. The each drop in potential energy, stress and step increment in msd in z-direction indication of plastic event.
The Fig.03 and 04 shows the jump in local maximum displacement and jump in msd in z-direction between the minimize configuration. The jumps in local maximum displacement and jumps in msd in z-direction are indication of plastic event (non-affine displacement). The each jump corresponds to the drop in potential energy, stress, and step increment in msd in z-direction.
**Fig02.** The snapshot of the displacement field across the first drop in potential energy. (a) Before the first drop in potential energy, (b) At first drop in potential energy, (c) After the first drop in potential energy. All particles shows affine displacement before and after the first drop in potential energy. Plastic event region (non-affine displacement) at the first drop in potential energy.
Fig.02 The snapshot of the displacement field has taken before the first drop in potential energy per particle, at first drop in potential energy, and after the first drop in potential energy. Before and after the first drop in potential energy all particles show affine displacement (shown in blue colour). At the first drop in potential energy we observed the plastic event (highlighted in circle region, non-affine displacement).
Fig.03. The per particle potential energy, stress (in xy direction), and msd (in z-direction) along with local maximum displacement vs strain. The jump in local maximum displacement clearly indicate the plastic event.
Fig.04. The per particle potential energy, stress (in xy direction), and msd (in z-direction) along with change in msd vs strain. The jump in msd in z-direction clearly indicate the plastic event.
Publications / Articles etc. link (if any)*: currently paper write up is on-going
Work presented in conference/s with photographs (if any):
The poster presentation in Complex Fluid Symposium (CompFlu) 2022 organized by Department of Chemical Engineering at IIT Kharagpur between 19 to 21 December, 2022.
Appreciation / Recognition (if any):
References:
1. D. Bonn, M.M. Denn, L. Berthier T. Divoux, and S. Manneville, Rev. Mod. Phys. 89, 035005 (2017)
2. A. Nicolas, E. E. Ferrero, K. Martens, and J. L. Barrat, Rev. Mod. Phys. 90, 045006 (2018)
3. I. Saika-Voivod, F. Sciortino, and P. H. Poole, Phys. Rev. E 69, 041503 (2004)
4. B. W. H. van Beest, G. J. Kramer, and R. A. van Santeen, Phys. Rev. Lett. 64, 1955 (1990)
Benefits & experience of using PARAM Ganga:
PRAM GANGA has greatly benefited my Ph.D. students and Postdoctoral fellows on a variety of research problem. The helpdesk has responded to our requests for program, software, and module installations with great promptitude. It is with deepest gratitude that we acknowledge the support team of PARAM GANGA.
Information required for NSM (National Supercomputing Mission) users
1. Domain(s)*: Atomic & Molecular Science, Computational Physics
2. Sub-domain(s): mechanical response (local yield strain, stress etc.) of amorphous silica
3. Application name(s)*: LAMMPS software
Title of the work carried out:
Multiferroicity in 2D materials using Density Functional Theory (DFT)
Name & Designation of the Chief Investigator: Srishti (Research Scholar)
Email: firstname.lastname@example.org
Institute Name: IIT Roorkee
Work carried, Milestone, Achievements & Graphs, Plots:
Two-dimensional multiferroic materials are highly sought after due to their huge potential for applications in nanoelectronic and spintronic devices. Here, we predict, based on first-principle calculations, a single phase triferroic where three ferroic orders; ferromagnetism, ferroelectricity and ferroelasticity, coexist simultaneously in hole doped GdCl2 monolayer (a ferromagnetic semiconductor). This is achieved by substituting 1/3rd of the Gd2+ ions with Eu2+ in the hexagonal structure of GdCl2 monolayer. The resulting metallic state undergoes a bond-centered charge ordering driving a distortion in the hexagonal structure making it semiconducting again and ferroelastic. Further, the lattice distortion accompanied by a breaking of the lattice centrosymmetry renders a non-centrosymmetric charge distribution which makes the monolayer ferroelectric, at the same time. The two ferroic orders, ferroelectricity and ferroelasticity, present in Eu doped GdCl2 monolayer are found to be strongly coupled making it a promising candidate for device applications. The doped monolayer remains a ferromagnetic semiconductor with large 4f magnetic moment just like the parent monolayer and possesses an even higher (out-of-plane) magnetic anisotropy energy (MAE) than its pristine counterpart as desired for two dimensional magnets to have high transition temperature.
Publications / Articles etc. link (If any)*: arXiv preprint arXiv:2211.02398
Information required for NSM (National Supercomputing Mission) users
1. Domain(s)*: Material Sciences, Computational Physics
2. Sub-domain(s): Density Functional Theory
3. Application name(s)*: Vienna *ab-initio* Simulation Package (VASP)
Title of the work carried out:
A first-principles prediction of high pressure phase and thermoelectric transport in SrAgP
Name & Designation of the Chief Investigator: Dr. Hem C. Kandpal, Asst. Professor;
Email : email@example.com; firstname.lastname@example.org
Institute Name: IIT Roorkee
Problem statement(s):
This work is focused on designing and studying high pressure phase of SrAgP for thermoelectric applications. We have carried out extensive calculation for electron scattering rates and transport, thermal transport, mechanical properties, and structural stability tests for SrAgP at high pressure.
Work carried, Milestone, Achievements & Graphs, Plots:
This work in revision. We will share details after the paper is accepted for publication.
Publications / Articles etc. link (If any): We are planning to submit this work before 08/03/2023.
Benefits & experience of using PARAM Ganga:
We feel blessed to have access to paramgana, which helped us exploring various properties of materials.
Title of the work carried out:
g) Tuning electrostatic interactions to control orientation of GFP adsorption on silica surface.
Name & Designation of the Chief Investigator: Dr. Mithun Radhakrishna, Assistant professor
Email Id: email@example.com
Institute Name: Indian Institute of Technology Gandhinagar
Problem statement(s):
Green Fluorescent Protein (GFP) is a naturally occurring protein found in the jellyfish *Aequorea Victoria*. It is a type of fluorescent protein that emits green light when exposed to ultraviolet or blue light. GFP is useful in a variety of biological and biomedical applications due to its unique properties. Some of its important applications are in the field of imaging to visualize the location and movement of cells, proteins, and other biological molecules in real time, as biosensors to detect the changes in pH or temperature, in drug discovery for the screening of the drugs and as a marker of gene expression to study gene regulation and to track the success of genetic engineering experiments. Overall, GFP has become an indispensable tool in the life sciences due to its versatility, ease of use, and ability to non-invasively monitor biological processes. In this work we have tried to control the orientation of the GFP on the silica surface, in order to get a homogenous surface adsorption, so that this could be used to tag other protein molecules and used in the application for biosensors.
Work carried, Milestone, Achievements & Graphs, Plots:
Publications / Articles etc. (If any)*: NA
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Atomic and Molecular Sciences
Sub-domain(s): Biomolecular Simulations
Application name(s)*: NAMD, GROMACS
Title of the work carried out:
h) Molecular Dynamics and Simulation of Protein-Ligand complex.
Name & Designation of the Chief Investigator: Dr. Ajay Kumar Singh (Associate Professor)
Email Id: firstname.lastname@example.org
Institute Name: Central University of South Bihar
Problem statement(s):
Our work is focused on problems related to the lead finding for iron overload in patients on multiple transfusion treatment in beta thalassemia major. Further, in one of our research studies also targets on FIMA and NDK target in Oral Squamous cell carcinoma.
Work carried, Milestone, Achievements & Graphs, Plots:
Successfully carried simulations for 100ns for multiple targets with the support of HPC System.
Figure 1: RMSD comparative analysis of various protein ligand complex Simulation carried out by the support of HPC system
Publications / Articles etc. (If any)*:
Various articles are under review for publication in reputed journals.
- Piyush Kumar Yadav, Suchitra Singh, Ajay Kumar Singh* Pharmacophore based computational study on inhibitor of TMPRSS6 as hepcidin modulator in iron overload of beta-thalassemia major. Journal of Biomolecular Structure & Dynamics (Under Review).
- Suchitra Singh, Piyush Kumar Yadav, and Ajay Kumar Singh* Structure based High-Throughput Virtual Screening, Molecular Docking and Molecular Dynamics Study of anticancer natural compounds against Fimbriae (FimA) protein of Porphyromonas gingivalis in oral squamous cell carcinoma. Molecular Diversity (Under Revision).
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: NA
Sub-domain(s): NA
Application name(s)*: NA
Title of the work carried out:
a) Nano porosity Evolution During Dealloying
Name & Designation of the Chief Investigator: Dr. Mithun Radhakrishna, Assistant Professor, Discipline of Chemical Engineering, IIT Gandhinagar
Email Id: email@example.com (Investigator ID: firstname.lastname@example.org)
Institute Name: Indian Institute of Technology, Gandhinagar, Gujarat, India
Problem statement(s):
- Identifying the stability factors driving the unfolding of γD Crystallin protein leading to protein aggregation resulting in the formation of cataract
Work carried, Milestone, Achievements & Graphs, Plots:
- Through conducting thorough all-atomistic MD simulations, we have successfully identified the residues that play a critical role in maintaining the stability of the γD-Crystallin protein.
- Moreover, we have identified the hydrophobic interactions that contribute to the stability of the two domains of the γD-Crystallin protein by inducing single- and double-point mutations.
Publications / Articles etc. (If any)*:
- “Effects of Charged Mutations on the Stability of Human γD-Crystallin Protein”,
• Deepshikha Dhosh, Kandarp Sojitra, Anushka Biswas, Manish Agarwal and Mithun Radhakrishna (Submitted, Under review)
Publisher: Physical Chemistry Chemical Physics
• Awards (If any): Prime Minister’s Research Fellowship (December 2020 cycle); PMRF ID: 1700805
• Work presented in conference/s with photographs (if any):
a) Oral Presentation in APS Physics, March Meeting, 2022, Chicago. “Understanding the Unfolding Mechanisms of γD-Crystallin using Molecular Dynamics Simulations”, Deepshikha Ghosh, Kandarp Sojitra, Manish Agarwal and Mithun Radhakrishna.
b) Poster Presentation in MBU@50 symposium, 23rd-25th Jan, 2023, IISC Bangalore. “Effects of Charged Mutations on the Stability of Human γD-Crystallin Protein”, Deepshikha Ghosh, Kandarp Sojitra, Anushka Biswas, Manish Agarwal and Mithun Radhakrishna.
• Appreciation / Recognition (if any):
References:
a) Das, P.; King, J. A.; Zhou, R. β-strand interactions at the domain interface critical for the stability of human lens γD-crystallin. Protein Science 2010, 19, 131–140. 2) Aguayo-Ortiz, R.; Guzmán-Ocampo, D. C.; Dominguez, L. Insights into the binding of morin to human γD-crystallin. Biophysical Chemistry 2022, 282, 106750. 3) Daggett, V.; Levitt, M. Protein unfolding pathways explored through molecular dynamics simulations. Journal of molecular biology 1993, 232, 600–619. 4) Mondal, B.; Nagesh, J.; Reddy, G. Double Domain Swapping in Human γC and γD Crystallin Drives Early Stages of Aggregation. The Journal of Physical Chemistry B 2021, 125, 1705–1715.
Benefits & experience of using PARAM Ananta:
1. Studying mechanism and pathways of protein unfolding and aggregation involves analysing large systems for longer time scales (up to several microseconds) which can be highly computationally intensive and demanding.
2. Param Ananta has helped me in achieving long time scales of simulations (up to several microseconds) for my systems.
3. We have received helpful support from the helpdesk team, who have been responsive in answering our queries and assisting with the installation of the necessary modules and binaries.
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Computational biology, Atomic and Molecular sciences
Sub-domain(s): NA
Application name(s)*: NAMD, GROMACS, pandas, numpy, Matplotlib
Title of the work carried out:
a) Simulating Combustion in Pellets packed with Energetic Intermetallic Particles
Name & Designation of the Chief Investigator: Souritra Garai, BTech. - MTech. Student, Dept. of Mechanical Engineering
Email Id: email@example.com
Institute Name: Indian Institute of Technology Gandhinagar
Problem statement(s):
- Simulate flame propagation in a pellet packed with intermetallic particles, governed by the heat equation
- Model the heat release from combustion of core-shell structured intermetallic particles using atomic diffusion dominated chemical kinetics
- Integrate radiative heat transfer in heat equation to account for heat transfer in sparsely packed pellets
Work carried, Milestone, Achievements & Graphs, Plots:
- Coupled the pellet-scale heat equation with the particle-scale atomic diffusion equations.
- Solved the coupled PDEs simultaneously using an innovative quasi-implicit numerical scheme.
- Compared simulated flame speeds to experimental values for different packing densities of the pellet. Identified acceleration of reactions at high packing densities.
Publications / Articles etc. (If any)*:
- Garai, S., & Sundaram, D. S., A Quasi-Implicit and Coupled Multiscale Scheme for Simulating Combustion of Pellets of Core-Shell Structured Intermetallic Particles. *Combustion and Flame*. DOI: [https://doi.org/10.1016/j.combustflame.2023.11265](https://doi.org/10.1016/j.combustflame.2023.11265)
Publisher:
- Combustion and Flame, ScienceDirect, Elsevier
Awards (If any):
Work presented in conference/s with photographs (if any):
Appreciation / Recognition (if any):
References
Benefits & experience of using PARAM Ananta:
1. PARAM Ananta enabled me to run the simulations parallelly across multiple cores. Further access to high-end GPUs enabled me to explore CUDA programming and parallelize my code for GPU.
2. PARAM Ananta reduced runtime for my simulations from days to hours. This further facilitated quick analysis of the simulation results.
Table 1: Computation time per iteration for serial and parallel versions of the code.
| Processor Make / Model | Number of Processors | Computation Time per Iteration (ms) |
|---------------------------------|----------------------|-------------------------------------|
| Intel(R) Xeon(R) Platinum 8268 CPU | 1 | 67.3 |
| | 8 | 8.7 |
| | 16 | 4.5 |
| | 48 | 1.6 |
| NVIDIA Tesla V100 GPU | 80 multi-processors (MP) | 5.2 |
Any other relevant information (if any):
**Information required for NSM (National Supercomputing Mission) users**
**Domain(s)**: Computational Fluid Dynamics
**Sub-domain(s)**: Combustion, Self-Propagating High Temperature Synthesis (SHS)
**Application name(s)**: Self-written C++ Code, Compilers – GNU/G++ and Intel OneAPI Compiler, Nvidia CUDA
---
**Title of the work carried out:**
a) Post Translational modification in neurodegenerative disorders
**Name & Designation of the Chief Investigator**: Dr. Sharad Gupta Associate Professor
**Email Id**: firstname.lastname@example.org
**Institute Name**: Indian Institute of Technology, Gandhinagar
---
**Problem statement(s):**
Studying the cross talk between various PTMs
**Work carried, Milestone, Achievements & Graphs, Plots**: NA
**Publications / Articles etc. (If any)**: NA
**Information required for NSM (National Supercomputing Mission) users**
**Domain(s)**: Atomic & Molecular Sciences
**Sub-domain(s)**: Molecular dynamics
**Application name(s)**: GROMACS
---
**Title of the work carried out:**
a) Rational Design of Non-Fullerene Acceptors via Sidechain and Terminal Group Engineering: A Computational Study
**Name & Designation of the Chief Investigator**: Dr. Anirban Mondal, Assistant Professor, Chemistry Discipline, IIT Gandhinagar
**Email Id**: email@example.com
Institute Name: IIT Gandhinagar, Palaj, Gujarat-382355, India
Problem statement(s): NA
Work carried, Milestone, Achievements & Graphs, Plots: NA
Publications / Articles etc. (If any)*:
R. Khatua, B. Das, and A. Mondal, “Rational Design of Non-Fullerene Acceptors via Side-Chain and Terminal Group Engineering: A Computational Study” Phys. Chem. Chem. Phys., 2023; DOI: 10.1039/D2CP05958D
Publisher: NA
Awards (if any): NA
Work presented in conference/s with photographs (if any): NA
Appreciation / Recognition (if any): NA
References: NA
Benefits & experience of using PARAM Ananta: NA
Any other relevant information (if any): NA
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Computational Physics, Computational Sciences, Atomic & Molecular Sciences, Material Sciences and Quantum Mechanics
Sub-domain(s): Molecular Dynamics, Monte Carlo Simulation
Application name(s)*: Gromacs, Lammmps, Quantum Espresso, Q-chem, CP2K, Nwchem, numpy
Title of the work carried out:
a) Rational design of surfactant-responsive water-softening agents for washing application
Name & Designation of the Chief Investigator: Prof. Kaustubh Rane, Assistant Professor
Email Id: firstname.lastname@example.org
Institute Name: Indian Institute of Technology, Gandhinagar
Problem statement(s): NA
Work carried, Milestone, Achievements & Graphs, Plots:
Tacticity and sulfonation effect of PSS on calcium-binding behaviour in the presence of dodecyl sulfate Ind. Eng. Chem. Res. 2022, 61, 36, 13442-13452
**Publications / Articles etc. (If any)**:
Gore S. and Rane K., “Effect of Tacticity and Degree of Sulfonation of Polystyrene Sulfonate on Calcium-Binding Behaviour in the Presence of Dodecyl Sulfate”, Ind. Eng. Chem. Res. 2022, 61, 36, 13442-13452. (Impact factor: 4.326) Gore S. and Rane K., “Studying the effect of cross-linking and sulfonation on the calcium binding ability of polystyrene sulfonate in the presence of dodecyl sulfate”, Ind. Eng. Chem. Res. (submitted) (Impact factor: 4.326)
**Publisher**: ACS publications
**Awards (If any)**: NA
**Work presented in conference/s with photographs (if any)**:
Gore S. and Rane K., Molecular dynamics simulations to study the effect of tacticity and degree of sulfonation on calcium-binding behaviour of polystyrene sulfonate in the presence of dodecyl sulfate, Poster presentation in COMPFLU’22 organized by IIT Kharagpur, Dec 19-21, 2022
**Appreciation / Recognition (if any)**: NA
**References**: NA
**Benefits & experience of using PARAM Ananta**: NA
**Any other relevant information (if any)**: NA
**Information required for NSM (National Supercomputing Mission) users**
**Domain(s)**: Atomic & Molecular Sciences, Chemical Sciences, Computational Biology
**Sub-domain(s)**: Molecular Simulation
**Application name(s)**: GROMACS, OpenMPI, VMD
Title of the work carried out:
a) Design of heterogeneous nanoscale pore to study the thermal response of droplet
Name & Designation of the Chief Investigator: Dr. Kaustubh S. Rane, Assistant Professor
Email Id: email@example.com
Institute Name: Indian Institute of Technology, Gandhinagar
Problem statement(s): Effect of temperature on liquid droplet motion in a heterogeneous nanopore
Work carried, Milestone, Achievements & Graphs, Plots:
We considered liquid droplet in a heterogeneous nanopore as the system to carry out the proposed study. Surface couple, thermodynamic modelling was done in order to select the surface pair such that it requires the minimum energy to move the droplet from one surface to another. And roughness is also incorporated in one of the surfaces to achieve the desire surface pair. It is assumed that the all-liquid droplet on all the rough surfaces is under Caxie-Baxter regime. Molecular dynamics (MD) simulations (using PARAM ANANTA) are performed to validate the thermodynamic modelling. It was observed that the simulation results are not in compliance with thermodynamic modelling results. Drying approach was used to calculate the interfacial properties using Monte Carol simulations. These results follow MD simulations results, but the issue is minimum energy requirement is large to affect the droplet motion. So, the next step is to alter the chemical heterogeneity along with roughness to achieve the desired change in temperature. As shown in fig.1 delta T0 from modeling is around 0.05 which means that with temperature change of 0.05 we should observe the droplet motion. (delta T0 refers to the minimum temperature required for the droplet motion). From fig.2 we infer that the minimum temperature required for the droplet motion is greater than 0.1
Fig.1 delta T0 vs fs
Fig.2 delta T0 vs fs with 0.2236 interaction strength
Information required for NSM (National Supercomputing Mission) users
Publications / Articles etc. (If any)*: NA
Publisher: NA
Awards (If any): NA
Work presented in conference/s with photographs (if any): NA
Appreciation / Recognition (if any): NA
References: NA
Benefits & experience of using PARAM Ananta: NA
Any other relevant information (if any): NA
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Computational Sciences
Sub-domain(s): Atomic & Molecular Sciences
Application name(s)*: LAMMPS
Title of the work carried out:
a) Design of heterogeneous nanopore to study the thermal response of droplet
Name & Designation of the Chief Investigator: Dr. Kaustubh S. Rane, Assistant Professor
Email Id: firstname.lastname@example.org
Institute Name: Indian Institute of Technology, Gandhinagar
Problem statement(s): To design a heterogeneous nanoscale pore such that the thermodynamic stable position of liquid droplet is different at two different temperatures using molecular simulations.
Work carried, Milestone, Achievements & Graphs, Plots:
To study the effect of temperature on droplet dynamics in heterogeneous nanopore, we carried out thermodynamic modeling and Molecular simulations. Thermodynamic modeling was done considering the different pairs of crystalline surfaces along with different topologies of one surface. Results showed that FCC110-FCC100 can be the most suitable surface pair to carry out the above study. As shown in fig.1 delta T0 from modeling is around 0.05 which means that with temperature change of 0.05 we should observe the droplet motion. (delta T0 refers to the minimum temperature required for the droplet motion). To validate this hypothesis molecular dynamics simulations were performed using the HPC facility (Param Ananta) at IITGN. From fig.2 we infer that the minimum temperature required for the droplet motion is greater than 0.1. Further analysis showed that the MD results are not in compliance with the modeling results. In order to minimize the energy required for the droplet motion, we want to study the effects of chemical heterogeneity. The solid-liquid interaction strength is altered to achieve chemical heterogeneity on the surface. Currently, we are performing MD simulations for five different solid-liquid interaction strengths.
Fig.1 delta T0 vs fs
Fig.2 delta T0 vs fs with 0.2236 interaction strength
Information required for NSM (National Supercomputing Mission) users
Publications / Articles etc. (If any)*: NA
Publisher: NA
Awards (if any): NA
Work presented in conference/s with photographs (if any): NA
Appreciation / Recognition (if any): NA
References: NA
Benefits & experience of using PARAM Ananta: NA
Any other relevant information (if any): NA
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Computational Sciences
Sub-domain(s): Atomic & Molecular Sciences
Application name(s)*: LAMMPS
Title of the work carried out:
a) Effects of charged mutations on the stability of Human γD-crystallin
Name & Designation of the Chief Investigator: Dr. Mithun Radhakrishna, Assistant Professor, Discipline of Chemical Engineering, IIT Gandhinagar
Email Id: email@example.com
Problem statement(s):
- Identifying the stability factors driving the unfolding of γD Crystallin protein leading to protein aggregation resulting in the formation of cataract.
Work carried, Milestone, Achievements & Graphs, Plots:
- Previous studies have shown that the pathway to aggregation of γD-crystallin protein is through the unfolding of domains. Performing thorough all-atomistic MD simulations, we have successfully identified the residues that play a critical role in maintaining the stability of the YD-Crystallin protein.
- Moreover, we have identified the hydrophobic interactions that contribute to the stability of the two domains of the γD-Crystallin protein by inducing single- and double-point mutations.
Publications / Articles etc. (If any)*:
- "Effects of charged mutations on the stability of Human γD-crystallin," Deepshikha Ghosh, Kandarp Sojitra, Anushka Biswas, Manish Agarwal, and Mithun Radhakrishna (Under review)
Publisher: Physical Chemistry Chemical Physics (Royal Society of Chemistry)
Awards (if any): NA
Work presented in conference/s with photographs (if any):
Poster Presentation in MBU@50 symposium, 23rd-25th Jan 2023, IISC Bangalore. "Effects of Charged Mutations on the Stability of Human γD-Crystallin Protein," Deepshikha Ghosh, Kandarp Sojitra, Anushka Biswas, Manish Agarwal, and Mithun Radhakrishna.
Appreciation / Recognition (if any): NA
References:
1) Das, P., King, J. A., Zhou, R. B-strand interactions at the domain interface critical for the stability of human lens γD-crystallin. Protein Science 2010, 19, 131–140.
2) Aguayo-Ortiz, R., Guzmán-Ocampo, D. C., Dominguez, L. Insights into the binding of morin to human γD-crystallin. Biophysical Chemistry 2022, 282, 106750.
3) Daggett, V., Levitt, M. Protein unfolding pathways explored through molecular dynamics simulations. Journal of molecular biology 1993, 232, 600-619.
4) Mondal, B., Nagesh, J., Reddy, G. Double Domain Swapping in Human γC and γD Crystallin Drives Early Stages of Aggregation. The Journal of Physical Chemistry B 2021, 125, 1705-1715.
Benefits & experience of using PARAM Ananta:
a) Studying mechanisms and pathways of protein unfolding and aggregation involve analysing large systems for longer time scales (up to several microseconds) which can be highly computationally intensive and demanding.
b) Param Ananta has helped me in achieving long-time scales of simulations (up to several microseconds) for my systems.
c) We have received helpful support from the helpdesk team, who have been responsive in answering our queries and assisting with the installation of the necessary modules & binaries.
Any other relevant information (if any): NA
Information required for NSM (National Supercomputing Mission) users
Domain(s)*: Computational biology, Atomic and Molecular Sciences, Bioinformatics
Sub-domain(s): Biomolecular computational sciences, ML/AI/DL
Application name(s)*: NAMD, GROMACS, pandas, numpy, matplotlib
Title of the work carried out:
a) Study of electronic, magnetic and catalytic properties of bulk and 2D materials.
Name & Designation of the Chief Investigator: Dr. Alpa Dashora, UGC Assistant professor)
Email Id: firstname.lastname@example.org
Institute Name: Department of Physics, Faculty of Science, The M.S. University of Baroda, Vadodara-390002 (Guj.)
Problem statement(s):
- The presented work in the report is mainly based on design and study of materials for various energy applications like photocatalysis, electrocatalysis, Gas-sensing, spintronics and thermoelectric. In this direction we have studied carbon dioxide reduction reaction (CO2RR) mechanism over the functionalized g-C3N4, hydrogen evolution and oxygen evolution reactions (HER and OER) along with chlorine evolution reaction (CIER) over modified Co-B
amorphous material. Magnetic properties of La0.7Ca0.3MnO3, 2D MXenes and Heusler alloys are also studied.
**Work carried, Milestone, Achievements & Graphs, Plots:**
Investigate and understand the possible reaction mechanism for CO2RR on Co loaded g-C3N4 in its tri-s-triazine morph [Manuscript under preparation]
We have performed HER, OER, CO2RR on Co-gC3N4 and CoB-gC3N4 single atom catalyst (SAC) and metal functionalized semiconductor, respectively. We have optimized the reaction intermediates following 20 different reaction pathways as shown below, where 13 reactions lead to formation of CH3OH (Methanol) and CH4 (Methane) and rest 7 reactions cease due to improper dissociation. Few of the reactions along with the Energy (eV) vs Reaction Coordinate graph has been attached herein. Although to know rate determining step, we need to undertake vibrational property study in order to calculate the zero-point energy along with Nudged Elastic Band calculation for activation barrier calculation which we couldn’t perform due to limited computational hours. Reactions 1-14 were performed with CO2 at Nitrogen site while 15-20 were performed over Cobalt site of the structure.
Following reactions are considered:
1. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *CO $\rightarrow$ *COH $\rightarrow$ *C $\rightarrow$ *CH $\rightarrow$ *CH2 $\rightarrow$ *CH3 $\rightarrow$ *CH4
2. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *HCOOH $\rightarrow$ *HCO $\rightarrow$ *H2CO $\rightarrow$ *H2CO+*H
3. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *HCOOH $\rightarrow$ *HCO $\rightarrow$ *CHOH $\rightarrow$ *CH2OH $\rightarrow$ *CH3OH $\rightarrow$ *CH3 $\rightarrow$ *CH4
4. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *HCOOH $\rightarrow$ *HCO $\rightarrow$ *CHOH $\rightarrow$ *CH $\rightarrow$ *CH2 $\rightarrow$ *CH3 $\rightarrow$ *CH4
5. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *CO $\rightarrow$ *HCO $\rightarrow$ *CO + *H
6. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *CO $\rightarrow$ *CHO $\rightarrow$ *CHOH $\rightarrow$ *CH2OH $\rightarrow$ *CH3OH $\rightarrow$ *CH3 $\rightarrow$ *CH4
7. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *CO $\rightarrow$ *CHO $\rightarrow$ *CHOH $\rightarrow$ *CH $\rightarrow$ *CH2 $\rightarrow$ *CH3 $\rightarrow$ *CH4
8. Pristine $\rightarrow$ *CO2 $\rightarrow$ *HCOO $\rightarrow$ *HCOOH $\rightarrow$ *HCO $\rightarrow$ *H2CO $\rightarrow$ *H3CO $\rightarrow$ *H3COH $\rightarrow$ *CH3 $\rightarrow$ *CH4
9. Pristine $\rightarrow$ *CO2 $\rightarrow$ *HCOO $\rightarrow$ *HCOOH $\rightarrow$ *HCO $\rightarrow$ *CHOH $\rightarrow$ *OCH + *H
10. Pristine $\rightarrow$ *CO2 $\rightarrow$ *HCOO $\rightarrow$ *HCOOH $\rightarrow$ *HCO $\rightarrow$ *H2CO $\rightarrow$ *H3CO $\rightarrow$ *H3COH $\rightarrow$ *CH3 $\rightarrow$ *CH4
11. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *HCOOH $\rightarrow$ *HCO $\rightarrow$ *H2CO $\rightarrow$ *H3CO $\rightarrow$ *H3COH $\rightarrow$ *CH3 $\rightarrow$ *CH4
12. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *HCOOH $\rightarrow$ *HCO $\rightarrow$ *CHOH $\rightarrow$ *CH2OH $\rightarrow$ *CH2 $\rightarrow$ *CH3 $\rightarrow$ *CH4
13. Pristine $\rightarrow$ *CO2 $\rightarrow$ *HCOO $\rightarrow$ *HCOOH $\rightarrow$ *HCO $\rightarrow$ *H2CO $\rightarrow$ *CH2 $\rightarrow$ *CH3 $\rightarrow$ *CH4
14. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *HCOOH $\rightarrow$ *HCO $\rightarrow$ *H2CO $\rightarrow$ *CH2 $\rightarrow$ *CH3 $\rightarrow$ *CH4
15. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *H + *COOH
16. Pristine $\rightarrow$ *CO2 $\rightarrow$ *HCOO $\rightarrow$ *HCOOH $\rightarrow$ *HCO $\rightarrow$ *H + *CO
17. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *CO $\rightarrow$ *HCO $\rightarrow$ *H + *CO
18. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *CO $\rightarrow$ *COH $\rightarrow$ *CHOH $\rightarrow$ *CH2OH $\rightarrow$ *CHOH + *H
19. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *CO $\rightarrow$ *COH $\rightarrow$ *CHOH $\rightarrow$ *CH $\rightarrow$ *CH2 $\rightarrow$ *CH3 $\rightarrow$ *CH4
20. Pristine $\rightarrow$ *CO2 $\rightarrow$ *COOH $\rightarrow$ *CO $\rightarrow$ *COH $\rightarrow$ *C $\rightarrow$ *CH $\rightarrow$ *CH2 $\rightarrow$ *CH3 $\rightarrow$ *CH4
Understanding the effect of Ni and Co doping in magnetic properties of La0.7Ca0.3MnO3: Magnetic Compton spectroscopy and DFT strategies [J. Magn. Mag. Mater]
This work contains temperature dependent magnetic Compton scattering studies along with DFT + U based calculations for La0.7Ca0.3Mn0.95(Tm)0.05O3 (Tm = Co and Ni). Temperature dependent absolute spin (from MCS data) and total magnetic moment (from magnetization data) of La0.7Ca0.3Mn0.95(Ni/Co)0.05O3 reveals paramagnetic nature at room temperature, therefore the measurement of MCPs at room temperature for these compounds was not feasible. Absolute spin moments of doped La0.7Ca0.3MnO3 (LCMO) was found higher than the magnetization VSM data, inferring antiparallel alignment of orbital moments with spin moments. It is observed that increase in temperature reduces the orbital moment which becomes zero after Tc. The reduction in Tc in Ni/Co doped LCMO was found due to weaker spin-orbital coupling by suppressed orbital magnetic moment.
Fig. 2: Crystal structure of Ni/Co doped LCMO and the pop-up show the distorted octahedra after doping. Here Bule, Yellow, Purple, Red and Green atoms correspond to La, Ca, Mn, O and Ni/Co, respectively
Exploring the role of multi-catalytic sites in amorphous Co-W-B electrocatalyst for hydrogen and oxygen evolution reactions:
This work contains experimental and theoretical investigation of amorphous Co-W-B electrocatalyst for hydrogen evolution reaction (HER) and oxygen evolution reaction (OER). In this study, we have reported important active catalytic sites for HER and OER in amorphous Co-W-B providing bifunctional activity of this material. The optimized Co-W-B catalyst showed promising overpotential values of 97
mV (HER) and 292 mV (OER), respectively, to achieve 10 mA cm\(^{-2}\) in 1 M KOH, with good stability. The promoting effect of W in Co-B was investigated experimentally, while computational tools were used to identify all the possible catalytic sites in amorphous Co-W-B model and classify the most preferred sites for HER and OER. The presence of multi-catalytic sites with specific selectivity towards HER and OER was observed, which explained the bifunctional activity of Co-W-B. In support of experimental observations, Computational investigations reveal the presence of multiple surface sites in Co-W-B that are exclusive for either HER or OER, thus complementing each other and improving the catalytic rates.
Electron localization function (ELF) is used further to understand the role of W in modulation of the bonding nature of Co and B atoms in TF-2CoB site as shown in Fig. 3. Co1-B bond (preferred site for H-adsorption) region shows an ELF value ~0.5 (green colour) shows metallic bonding while that in Co-W-B (W@Co/B) is ~0.35 represents the ionic nature. This manifestation of electron localization between Co1-B bonding region in W@Co/B confirms charge transfer from Co1and B to W atom. In addition to electron localization, the introduction of W also affects the Co1-B bonding nature by increasing its ionicity, which also evident from RDF through the shifting of major peaks. W@Co/B shows change in hydrogen adsorption site over B atom which was earlier over Co1-B bond in Co-B. The computational studies manifested the mutual exclusivity of these HER and OER active sites, suggesting them to be active for a specific reaction only. Based on the calculated overpotential values, the optimum value of d-band centre was identified for both HER and OER. Finally, it was observed that H-adsorption at the most active sites lead to the delocalization of electronic charges and distribution within the system, which uniquely contributes towards higher catalytic activities. This work is under communication with “ACS Applied Energy Materials”.
1.6.4. Oxygen evolution reactions in alkaline seawater by amorphous Co-P-B electrocatalyst: This work contains Study of active sites in Co-P-B catalyst for Oxygen evolution reaction (OER) and Chlorine evolution reaction (CIER). For hydrogen and oxygen generation, Electrocatalysis requires clean water resources which could be major disadvantage. Sea water is large water resource which has potential to fulfil the required need in electrocatalysis. Sea water usually has pH around 8.1 with various anions Cl\(^-\), SO\(_4^{2-}\), F\(^-\), Br\(^-\) and cations like Na\(^+\), K\(^+\), Mg\(^{2+}\), Ca\(^{2+}\). In alkaline electrolyser, Direct use of sea water is huge beneficial point if electrocatalyst can perform OER efficiently even in presence of Cl\(^-\) ions. Alkaline electrolyser artificially contains excess KOH to increase the pH of solution. At such High pH, OER reaction starts with OH\(^-\) instead of H2O. So, four step reaction mechanism of OER continuously consumes OH\(^-\) to generate O2 at anodic sites. Generally, at anodic site OH\(^-\) and Cl\(^-\) both compete with each other for the formation of O2 and Cl2 species. Hence, one needs electrocatalyst
which can promote OER reaction and forbids CIER. In this study, we have studied effect of P on active TF-2CoB site of Co-B electrocatalyst. In previous studies, trifold 2CoB (TF-2CoB) was found active in terms of OER activity. Which is further considered, for enhancement in its activity by doping of P atom with various interaction model. Amorphous Co-B was designed computationally with molecular dynamics simulation as reported in earlier work. Then, various P interacting models such as Co1_Co-P-B (Co1 interacting P), Co2_Co-P-B (Co2 interacting P), 2Co_Co-P-B (both Co1 and Co2 interacting P) and direct_Co-P-B (P t direct TF-2CoB site). Apart from, single P doping further higher concentration of P is also considered in this study. Co-B pristine material shows good OER activity with overpotential about 0.9 V which can further enhanced by P doping. Co-P-B shows reduction in OER overpotential about 0.85 V when P is directly replaced at TF-2CoB site (direct_Co-P-B). while at higher concentration of P, OER overpotential further drops up to 0.76 V, 0.831 V, 0.72 V in Co1_direct_Co-2P-B, Co2_direct_Co-2P-B, 2Co_direct_Co-2P-B, respectively. We have also checked CIER overpotentials at same active sites and all the active site has shown relatively higher overpotential for CIER. This higher overpotential for Chlorine evolution reaction was attributed to stronger binding strength of Cl\(^-\) ions which forbids generation of Cl2. This work will be published soon.
1.6.5. Ground state magnetic properties of Mn3N2Tx (Tx=-F, -OH, -O) MXenes using site-dependent DFT+U approach. Long-range magnetic order along with intrinsic ferromagnetism is highly desirable in two-dimensional (2D) materials for spintronic applications. In the present work, we have explored 2D Mn3N2 MXene system showing intrinsic magnetism along with different terminations groups such as -F, -OH, -O. To compute electronic and magnetic properties, all systems are optimized using ‘self-consistent site-dependent Hubbard U’ approach with generalized gradient approximation (GGA) and GGA+U. Hubbard U parameter has been evaluated by linear response calculation for each system during each cycle of the optimization. Linear response calculation identifies two unique Mn atoms with different chemical environment due to variation in ligand atoms of Mn octahedra probing distinct contribution to magnetic properties of the system. Mn3N2 shows G-type antiferromagnetic (AFM) ground state irrespective of termination groups in GGA calculations. But, self-consistent DFT+U reveals Half-metallic ferromagnetic ground state in all termination’s cases except pristine Mn3N2 which retains G-type AFM nature. This manifestation of magnetic ground state under the change in electron localization has been evaluated by magnetic exchange parameters. Further, we have also calculated magneto-crystalline anisotropy of system to understand the effects of spin-orbit coupling for long-range magnetic ordering to use such materials as potential spintronic device for memory storage application. Manuscript of this work is under preparation and this work will be published soon.
1.6.6. Large Half-metallic Bandgap Family Fe2-xCoxHfSi (x= 0, 0.5, 1, 1.5, 2) for Application in All-Heusler-Alloy MTJ Devices. Fist principles-based study of full Heuslers Fe2-xCoxHfSi (x= 0, 0.5, 1, 1.5, 2) with PBE and TB-mBJ exchange correlation were carried out using Density functional theory as implemented in QuantumEspresso and Wien2k codes. The spin-polarized electronic and magnetic properties were investigated for these alloys, revealing the semiconducting nature of the Fe2HfSi with bandgap of 0.3 eV (0.84) from PBE-GGA (TB-mBJ) approximation. We have used Quantum Espresso to freely optimize all the lattice parameters and the atomic positions, while for the calculation of the electronic properties we utilized Wien2k. Upon doping of Co atom at Fe site, 100 % spin polarized Heusler alloys were predicted. The values of the half-metallic bandgaps for these alloys range from 0.37 to 0.68 eV. Co2HfSi shows the highest half-metallic bandgap ever reported for a Heusler alloy (0.68 eV). The difference between the lattice parameters of Fe2HfSi (smallest) and Co2HfSi (largest) is only 1% which makes the usage of these alloys compelling for MTJ devices requiring minimum lattice mismatch such that it does not cause any additional damage to the half-metallicity. In order to check
the robustness of the halfmetallic nature of Co$_2$HfSi, we applied large hydrostatic pressures and found that the half-metallicity is retained for lattice parameter variations within the range of -8 to 11%.
Fig.4. upper panel shows variation of electronic and half-metallic bandgaps as a function of change in lattice parameters. The lower panel shows the values of total and atomic magnetic moments as a function of change in lattice parameters.
1.6.7. Improving thermoelectric efficiency of full Heusler alloys by increasing the bandgap via isoelectronic doping
Considering the tremendous impact of climate change on the energy sector, waste heat recovery plays a crucial role in utilizing the excess heat to harness in-house devices. Thermoelectric energy generators work on the basis of the fact that heat and electrical currents diffuse at different rates, and these rates can be controlled via tuning electrical and thermal conductivity. We investigated Fe$_2$HfGe$_{1-x}$Si$_x$ (x= 0, 0.5, 1) full Heusler alloy series to observe the effect of the size of the bandgap on the thermoelectric properties. The calculations were based on density functional theory which involves solving Kohn-Sham equations self consistently to find the ground state density. We optimized the lattice parameters and the atomic positions of these alloys using Quantum Espresso. For the further calculations of electronic properties Wien2k is used. For the calculation of the thermoelectric parameters BoltzTraP was used. The change in bandgap and its influence on Seebeck coefficient (S), electrical conductivity ($\sigma$/t), electronic thermal conductivity (ke/t), power factor (S$^2$$\sigma$/t), and thermoelectric figure of merit (ZTe) were investigated within rigid band approximation. Our starting Heusler Fe$_2$HfGe is a metallic alloy. The bandgap increases with the increment in the concentration of the Si doping at Ge site. Maximum value of ZTe = 0.63 was observed for Fe$_2$HfGe$_{0.5}$Si$_{0.5}$ at 250 K with Smax(Fe$_2$HfSi)= 215.9 $\mu$V/K and Smax (Fe$_2$HfGe$_{0.5}$Si$_{0.5}$) = 187.9 $\mu$V/K at 550 K and 300 K, respectively. Our study shows that semiconducting Heusler alloys show bandgap dependent thermoelectric efficiency and suggests Fe$_2$HfSi as a good thermoelectric material on the basis of Seebeck coefficient and thermoelectric figure of merit.
Fig. 5. (a) Seebeck coefficient of Fe$_2$HfGe$_{1-x}$Si$_x$ (x= 0, 0.5, 1) as a function of temperature; (b) ZTe of Fe$_2$HfSi as a function of holes and electron carrier concentration.
1.6.8. Vibrational stability of some Heuslerenes.
The recent surge in research in the field of 2D materials showing variety of properties, drastically enhanced or sometimes completely different to their bulk counterparts has motivated researches to investigate the possibility of existence of similar 2D counterpart of well-known Heusler alloys named “Heuslerene”. Few theoretical studies have reported their existence on the basis of phonon spectra, formation energy and thermodynamic phase diagram. Our goal is to explore more Heuslerenes, especially, to compare bulk and Heuslerene properties, and to find the effects of surface atoms and thickness on the stability of these 2D counterparts. As of now various TaFeSb, TaCoSb and NbFeSb based Heuslerenes have been checked for their phonon spectra. In order to truncate any interaction between the two successive layers, vacuum of 35 Å was introduced. Different phases depending on the atomic positions were considered, the negative values of the phonon frequencies showed that none of the studied materials are dynamically stable. The additional study is required considering higher number of layers and check the behaviour of phonon dispersion curve.
Publications / Articles etc. (If any)*:
H.S. Mund, K.H. Mali, K. Kumar, S. Tiwari, B.R. Bhagat, Y. Sakurai, H. Sakurai, A. Dashora and B.L. Ahuja, J. Magn. Magn. Mater. 565, 170255 (2023).
https://www.sciencedirect.com/science/article/abs/pii/S0304885322011404
Publisher: Elsevier
Awards (If any):
Best Oral Presentation at NCAPSSD-2022, IIIT Gandhinagar.
(Awarded to Ph.D. Student Mr. B.R. Bhagat)
Best Oral Presentation at NCAPSSD-2022, Meet on Condensed Matter Physics and Materials Science (CMPMS-2023) March 4, 2023.
(Awarded to Ph.D. Student Mr. Rushikesh Pokar)
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a) Molecular simulations for energy storage applications.
Name & Designation of the Chief Investigator: Dr. Mithun Radhakrishna, Assistant Professor
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Institute Name: Indian Institute of Technology Gandhinagar, Palaj, Gandhinagar - 382055, Gujarat
Problem statement(s):
Design and testing of flexible 3D printed electrodes with novel porous architecture guided by graph theory and molecular dynamics for high energy density applications
In-Silico characterization of the chemical, mechanical, and transport properties of Polymer Binder for application in Li-ion batteries
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Supercapacitor study using molecular simulations
Reactive molecular simulations in LAMMPS software are used to generate carbon electrodes with tuned pore structures to act as high surface area active material.
The electrodes are positioned at the two ends of the box, and an aqueous electrolyte at the center to simulate a supercapacitor system.
Using the newly developed constant potential method (CPM) in LAMMPS, we simulate the system at different potentials to understand the energy storage properties of nano porous electrodes.
The total charge and the applied voltage difference are used to find the capacitance properties of the electrodes with different pore structures.
Polytetrafluoroethylene (PTFE) and Polyvinylidene fluoride (PVDF) are studied using reactive molecular simulations to analyse their chemical, mechanical, and transport properties.
Properties such as Young’s modulus, yield stress, and Poisson’s ratio are analysed and compared with literature values using shear simulations to understand the stress-strain behaviour.
| | Density (g/cc) | Young’s Modulus (GPa) | Yield stress (MPa) | Poisson’s ratio |
|--------|----------------------|-----------------------|--------------------|-----------------|
| PTFE | 2.06 ± 0.02 | 2.1-2.3 | 0.7 | 0.3 - 2.25 | 62 | 0.8 - 41.4 | 0.344 ±0.0032 | 0.46 |
| PVDF | 1.443 ±0.003 | 1.65-1.88 | 0.67 | 1.3 - 2 | 39 | 36-56 | 0.3567 ±0.0044 | 0.35 |
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The title "Functional Landscapes of the Brain" was borrowed from a particularly elegant study of regional cerebral blood flow changes during cognitive performance by Ingvar and Risberg (1967). Ingvar and colleagues (Risberg and Ingvar, 1973; Ingvar and Schwartz, 1974; Ingvar et al, 1975a) used radioactive xenon to monitor the metabolic regulation of cerebral blood flow (rCBF) which was regionally specific and accompanied problem solving and abstract thinking (Ingvar and Risberg, 1967; Risberg and Ingvar, 1973), voluntary hand movements (Ingvar et al, 1975a), speech and reading (Ingvar and Schwartz, 1974), and electrical cutaneous stimulation (Ingvar et al, 1975b). This work represents the first comprehensive quantitative topographic analysis of regionally specific physiological changes accompanying higher mental activity.
However, a major drawback of blood flow methods is that temporal resolution is on the order of seconds. In contrast, the method of evoked potential (EP) analysis offers the possibility of studying topographic correlates of mental activity on the order of milliseconds. The advantage of finer time resolution lies in the fact that those vital processes intermediate between the presentation of information and the final motor output can be brought under closer scrutiny. As discussed elsewhere (Thatcher, 1976), this is one of the major advantages of electrophysiological tests in contrast to psychometric tests. That is, only electrophysiological measures allow for the dissection of the millisecond transformations of sensory information to higher levels of cascading cognitive processing which occur before motor output and are fundamental to correct and adaptive performance.
In the present paper, preliminary attempts to develop an
"Electrotopographic Task Analysis" (ETA) will be presented. This approach involves applying multivariate statistics to evoked potentials obtained during the performance of cognitive tasks. The full spectrum of multivariate techniques have not, as yet, been applied. This must await further study. However, the novel use of the varimax factor analysis will be emphasized as a method to dissect early (0 to $\approx 250$ msec) and late ($\approx 250$ to 700 msec) evoked potential components which are specific to various aspects of cognitive performance and show regional specificity.
THE NEUROCOGNITIVE TEST BATTERY
The present chapter addresses itself to the application of evoked potentials in active task challenges. The work presented in this chapter dates back to 1973 where the "Background Information Probe" (BIP) paradigm was first presented at a conference on "Behavior and Brain Electrical Activity" (Thatcher and John, 1975).
BIP is a general procedure designed to control for background excitability states that precede and follow information delivery (Thatcher, 1977a). The procedure, which is illustrated in Figure 1, involves the presentation of a variable number of random dot displays (controls), then an information stimulus (the standard,
| CONTROL | INFO | ITI | TEST | POST TEST | RESPONSE |
|---------|------|-----|------|-----------|----------|
| Letters | A | C | | | (Same-Diff) |
| Words | EARLY| EARLY| | | (Same-Diff) |
| Semantic| TALL | SHORT| | | (Same-Diff) |
| Translation | AZUL | BLUE| | | (Same-Diff) |
| Phonemes| be | Pa | | | (Same-Diff) |
(Auditory or Visual)
| NON-VERBAL |
|------------|
| Lines | * | * | (Same-Diff) |
| Forms | | | (Fit - Not Fit) |
| MATHEMATICAL |
|--------------|
| Logic | A | B | (True-False) |
| Add | I | 3 + = 4 | (True-False) |
| Mult | I | 3 x = 3 | (True-False) |
Fig. 1. Examples of items in the Neurocognitive Test Battery
e.g. a letter or word) followed by a second series of random dot displays (intertest interval or ITIs) followed by a second information stimulus (test stimulus) that matches or mismatches the standard. In some of the tasks a third series of random dot displays are presented following the test stimulus in order to further investigate excitability changes as well as to delay responses so as to avoid contamination by movement artifact. All of the displays within a task are equal in duration (20 msec), intensity, and in retinal area subtended (foveal). The interstimulus intervals are typically 1 second but can be varied. Intertrial intervals are usually 4 seconds during which subjects differentially respond to match (same), mismatch (different) and, in some tasks, an uncertain, no operation or neutral condition. A more detailed description of the procedure is presented elsewhere (Thatcher, 1976; 1977a).
It should be emphasized that this is only a prototype test battery. To date, subjects have been run on the letter and word matching tasks, the synonym and antonym task, the Spanish-to-English and English-to-Spanish task, the logic and mathematical tasks, and the form matching tasks. The complete battery has not, as yet, been standardized on a population of normals. Given the difficulty in obtaining government funding this test battery may never be applied in its entirety. It is presented here to illustrate and describe an hypothesized approach to neurocognitive assessment, namely, an evoked potential active task challenge that contains procedural invariants as controls that, theoretically, facilitate diagnostic and prognostic assessment. It can be seen in Figure 1 that all of the various tasks share the general cognitive challenge of delayed matching to sample. That is, a general demand on a subject's attention, the maintenance of the memory of the standard display and a subsequent comparison (sometimes at a concrete level and sometimes at more abstract levels) is required in all tasks. The aim of the test battery is to provide a series of tasks which are short in duration and thus not overly fatiguing and which challenge different aspects of cognitive function involving ascending or descending levels of complexity. Each of the tasks require a subject's continual attention since the subjects cannot predict exactly when the information display will occur. Examination of AEP variance to the random dot control stimuli may help in assessing attention fluctuations. Attention can also be assessed by separately averaging all the EPs elicited on correct trials in comparison to incorrect trials (this assumes that the subject's attention is needed for greater than chance correct performance).
The procedural invariants are an integral part of the test battery and are designed to maximize the following comparisons:
1) Within-Subject-Within-Task Differences; 2) Within-SubjectBetween-Task Differences; 3) Between-Subject-Within-Task Differences; 4) Between-Subject-Between-Task Differences. The first set of comparisons are between the AEPs elicited by succeeding random dot displays that precede information. This represents the control differences which yield information about within subject variance. As will be shown later (see fig. 2), stable and reproducible control AEPs facilitate the interpretation of the varimax factor analysis. Other Within-Subject-Within-Task differences are between AEPs elicited by identical random dot displays that precede and follow the standard stimulus (during the rehearsal period, see Thatcher, 1976; 1977a; 1977b), between AEPs elicited by the standard stimulus and physically identical test stimuli, and between AEPs elicited by test stimuli that match the standard stimulus in comparison to identical test stimuli that mismatch. These and other comparisons in the delayed letter matching task are shown in Table I.
The Within-Subject-Between-Task analyses involve differences within a subject for control, standard, ITI and test conditions across tasks. These comparisons can provide important information about changes in AEP component latencies and anatomical topography which occur as a function of the nature of the task (Thatcher, 1976).
The Between-Subject-Within-Task analyses involve first computing the Within-Subject-Within-Task differences and then comparing any individual subject with any other subject or any individual with the group mean (of the same age or a different age). Z transforms can be used, for instance, to compare the changes between control and the standard stimulus or between the standard and test stimuli, etc., for an individual with respect to the group mean. In this way, differences in 'cognitive style' may be revealed as groups or clusters within the normal population (sometimes with membership = 1) as well as statistically significant deviance from normal in one or more scalp locations which may be related to a disability. Of course, large Ns and careful assessment of variance is necessary to adjust statistical thresholds so as to minimize false positives and false negatives.
The Between-Subject-Between-Task comparison is similar to the previous analysis but involves computing a difference across tasks for an individual with respect to any other individual or group. This analysis may eventually help in providing relevant neurophysiological information about a subject's strengths and weaknesses in cognitive function. Again, large Ns and replications of the discriminate functions are needed to establish the full diagnostic effectiveness of this approach.
It is believed that the meaningfulness of these various comparisons are maximized by the procedural details of the paradigm.
Table I: AEP COMPARISONS THAT DISTINGUISH "CONTENT" VS "OPERATION"
| CONTROL ANALYSES | OPERATION IS CONSTANT WHILE INFORMATION VARIES | INFORMATION IS CONSTANT WHILE OPERATION VARIES |
|------------------|-----------------------------------------------|-------------------------------------------------|
| Control 1 AEP vs Control 2 | "A" Standard AEP vs "B" Standard | "A" Match AEP vs "A" Mismatch |
| Control 1 AEP vs ITI 1-n | "B" Standard AEP vs "C" Standard | "B" Match AEP vs "B" Mismatch |
| Control 1 AEP vs Standard (A, B, C) | "C" Standard AEP vs "A" Standard | "C" Match AEP vs "C" Mismatch |
| Control 1 AEP vs Match (A, B, C) | "A" Test AEPs vs "B" Test AEPs | "A" Standard AEP vs "A" Test |
| Control 1 AEP vs Mismatch (A, B, C) | "B" Test AEPs vs "C" Test AEPs | "B" Standard AEP vs "B" Test |
| Control 1 AEP vs Standard (A, B, C) | "C" Test AEPs vs "A" Test AEPs | "C" Standard AEP vs "C" Test |
itself, that is, the use of psychophysically controlled stimuli, unpredictable stimulus contents and the invariance of the operations of delayed matching invoked in different cognitive tasks. Also, the fact that the procedure requires attention, is interesting to subjects, and minimally fatiguing, helps reduce variance which, in turn, enhances meaningful comparisons.
Another important factor, unique to these procedures, is that stimuli are not presented repeatedly or redundantly. For instance, in the synonym-antonym task (Thatcher, 1977b), 48 different words are presented in a session and subjects are run on only two sessions. In the logic task the letters A, B, C and D are presented but in continually different logical contexts (Thatcher and Maisel, unpublished). Thus, habituation of the content of specific stimuli and redundancy in general is minimized.
Finally, the technique of embedding information within a series of meaningless stimuli should be discussed. The study of background excitability changes using non-contingent probes presented in the same or a different modality is a widely used technique in human and, particularly, animal research (Gershuni et al, 1960; Kitai et al, 1965; Morrell and Morrell, 1965; Khachaturian and Gluck, 1969; Ciganek, 1969; John et al, 1973a; Hudspeth and Jones, 1975). A number of studies (Gastau et al, 1957; John and Killam, 1960; Khachaturian and Gluck, 1969; Khachaturian et al, 1974) and, most recently, a particularly elegant study by Hudspeth and Jones (1975) report systematic changes in the coherence of anatomically distributed electrode sites during conditioning. These changes were complex, often involving regionally specific increases or decreases in coherence. As hypothesized more fully elsewhere (Thatcher, 1976; Thatcher and John, 1977) background neural excitability states represent the initial state from which trajectories of information flow originate. For this reason, it is believed that attempts to quantitize or measure EP waveforms to non-contingent probes is a necessary and vital adjunct to the understanding of the brain's response to information.
APPLICATION OF VARIMAX FACTOR ANALYSIS
The historical development of the field of human electrophysiology illustrates the frequent controversies that occur as a new science or scientific technique emerges. The application of orthonormal systems of equations (such as exponential, Fourier, Walsh analysis, etc.) and multivariate statistics to the analysis of EP data is one example of where controversy still exists. The methodological details and advantages of the application of these methods to EP data analysis, however, is beyond the scope of the present chapter. Several excellent reviews of this subject are available (Glaser and Ruchkin, 1976; John et al, 1977). Suffice
it to say, that different procedures are suitable for different purposes and often involve different assumptions about the natural structure of the data. At this early stage of development it is our strategy to be open to any and all methods of analysis and not to purposely exclude any one or, conversely, to use only one method. However, in comparison to peak-to-peak or baseline-to-peak EP component analysis, there are several distinct advantages to the use of multivariate statistics. One, is that peak-to-peak or baseline-to-peak component analysis implicitly emphasize the independence of the EP components. In contrast, multivariate statistics (such as factor analysis and discriminant analysis) emphasize the covariance of the sequence of time points that comprise the EP. The multivariate approach assumes ignorance of the independence or dependence of the various EP components and asks, simply, which set of covarying time points are distinguishable from other sets of covarying time points. Another advantage of the use of multivariate statistics is that such methods provide for the analysis of large numbers of EPs in a maximally simplistic and parsimonious manner, a feature useful in large population studies.
One method used extensively by the present authors is the varimax rotation of the principal-component axes of the factor analysis (Kaiser, 1958; Harmon, 1967). The varimax rotation has the advantage of facilitating the physiological interpretation of the factors since an AEP tends to have a high coefficient for only one factor, and each factor has zero, or near zero, coefficients for at least some of the AEPs. This minimax constraint tends to produce a type of cluster analysis in which a set of AEPs, with shared waveform characteristics, load maximally on one factor and contribute minimally to any other factor (see John et al, 1973b Thatcher and John, 1975; Thatcher 1976; 1977a; 1977b).
The computer program that we use provides the option of performing the factor analysis on a set of amplitude normalized AEPs. The normalization process, which involves setting the total variance of each AEP equal to unity, constrains the factor analysis such that differential loadings on orthogonal factors occur as a function of AEP waveshape, independent of amplitude. Averaged EPs which differ only in amplitude may suggest a quantitative difference in function but not a qualitative difference. That is, increased amplitude represents either an increase in the number of generators (e.g. glial cells and/or neurons) or greater synchrony with equal population size (Thatcher and John, 1977). AEP waveform changes, on the other hand, reflect alterations in the spatio-temporal distribution of active generators which indicate a qualitative, and not simply, a quantitative difference in function.
An example of the results of varimax factor analysis of amplitude normalized AEPs from the delayed letter matching paradigm is
shown in Figure 2. The top row of waves are AEPs from the various conditions of the letter-matching experiment (controls, standard, ITIs and test). The 4 waves in the column on the left are the orthogonal factors, which in this case accounted for 93% of the variance of all the AEPs. The first factor is called a control factor because it loads primarily on AEPs elicited by the random dot controls (the factor loadings on the AEPs are represented by scaling the amplitude of the factors by their weighting coefficients, see Thatcher and John, 1975 for details). The second factor is called a post-information factor because it loads undifferentially on all information bearing stimuli (Info, Diff. and Same). The third factor is called an information factor since it differentially loads on the first letter and the matching test stimulus but not on the mismatching test stimulus. And
Fig. 2. The top are AEPs (N = 52 for all AEPs except same and different AEPs where N = 26) starting with the fourth control display and extending to the test. The four factors (accounting for 93% of the variance) are in the first column of waves on the left. The empirical description of factors was determined by the relative contribution of a factor to a specific variable of the experiment. Note that the information factor (factor 3) loads heaviest on the AEP produced by the information display and on the AEP elicited by the test stimulus that "matches" (same) the standard display but not on the AEP elicited by the "mismatch" (diff) stimulus. Factors are inverted because they are negatively correlated (from Thatcher and John, 1975).
finally, the fourth factor is called an ITI factor since it loads on the first ITI. Thus, orthogonally different factors loaded on AEPs which were determined by the critical variables of the experiment.
The results of the varimax factor analysis in Figure 2 represents a "within derivation" analysis. That is, all of the AEPs were from one derivation (O1) but were elicited by different stimulus conditions. Another method of analysis involves a "between derivation" factor analysis. That is, AEPs obtained simultaneously from all derivations but for only one stimulus condition at a time. The latter analysis is important since it provides topographic information. An example of such an analysis is shown in Figure 3. This analysis was performed on AEPs elicited in the logic task.
Fig. 3 Top row are AEPs (N=24; analysis epoch = 786 msec) from 12 different derivations elicited by random dot stimuli in the logic task. The three factors (column on left) account for 96% of the variance. Factor loadings are represented by amplitude scaling of the factor waveshapes. The first factor is called a "frontal factor" since it loads most heavily on frontal derivations (T3, T4, Cz, Cz, Fz); the second factor is called a "posterior factor" since it loads most heavily on posterior derivations (O1, O2, P3, P4, T5, T6); the third factor is called an "eye factor" since it loads most heavily on the eye lead.
The three factors in the column on the left account for 96% of the variance. It can be seen that factor one loads slightly on P₃ and P₄ but heavily on anterior derivations, particularly, T₃, T₅, and C₃, C₄. In contrast, factor 2 loads heavily on the posterior derivations, O₁, O₂, P₃, P₄, T₅ and T₆. Factor 3 is a unique factor loading primarily on the eye lead. In general the eye lead loads on an orthogonally different factor than do the scalp leads (Thatcher, 1977b). Differential factor loadings between match and mismatch AEPs and control and standard and ITI AEPs occur maximally in posterior derivations and are absent or attenuated in anterior derivations (see Figures 6 and 7). These consistent findings show that the various phenomena observed in these studies are not due to eye-movements. Another consistent finding revealed by the between derivation factor analysis (such as in figure 3 and table 2) is an anterior-posterior split or differential factor loadings in the anterior-posterior plane. That is, posterior derivations usually load on one factor while anterior derivations load on an orthogonally different factor (Thatcher, 1976). It has been shown that the anterior-posterior split can be altered, systematically, as a function of the various conditions of the BIP procedure (Thatcher, 1977a; 1977b).
Table 2 shows an example of changes in the anterior-posterior dimension, as well as between homologous derivations in the letter matching paradigm. The anterior-posterior split between factors 1 and 2 at T₃ is seen in the control condition. Note also that in the control condition there is an absence of interhemispheric asymmetries. That is, homologous electrode pairs load on the same factor. However, as seen in Table 2, a markedly different organization appears when information is presented to the subject. That is, interhemispheric asymmetries appear in which AEPs from the left and right hemisphere load on orthogonally different factors. Also, the anterior-posterior split disappears and is replaced by a uniform left side loading. That is, P₃, T₅, T₃ and F₇ all load on the same factor. This analysis suggests a functional organization. That is, there is a change in the topographic organization of AEP waveforms as a function of the presentation of information and this change involves an increased commonality of waveform across widely distributed, but lateralized, scalp regions. It is important to note that the interhemispheric asymmetries in table 2, which occur to the presentation of information, represent asymmetries in AEP waveform independent of amplitude. Thus, with this analysis the functional topography can be studied in terms of either amplitude changes or changes in AEP morphology.
LOGIC OF NEGATION AND EQUIVALENCE
There are many different logical systems. For example, there is the classical Aristotelian logic, single valued logical systems
| Derivations | O₁ | O₂ | P₃ | P₄ | T₅ | T₆ | T₃ | T₄ | F₇ | F₈ | EYE | F₂ |
|-------------|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|
| **Control Factors** | | | | | | | | | | | | |
| 1 | 0.89| 0.88| 0.65| 0.85| 0.67| 0.46| 0.06| 0.40| 0.06| 0.06| 0.00| 0.06|
| 2 | 0.06| 0.04| 0.15| 0.07| 0.11| 0.05| 0.63| 0.44| 0.91| 0.83| 0.34| 0.67|
| 3 | 0.00| 0.00| 0.00| 0.00| 0.06| 0.03| 0.29| 0.02| 0.00| 0.02| 0.00| 0.10|
| 4 | 0.00| 0.00| 0.01| 0.00| 0.02| 0.06| 0.01| 0.00| 0.00| 0.01| 0.65| 0.01|
| **First Letter Factors** | | | | | | | | | | | | |
| 1 | 0.90| 0.96| 0.42| 0.57| 0.22| 0.17| 0.02| 0.08| 0.01| 0.01| 0.00| 0.11|
| 2 | 0.04| 0.00| 0.35| 0.10| 0.54| 0.18| 0.95| 0.35| 0.90| 0.04| 0.00| 0.28|
| 3 | 0.01| 0.02| 0.00| 0.07| 0.06| 0.10| 0.00| 0.42| 0.04| 0.95| 0.08| 0.17|
| 4 | 0.00| 0.00| 0.15| 0.16| 0.07| 0.52| 0.00| 0.06| 0.00| 0.00| 0.14| 0.32|
| 5 | 0.00| 0.00| 0.00| 0.01| 0.00| 0.00| 0.00| 0.00| 0.00| 0.77| 0.00| 0.00|
a Varimax factor analysis on amplitude-normalized AEPs from 12 derivations for two different experimental conditions in subject D.D. Each row represents the loading of AEPs from different anatomical derivations on a single factor. Each column represents the factor structure for a given derivation. Results show that AEPs from anterior derivations (T₃ thru F₂) load on different factors than do AEPs from the posterior derivations (O₁ thru T₆).
(Lewis and Langford, 1932), doubled valued or probabilistic systems (Reichenbach, 1949) and Whitehead and Russell's (1925) axiomatic system. All of these systems rely on the concepts of "sameness" and "difference" including Whitehead and Russell who proved that the foundations of axiomatic mathematics is based on logic. George Boole (1951) developed an algebra based entirely on binary classifications which involve the concepts of "sameness" and "difference". These concepts are unique for having played an important role in the history of psychology, mathematics and physics. Recently, G. Spencer Brown (1973) developed a logical notation which formalized in an elegant manner, the concepts of "sameness" and "difference". For instance, twenty-eight pages of complex notation from the "Principia Mathematica" (p. 98-126) was reduced to a single symbolic statement by the formal application of the concept of difference.
Recognition of the fundamental position of the concepts of sameness and difference led to the development of the test battery in Figure 1. That is, the general operation of representational matching is held constant while the content and complexity of tasks varies across items. Given the importance of logic in the development of cognition, a specific logic task was devised. The paradigm, which is represented in Table 3 (for letters A and B only), involves presenting a variable number of random dot control displays followed by a letter (A, B, C or D), followed by an operation sign (= or ≠ or a no operation #), followed by a second letter (A, B, C or D). The number of illuminated dots is the same for all displays. The displays are 20 msec in duration and
Table 3. True, False, and No Operation (NOP) Statements
| Function | First Letter | Operation | Second Letter |
|----------|--------------|-----------|---------------|
| True | A | = | A |
| True | B | = | B |
| True | B | ≠ | A |
| True | A | ≠ | B |
| False | B | = | A |
| False | A | = | B |
| False | A | ≠ | A |
| False | B | ≠ | B |
| NOP | A | # | A |
| NOP | B | # | B |
| NOP | A | # | B |
| NOP | B | # | A |
are presented at a repetition frequency of .66/sec. The subjects are instructed to move a lever to the left if the syllogistic statement is true (e.g. A = A; A ≠ B, etc.), to the right if it is false (e.g., A ≠ A, A = B, etc.) and both left and right in the no operation condition (e.g., A ≠ B, A ≠ A, etc.). All conditions are counterbalanced, there are 48 trials per session and each subject is run on at least two sessions. In this experiment concordance or disconcordance between letters occurs equally probably. Thus, the letter or perceptual aspect of the match-mismatch procedure is the same as in test item one (see figure 1). The difference in this experiment is that the operator determines whether the second letter matches a logic truth function or not. If matching of internal representational systems contributes to late EP positivity, then one might expect that matching of sensory representations with logic representations would also contribute to late positivity. The no operation condition (NOP) should provide valuable information about logic operations since letter AEPs in this condition can be contrasted with the logic conditions. The subjects were not asked to match letters, although the letters were presented successively as in the delayed letter matching experiment. Seven subjects (5 males, 2 females ranging in age from 23 to 35) have been run thus far. Figure 4 shows AEPs from one subject to second letters in the three conditions (truth, falsity, no operation). It can be seen that the EPs elicited by second letters in the truth condition exhibit greater late positivity than EPs elicited by the same letters in the false and no operation conditions ('t' tests are shown at the bottom of the figure).
An example of AEPs from the various conditions is shown in Figure 5. At the bottom of the figure are AEPs elicited by the random dot controls which can be compared to the AEP elicited by the first letter. The latency and shape of the late components of the AEPs elicited by the operator signs (=, ≠ & ≠) are different depending on the operation, while second letter AEPs are different depending on the logical condition.
Topographic analyses using the varimax factor analysis reveal different factor structures from different derivations depending on the different aspects of the task. A 3-dimensional representation of these findings is shown in Figures 6 and 7. The vertical axis represents the factor coefficients beginning at .25. The factors are on the left and the various experimental conditions are on the right. These analyses are from the grand averages computed by summing AEPs from all seven subjects. In the occipital derivations (Fig. 6) factor 1, with a pronounced early component, accounts for the variance due to the control AEPs. Factor 2, with a pronounced late component, accounts for the variance due to the letters and operator symbols. Very little variance is accounted
Fig. 4. AEPs (N = 24) from 1 subject elicited by the second letter of a logic statement (truth e.g., A = A; false e.g., B = A; and no operation A ≠ A). t-tests between true and false conditions are shown at bottom. Arrows point to enhanced late positivity. (Horizontal line represents p = 0.01, two-tailed).
Fig. 5. Example of AEPs from 1 subject (T$_5$) elicited by the various stimuli in the logic task.
for by factor 3, thus most of the variance due to the various conditions of the experiment is accounted for by two factors. Since the two factors differentiate the response to random dots versus letters and operators, the occipital regions (O$_1$ and O$_2$) are given the functional description of differentiating and formatting information input. A somewhat different picture is seen in the parietal and posterior temporal derivations (P$_3$, P$_4$ and T$_5$, T$_6$). In these derivations the factor analysis differentiates between first letters (factor 2) and second letters (factor 3) as well as between the controls (factor 1) and first and second letters. Accordingly, the parietal and posterior temporal derivations are given the functional description of mediating, primarily, secondary operations since there is a differential loading on orthogonal factors between first letters and second letters and a somewhat different factor structure for operators versus second letters. This type of structure was not observed in the occipital derivations. Note that factor 1, which describes the control space, exhibits an early component, factor 2 a late component and factor 3 a complex early-late complex.
Fig. 6. 3-dimensional display of factor analysis of grand mean AEPs (7 subjects) from two different topographic regions. The conditions of the experiment are represented on the right, the factor waveshapes are on the left and the factor loadings are represented by the height of the bars (beginning at .25). Note that factor differentiation between first and second letters occurs only in the parietal-posterior temporal derivations. See text for functional descriptions.
Fig. 7. 3-dimensional display of factor analysis of grand mean AEPs (7 subjects) from two different topographic regions. Explanation of the axes is same as in fig. 6. Note that, in contrast to the analyses in fig. 6, there is no factor differentiation between the random dot controls and first letters in these anterior derivations (i.e., central = $T_3, T_4, C_3, C_4$ and frontal = $F_z$). See text for functional descriptions.
A distinctly different factor structure is seen in anterior derivations (Figure 7). For example, in the central derivations (this same basic factor structure was present in $T_3$, $T_4$, $C_3$ and $C_4$) there is no differentiation (see factor 1) between controls and first letters and the "equals" and "not equals" operators. On the other hand, factor 2 shows heavy loadings for the no operation operator and second letters (NOP and false). In this task the no operation symbol which follows the first letter ($\neq$) "closes" or terminates the task in the sense that the subjects know immediately what their response must be. Similarly, the presentation of the second letters "closes" the task and also determines the subject's response. Thus, the no operator symbol and the second letters have in common task closure or termination. Accordingly, the central derivations (including $T_3$ and $T_4$) are given the functional description of mediating task termination or closure.
The frontal ($F_z$, Figure 7) derivation exhibited a functional structure that was a combination of both the central and the parietal - posterior temporal regions. That is, there was no distinction between first letters and controls. Also, differential loadings occurred to the no operation symbol and the NOP second letter (and somewhat to the $\neq$). However, some differentiation occurred within the second letters (see factor 2) and between the second letters and the operators.
Thus, in summary, the factor analysis reveals differential AEP loadings according to the critical variables of the task which differ in the anterior-posterior plane. All of the AEPs within an analysis were amplitude normalized and no consistent evidence of interhemispheric asymmetries was observed. These results suggest the feasibility of an "Electrotopographic Task Analysis". That is, different regions of the scalp exhibit AEP waveforms that change, differentially, as a function of task demands. The analysis suggests that the occipital regions are involved in information reception, the parietal and posterior temporal regions in secondary and abstract operations, the central regions in task termination and the frontal regions are complexly involved in both central and parietal functions. However, this is not to be interpreted as evidence for strict localization of function since shared functional structures are seen spanning the entire anterior-posterior plane. Also, the data are preliminary in that these particular phenomena were observed in this one experiment and need to be replicated in this and variations of this task. It should be noted, however, that orthogonal factor loadings between controls and words in the synonym-antonym task occur primarily in left side derivations ($P_3$ and $T_5$) and not in the right (see Table 4). Also, a complex anterior-posterior shift in shared factors from left side derivations has been noted in both the delayed letter matching experiment (see Table 2 and Thatcher, 1977a) and the synonym-antonym task (Thatcher, 1977b). This suggests that the exact topography is somewhat unique to each task. More work is needed before definitive statements about function can be made.
DELAYED SEMANTIC MATCHING
Another example of the application of BIP is in the delayed semantic task involving synonym, antonym and neutral word pairs. In this task delayed word pairs such as "large"-"little" (antonym), "small"-"little" (synonym), or "down"-"little" (neutral) are presented. There are 36 different first words and 12 different second words in a session of 36 trials. Thus, the same 12 second words are presented in three different semantic contexts with the three semantic conditions counterbalanced across trials (Thatcher, 1976; 1977b). This task requires remembering the first word and then comparing the meaning of the second word.
Figure 8 shows an example of AEPs elicited by first words, random dot controls and second words. In this experiment only synonyms and antonyms were presented. The AEP response to the first words (top row) was confined largely to occipital and parietal derivations. A similar anatomical distribution was elicited.
Fig. 8. AEPs from delayed semantic matching task (from Thatcher, 1976).
by control stimuli, although the latter elicited a significantly attenuated $N_3-P_3$ complex in comparison to first and second words. The bottom two rows show AEPs to the synonyms and antonyms. A very prominent late positive response (P-400) occurred in widespread regions (even $F_7$ and $F_8$) at 440 msec for the synonyms and 460 msec for the antonyms. Interhemispheric asymmetries were dynamic, occurring only to the second and not to the first words. The asymmetries were maximal in $T_5$ vs $T_6$ involving both the early and late components. An anterior-posterior gradient of asymmetry with maximal temporal involvement was noted in a second semantic experiment that required a Spanish to English and English to Spanish language translation (Thatcher, 1976, 1977c). Figure 9 shows an example of AEP waveform asymmetries in $T_5$ vs $T_6$ derivations elicited during the language translation task. Note that the component asymmetries occur primarily to second words and not to the controls or the first words. This indicates that interhemispheric waveform asymmetries are maximized when higher level language processes are challenged. Unlike other tasks (e.g., logic,
**Fig. 9.** AEPs from Spanish-to-English and English-to-Spanish translation task (from Thatcher, 1977c).
form matching, mathematics, etc.), the semantic tasks, such as those involving language translations or synonym-antonym comparisons, result in pronounced interhemispheric waveform asymmetries which occur independent of AEP amplitude (Thatcher, 1977b).
Another example of a functional topography revealed by the normalized factor analysis is seen in Table 4. The rows represent the various conditions of the synonym-antonym-neutral task while the columns represent the orthogonal factors that describe the AEPs elicited by the task conditions. This factor analysis was performed on the grand averages from all eight subjects performing in the task. It can be seen in Table 4 that in the $P_3$ and $T_5$ derivations AEPs elicited by the random dot controls and the AEPs elicited by words load on orthogonally different factors (factors 1 and 2) where as, in $P_4$ and $T_6$ or the right side derivations, very little factor differentiation between controls and words is observed. This data provides another example of a functional interhemispheric asymmetry in which the signal-to-noise ratio, represented by the brain's responses to randomness versus words, is greater from the left hemisphere than from the right.
**DISCUSSION**
A topographical perspective of brain function is desirable for both basic research purposes and clinical applications. Many attempts toward the development of EEG and EP topographic analyses have been made (see Regan, 1972; and John, 1977 for reviews of this literature). For example, Livanov (1962) and Gavrilova (1970) showed increased coherence of frontal-occipital EEG during mental activation (such as problem solving). Callaway (1975) and Callaway and Harris (1974) demonstrated left hemisphere increases in coherence (using the information theory coupling coefficient) during verbal tasks and right hemisphere increases during spatial tasks. Also, many workers have shown AEP and EEG interhemispheric asymmetries during verbal and spatial tasks (see Donchin et al., 1977 and Thatcher, 1977b for reviews). However, no global and comprehensive electrophysiological analysis has demonstrated reliable and regionally specific changes in brain physiology as a function of the qualitative aspects of a task. As discussed in the introduction, electrophysiology is lagging in that qualitative physiological profiles have been provided by Ingvar and colleagues in their studies of regional blood flow changes.
Theoretically, electrophysiological analyses offer the advantage of very fine time resolution (on the order of milliseconds). This is important since the series transformations from patterns of energy falling on receptors, to spatial temporal electrophysiological activity (ionic flows), to intermediate molecular activity
TABLE 4. EVOKED POTENTIAL FACTOR LOADINGS FOR LEFT AND RIGHT HEMISPHERE DERIVATIONS FROM THE DELAYED SEMANTIC MATCHING TASK
| Left Parietal | Right Parietal |
|---------------|----------------|
| Factors | Factors |
| | 1 | 2 | 3 | 1 | 2 | 3 |
| Control - | 0.69| 0.11| 0.06| 0.80| 0.00| 0.00|
| Control - | 0.92| 0.03| 0.01| 0.83| 0.06| 0.00|
| 1st Word - | 0.25| 0.62| 0.10| 0.97| 0.00| 0.00|
| ITI-1 - | 0.89| 0.04| 0.01| 0.65| 0.01| 0.06|
| ITI-2 - | 0.02| 0.00| 0.98| 0.00| 0.00| 0.99|
| ITI-3 - | 0.61| 0.24| 0.00| 0.60| 0.37| 0.03|
| Neu. - | 0.40| 0.31| 0.25| 0.91| 0.03| 0.00|
| Ant. - | 0.21| 0.47| 0.30| 0.97| 0.00| 0.01|
| Syn. - | 0.25| 0.44| 0.29| 0.98| 0.00| 0.00|
| Left Posterior Temporal | Right Posterior Temporal |
|-------------------------|--------------------------|
| Factors | Factors |
| | 1 | 2 | 3 | 1 | 2 | 3 |
| Control - | 0.80| 0.08| 0.00| 0.50| 0.32| 0.18|
| Control - | 0.89| 0.06| 0.00| 0.42| 0.41| 0.07|
| 1st Word - | 0.23| 0.73| 0.03| 0.86| 0.03| 0.02|
| ITI-1 - | 0.80| 0.11| 0.01| 0.66| 0.24| 0.04|
| ITI-2 - | 0.04| 0.00| 0.95| 0.00| 0.98| 0.01|
| ITI-3 - | 0.81| 0.11| 0.00| 0.27| 0.61| 0.08|
| Neu. - | 0.31| 0.54| 0.12| 0.96| 0.01| 0.01|
| Ant. - | 0.21| 0.69| 0.10| 0.95| 0.01| 0.03|
| Syn. - | 0.25| 0.65| 0.08| 0.95| 0.02| 0.03|
Neu. = neutral second word; Ant. = antonym second word; Syn.= synonym second word. Underlines represent maximum factor loadings for a given condition on a single factor.
(biogenic amines, enkephalin, cyclic AMP, etc.), to macromolecular representations (proteins, aminoacids, etc.) can theoretically be monitored and quantified by a combination of topographic analyses. The brain's responses to drugs, recovery of function following trauma and the evaluation of remediation may someday rely on such measures.
The present chapter emphasizes the application of the varimax factor analysis in the development of an electrophysiological task analysis. The central idea of this approach is two-fold: One, in the between derivation analysis, the idea is to find AEP waveforms that are shared by a subset of topographic regions during a particular cognitive function but are not shared during other cognitive functions; and, two, in the within derivation analysis, the idea is to find AEP waveform differences within a given region that occur to different aspects of a task (also, between tasks or between groups). The varimax analysis maximally finds a subset of waves that reflect commonality or shared processes. An underlying supposition of this approach is that temporal patterns which occur nearly contiguously in different brain regions reflect a common function. Conversely, dissimilar temporal patterns represent a difference in function.
Given the goal of finding commonalities and differences in waveforms, it should be noted that factor analysis possesses a number of weaknesses that do not make this method ideal (see Cooley and Lohnes, 1971). Multidimensional scaling, cluster analysis, minimal spanning trees, and discriminate analysis offer greater promise, if used appropriately, to reveal replicable and invariant processes in time and space related to particular aspects of cognitive function.
In summary, the attempt at an electrophysiological task analysis presented here is still only preliminary. The data obtained to date, however, shows that the use of an active task with non-contingent probes and built-in invariances reveals regionally specific electrophysiological profiles related to different aspects of cognitive function. Furthermore, these profiles reflect shared wave processes within subsets of anatomical derivations.
FOOTNOTES
1 The factor analysis program was written by Dr. Paul Easton for the PDP-12 computer.
2 The amplitude normalization process involves first computing the epoch mean voltage $X = 1/N \sum x_i$, where $x_i$ equals the voltage values in each sample bin. Then a DC level is computed $(\bar{X} - x_i)$ and normalized $\bar{Y}^2 = \frac{(X - x_i)^2}{(\bar{X}^2 - \bar{x}_i^2)} Y_2$. Unity variance is set for all the AEPs by scaling each voltage value so that $\bar{Y}^2 = 1$.
3 The replicability of the factor analyses can be judged by a) 43 out of 43 subjects run in the various tasks to date show differential loadings on control AEPs versus information AEPs; b) 38 out of 43 subjects show a unique ITI factor; c) 7 out of 9 subjects run in the delayed letter matching task showed higher loadings between match and standard AEPs than between mismatch and standard AEPs; and, d) 39 out of 43 subjects showed an anterior-posterior factor structure with one factor loading heavily on anterior derivations ($T_3$ thru $F_7$) and another factor loading heavily on posterior derivations ($O_1$ thru $T_{56}$).
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CAP. XXVIII.
* All monasteries given to the King, which have not lands above two hundred pounds by the year.
Forasmuch as manifest synne, vicious, carnal and abominable living is dayly used and committed commonly in such little and all religious small abbeys, priories and other religious houses of monks, canons and nuns, where the congregation of such religious persons is under the number of twelve persons, whereby the governors of such religious houses, and their covent, spoyle, destroye, consume and utterly waste, as well their churches, monasteries, priories, principal houses, farms, granges, lands, tenements and hereditaments, as the ornaments of their churches, and their goods and chatells, to the high displeasure of Almighty God, slander of good religion, and to the great infamy of the King's highnes and the realm, if redrefs should not be had thereof. And albeit that many continual visitations hath been heretofore had, by the space of two hundred years and more, for an honest and charitable reformation of such unthrifty, carnal and abominable living, yet nevertheless little or none amendment is hitherto had, but their vicious living shamelesly encreaseth and augmenteth, and by a cursed custom so rooted and infected, that a great multitude of the religious persons in such small houses do rather choose to rove abroad in apostacy, than to conform themselves to the observation of good religion; so that without such small houses be utterly suppressed, and the religious persons therein committed to great and honourable monasteries of religion in this realm, where they may be compelled to live religiously, for reformation of their lives, the same else be no redrefs nor reformation in that behalf. In consideration whereof, the King's most royul Majesty, being supreme head on earth, under God, of the church of England, dayly studying and devising the increase, advancement and exaltation of true doctrine and virtue in the said church, to the only glory and honour of God, and the totalextirping and destruction of vice and sin, having knowledge that the premises be true, as well by the attempts of his late visitations, as by sundry credible informations, considering also that divers and great solemn monasteries of this realm, wherein (thanks be to God) religion is right well kept and observed, be destitute of such full number of religious persons, as they ought and may keep, hath thought good that a plain declaration should be made of the premises, as well to the lords spiritual and temporal, as to other his loving subjects the commons, in this present parliament assembled: whereupon the said lords and commons, by a great deliberation, finally be resolved, that it is and shall be much more to the pleasure of Almighty God, and for the honour of his this realm, that the possessions of such small religious houses now being spent, spoiled and wasted for increase and maintenance of sin, should be used and committed to better uses, and the unthrifty religious persons, so spending the same, to be compelled to reform their lives: And thereupon most humbly desire the King's highnes that it may be enacted by authority of this present parliament, That his Majesty shall have and enjoy to him and his
All monasteries given to the King which have not above two hundred pounds lands.
Watson's Compl. Incumb. c. 48.
31 H. 8. c. 13. 35 H. 8. c. 14. 37 H. 8. c. 20. 1 Ed. 6. c. 14.
The King shall have all monasteries before assured to him, or that have been suppressed.
Hob. 242, 307.
They shall enjoy those abbey lands to whom the King hath given them.
Anno viceximo septimo Henrici VIII. [1535]
his heirs for ever, all and singular such monasteries, priories and other religious houses of monks, canons and nuns, of what kinds of diversities of habits, rules or order soever they be called or named, which have not in lands, tenements, rents, tythes, portions and other hereditaments, above the clear yearly value of two hundred pound. (2) And in like manner shall have and enjoy all the sites and circuits of every such religious house, and all and singular the manors, granges, meases, lands, tenements, rents, reverions, services, tithes, pensions, portions, churches, chapels, advowsons, patronages, annuities, rights, entries, conditions, and other hereditaments appertaining or belonging to every such monastery, priory or other religious house, not having, as is aforesaid, above the said clear yearly value of two hundred pound, in as large and ample manner as the abbots, priors, abbesses, prioreisses and other governors of such monasteries, priories and other religious houses now have, or ought to have the same in the right of their houses. (3) And that also his Highness shall have to him and to his heirs all and singular such monasteries, abbies and priories, which at any time within one year next before the making of this act hath been given and granted to his Majesty by any abbot, prior, abbess or prioress, under their covent seals, or that otherwise hath been suppressed or dissolved, and all and singular the manors, lands, tenements, rents, services, reverions, tithes, pensions, portions, churches, chapels, advowsons, patronages, rights, entries, conditions, and all other interests and hereditaments to the same monasteries, abbeys and priories, or to any of them appertaining or belonging; (4) to have and to hold all and singular the premises, with all their rights, profits, jurisdictions and commodities, unto the King's majesty, and his heirs and assigns for ever, to do and use therewith his and their own wills, to the pleasure of Almighty God, and to the honour and profit of this realm.
II. And it is ordained and enacted by the authority aforesaid, That all and every person and persons, and bodies politic, which now have, or hereafter shall have, any letters patents of the King's highness, of any of the sites, circuits, manors, lands, tenements, rents, reverions, services, tithes, pensions, portions, churches, chapels, advowsons, patronages, tithes, entries, conditions, interests or other hereditaments, which appertained to any monasteries, abbies or priories, heretofore given or granted to the King's highness, or otherwise suppressed or dissolved, or which appertaineth to any of the monasteries, abbeys, priories or other religious houses, that shall be suppressed or dissolved by the authority of this act, shall have and enjoy the said sites, circuits, manors, lands, tenements, rents, reverions, services, tithes, pensions, portions, churches, chapels, advowsons, patronages, tithes, entries, conditions, interests and all other hereditaments, contained and specified in their letters patents now being thereof made, and to be contained and expressed in any letters patents hereafter to be made, according to the tenor, purport and effect of any such letters patents;
patents; and shall also have all such actions, suits, entries and remedies to all intents and purposes, for any thing and things contained in every such letters-patents now made, or to be contained in any such letters hereafter to be made, in like manner, form and conditions, as the abbots, priors, abbesses, prioresstes, and other chief governors of any religious houses which had the same, might or ought to have had, if they had not been suppressed or dissolved.
III. Saving to every person and persons, and bodies politick, their heirs and successors, (other than the abbots, priors, abbesses, prioresstes, and other chief governors of the said religious houses specified in this act, and the convents of the same, and their successors, and such as pretend to be founders, patrons or donors of such religious houses, or of any lands, tenements or hereditaments belonging to the same, and their heirs and successors,) all such right, title, interest, possessions, leases for years, rents, services, annuities, commodities, fees, offices, liberties and livings, pensions, portions, corrodies, synodies, proxies, and all other profits, as they or any of them hath, ought or might have had, in or to any of the said monasteries, abbies, priories or other religious houses, or in or to any manors, lands, tenements, rents, reversions, tithes, pensions, portions, or other hereditaments appertaining or belonging, or that appertained to any of the said monasteries, priories or other religious houses, as if the same monasteries, priories or other religious houses had not been suppressed by this act, but had continued in their essential bodies and states that they now be, or were in.
IV. Provided always, and be it enacted, That forasmuch as divers of the chief governors of such religious houses, determining the utter spoil and destruction of their houses, and dreading the suppressing thereof, for the maintenance of their detestable fore their lives, have lately fraudulently and craftily made scoffments, estates, solutions shall be void, gifts, grants and leases, under the convent seals, or suffered recoveries of their manors, lands, tenements and hereditaments in fee-simple, or fee-tail, for term of life or lives, or for years, or charged the same with rents or corrodies, to the great decay and diminution of the houses; that all such crafty and fraudulent recoveries, scoffments, estates, gifts, grants and leases, and every of them, made by any of the said chief governors of such religious houses, under their convent seals, within one year next before the making of this act, shall be utterly void and of none effect: (2) provided always, That such person and persons as have leases for term of life or years, whereupon is reserved the old rents and terms accustomed, and such as have any offices, fees or corrodies, that have been accustomed or used in such religious houses, and have bought any livery or living in any such houses, shall have and enjoy their said leases, offices, fees, corrodies, liberties, liveries and livings, as if this act had never been made.
V. And it is further enacted, by authority aforesaid, That the Ornaments, King's highness shall have and enjoy to his own proper use, all jewels, goods,
such ornaments, jewels, goods, chattels and debts, which appertained or belonged to any of the chief governors of the said monasteries or religious houses, in the right of their said monasteries or houses, at the first day of March in the year of our Lord God 1535. or any time sithen whensoeuer, and to whose possession soever they shall come or be found, except only such beasts, grain and woods, and such other like chattels and revenues, as have been sold before the said first day of March or sithen, for the necessary or reasonable expences or charges of any of the said monasteries or houses.
Provided always, That such of the said chief governors which have been elect or made abbot, prior, abbess or priores of any of the said religious houses sithen the first day of January, which was in the year of our Lord God 1534. and by reason thereof be bounden to pay the first-fruits to the King's highness, at days to come, limited by their bonds made for the same, that in every such case such chief governors and their sureties, or any of them, shall be clearly discharged by authority of this act, against the King's highness, and all other persons, for the payment of such sums of money as they stand bounden to pay for the said first-fruits, or for any part thereof. And forasmuch as the clear yearly value of all the said monasteries, priories and other religious houses in this realm, is certified into the King's exchequer, amongst the books of the yearly valuation of all the spiritual possessions of this realm, amongst which shall and may appear the certainty and number of such small and little religious houses, as have not in lands, tenements, rents, tythes, portions and other hereditaments, above the said clear yearly value of two hundred pounds:
VI. Be it therefore enacted by authority aforesaid, That the King's highness shall have and enjoy, according to this act, the actual and real possession of all and singular such monasteries, priories and other religious houses, as shall appear by the said certificate remaining in the King's exchequer, not to have in lands, tenements, rents, tithes, portions and other hereditaments, above the said clear yearly value of two hundred pounds, so that his Highness may lawfully give, grant and dispose them, or any of them, at his will and pleasure, to the honour of God, and the wealth of this realm, without farther inquisitions or offices to be had or found for the same.
* In consideration of which premises to be had to his Highness, and to his heirs, as is aforeaid, his Majesty is pleased and contented, of his most excellent charity, to provide to every chief head and governor of every such religious house, during their lives, such yearly pensions and benefices as for their degrees and qualities shall be reasonable and convenient, wherein his Highness will have most tender respect to such of the said chief governors, as well and truly preserve and keep the goods and ornaments of their houses, to the use of his Grace, without spoil, waste, or embezzling the same; and also his Majesty will ordain and provide, that the covents of every such religious house shall have
have their capacities, if they will, to live honestly and virtuously abroad, and some convenient charity disposed to them towards their living, or else shall be committed to such honourable great monasteries of this realm wherein good religion is observed, as shall be limited by his Highness, there to live religiously during their lives; and it is ordained by the authority aforesaid, That the chief governors and covents of such honourable great monasteries shall take and accept into their houses, from time to time, such number of the persons of the said covents as shall be assigned and appointed by the King's highness, and keep them religiously, during their lives, within their said monasteries, in like manner and form as the covents of such great monasteries be ordered and kept.
Provided always, that all archbishops, bishops and other persons which be or shall be chargeable to and for the collection of the tenths, granted and going out of the spiritual possessions of this realm, shall be discharged and acquitted of and for such parts and portions of the said tenths wherewith the said houses of religion, suppressed and dissolved by this act, were charged or chargeable to the King's highness, except of such sums of money thereof, as they or any of them have or shall have received for the said tenths, of the chief governors of such religious houses.
Provided also, That where the clergy of the province of Canterbury stand and be indebted to the King's highness in great sums of money, remaining yet unpaid, of the rest of a hundred thousand pounds granted and given to his Grace in their convocation, towards the payment whereof the said religious houses should have been contributory if they had not been suppressed by this act; and also some of the governors of the said religious houses have been collectors for levying of the said debt, and have received thereof great sums of money yet remaining in their hands; the King's most royal majesty is pleased and contented to deduct, abate, release and defalk, to the said clergy, of the said rest yet unpaid, as well such sums of money as any the chief governors of such religious houses hath received, and not paid, as so much money as every of the said religious houses, suppressed by this act, were rated and taxed to pay in any one year, to and for the payment of the said hundred thousand pounds: and also the King's majesty is pleased and contented, that it be enacted by authority aforesaid, that his Highness shall satisfy, content and pay all and singular such just and true debts which been owing to any person or persons by the chief governors of any the said religious houses, in as large and ample manner as the said chief governors should or ought to have done if this act had never been made:
Provided alway, That the King's highness, at any time after the making of this act, may at his pleasure ordain and declare, by his letters patents under his great seal, that such of the said religious houses which his Highness shall not be disposed to have suppressed nor dissolved by authority of this act, shall still continue,
continue, remain and be in the same body corporate, and in the said essential estate, quality and condition, as well in possessions as otherwise, as they were afore the making of this act, without any suppression or dissolution thereof, or of any part of the same, by authority of this act, and that any such ordinance and declaration, so to be made by the King's highness, shall be good and effectual to the chief governors of such religious houses which his Majesty will not have suppressed, and to their successors, according to the tenors and purports of the letters patents thereof to be made; any thing or things contained in this act to the contrary hereof notwithstanding.
Provided also, That where the clergy of the province of York stand and be indebted to the King's highness in great sums of money yet unpaid, of the rest of such sums of money which was granted by them to his Majesty in their convocation, towards the payment whereof the religious houses that shall be suppressed and dissolved by this act, being within the same province, should have been contributory if they had not been dissolved, and also some of the governors of the said religious houses within the said province, that shall be suppressed by this act, have been collectors for levying of part of the said sums of money granted to the King's highness as is aforesaid, and have certain sums thereof in their hands yet unpaid, the King's majesty is pleased and contented to deduct, abate, release and defalk, to the said clergy of the said province of York, of the rest of their said debt yet unpaid, as well such of the said sums of money, as any chief governors of any religious houses within the same province, that shall be suppressed by this act, hath collected and not paid, as so much money as every of the said religious houses, suppressed by this act, were rated and taxed to pay in any one year, towards the payment of the said sums of money granted to the King's highness.
A proviso for the cells of other monasteries being under obedience.
VII. Provided always, That this act, or any thing or things therein contained, shall not extend, nor be prejudicial to any abbots or priors of any monasteries or priories being certified into the King's exchequer to have in possessions and profits spiritual and temporal above the clear yearly value of two hundred pounds, for or concerning such cells of religious houses, appertaining or belonging to their monasteries or priories, in which cells the priors or other chief governors thereof be under the obedience of the abbots or priors to whom such cells belong, as the monks or canons of the covents of their monasteries or priories, and cannot sue nor be sued, by the laws of this realm, in or by their own proper names, for the possessions or other things appertaining to such cells whereof they be priors or governors, but must sue and be sued in and by the names of the abbots or priors to whom they be obediencers, and to whom such cells belong; (2) and also be priors or governors dative, and removable from time to time, and accountants of the profits of such cells, at the only pleasure and will of the abbots or priors to whom such cells belong; but that every such cell shall be
and remain undissolved in the same estate, quality and condition, as if this act had never been made; any thing in this act to the contrary hereof notwithstanding.
VIII. Saving always, and reserving unto every person and persons, being founders, patrons or donors of any abbies, priories or other religious houses, that shall be suppressed by this act, their heirs and successors, all such right, title, interest, possession, rents, annuities, fees, offices, leases, commons, and all other profits whatsoever, which any of them have, or should have had, without fraud or covin, by any manner of means, otherwise than by reason or occasion of the dissolution of the said abbies, priories or other religious houses, in, to or upon any the said abbies, priories or other religious houses, whereof they be founders, patrons or donors, or in, to or upon any the lands, tenements or other hereditaments appertaining or belonging to the same, in like manner, form and condition, as other persons and bodies politic be saved by this act, as is afore rehearsed, and as if the said abbies, priories or other religious houses had not been suppressed and dissolved by this act, but had continued still in their essential bodies and estates as they be now in; any thing in this act to the contrary hereof notwithstanding.
IX. And be it further enacted, ordained and established by authority aforesaid, That all and singular persons, bodies politic and corporate, to whom the King's majesty, his heirs and successors, hereafter shall give, grant, let or demise any site or precinct, with the houses thereupon builded, together with the demeans of any monasteries, priories or other religious houses, that shall be dissolved or given to the King's highness by this act, and the heirs, successors, executors and assigns of every such person, body politic and corporate, shall be bound by authority of this act, under the penalties hereafter ensuing, to keep, or cause to be kept, an honest continual house and household in the same site or precinct, and to occupy yearly as much of the same demeans in ploughing and tillage of husbandry, that is to say, as much of the said demeans which hath been commonly used to be kept in tillage by the governors, abbots or priors of the same houses, monasteries or priories, or by their farmer or farmers occupying the same within the time of twenty years next before this act.
X. And if any person or persons, bodies politic or corporate, that shall be bounden by this act, do not keep an honest household of husbandry and tillage, in manner and form as is aforesaid, that then he or they so offending shall forfeit to the King's highness for every month so offending, six pounds thirteen shillings and four-pence, to be recovered to his use in any of his courts of record.
XI. And over that it is enacted by authority aforesaid, That all justices of peace, in every shire where any such offence shall be committed or done, contrary to the true meaning and intent of this present act, shall, in every quarter and general sessions, inquire of and punish offenders.
within the limits of their commission, enquire of the premises, and shall have full power and authority to hear and determine the same, (2) and to tax and assiss no less fine for every the said offences, than is afore limited for the same offences, (3) and the estreats thereof to be made and certified into the King's exchequer, according and at such time and form, as other estreats of fines, issues and amerciaments been made by the same justices.
Cui quidem bille perleit &c. talit'eft respons' le Roy le vult.
Statutes made at Westminster, Anno 28 Hen. VIII. and Anno Dom. 1536.
ACTS made in the parliament begun and holden at Westminster the eighth day of June in the eight and twentieth year of the reign of our most dread sovereign lord King Henry the Eighth, and there continued and kept till the dissolution of the same parliament the eighteenth day of July, to the honour of God, and for the common weal and profit of this his realm.
CAP. I.
An act that abjurers in cases of petty treason shall not have clergy.
WHERE in the last parliament begun and holden at London the third day of November in the one and twentieth year of the King's most gracious reign, and from thence adjourned to Westminster, and there holden and continued by divers and sundry prorogations, it was enacted, amongst other things, That such person and persons which did flee or resort to any parish church, cemetery or other like hallowed place, for tuition of his life, by occasion of any murder, robbery or other felony by the same person committed, and thereupon confessed any murder, felony or other offence before a coroner, for the which the same person, by the law of this realm afore that time used, should abjure and pass out of this realm, shall be directed by the coroner to take his abjuration to any one sanctuary being within this realm, which the same person would elect and choose, there to remain as a sanctuary-man abjured during his natural life; (2) and if after such abjuration any person so abjured came out of the same sanctuary to the which he was assigned, and be taken without the same sanctuary, not having the King's special pardon or licence so to do; that then every such person abjured, and after abjuration taken without sanctuary whereunto he was assigned, should suffer like pain of death, and after such like manner should be ordered, as he should have done and biden in case he had abjured this realm for murder or felony, and after such abjuration had returned again into this realm, contrary |
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An Investigation of the Health Benefits of Honey as a Replacement For Sugar In the Diet
A thesis submitted in fulfilment of the requirements of the degree of
Doctor of Philosophy
in Biological Sciences
at the University of Waikato
By
Lynne Merran Chepulis
THE UNIVERSITY OF
WAIKATO
Te Whare Wānanga o Waikato
2008
Abstract:
Sugar (primarily sucrose) has been a part of the daily diet for literally hundreds of years, but research is now suggesting that sugar intake can be detrimental to our health. In particular, excessive consumption of simple sugars with high glycemic index (GI) values have been shown to cause overeating and weight gain. As well, elevated postprandial hyperglycemia can result after consuming sugars and this has been linked to disease formation and progression, the development of advanced glycation endproducts, inflammation and increased mortality rates. Honey has been recognised as having a number of beneficial health properties, including slower uptake into the bloodstream, a pharmacological action of reducing blood glucose levels and a high level of bioavailable antioxidants, all of which may mean that honey could be less harmful to health than sucrose in the diet. This study was therefore designed to investigate the health benefits of honey in the diet as a replacement for sucrose, using small animal studies. As well, because of the interest in using honey as a replacement for sucrose in sweetened dairy foods, a small number of *in vitro* investigations were carried out to determine whether honey could retain its bioactive properties when combined with milk/dairy products.
Using the *in vitro* studies, it was shown that the combination of milk with honey had no effect on either the antibacterial or antioxidant capabilities of honey.
During the animal feeding studies a number of significant findings were observed. In the earlier work it was shown that honey had a significant effect on protein metabolism when fed for 14 days at a level of 600 g/kg diet (comprising 480 g sugars and 120 g water) compared with animals fed an equivalent amount of sucrose. In this study, honey-fed rats exhibited significantly lower weight gains ($p < 0.001$), food intake ($p < 0.05$) and nitrogen intakes ($p < 0.05$) and significantly higher faecal nitrogen outputs ($p < 0.05$) compared with sucrose-fed rats. Animals fed a diet consisting of 480 g/kg of mixed sugars as in honey generally exhibited protein metabolism parameters that were comparable to those of the sucrose-fed rats, suggesting that the effects of honey on protein metabolism were not due solely to its distinctive sugar composition.
Furthermore, in another study that specifically investigated the effects of honey on weight regulation, honey (100 g/kg diet) resulted in significantly reduced weight gain after 6 weeks ($p < 0.01$) compared with animals fed the same amount of sugars as sucrose, although food intake was not reduced in this study. Percentage weight gains were shown to be comparable between honey-fed rats and those fed a sugar-free diet, suggesting that differences in glycemic control may be partly responsible for the results seen. Fasting lipid profiles and blood glucose levels were...
also measured in this study, but no significant differences were observed between diet groups.
During long-term (12 months) feeding weight gain was again significantly reduced in rats fed honey ($p < 0.05$) and a sugar-free diet ($p < 0.01$) compared with those fed sucrose, the weights of honey-fed rats and those fed the sugar-free diet being comparable at the end of the study. In addition, blood glucose levels were significantly lower ($p < 0.001$), and HDL-cholesterol levels significantly higher ($p < 0.05$) in animals fed honey compared with those fed sucrose after 52 weeks, but no differences in these parameters were observed between rats fed sucrose and a sugar-free diet. No other significant differences in lipid profiles were observed. Immunity measures were improved after feeding honey or sucrose for 52 weeks, animals in both of these diet groups having significantly higher levels of neutrophil phagocytosis compared with those fed the sugar-free diet (both $p < 0.0001$). In addition, the percentage of leukocytes that were lymphocytes was significantly higher in honey-fed rats at the end of the study. Furthermore, levels of oxidative damage in aortic collagen were significantly reduced in rats fed honey or the sugar-free diet (both $p < 0.05$) compared with those fed sucrose after 52 weeks.
Full body DEXA scans were also undertaken in this 12-month study to assess body fat levels and bone mineral composition and density, although they revealed few statistically significant differences. Percentage body fat levels were shown to be nearly 10% lower in honey-fed rats compared with sucrose-fed animals at the end of the study ($p < 0.05$), but no other significant differences between diet groups were observed. With one exception, no differences in bone mineral composition or bone mineral density were observed between the three diet groups after 52 weeks. This data agreed with the results generated from two earlier studies that showed that feeding honey short-term (for 6–8 weeks) to rats that were either calcium-deficient or fed a low calcium diet had no effect on bone calcium levels, bone mineral content, bone mineral density or bone breaking parameters.
Lastly, long-term feeding of honey to rats had a number of statistically significant effects on anxiety and cognitive performance when assessed using animal maze tasks. Anxiety-like behaviour was significantly reduced in honey-fed rats overall compared with those fed sucrose ($p = 0.056$) or a sugar free diet ($p < 0.05$). Spatial memory was also better in honey fed-rats throughout the 12 month study, these animals not displaying the same degree of age-related spatial memory loss seen in the other two diet groups. No significant differences in recognition memory or learning capability were observed between diet groups after 52 weeks.
In conclusion, both short-term and long-term feeding of honey result in a number of health benefits compared with eating similar amounts of sucrose. These
include less weight gain, improved immunity, reduced levels of oxidative damage and improved cognitive performance. These effects of honey are likely to occur through a number of different processes, although the presence of high concentrations of antioxidants and other minor components in honey are likely to be important contributors. Honey may therefore help to improve human health if it is used as an alternative to sucrose in foods and beverages, although feeding studies in humans are required to assess its efficacy. In addition, more animal studies are needed to assess which features of honey (e.g. fructose content, antioxidant content and bioactivities) are required to achieve optimal effects, and to determine what impact heating and food processing may have on the beneficial health effects of honey.
Acknowledgements:
There are many people who have helped to make this PhD thesis a reality whom I wish to extend my thanks and appreciation to:
Peter, my supervisor, mentor and friend. Many thanks go to you for your continued guidance, support and encouragement throughout this degree.
Kerry and Bruce, our wonderful technicians who were always there to lend a hand, and to point me in the right direction when things went astray.
Nicola, who kindly gave her time without ever being officially involved in this thesis. You were a life saver more than once, and a key reason why all the behavioural data turned out as good as it did.
Joe, for his help in the design and understanding of the behavioural component of this thesis.
Chrissie, Janice, Sheridan and the others at Crop and Food Research in Palmerston North. Thank you for the endless help and friendship whilst I was working there, and when I wasn’t. Thank you also for the continued guidance during all the studies I undertook at the University.
Joanne and the rest of the group at Fonterra Brands, without whose financial support this PhD would never have become a reality.
Bridget and the higher powers that be at Crop and Food Research, who ever so kindly allowed me to include work from CFR in this thesis. Thank you.
Tony, my ever-considerate husband. For sacrificing all those gadgets and toys you wanted so that I could get those three little letters after my name. You’re still my shining star!
Special thanks must also go to my family, whose constant love, support and encouragement have made me the person I am today. Thank you!
To my baby girl, Sophie
May you live a long and happy life.
With all my love.
| Abbreviation | Description |
|--------------|-------------|
| ABTS | 2,2′-Azino-bis(3-ethylbenzthiazoline-6-sulphonic acid) |
| AGE | Advanced glycation end-products |
| ANOVA | Analysis of variation |
| BMC | Bone mineral composition |
| BMD | Bone mineral density |
| CFR | Crop and Food Research |
| CHD | Cardiovascular heart disease |
| COV | Coefficient of variation |
| DEXA | Dual energy X-ray absorptiometry |
| DNA | Deoxyribose nucleic acid |
| DNI | Dietary nitrogen intake |
| EDTA | Ethylenediamine tetraacetic acid |
| EPM | Elevated plus maze |
| FCR | Food conversion ratio |
| FITC | Fluorescein-isothiocyanate |
| FNO | Faecal nitrogen output |
| GE | Gross energy |
| GI | Glycemic index |
| HbA1c | Glycated haemoglobin |
| HCl | Hydrochloric acid |
| HDL | High-density lipoprotein (cholesterol) |
| HNE | 4-Hydroxy-2-nonenal |
| LDL | Low-density lipoprotein (cholesterol) |
| MDE | Malondialdehyde |
| N | Nitrogen |
| NPU | Net protein utilisation |
| OD | Optical density |
| PBS | Phosphate buffered saline |
| PVC | Polyvinyl chloride |
| RDI | Recommended dietary intake |
| SCFA | Short chain fatty acids |
| SEM | Standard error of the mean |
| TEAC | Trolox equivalent antioxidant capacity |
| UNO | Urinary nitrogen output |
# Table of Contents:
Abstract..........................................................................................................................i
Acknowledgements....................................................................................................iv
Dedication..................................................................................................................v
Abbreviations.............................................................................................................vi
Table of Contents.......................................................................................................vii
List of Tables............................................................................................................xiii
List of Figures..........................................................................................................xv
## Chapter 1: Introduction and Literature Review .........................................................1
1.1 The Use of Sugar and Other Sweeteners In Food...................................................2
1.1.1 History of Sugar..............................................................................................2
1.1.2 Problems Associated with Sugar Intake.......................................................3
1.1.3 Artificial Sweeteners.....................................................................................5
1.1.4 Natural Sweeteners.......................................................................................6
1.2 Honey: An Overview...............................................................................................8
1.2.1 Historical Uses of Honey...............................................................................8
1.2.2 Composition..................................................................................................9
1.3 The Antimicrobial Activity of Honey.....................................................................11
1.3.1 Osmolarity and Acidity................................................................................11
1.3.2 Hydrogen Peroxide.......................................................................................12
22.214.171.124 Variability of Glucose Oxidase Activity / Hydrogen Peroxide Production ..................................................................................................................13
126.96.36.199 Rates of Hydrogen Peroxide Production in Honey.............................14
1.3.3 Other Components.......................................................................................15
1.4 Antioxidant Capacity of Honey.............................................................................16
1.4.1 Oxidative Stress............................................................................................16
1.4.2 Antioxidants in Honey ................................................................................16
1.5 Anti-Inflammatory Activity of Honey.....................................................................19
1.5.1 Significance of Inflammation in Health.....................................................19
1.5.2 The Anti-Inflammatory Properties of Honey...............................................20
188.8.131.52 Are The Anti-Inflammatory Properties of Honey Due to its Antioxidant Content?........................................................................................................21
1.6 Pre-Biotic Effect of Honey ................................................................. 22
1.6.1 Probiotics vs. Prebiotics ......................................................... 22
1.6.2 Prebiotic Effect of Honey ....................................................... 25
1.7 Other Health Properties of Ingested Honey ........................................... 27
1.7.1 Gastric Health ........................................................................ 27
1.7.2 Anti-Cancer Effects of Honey .................................................. 30
1.7.3 Effects on Biochemical and Physiological Indices ..................... 30
1.7.4 Effects on Immunity ............................................................... 32
1.8 Overview of This Thesis .................................................................... 33
1.8.1 Aims of This Thesis ................................................................. 34
Chapter Two: Materials and Methods .......................................................... 36
2.1 Materials .......................................................................................... 36
2.1.1 Trial Locations ...................................................................... 36
2.1.2 Experimental Animals ............................................................ 37
2.1.3 Experimental Diets ................................................................. 37
2.1.4 Ethical Approval .................................................................... 39
2.2 Methods ........................................................................................... 39
2.2.1 Gross Energy ........................................................................ 39
2.2.2 Calcium Measurements .......................................................... 40
2.2.3 Fat and Protein Measurements ............................................... 41
2.2.4 Glycated Hemoglobin (HbA1c) .............................................. 41
2.2.5 Fasting Lipid Profiles ............................................................. 41
Chapter Three: *In Vitro* Honey-Milk Interaction Studies ............................. 43
3.1 Antibacterial Activity ........................................................................ 43
3.1.1 Introduction .......................................................................... 43
3.1.2 Methods .............................................................................. 45
184.108.40.206 Sample Preparation ....................................................... 45
220.127.116.11 Assay of Antibacterial Activity ..................................... 45
3.1.3 Results ................................................................................. 46
3.1.4 Discussion ........................................................................... 47
3.2 Antioxidant Activity ........................................................................... 49
3.2.1 Introduction .......................................................................... 49
3.2.2 Methods .............................................................................. 49
18.104.22.168 Sample Preparation ....................................................... 49
22.214.171.124 Reagent Preparation ..................................................... 50
126.96.36.199 Assay ................................................................. 50
188.8.131.52 Calculation of Antioxidant Activity ....................... 51
3.2.3 Results .................................................................. 51
3.3 Discussion .................................................................. 52
Chapter Four: The Effect of Honey versus Sucrose and Mixed Sugars on Protein Uptake and Protein Metabolism in Weanling Rats .................................................. 54
4.1 Introduction ................................................................ 54
4.2 Materials and Methods .............................................. 56
4.2.1 Experimental Animals ........................................... 56
4.2.2 Experimental Diets ............................................... 56
4.2.3 Experimental Procedures ..................................... 57
4.2.4 Statistical Analyses ............................................. 59
4.3 Results ...................................................................... 59
4.3.1 Weight Gain and Food Intake ............................... 59
4.3.2 Urinary and Faecal Output ................................. 59
4.3.3 Nitrogen Balance Data ........................................ 59
4.3.4 Biological Value, Protein Digestibility and Net Protein Utilisation ........................................ 60
4.4 Discussion .................................................................. 60
Chapter 5: The Weight Loss Potential of Honey versus Sucrose and Mixed Sugars in Adult Rats .......................................................... 66
5.1 Introduction ................................................................ 67
5.2 Materials and Methods .............................................. 69
5.2.1 Experimental Animals ........................................... 69
5.2.2 Experimental Diets ............................................... 70
5.2.3 Experimental Procedures ..................................... 70
5.2.4 Statistical Analyses ............................................. 71
5.3 Results ...................................................................... 72
5.4 Discussion .................................................................. 74
Chapter 6: The Effect of Honey versus Sucrose, Mixed Sugars and a Sugar-Free Diet on Weight Gain in Young Rats .................................................. 77
6.1 Introduction ................................................................ 77
6.2 Materials and Methods .............................................. 78
6.2.1 Experimental Animals ........................................... 78
6.2.2 Experimental Diets ............................................... 80
6.2.3 Experimental Procedures ................................................................. 80
6.2.4 Statistical Analyses .................................................................. 80
6.3 Results ......................................................................................... 81
6.4 Discussion .................................................................................... 85
Chapter 7: The Effect of Honey versus Sucrose on the Recovery of Bone Density following a Calcium-Deficient Diet in Rats ........................................... 91
7.1 Introduction .................................................................................. 91
7.2 Materials and Methods ................................................................. 94
7.2.1 Experimental Animals ............................................................. 94
7.2.2 Experimental Diets ............................................................... 94
7.2.3 Experimental Procedures ...................................................... 95
7.2.4 Statistical Analyses ............................................................... 97
7.3 Results ......................................................................................... 97
7.3.1 Phase 1 (Weeks 1–3): Assessment of Feeding a Calcium-Free Diet vs the Control Diet ................................................................. 97
184.108.40.206 Weight Gain/Food Intake ............................................... 97
220.127.116.11 Bone Data and Serum/Urinary Calcium Levels ............... 98
7.3.2 Phase 2 (Weeks 4–6): Assessment of Feeding a Calcium-containing Sucrose- or Honey-based Diet to Calcium Deficient Rats versus Control Animals ......................................................... 100
18.104.22.168 Weight Gain/Food Intake ............................................... 100
22.214.171.124 Bone Data and Serum/Urinary Calcium Levels ............... 100
7.3.3 Week 3 versus Week 6 .......................................................... 101
7.4 Discussion .................................................................................. 102
Chapter 8: The Effect of Honey versus Sucrose on Calcium Bioavailability in Weanling Rats Fed a Low Calcium Diet .................................................. 105
8.1 Introduction ................................................................................ 105
8.2 Materials and Methods ............................................................... 106
8.2.1 Experimental Animals .......................................................... 106
8.2.2 Experimental Diets .............................................................. 106
8.2.3 Experimental Procedures ..................................................... 107
8.2.4 Statistical Analyses .............................................................. 109
8.3 Results ....................................................................................... 109
8.4 Discussion .................................................................................. 112
Chapter 9: The Long-Term Effects of Feeding Honey versus Sucrose and a Sugar-Free Diet on Age-Related Parameters .......................................................... 117
9.1 Introduction ........................................................................................................... 118
9.2 Materials and Methods ......................................................................................... 122
9.2.1 Experimental Animals and Housing ............................................................. 122
9.2.2 Experimental Diets ....................................................................................... 122
9.2.3 Experimental Procedures .............................................................................. 125
126.96.36.199 Weight Gain and Food Intake ............................................................... 125
188.8.131.52 Sample Analyses .................................................................................. 125
9.2.4 Statistical Analyses ....................................................................................... 128
9.3 Results .................................................................................................................... 128
9.3.1 Weight Gain and Food Intake ....................................................................... 128
9.3.2 Blood Glucose (HbA1c) and Cholesterol Levels .......................................... 130
9.3.3 DEXA Scans .................................................................................................. 132
9.3.4 Neutrophil Phagocytosis and Lymphocyte Populations ............................. 133
9.3.5 Measurement of Advanced Glycation End-Products .................................. 133
9.4 Discussion .............................................................................................................. 133
Chapter 10: The Long-Term Feeding Effects of Honey versus Sucrose and a Sugar-Free Diet on Cognition .......................................................... 142
10.1 Introduction ........................................................................................................... 143
10.1.1 Choice of Behavioural Tasks ..................................................................... 147
10.2 Materials and Methods ......................................................................................... 148
10.2.1 Experimental Animals and Housing ............................................................. 148
10.2.2 Behavioural Studies: Overall Design ........................................................... 148
10.2.3 Elevated Plus Maze .................................................................................... 149
10.2.3.1 Apparatus ............................................................................................ 149
10.2.3.2 Testing Routine .................................................................................. 150
10.2.4 Y Maze ........................................................................................................ 151
10.2.4.1 Apparatus ............................................................................................ 152
10.2.4.2 Testing Routine .................................................................................. 152
10.2.5 Open Field Study ......................................................................................... 153
10.2.5.1 Apparatus ............................................................................................ 153
10.2.5.2 Testing Routine .................................................................................. 154
10.2.6 Object Recognition Task .............................................................................. 155
10.2.6.1 Testing Routine .................................................................................. 156
10.2.7 Light Extinction Task ................................................................................... 157
10.2.7.1 Apparatus ................................................................. 158
10.2.7.2 Testing Routine ......................................................... 159
10.2.8 Statistical Analyses ....................................................... 160
10.3 Results ............................................................................. 161
10.3.1 Elevated Plus Maze ...................................................... 161
10.3.2 Y Maze ........................................................................... 163
10.3.3 Open Field Task ............................................................ 165
10.3.4 Object Recognition Task ............................................... 168
10.3.5 Light Extinction Task .................................................... 170
10.4 Discussion ....................................................................... 172
Chapter 11: General Discussion .................................................. 181
11.1 Use of Animal Models for Nutritional Investigations ............ 181
11.2 Implications for Human Health .......................................... 184
11.2.1 Negative Aspects of Consuming Honey ....................... 188
11.3 Conclusions ..................................................................... 190
References ............................................................................. 193
Appendices ............................................................................. 261
List of Tables:
Table 1.1: Antioxidant content of honey .......................................................... 16
Table 3.1: The antibacterial activities of three different honeys (RE7, HD19 and PS3) alone and when diluted in 100% reconstituted whole or skim powdered milk ......................................................... 47
Table 3.2: Mean antioxidant capacity (TEAC) of honey, milk and honey/milk solutions ................................................................. 52
Table 4.1: Composition of experimental diets (g/kg) ........................................... 57
Table 4.2: Nutritional composition of the experimental diets ............................. 58
Table 4.3: Assessment of the experimental endpoints in rats fed the experimental diets ................................................................. 61
Table 5.1: Composition of the experimental diets (g/kg) .................................... 71
Table 6.1: Composition of the experimental diets (g/kg) .................................... 79
Table 6.2: Endpoint measurements for rats fed the experimental diets for 6 weeks in a weight-gain evaluation study .............................................. 83
Table 6.3: Percentage body fat levels, as measured using Soxhlet extraction, after single (original) and double (repeat) mincing sessions ........ 84
Table 7.1: Composition of the experimental diets (g/kg) .................................... 95
Table 7.2: Assessment of Phase 1 (Weeks 1–3) weight gain and food intake for rats fed either the control sucrose-based diet or the calcium-deficient diet ........................................................................................................ 98
Table 7.3: Assessment of Week 3 bone measurements and urinary/serum calcium levels for rats fed the either the control sucrose-based diet or the calcium-free diet ........................................................................................................ 99
Table 7.4: Assessment of weight gain and food intake during Weeks 4–6 (Phase 2) for control rats continuing to be fed the control calcium/sucrose-based diet, and for calcium-deficient rats fed the sucrose- or honey-based diets .............................................. 100
Table 7.5: Assessment of Week 6 bone measurements and urinary/serum calcium levels for rats continuing to be fed the control sucrose-based diet, and for calcium deficient rats fed the sucrose- or honey-based diets ........................................................................................................ 101
Table 8.1: Composition of Experimental Diets (g/kg) ........................................ 107
Table 8.2: Endpoint measurements for rats fed the experimental diets for 8 weeks in a calcium absorption study .............................................. 111
| Table 9.1: | Composition of Experimental Diets (g/kg) | 124 |
|-----------|----------------------------------------|-----|
| Table 9.2: | Mean data for rats fed diets that were either sugar-free, or contained 7.9% sucrose or 10% honey after 12 months of feeding. | 131 |
| Table 9.3: | Mean DEXA Data for rats at the end of feeding for 12 months on diets that were either sugar-free, or contained 7.9% sucrose or 10% honey. | 132 |
| Table 10.1: | Definition of behavioural elements in the elevated plus maze. | 151 |
| Table 10.2: | Arm of first choice (% of animals) after being placed back into the start arm at the start of phase two where the animal was given access to all three arms. | 164 |
List of Figures:
Figure 1.1: Production of hydrogen peroxide and gluconic acid by the enzyme glucose oxidase .................................................................12
Figure 5.1: Actual mean weight gain for rats fed diets containing either 8% sucrose, 8% mixed sugars, or 10% honey ........................................72
Figure 5.2: Mean percentage weight gain for rats fed diets containing 8% sucrose, 8% mixed sugars, or 10% honey ........................................73
Figure 5.3: Mean weekly food intake for rats fed diets containing 8% sucrose, 8% mixed sugars, or 10% honey ........................................73
Figure 6.1: Actual weight gains for rats fed diets containing either no sugar, 8% sucrose, 8% mixed sugars or 10% honey .......................82
Figure 6.2: Mean percentage weekly weight gains for rats fed diets containing either no sugar, 8% sucrose, 8% mixed sugars or 10% honey ........................................82
Figure 7.1: Schematic representation of the dietary treatment regime ........96
Figure 8.1: Mean actual weight gains for rats fed diets containing either 7.9% sucrose or 10% honey over an 8 week period .......................110
Figure 9.1: Actual mean weight values for rats fed diets that were either sugar-free, or contained 7.9% sucrose or 10% honey ............129
Figure 9.2: Mean percentage 4-weekly weight gain for rats fed diets that were either sugar-free, or contained 7.9% sucrose or 10% honey ........................................130
Figure 10.1: Representation of the elevated plus maze ..................................................150
Figure 10.2: Diagrammatic representation of the Y maze showing the removable door and the objects used as spatial cues .....................153
Figure 10.3: Diagrammatic representation of the Open Field Arena showing the centre, middle and outside zones ........................................154
Figure 10.4: The objects used in the object recognition task ........................................157
Figure 10.5: A modified (top) and un-modified (bottom) lever as used in the light extinction experiment ......................................................158
Figure 10.6: A standard rat cage, fitted out for use in the light extinction experiment ......................................................159
Figure 10.7: Mean duration of time spent in the open arms of the Elevated Plus Maze for animals that were fed a diet that was either sugar-free or contained 8% sucrose or 10% honey ........................................162
Figure 10.8: Mean percentage of time spent in the open and closed arms and the centre area of the Elevated Plus Maze at 3, 6 and 9 months.
Figure 10.9: The significant effects of time observed between the 6-month and 12-month testing sessions of the Open Field task when analyzing the data from the entire 300 second testing interval.
Figure 10.10: Mean 12-month Open Field data during the second half of the testing session (151–300 seconds) for rats fed diets that were either sugar free or contained 8% sucrose or 10% honey.
Table 10.11: Mean data for the Object Recognition task including the duration of time spent exploring each object (A) and the number of visits to each object (B).
Figure 10.12: Mean number of total presses of the active lever and inactive lever during the total 20 minute session for rats fed a sugar-free, 8% sucrose or 10% honey diet.
Figure 10.13: Mean number of active lever presses while the lights were ON ($AL_{ON}$) as a proportion of the total number of active lever presses ($AL_{ON} / AL_{TOTAL}$ ratio) during the total 20-minute session, and the first and second 10-minute sessions for rats fed a sugar-free, 8% sucrose or 10% honey diet.
An Investigation of the Health Benefits of Honey as a Replacement For Sugar In the Diet
A thesis submitted in fulfilment of the requirements of the degree of
Doctor of Philosophy
in Biological Sciences
at the University of Waikato
By
Lynne Merran Chepulis
THE UNIVERSITY OF
WAIKATO
Te Whare Wānanga o Waikato
2008
Abstract:
Sugar (primarily sucrose) has been a part of the daily diet for literally hundreds of years, but research is now suggesting that sugar intake can be detrimental to our health. In particular, excessive consumption of simple sugars with high glycemic index (GI) values have been shown to cause overeating and weight gain. As well, elevated postprandial hyperglycemia can result after consuming sugars and this has been linked to disease formation and progression, the development of advanced glycation endproducts, inflammation and increased mortality rates. Honey has been recognised as having a number of beneficial health properties, including slower uptake into the bloodstream, a pharmacological action of reducing blood glucose levels and a high level of bioavailable antioxidants, all of which may mean that honey could be less harmful to health than sucrose in the diet. This study was therefore designed to investigate the health benefits of honey in the diet as a replacement for sucrose, using small animal studies. As well, because of the interest in using honey as a replacement for sucrose in sweetened dairy foods, a small number of *in vitro* investigations were carried out to determine whether honey could retain its bioactive properties when combined with milk/dairy products.
Using the *in vitro* studies, it was shown that the combination of milk with honey had no effect on either the antibacterial or antioxidant capabilities of honey.
During the animal feeding studies a number of significant findings were observed. In the earlier work it was shown that honey had a significant effect on protein metabolism when fed for 14 days at a level of 600 g/kg diet (comprising 480 g sugars and 120 g water) compared with animals fed an equivalent amount of sucrose. In this study, honey-fed rats exhibited significantly lower weight gains ($p < 0.001$), food intake ($p < 0.05$) and nitrogen intakes ($p < 0.05$) and significantly higher faecal nitrogen outputs ($p < 0.05$) compared with sucrose-fed rats. Animals fed a diet consisting of 480 g/kg of mixed sugars as in honey generally exhibited protein metabolism parameters that were comparable to those of the sucrose-fed rats, suggesting that the effects of honey on protein metabolism were not due solely to its distinctive sugar composition.
Furthermore, in another study that specifically investigated the effects of honey on weight regulation, honey (100 g/kg diet) resulted in significantly reduced weight gain after 6 weeks ($p < 0.01$) compared with animals fed the same amount of sugars as sucrose, although food intake was not reduced in this study. Percentage weight gains were shown to be comparable between honey-fed rats and those fed a sugar-free diet, suggesting that differences in glycemic control may be partly responsible for the results seen. Fasting lipid profiles and blood glucose levels were...
also measured in this study, but no significant differences were observed between diet groups.
During long-term (12 months) feeding weight gain was again significantly reduced in rats fed honey ($p < 0.05$) and a sugar-free diet ($p < 0.01$) compared with those fed sucrose, the weights of honey-fed rats and those fed the sugar-free diet being comparable at the end of the study. In addition, blood glucose levels were significantly lower ($p < 0.001$), and HDL-cholesterol levels significantly higher ($p < 0.05$) in animals fed honey compared with those fed sucrose after 52 weeks, but no differences in these parameters were observed between rats fed sucrose and a sugar-free diet. No other significant differences in lipid profiles were observed. Immunity measures were improved after feeding honey or sucrose for 52 weeks, animals in both of these diet groups having significantly higher levels of neutrophil phagocytosis compared with those fed the sugar-free diet (both $p < 0.0001$). In addition, the percentage of leukocytes that were lymphocytes was significantly higher in honey-fed rats at the end of the study. Furthermore, levels of oxidative damage in aortic collagen were significantly reduced in rats fed honey or the sugar-free diet (both $p < 0.05$) compared with those fed sucrose after 52 weeks.
Full body DEXA scans were also undertaken in this 12-month study to assess body fat levels and bone mineral composition and density, although they revealed few statistically significant differences. Percentage body fat levels were shown to be nearly 10% lower in honey-fed rats compared with sucrose-fed animals at the end of the study ($p < 0.05$), but no other significant differences between diet groups were observed. With one exception, no differences in bone mineral composition or bone mineral density were observed between the three diet groups after 52 weeks. This data agreed with the results generated from two earlier studies that showed that feeding honey short-term (for 6–8 weeks) to rats that were either calcium-deficient or fed a low calcium diet had no effect on bone calcium levels, bone mineral content, bone mineral density or bone breaking parameters.
Lastly, long-term feeding of honey to rats had a number of statistically significant effects on anxiety and cognitive performance when assessed using animal maze tasks. Anxiety-like behaviour was significantly reduced in honey-fed rats overall compared with those fed sucrose ($p = 0.056$) or a sugar free diet ($p < 0.05$). Spatial memory was also better in honey fed-rats throughout the 12 month study, these animals not displaying the same degree of age-related spatial memory loss seen in the other two diet groups. No significant differences in recognition memory or learning capability were observed between diet groups after 52 weeks.
In conclusion, both short-term and long-term feeding of honey result in a number of health benefits compared with eating similar amounts of sucrose. These
include less weight gain, improved immunity, reduced levels of oxidative damage and improved cognitive performance. These effects of honey are likely to occur through a number of different processes, although the presence of high concentrations of antioxidants and other minor components in honey are likely to be important contributors. Honey may therefore help to improve human health if it is used as an alternative to sucrose in foods and beverages, although feeding studies in humans are required to assess its efficacy. In addition, more animal studies are needed to assess which features of honey (e.g. fructose content, antioxidant content and bioactivities) are required to achieve optimal effects, and to determine what impact heating and food processing may have on the beneficial health effects of honey.
Acknowledgements:
There are many people who have helped to make this PhD thesis a reality whom I wish to extend my thanks and appreciation to:
Peter, my supervisor, mentor and friend. Many thanks go to you for your continued guidance, support and encouragement throughout this degree.
Kerry and Bruce, our wonderful technicians who were always there to lend a hand, and to point me in the right direction when things went astray.
Nicola, who kindly gave her time without ever being officially involved in this thesis. You were a life saver more than once, and a key reason why all the behavioural data turned out as good as it did.
Joe, for his help in the design and understanding of the behavioural component of this thesis.
Chrissie, Janice, Sheridan and the others at Crop and Food Research in Palmerston North. Thank you for the endless help and friendship whilst I was working there, and when I wasn’t. Thank you also for the continued guidance during all the studies I undertook at the University.
Joanne and the rest of the group at Fonterra Brands, without whose financial support this PhD would never have become a reality.
Bridget and the higher powers that be at Crop and Food Research, who ever so kindly allowed me to include work from CFR in this thesis. Thank you.
Tony, my ever-considerate husband. For sacrificing all those gadgets and toys you wanted so that I could get those three little letters after my name. You’re still my shining star!
Special thanks must also go to my family, whose constant love, support and encouragement have made me the person I am today. Thank you!
To my baby girl, Sophie
May you live a long and happy life.
With all my love.
| Abbreviation | Description |
|--------------|-------------|
| ABTS | 2,2′-Azino-bis(3-ethylbenzthiazoline-6-sulphonic acid) |
| AGE | Advanced glycation end-products |
| ANOVA | Analysis of variation |
| BMC | Bone mineral composition |
| BMD | Bone mineral density |
| CFR | Crop and Food Research |
| CHD | Cardiovascular heart disease |
| COV | Coefficient of variation |
| DEXA | Dual energy X-ray absorptiometry |
| DNA | Deoxyribose nucleic acid |
| DNI | Dietary nitrogen intake |
| EDTA | Ethylenediamine tetraacetic acid |
| EPM | Elevated plus maze |
| FCR | Food conversion ratio |
| FITC | Fluorescein-isothiocyanate |
| FNO | Faecal nitrogen output |
| GE | Gross energy |
| GI | Glycemic index |
| HbA1c | Glycated haemoglobin |
| HCl | Hydrochloric acid |
| HDL | High-density lipoprotein (cholesterol) |
| HNE | 4-Hydroxy-2-nonenal |
| LDL | Low-density lipoprotein (cholesterol) |
| MDE | Malondialdehyde |
| N | Nitrogen |
| NPU | Net protein utilisation |
| OD | Optical density |
| PBS | Phosphate buffered saline |
| PVC | Polyvinyl chloride |
| RDI | Recommended dietary intake |
| SCFA | Short chain fatty acids |
| SEM | Standard error of the mean |
| TEAC | Trolox equivalent antioxidant capacity |
| UNO | Urinary nitrogen output |
# Table of Contents:
Abstract..........................................................................................................................i
Acknowledgements....................................................................................................iv
Dedication..................................................................................................................v
Abbreviations.............................................................................................................vi
Table of Contents.......................................................................................................vii
List of Tables............................................................................................................xiii
List of Figures..........................................................................................................xv
## Chapter 1: Introduction and Literature Review .........................................................1
1.1 The Use of Sugar and Other Sweeteners In Food...................................................2
1.1.1 History of Sugar..............................................................................................2
1.1.2 Problems Associated with Sugar Intake.......................................................3
1.1.3 Artificial Sweeteners.....................................................................................5
1.1.4 Natural Sweeteners.......................................................................................6
1.2 Honey: An Overview...............................................................................................8
1.2.1 Historical Uses of Honey...............................................................................8
1.2.2 Composition..................................................................................................9
1.3 The Antimicrobial Activity of Honey.....................................................................11
1.3.1 Osmolarity and Acidity................................................................................11
1.3.2 Hydrogen Peroxide.......................................................................................12
184.108.40.206 Variability of Glucose Oxidase Activity / Hydrogen Peroxide Production ..................................................................................................................13
220.127.116.11 Rates of Hydrogen Peroxide Production in Honey.............................14
1.3.3 Other Components.......................................................................................15
1.4 Antioxidant Capacity of Honey.............................................................................16
1.4.1 Oxidative Stress............................................................................................16
1.4.2 Antioxidants in Honey ................................................................................16
1.5 Anti-Inflammatory Activity of Honey.....................................................................19
1.5.1 Significance of Inflammation in Health.....................................................19
1.5.2 The Anti-Inflammatory Properties of Honey...............................................20
18.104.22.168 Are The Anti-Inflammatory Properties of Honey Due to its Antioxidant Content?........................................................................................................21
1.6 Pre-Biotic Effect of Honey ................................................................. 22
1.6.1 Probiotics vs. Prebiotics ......................................................... 22
1.6.2 Prebiotic Effect of Honey ....................................................... 25
1.7 Other Health Properties of Ingested Honey ........................................... 27
1.7.1 Gastric Health ........................................................................ 27
1.7.2 Anti-Cancer Effects of Honey .................................................. 30
1.7.3 Effects on Biochemical and Physiological Indices ..................... 30
1.7.4 Effects on Immunity ............................................................... 32
1.8 Overview of This Thesis .................................................................... 33
1.8.1 Aims of This Thesis ................................................................. 34
Chapter Two: Materials and Methods .......................................................... 36
2.1 Materials .......................................................................................... 36
2.1.1 Trial Locations ...................................................................... 36
2.1.2 Experimental Animals ............................................................ 37
2.1.3 Experimental Diets ................................................................. 37
2.1.4 Ethical Approval .................................................................... 39
2.2 Methods ........................................................................................... 39
2.2.1 Gross Energy ........................................................................ 39
2.2.2 Calcium Measurements .......................................................... 40
2.2.3 Fat and Protein Measurements ............................................... 41
2.2.4 Glycated Hemoglobin (HbA1c) .............................................. 41
2.2.5 Fasting Lipid Profiles ............................................................. 41
Chapter Three: *In Vitro* Honey-Milk Interaction Studies ............................. 43
3.1 Antibacterial Activity ........................................................................ 43
3.1.1 Introduction .......................................................................... 43
3.1.2 Methods .............................................................................. 45
22.214.171.124 Sample Preparation ....................................................... 45
126.96.36.199 Assay of Antibacterial Activity ..................................... 45
3.1.3 Results ................................................................................. 46
3.1.4 Discussion ........................................................................... 47
3.2 Antioxidant Activity ........................................................................... 49
3.2.1 Introduction .......................................................................... 49
3.2.2 Methods .............................................................................. 49
188.8.131.52 Sample Preparation ....................................................... 49
184.108.40.206 Reagent Preparation ..................................................... 50
220.127.116.11 Assay ................................................................. 50
18.104.22.168 Calculation of Antioxidant Activity ....................... 51
3.2.3 Results .................................................................. 51
3.3 Discussion .................................................................. 52
Chapter Four: The Effect of Honey versus Sucrose and Mixed Sugars on Protein Uptake and Protein Metabolism in Weanling Rats .................................................. 54
4.1 Introduction ................................................................ 54
4.2 Materials and Methods .............................................. 56
4.2.1 Experimental Animals ........................................... 56
4.2.2 Experimental Diets ............................................... 56
4.2.3 Experimental Procedures ..................................... 57
4.2.4 Statistical Analyses ............................................. 59
4.3 Results ...................................................................... 59
4.3.1 Weight Gain and Food Intake ............................... 59
4.3.2 Urinary and Faecal Output ................................. 59
4.3.3 Nitrogen Balance Data ........................................ 59
4.3.4 Biological Value, Protein Digestibility and Net Protein Utilisation ........................................ 60
4.4 Discussion .................................................................. 60
Chapter 5: The Weight Loss Potential of Honey versus Sucrose and Mixed Sugars in Adult Rats .......................................................... 66
5.1 Introduction ................................................................ 67
5.2 Materials and Methods .............................................. 69
5.2.1 Experimental Animals ........................................... 69
5.2.2 Experimental Diets ............................................... 70
5.2.3 Experimental Procedures ..................................... 70
5.2.4 Statistical Analyses ............................................. 71
5.3 Results ...................................................................... 72
5.4 Discussion .................................................................. 74
Chapter 6: The Effect of Honey versus Sucrose, Mixed Sugars and a Sugar-Free Diet on Weight Gain in Young Rats .................................................. 77
6.1 Introduction ................................................................ 77
6.2 Materials and Methods .............................................. 78
6.2.1 Experimental Animals ........................................... 78
6.2.2 Experimental Diets ............................................... 80
6.2.3 Experimental Procedures ................................................................. 80
6.2.4 Statistical Analyses .................................................................. 80
6.3 Results ......................................................................................... 81
6.4 Discussion .................................................................................... 85
Chapter 7: The Effect of Honey versus Sucrose on the Recovery of Bone Density following a Calcium-Deficient Diet in Rats ........................................... 91
7.1 Introduction .................................................................................. 91
7.2 Materials and Methods ................................................................. 94
7.2.1 Experimental Animals ............................................................. 94
7.2.2 Experimental Diets ................................................................. 94
7.2.3 Experimental Procedures ...................................................... 95
7.2.4 Statistical Analyses ............................................................... 97
7.3 Results ......................................................................................... 97
7.3.1 Phase 1 (Weeks 1–3): Assessment of Feeding a Calcium-Free Diet vs the Control Diet ................................................................. 97
22.214.171.124 Weight Gain/Food Intake .................................................. 97
126.96.36.199 Bone Data and Serum/Urinary Calcium Levels ............... 98
7.3.2 Phase 2 (Weeks 4–6): Assessment of Feeding a Calcium-containing Sucrose- or Honey-based Diet to Calcium Deficient Rats versus Control Animals ......................................................... 100
188.8.131.52 Weight Gain/Food Intake .................................................. 100
184.108.40.206 Bone Data and Serum/Urinary Calcium Levels ............... 100
7.3.3 Week 3 versus Week 6 ............................................................ 101
7.4 Discussion .................................................................................. 102
Chapter 8: The Effect of Honey versus Sucrose on Calcium Bioavailability in Weanling Rats Fed a Low Calcium Diet .................................................. 105
8.1 Introduction .................................................................................. 105
8.2 Materials and Methods ................................................................. 106
8.2.1 Experimental Animals ............................................................. 106
8.2.2 Experimental Diets ................................................................. 106
8.2.3 Experimental Procedures ...................................................... 107
8.2.4 Statistical Analyses ............................................................... 109
8.3 Results ......................................................................................... 109
8.4 Discussion .................................................................................. 112
Chapter 9: The Long-Term Effects of Feeding Honey versus Sucrose and a Sugar-Free Diet on Age-Related Parameters .......................................................... 117
9.1 Introduction ........................................................................................................... 118
9.2 Materials and Methods ......................................................................................... 122
9.2.1 Experimental Animals and Housing ............................................................. 122
9.2.2 Experimental Diets ....................................................................................... 122
9.2.3 Experimental Procedures .............................................................................. 125
220.127.116.11 Weight Gain and Food Intake ............................................................... 125
18.104.22.168 Sample Analyses .................................................................................. 125
9.2.4 Statistical Analyses ....................................................................................... 128
9.3 Results .................................................................................................................... 128
9.3.1 Weight Gain and Food Intake ....................................................................... 128
9.3.2 Blood Glucose (HbA1c) and Cholesterol Levels .......................................... 130
9.3.3 DEXA Scans .................................................................................................. 132
9.3.4 Neutrophil Phagocytosis and Lymphocyte Populations ............................. 133
9.3.5 Measurement of Advanced Glycation End-Products .................................. 133
9.4 Discussion .............................................................................................................. 133
Chapter 10: The Long-Term Feeding Effects of Honey versus Sucrose and a Sugar-Free Diet on Cognition .......................................................... 142
10.1 Introduction ........................................................................................................... 143
10.1.1 Choice of Behavioural Tasks ..................................................................... 147
10.2 Materials and Methods ......................................................................................... 148
10.2.1 Experimental Animals and Housing ............................................................. 148
10.2.2 Behavioural Studies: Overall Design ........................................................... 148
10.2.3 Elevated Plus Maze .................................................................................... 149
10.2.3.1 Apparatus ............................................................................................ 149
10.2.3.2 Testing Routine .................................................................................. 150
10.2.4 Y Maze ........................................................................................................ 151
10.2.4.1 Apparatus ............................................................................................ 152
10.2.4.2 Testing Routine .................................................................................. 152
10.2.5 Open Field Study ......................................................................................... 153
10.2.5.1 Apparatus ............................................................................................ 153
10.2.5.2 Testing Routine .................................................................................. 154
10.2.6 Object Recognition Task .............................................................................. 155
10.2.6.1 Testing Routine .................................................................................. 156
10.2.7 Light Extinction Task ................................................................................... 157
10.2.7.1 Apparatus ................................................................. 158
10.2.7.2 Testing Routine ......................................................... 159
10.2.8 Statistical Analyses ....................................................... 160
10.3 Results ............................................................................. 161
10.3.1 Elevated Plus Maze ...................................................... 161
10.3.2 Y Maze ........................................................................... 163
10.3.3 Open Field Task ............................................................ 165
10.3.4 Object Recognition Task ............................................... 168
10.3.5 Light Extinction Task .................................................... 170
10.4 Discussion ....................................................................... 172
Chapter 11: General Discussion .................................................. 181
11.1 Use of Animal Models for Nutritional Investigations ............ 181
11.2 Implications for Human Health .......................................... 184
11.2.1 Negative Aspects of Consuming Honey ....................... 188
11.3 Conclusions ..................................................................... 190
References ............................................................................. 193
Appendices ............................................................................. 261
List of Tables:
Table 1.1: Antioxidant content of honey .......................................................... 16
Table 3.1: The antibacterial activities of three different honeys (RE7, HD19 and PS3) alone and when diluted in 100% reconstituted whole or skim powdered milk ......................................................... 47
Table 3.2: Mean antioxidant capacity (TEAC) of honey, milk and honey/milk solutions ................................................................. 52
Table 4.1: Composition of experimental diets (g/kg) ........................................... 57
Table 4.2: Nutritional composition of the experimental diets ............................. 58
Table 4.3: Assessment of the experimental endpoints in rats fed the experimental diets ................................................................. 61
Table 5.1: Composition of the experimental diets (g/kg) .................................... 71
Table 6.1: Composition of the experimental diets (g/kg) .................................... 79
Table 6.2: Endpoint measurements for rats fed the experimental diets for 6 weeks in a weight-gain evaluation study .............................................. 83
Table 6.3: Percentage body fat levels, as measured using Soxhlet extraction, after single (original) and double (repeat) mincing sessions ........ 84
Table 7.1: Composition of the experimental diets (g/kg) .................................... 95
Table 7.2: Assessment of Phase 1 (Weeks 1–3) weight gain and food intake for rats fed either the control sucrose-based diet or the calcium-deficient diet ........................................................................................................ 98
Table 7.3: Assessment of Week 3 bone measurements and urinary/serum calcium levels for rats fed the either the control sucrose-based diet or the calcium-free diet ........................................................................................................ 99
Table 7.4: Assessment of weight gain and food intake during Weeks 4–6 (Phase 2) for control rats continuing to be fed the control calcium/sucrose-based diet, and for calcium-deficient rats fed the sucrose- or honey-based diets .............................................. 100
Table 7.5: Assessment of Week 6 bone measurements and urinary/serum calcium levels for rats continuing to be fed the control sucrose-based diet, and for calcium deficient rats fed the sucrose- or honey-based diets ........................................................................................................ 101
Table 8.1: Composition of Experimental Diets (g/kg) ........................................ 107
Table 8.2: Endpoint measurements for rats fed the experimental diets for 8 weeks in a calcium absorption study .............................................. 111
| Table 9.1: | Composition of Experimental Diets (g/kg) | 124 |
|-----------|----------------------------------------|-----|
| Table 9.2: | Mean data for rats fed diets that were either sugar-free, or contained 7.9% sucrose or 10% honey after 12 months of feeding. | 131 |
| Table 9.3: | Mean DEXA Data for rats at the end of feeding for 12 months on diets that were either sugar-free, or contained 7.9% sucrose or 10% honey. | 132 |
| Table 10.1: | Definition of behavioural elements in the elevated plus maze. | 151 |
| Table 10.2: | Arm of first choice (% of animals) after being placed back into the start arm at the start of phase two where the animal was given access to all three arms. | 164 |
List of Figures:
Figure 1.1: Production of hydrogen peroxide and gluconic acid by the enzyme glucose oxidase .................................................................12
Figure 5.1: Actual mean weight gain for rats fed diets containing either 8% sucrose, 8% mixed sugars, or 10% honey ........................................72
Figure 5.2: Mean percentage weight gain for rats fed diets containing 8% sucrose, 8% mixed sugars, or 10% honey ........................................73
Figure 5.3: Mean weekly food intake for rats fed diets containing 8% sucrose, 8% mixed sugars, or 10% honey ........................................73
Figure 6.1: Actual weight gains for rats fed diets containing either no sugar, 8% sucrose, 8% mixed sugars or 10% honey .......................82
Figure 6.2: Mean percentage weekly weight gains for rats fed diets containing either no sugar, 8% sucrose, 8% mixed sugars or 10% honey ........................................82
Figure 7.1: Schematic representation of the dietary treatment regime ........96
Figure 8.1: Mean actual weight gains for rats fed diets containing either 7.9% sucrose or 10% honey over an 8 week period .......................110
Figure 9.1: Actual mean weight values for rats fed diets that were either sugar-free, or contained 7.9% sucrose or 10% honey ............129
Figure 9.2: Mean percentage 4-weekly weight gain for rats fed diets that were either sugar-free, or contained 7.9% sucrose or 10% honey ........................................130
Figure 10.1: Representation of the elevated plus maze ..................................................150
Figure 10.2: Diagrammatic representation of the Y maze showing the removable door and the objects used as spatial cues .....................153
Figure 10.3: Diagrammatic representation of the Open Field Arena showing the centre, middle and outside zones ........................................154
Figure 10.4: The objects used in the object recognition task ........................................157
Figure 10.5: A modified (top) and un-modified (bottom) lever as used in the light extinction experiment ......................................................158
Figure 10.6: A standard rat cage, fitted out for use in the light extinction experiment ......................................................159
Figure 10.7: Mean duration of time spent in the open arms of the Elevated Plus Maze for animals that were fed a diet that was either sugar-free or contained 8% sucrose or 10% honey ........................................162
Figure 10.8: Mean percentage of time spent in the open and closed arms and the centre area of the Elevated Plus Maze at 3, 6 and 9 months.
Figure 10.9: The significant effects of time observed between the 6-month and 12-month testing sessions of the Open Field task when analyzing the data from the entire 300 second testing interval.
Figure 10.10: Mean 12-month Open Field data during the second half of the testing session (151–300 seconds) for rats fed diets that were either sugar free or contained 8% sucrose or 10% honey.
Table 10.11: Mean data for the Object Recognition task including the duration of time spent exploring each object (A) and the number of visits to each object (B).
Figure 10.12: Mean number of total presses of the active lever and inactive lever during the total 20 minute session for rats fed a sugar-free, 8% sucrose or 10% honey diet.
Figure 10.13: Mean number of active lever presses while the lights were ON ($AL_{ON}$) as a proportion of the total number of active lever presses ($AL_{ON} / AL_{TOTAL}$ ratio) during the total 20-minute session, and the first and second 10-minute sessions for rats fed a sugar-free, 8% sucrose or 10% honey diet.
Chapter One:
Introduction and Literature Review
This thesis does not follow a traditional format with one introduction, one methods section and one results section etc, but instead consists of individual research chapters (one for each study undertaken), each with its own specific introduction, methodology, results and discussion. The studies were conducted using rats as a model for humans, and each chapter was designed to investigate specific health benefits of replacing sucrose in the diet with honey. A general introduction is given in this first chapter, and an overall discussion is provided in Chapter 11 to assess and evaluate the results brought together from the various studies undertaken in this thesis.
The term ‘sugar’ is referred to throughout this chapter, and it must be understood that this generally refers to the use of sucrose, or normal table sugar. In some instances, authors have used the term sugar without specifying which particular substance they are referring to (i.e. sucrose, glucose, fructose etc) and in these cases it is assumed that they are using the word sugar as an all-encompassing term. As sucrose is by far the most commonly used sugar in manufactured foods and home baking in New Zealand, this thesis centres primarily around looking at how honey may compare to sucrose in the diet.
In today’s society, life seems to move at a significantly faster pace than it did 100, 50 or even 20 years ago. As a result, there have been several changes to the way we prepare and eat meals, and to which foods are available at our local supermarket. Nowadays, our food markets tend to be dominated by highly processed foods and ready-to-eat meals, and people often place very little thought into what the nutritional value is of the food that they are consuming.
Alongside this, however, there is an increasing awareness of the need for sustainable health, and many individuals are now becoming aware of the high levels of harmful food ingredients (including sugars – see below) that are being ingested as a part of the daily diet. As a result, much research is now focussed on the use of natural therapies and food products that can provide healthier alternatives without compromising on taste, and those that can confer more than simple nutrition.
One area that has become of increasing interest in recent years is in the use of honey as a nutraceutical. A large amount of published literature is currently available on the use of honey as a topical medicine (specifically its use in external therapies such as wound care), but there appears to be little, besides anecdotal evidence and folklore, to support its use as an internal remedy. However, there is substantial published literature indicating that honey consumed in the diet may be a healthier alternative to consuming sugar, primarily as it contains antioxidants and has a lower glycemic index. Thus, this study has been designed to investigate some of the health benefits that honey may have when it is incorporated into the typical everyday diet (*i.e.* how it may affect the body after being ingested and/or absorbed) and to determine whether health benefits result from replacing sugars in the diet with honey. That said, much of the research carried out to date has been from *in vitro* studies, and some of the evidence presented in this review is derived from studies that are not directly related to nutrition or internal health. This material will be included as it lends strength to the research provided by others, and gives a general overview of the particular bioactivities that honey possesses. Readers who are interested in the topical applications of honey are referred to the review articles published by Molan (2000, 2002, 2006).
### 1.1 THE USE OF SUGAR AND OTHER SWEETENERS IN FOODS
#### 1.1.1 History of Sugar
The original use of sugar dates back over 9 000 years to the island of New Guinea with the discovery of the bamboo-like plant sugar cane, its inner pith
yielding a juicy substance that could be chewed or sucked to release the sweet sap inside (Macinnis, 2002). The world’s scriptures also have limited references to “sweet cane” and Gautama Buddha specifically refers to the use of sugar in 568 BC (Macinnis, 2002). Armies of Alexander the Great reported the presence of sugar cane in India around 325 BC and it is thought that sugar (from sugar cane) was taken to Egypt and the African continent around this time (Mintz, 1986). During the Middle Ages the knowledge and use of sugar began to spread throughout Asia and Europe; however, it was not until the development of the African slave trade in the mid 1400s that the processing and ready accessibility of sugar was established (Macinnis, 2002).
By the start of the 20th century, the level of sugar consumption had increased dramatically, sucrose production having increased from 250 000 tonnes in 1880 to more than 16 million tonnes in the early 1900s (Mintz, 1986). Sugars such as glucose and sucrose became essential ingredients in British diets (Woloson, 2002), and a major food component in other cultures (Macinnis, 2002). From 1970 onwards, the use of sugars increased even further with the belief that high-fat diets were responsible for the increasing weight gains seen in Western populations (Astrup, 1999). Low-fat products quickly became available on the food market, but many of these were bolstered with additional sugar to maintain the flavour and mouth feel (Leveille, 1997).
However, with the realisation that the Western world is generally getting more overweight and less healthy overall, specifically with the increased incidence of Diabetes Mellitus and other diet-related disorders, the popularity of simple sugars is beginning to change. Dietary intake of high-sugar foods such as cakes, biscuits, jams and ice-creams is now peaking and/or decreasing in some groups (Woloson, 2002), although in the US, intake of sugars has continued to increase over the last 30 years (USDA database, 2005). As such, manufacturers are trying to influence the health (and preference) of the consumer by producing many of the sugar-sweetened foods and beverages produced in low-sugar or sugar-free forms. As well, both the medical community and the general public are becoming aware of the negative consequences that excessive sugar consumption can have. These issues are discussed in the following section.
1.1.2 Problems Associated with Sugar Intake
Limited reports dating as far back as the 1600 – 1800s document that sugar intake may have some negative implications on health (Macinnis, 2002); however, not until recent times has research specifically focussed on the effects
that sugar consumption can have on human health. Nowadays, it is well accepted that excess sugar intake (particularly sucrose and glucose) can contribute significantly to weight gain because of its high energy content and high glycemic index (GI) value (Willet, 1998). Older research reports that the simple sugars such as sucrose have fast-acting but short-lasting effects on blood sugar levels, with consumption of these sugars leading to a rapid increase in blood glucose levels, followed by a rapid plunge back to low blood glucose levels as large quantities of insulin are released (Rabinowitch, 1945). This pattern of blood glucose levels ultimately could lead to further hunger and overeating, which can, in turn, lead to excessive energy intake and weight gain. However, this rebound effect is now questioned in the current literature (Wolever et al., 2008).
Importantly, it has also been demonstrated that diets that contain substantial amounts of sugars (including simple sugars such as sucrose and glucose) can be detrimental to health because of elevated postprandial hyperglycemia. In particular, diets containing substantial quantities of these ingredients have been linked with formation of atherosclerosis, cancer and insulin resistance, as well as with increased rates of mortality and morbidity (see Section 9.1 for further details). Elevated blood glucose levels have also been associated with the formation of glycated proteins and advanced glycation endproducts (AGEs). These non-enzymatic adducts of proteins, lipids and nucleic acids (Bierhaus et al., 2005) form spontaneously in pro-oxidant environments, the level of glycation depending on the degree and duration of hyperglycemia (Peyroux and Sternberg, 2006). AGE formation has been shown to contribute to the development and progression of a number of chronic disorders including hypertension, vascular disease and atherosclerosis (reviewed by Vasdev et al., 2007) and there is strong evidence to suggest that AGEs may potentiate the development of diabetic complications (Peppa and Vlassara, 2005; Ahmed and Thornally, 2006; Yamagishi et al., 2007). It has been suggested that the latter occurs by activation of cell responses by AGE-modified proteins interacting with specific cell surface receptors, impairments of protein-protein and enzyme-substrate interactions by AGE residue formation and increasing resistance to proteolysis of extracellular matrix proteins (Ahmed and Thornally, 2006).
Importantly, AGEs have also been shown to bind to RAGE (AGE receptor), a multi-ligand receptor of the immunoglobulin superfamily (Bierhaus et al., 2005). Engagement of RAGE acts to convert cellular function to sustained cellular dysfunction and tissue destruction, resulting in late diabetic complications such as neuropathy and nephropathy as well as macrovascular disease.
(Bierhaus et al., 2005). Binding to RAGE also results in intracellular signalling which leads to activation of the proinflammatory responses (Bierhaus et al., 2001), thereby leading to chronic inflammation. Additionally, cellular inflammation can result in the formation of further reactive oxygen species which act to upregulate the proinflammatory response (Bierhaus et al., 2005. This self-amplification cycle then leads to further damage (Inflammation is discussed further in Section 1.5).
Thus, with the knowledge that excessive sugar intake can potentially be detrimental to health, there has been a move towards the development and discovery of alternative sweeteners. Today, a suite of substitutes is available to replace the more commonly used sugars (glucose and sucrose). These range from artificial sweeteners (see Section 1.1.3) to more complex sugars and plant sugars that are either sweeter or not absorbed, or they offer nutritional advantages in other ways (see Section 1.1.4). As well, foods that can offset some of the sugar-related damage are being investigated. These include foods that have a lower GI than sucrose and glucose (thereby leading to less hyperglycemia) as well as those that contain antioxidants (as antioxidants can help minimise the damage that results due to oxidative stress and reactive oxygen species formation from inflammation). Honey fits into both of these categories, and therefore offers the potential to provide both sweetness in foods and a protective effect after consumption. The bioactive properties of honey are discussed in Section 1.2.
1.1.3 Artificial Sweeteners
With the increased awareness of the risks associated with elevated levels of sugar intake, food manufacturers begun to look for alternative methods by which they could sweeten their products. The use of artificial sweeteners was established in the early 1970s, although their usage did not increase dramatically until the 1980s when it was found that sugars can substantially contribute to obesity and weight-related disorders. Currently there are four artificial sweeteners available on the market: saccharin, aspartame, sucralose and acesulfame potassium (Kandelman, 1997). Products containing these ingredients are worth at least 1.5 billion dollars per annum in the United States alone (Kinghorn et al., 1998). Currently aspartame has the largest market share, as it is the major sweetener used in soft drinks. As well it has recently been approved as a “general-purpose sweetener” allowing it to be used in all types of food and beverages (Kinghorn et al., 1998).
Despite the fact that the average intake of these sweeteners is below the recommended daily intake levels (set by the Joint FAO/WHO Expert Committee on Food Additives) (Renwick, 2006) there is now considerable debate over the safety of these sweeteners. A review of the literature suggests that whereas both aspartame and saccharin are generally safe and non-toxic when consumed in foodstuffs (Leon et al. 1989; Renwick, 1994; Ellwein and Cohen, 1990; Butchko et al. 2002); limited evidence is producing conflicting data. Several authors, for example, have reported a higher incidence of cancer in rats and mice fed sodium saccharin (Bryan et al., 1970; Schoenig et al. 1985; Ellwein and Cohen, 1990; Rewick, 1990; Garland and Cohen, 1995; Gallus et al., 2007). In addition, ingestion of aspartame has been linked with migraines/headaches (Lipton et al. 1989; van den Eeden et al. 1994; Schiffman, 1995), muscle tremors, vision problems and mental confusion (Anon, 1994).
Acesulfame potassium and sucralose have only been approved for use in foodstuffs in the United States since 1988 and 1998, respectively, and very little research has been undertaken to evaluate their toxicity and safety. Limited data suggests that sucralose may also trigger migraines in at-risk individuals (Patel et al., 2006; Bigal and Krymchantowski et al., 2007) although the same has not been reported with Acesulfame potassium. Furthermore, whilst no carcinogenic risks have currently been associated with the use of these new-generation sweeteners (Goldsmith, 2000; Mann et al., 2000), it is generally accepted that it is too early to establish any epidemiological evidence about the possible carcinogenic risks (Weihrauch and Diehl, 2004).
Thus, with the possible negative connotations associated with the use of artificial sweeteners, there has been a drive towards the discovery of other, more natural, products that could potentially offer sweetness without harming health. In particular, increasing public awareness of obesity and the role that the additional calories of sucrose, glucose etc in foods and beverages can have has led to an impetus to discover products that may offer not only sweetness, but added benefits with respect to calorie intake, weight regulation and overall health.
1.1.4 Natural Sweeteners
In recent years much research has been undertaken to assess the various sources of sweet-tasting compounds in the plant kingdom, and, to date, more than 75 highly sweet compounds have been identified (Kinghorn et al., 1998). These compounds consist mainly of terpenoid, flavonoid and protein
compounds, although nine different structural groups of potentially sweet molecules have been documented overall (Kinghorn et al., 1998).
A small number of plant-based sweeteners are now being used commercially as sucrose substitutes, the most common of which are the steviol glycosides stevioside and rebaudioside A, from the South American plant *Stevia rebaudiana* (Das et al., 1992). Other plant-derived sweeteners approved for use include glycyrrhizin (from the roots of *Glycyrrhiza glabra L.*) and the protein thaumatin from fruits of *Thaumatococcus daniellii* (Kinghorn et al., 1998). As well, many kinds of sweet cucurbitane glycosides have been isolated from *Cucurbitaceae* plants and from the fruits of *Momordica grosvenori* (Cucurbintaceae) (Takasaki et al., 2003). Limited data is available on the safety of these compounds as food additives, although most of these compounds have been given GRAS (Generally Regarded as Safe) status in the United States. Several of these compounds may offer other advantages as well. Stevioside and extracts of *Momordica grosvenori*, for example, have been shown to have anticarcinogenic properties *in vitro* (Takasaki et al., 2003).
The above plant-based sweeteners are often also known as “intense” sweeteners as they offer a sweetness intensity that is greater than that of sucrose (Kinghorn et al., 1998). However, there are also other sweeteners, termed “bulk” sweeteners, that are less sweet that sucrose. These compounds include isomalt as well as the sugar alcohols sorbitol, xylitol, lactitol and mannitol (Kinghorn et al., 1998). Bulk sweeteners have been shown to offer a number of nutritional advantages over the use of sucrose and simple mono- and disaccharides. Sugar alcohols, for example, are not readily fermented by oral bacteria, so they may aid in reducing the development of sugar-related dental caries (Kandelman, 1997). As well, research in animal models has shown that xylitol and sorbitol may aid in the absorption of calcium from the gut, this occurring through the complexing of calcium in the intestine (see Chapter 7).
Whereas these natural sweeteners offer a good alternative to the use of more mainstream sugars such as sucrose and high fructose corn syrup, as well as the artificial sweeteners used in diet products, the methods of extraction and the often small quantities produced can make such natural sweeteners prohibitively expensive. This tends to restrict their use in large scale food production, and instead they are often viewed as luxury food additives that must be incorporated into food at the level of the consumer rather than at the level of the food producer. For this reason, the search is still on for food ingredients that are cost-effective to produce, whilst offering health advantages to the consumer,
particularly when incorporated into mainstream food production. Several large food production companies are currently looking at ways to improve the "healthiness" of their products, and as a result, products such as cholesterol-lowering spreads are now reaching the supermarket shelves, albeit at premium prices.
Honey is a natural sweetener that has been used since ancient times (see Section 1.2.1) and its use as a food ingredient in products such as spreads and marinades is well established. Only in recent times, however, have the potential health benefits of honey begun to be explored. It is now recognised that honey contains a mix of both simple and complex sugars, thereby providing good levels of sweetness, as well as vitamins, minerals, acids and enzymes (Molan, 1996). Furthermore, it has been demonstrated in animal and clinical studies to have several health-promoting and medicinal properties. These will be discussed, in detail, in the following sections.
1.2 HONEY: AN OVERVIEW
1.2.1 Historical Uses of Honey
Honey has long been documented as having medicinal properties, and its uses as a wound dressing and an antiseptic have been recorded since ancient times. The earliest written records of honey used as medicine is in Egyptian papyri and Sumerian clay tablets dated from 1900 to 1250 BC and in one of these, honey was used in 30% of the prescriptions (Stomfay-Stitz, 1960). Ancient Egyptians also used honey in embalming. They made salves with it for treating diseases of the eyes and skin (Al Waili, 2003a). As well, the ancient Greeks are reported to have used honey to treat fatigue: athletes drank a mixture of honey and water before major athletic events (Wilson and Crane, 1975). Hippocrates (460-357 BC) found that honey cleaned sores and ulcers of the lips and healed bunicles and running sores. As well, the healing properties of honey were mentioned in the Holy Quran 1400 years ago (Al Waili 2003a).
Honey has continued to be used in folk medicine ever since, with mention of its use in the Middle Ages reported by Daude de Pradas in approximately 1200 AD (Wilson and Crane, 1975). Similarly, honey has been documented as being used as a remedial agent throughout Europe, as well as through areas of Arabia and China (Beck and Smedley, 1997). Generally, honey has been used as a remedy for gastric and intestinal complaints, although the sedative and soporific powers of honey have also been mentioned (Beck and Smedley, 1997). In addition, the diuretic effect of honey has been recorded, and it has been a
favoured remedy for kidney inflammations and stones (Beck and Smedley, 1997). Attic honey, in particular, was thought to have special curative powers for eye disorders, and honey, in general, has been documented as having being used for the treatment of skin diseases and smallpox, as well as in surgical dressings (Beck and Smedley, 1997).
The Hindu people also had great faith in the medical virtues of honey, using it mainly for coughs, pulmonary issues and gastric disorders (Beck and Smedley, 1997). Similarly, populations in rural communities from almost all nations have documented the use of honey through time (Beck and Smedley, 1997). German women, specifically, believed that a mixture of honey and crushed bees would have a beautifying and strengthening effect, and that it would regulate menstrual flow (Beck and Smedley, 1997).
In more recent times, honey has played a relatively minor role in medicine, mostly due to it not being accepted by Western practitioners in a world where antibiotics and other pharmaceuticals are seen as the remedies of choice. Among the Chinese, Hindu, Arabic and African races, however, honey is still considered to be a valuable internal and external remedy (Beck and Smedley, 1997). Slowly the use of honey in Western medicine is gaining recognition; particularly as scientific evidence continues to be produced demonstrating its efficacy, often in situations where more usual remedies are ineffective. The antibacterial properties of honey (see Section 1.3) and its wound-healing capabilities (reviewed by Molan, 2006), in particular, have gained substantial recognition in the last 10–15 years, although only now are researchers beginning to understand the processes by which this occurs. We are also beginning to understand that honey may indeed be the elixir that the ancient people believed, as research is showing a number of health-related benefits, including a laxative effect, beneficial effects on blood glucose levels, anti-inflammatory and immune-stimulating properties and potentially a cancer-preventative action (see below).
1.2.2 Composition of Honey
Honey is primarily a highly concentrated mixture of sugars in a syrupy solution, although it usually also contains other minor components including enzymes, vitamins, flavanoids and organic chemicals (Molan, 1996).
The main sugars found in honey are fructose and glucose, usually in a ratio of 1.2:1.0, these two sugars together accounting for 85–95% of the total carbohydrate content (White, 1975a). However, the ratio of these two sugars can differ depending on the floral source and other factors such as the level of
processing undertaken by the bees. Other sugars found in minimal quantities include sucrose, reducing disaccharides and higher oligosaccharides (White, 1975b; Astwood et al., 1998; Sanz et al., 2004). The number of different oligosaccharides found in honey seems to vary depending on the floral source, although numbers of between 20 and 30 have been reported previously (Siddiqui, 1970; White, 1992).
Honey also contains a number of enzymes including glucose oxidase, amylase and invertase, their presence in honey appearing to originate from the bees producing the honey (Molan, 1992). Catalase (Dustmann, 1971) and acid phosphatase (White, 1975b) have also been found in some honeys, these most likely being derived from the pollen and nectar of certain plants. Of these enzymes, glucose oxidase appears to be of particular significance as it is responsible for the generation of gluconic acid and hydrogen peroxide (see Section 1.3.1), hydrogen peroxide being one of the key factors involved in the antibacterial activity of honey (see Section 1.3.2). Other acids, besides gluconic acid, are also present in honey (albeit in low concentrations), the overall result being that undiluted honey typically has a pH in the range of 3.2–4.5 (White, 1975a).
Additional research has also demonstrated that certain honeys can also contain low levels of minerals, trace elements and proteins (White, 1975a), although their nutritional significance is likely to be negligible due to their low concentrations (Haydak et al., 1975). However, anecdotal and scientific evidence suggests that honey may also contain small quantities of unidentified but physiologically active components. For example, it has been suggested that something in honey may help suppress coughing, aid in desensitising pain receptors, have a laxative effect (Ladas et al., 1995) and help with lowering blood glucose levels (Al Waili, 2003a, b). As well it has been documented as possibly having neurotransmitter activities (Goldschmidt and Burkert, 1955).
Generally, honey is considered to be a stable substance (White et al., 1960) although changes in colour and flavour can occur over time. Minor changes in composition can also occur in certain honeys due to the continuing action of enzymes. The sucrose content, for example, has been shown to decrease over time (Browne, 1908; cited in White et al., 1960), this being attributed to the activity of invertase added by the bee.
1.3 THE ANTIMICROBIAL ACTIVITY OF HONEY
Although the medicinal uses of honey have been documented for centuries, it has only been in recent times that the specific bioactivities have been investigated and elucidated. Of these, the antibacterial activity of honey is the most researched and best understood.
The significance of the antibacterial activity of honey relates more to its external uses as a wound dressing or skin-care agent, although it may also play a role in maintaining the balance of internal microflora after consumption. As well, honey has been shown in one clinical trial to be effective against bacterial diarrhoea, (Haffejee and Moosa, 1985), and to aid in the treatment of eye infections (Fotidar and Fotidar, 1945, cited in Molan, 2001; Al Waili, 2004a). In addition, the hydrogen peroxide produced by honey may have additional actions in the body besides its antibacterial activity. For these reasons, the antibacterial activity will be summarised below, although readers are directed towards the review of Molan (1992) for more detail.
1.3.1 Osmolarity and Acidity
The antimicrobial activity of honey is due to a number of factors, several of which are endemic to all or most honeys, irrespective of floral source and geographic origin. The first of these is osmolarity. Because of the high sugar content of honey, the osmotic pressure of honey is high and the water activity ($a_w$) is low (reported range = 0.562–0.62; Tysset et al., 1980; Ruegg and Blanc, 1981; Bogdanov et al., 1987). Osmolarity is responsible for a large proportion of the antimicrobial activity of honey, even at lower honey concentrations. The growth of many bacterial species, for example, is completely inhibited when the $a_w$ is in the range of 0.94-0.99 (Scott, 1957; Leistner and Rodel, 1975). This corresponds to a typical honey (with an $a_w$ of 0.6) being diluted in the range of 2–12% (concentration is proportional to $-\log a_w$; Scott, 1957).
The second factor common to all honeys is acidity. Approximately 30 organic acids exist in honey (Mato et al., 2003), although the major contributor is gluconic acid in equilibrium with its lactone. This acid is produced by the activity of the enzyme glucose oxidase, the resultant concentrations in honey ranging from 0.23–0.98% (White, 1975a) (See Figure 1.1).
Although once thought to be a major factor, more recent studies have shown that acidity actually plays a very small role in the antibacterial activity of honey (Pothmann, 1950, cited in Molan, 1992). Several authors noted that there appeared to be no correlation between the pH of a honey and the level of
antibacterial activity (Stomfay-Stitz et al., 1960; Rychlik and Dolezal, 1961; Lindner, 1962; Daghie et al., 1971; Ruegg and Blanc, 1981; Bogdanov et al., 1987). This may be confounded by the fact that the pH of a diluted honey is dependent on both the buffering capacity of the honey and on the dilution medium used.
\[
\text{Glucose} + \text{Oxygen} \xrightarrow{\text{Glucose oxidase}} \text{Hydrogen peroxide} + \text{Glucololactone}
\]
\[
\text{Gluconic acid}
\]
**Figure 1.1:** Production of hydrogen peroxide and gluconic acid by the enzyme glucose oxidase.
In contrast a small number of research articles have suggested that certain specific acid substances may have significant antibacterial activity (Russell et al., 1990; Wahdan, 1998; Weston et al., 1998). Acid components identified as antibacterial are mainly aromatic organic acids including caffeic acid and ferulic acid (Wahdan, 1998) and benzoic acid derivatives (Russell et al., 1990; Weston et al., 1998). It must be noted though that both the studies of Russell et al. (1990) and Weston et al. (1998) looked solely at Manuka honey, and is unknown whether these compounds occur in honeys originating from other floral sources.
### 1.3.2 Hydrogen Peroxide
Hydrogen peroxide was shown to be a significant contributor to the antimicrobial activity of honey when Dold et al. (1937) found that certain honeys exhibited inhibitory activity over and above that expected from osmolarity alone.
It has also been demonstrated that hydrogen peroxide can have a more potent antibacterial activity when present in honey than when added exogenously (Molan, 1992), as there are other compounds present in honey that can potentiate its antibacterial effects. The bactericidal action of hydrogen peroxide, for example, is increased when 0.1 mmol/l ascorbic acid and metal ions are
added to the test solution (Miller, 1969; Roos and Balm, 1980). Similarly, the sporicidal action of hydrogen peroxide can be increased by copper at 10 mmol/l (Waites et al., 1979). The antibacterial potency of hydrogen peroxide is also enhanced 10-fold by the addition of 0.83 mmol/l iron, copper, chromium, cobalt or manganese (McCulloch, 1945). All of these ions occur naturally in honey (albeit in lower concentrations than those reported above; White, 1975a) suggesting that maximal rates of hydrogen peroxide-induced antibacterial activity can occur when using honey as the antibacterial agent.
22.214.171.124 Variability of Glucose Oxidase Activity / Hydrogen Peroxide Production
Glucose oxidase activity (and therefore hydrogen peroxide production) varies substantially in different honeys, with some honeys showing no activity at all. Generally, low concentrations of hydrogen peroxide (and/or low levels of hydrogen peroxide-induced antimicrobial activity) are correlated with low levels of glucose oxidase activity and vice versa. However, this is often an incorrect assumption, as the lack of observed activity may be a result of hydrogen peroxide destruction rather than a reduction in glucose oxidase activity.
The low levels of glucose oxidase activity seen in some honey samples may, in part, be the result of loss of activity during processing and handling of the honey by the apiarists. The glucose oxidase enzyme that generates hydrogen peroxide when honey is diluted is denatured by heat (White and Subers, 1964a; White, 1966; Bogdanov et al., 1987) and by light (Duisberg and Warnecke, 1959; White and Subers, 1964b; Dustmann, 1979). In a small study using only 13 honey samples, Revathy and Banerji (1980) demonstrated that processing raw honey before marketing did reduce its antibacterial activity. However, in a larger study by Allen et al. (1991) involving 345 different samples, no correlation was found between age, extraction, storage and processing with the levels of antibacterial activity.
The level of hydrogen peroxide production may also be affected by the floral source as Allen et al. (1991) demonstrated that many dark coloured honeys were often associated with high levels of hydrogen peroxide-induced antibacterial activity whereas light coloured clover honeys were consistently found to have low activity. In addition, particular floral sources have been shown to contain high levels of catalase, a hydrogen peroxide degrading enzyme, such that the overall level of accumulation is low (Schepartz, 1966; Schepartz and Subers, 1964;
Dustmann, 1979). Alternatively, honeys with a low level of catalase may accumulate high levels of hydrogen peroxide.
However, not all variation of hydrogen peroxide by floral source is due to the presence of catalase. It has been found that hydrogen peroxide added to honey will be destroyed even if the honey has been heat-treated beforehand such that no catalase is active, indicating that chemical degradations are involved as well as enzymic destruction (White *et al.*, 1963). Molan (1992) suggested that this could be due to metal-catalysed reaction with ascorbic acid.
It is also possible that either glucose oxidase and/or the hydrogen peroxide it produces may be prone to destruction/inactivation by other components of honey. White *et al.* (1963) found that glucose oxidase is virtually inactive in full strength honey but that activity increasing 2500–50000 times when the honey is diluted. This data suggests the presence of a potent enzyme inhibitor(s) in the honey. These inhibitory compound(s) have largely not been investigated, nor have they been identified, however, it is highly possible that the factors responsible may vary in different honeys.
### 126.96.36.199 Rates of Hydrogen Peroxide Production in Honey
The ability to accurately quantify glucose oxidase activity, or more importantly, the inherent level of hydrogen peroxide produced/accumulated in a given honey sample depends largely on the methodology employed. There are many different methods available for the measurement of hydrogen peroxide (Welcher, 1963; Parker, 1978; Jie *et al.*, 1995; Bang, 1998), but whereas these methods produce reliable and accurate results with standard water-based solutions, they have been shown to not accurately detect and measure hydrogen peroxide in honey due to various side reactions (Bang, 1998).
Recently, an assay not based on the use of peroxidase was developed using an oxygen electrode to fully elucidate the hydrogen peroxide production profile in different dilutions of honey (Bang *et al.*, 2003). These authors demonstrated that this method was not prone to interference from other components of honey, and that hydrogen peroxide levels could be measured in honey concentrations of up to 80%. Various single- and multi-floral honeys were assayed in this study (including Ling Heather, Rewarewa, Clover, Wildflora, Bush and Pasture) and the profiles were primarily the same for all samples. Hydrogen peroxide production ranged from 0.3–1.4 mmoles/30 mins in 10% dilutions of honey, to 0.9–2.9 mmoles/30 mins in 30% solutions. Peak rates of production occurred at 30–40% honey and, in all samples, the rates of hydrogen peroxide
production were virtually the same at 10% and 70% honey dilutions. Levels of accumulated hydrogen peroxide over time ranged between samples. Peak levels were accumulated after 6 and 24 hours, respectively, in a Ling Heather and Rewarewa sample, with total loss of all detectable hydrogen peroxide after 24 and 48 hours (Bang et al., 2003).
1.3.3 Other Components
Following the discovery that the antibacterial activity of honey was primarily due to hydrogen peroxide, it was suggested that non-peroxide factors in honey likely play a minor role in the antibacterial action (Dustmann, 1979; Morse, 1986; White and Subers, 1963). However, a number of researchers demonstrated the presence of non-peroxide antibacterial factors when they found that particular honeys exhibited an antibacterial activity even after the honey had been heat-treated (Gonnet and Lavie, 1960; James et al., 1972; Roth et al., 1986; Molan and Russell, 1988) or after treatment with catalase to remove the hydrogen peroxide (Adcock, 1962; Roth et al., 1986; Molan and Russell, 1988; Hodgeson, 1989; Allen et al., 1991).
In recent times, much research has focussed on the non-peroxide antimicrobial activities of New Zealand Manuka (*Leptospermum scoparium*) honey. Analysis of an ether extract of Manuka honey demonstrated that Manuka honey contained components with antibacterial activities including syringic acid, methyl syringate and phenolic acids (Russell et al., 1990) and these authors suggested that these compounds may be responsible for the non-peroxide activities observed in this type of honey.
As well as the non-peroxide antimicrobial properties of Manuka honey, certain honeys have also been shown to contain a number of other antibacterial compounds. These include the plant-derived flavonoids pinocembrin, pinobanksin and chrysin (Bogdanov, 1984; Ferreres et al., 1994; Soler et al., 1995) and the phenolic compounds caffeic acid and ferulic acid (Bogdanov, 1997; Wahdan et al., 1998; Weston et al., 1998; 2000). As well, Mundo et al. (2004) reported that Manuka, Soybean, Black Sage and Blackberry honeys demonstrated non-peroxide inhibition of various bacteria that was reversed in the presence of $\alpha$-chymotrypsin, indicating that proteinaceous compounds may also be involved in the antibacterial properties of some honeys. These protein-based compounds have yet to be elucidated.
1.4 ANTIOXIDANT CAPACITY OF HONEY
1.4.1 Oxidative Stress
Oxidative stress is defined as the imbalance between free radical production and the antioxidant defense system resulting in an excess of oxidation (Gheldof and Engeseth, 2002). Oxidant free radical molecules are produced during normal metabolism in the cell and evidence now suggests that the excessive generation of these molecules can lead to DNA damage (Holmes et al., 1992; Ames et al., 1993) and contribute to the development of certain age-related pathologies including arthritis, strokes, atherosclerosis and some cancers (Peto et al., 1981; Cross et al., 1987; Schramm et al., 2003). Antioxidants are compounds that can reduce levels of oxygen free radicals, thus countering their toxic effects. They can occur endogenously within the body or be provided by dietary sources. There is a large amount of evidence in the literature to suggest that consumption of foods, in particular fruit and vegetables, can boost levels of antioxidants thereby playing a significant role in reducing the incidence of cerebrovascular and other diseases (Machlin 1995; Steinmetz and Potter, 1996; Van Duyn and Pivonka, 2000). The process of oxidative stress and the role of antioxidants is discussed further in Chapter 10.
1.4.2 Antioxidants in Honey
Within the last 10 years, several studies have shown that honey does have an antioxidant capacity *in vitro* (See Table 1.1). Furthermore, honey has been shown to prevent lipid oxidation in cooked ground turkey meat (Mathew et al., 1998; Antony et al., 2000; McKibbon and Engeseth, 2002), with honey concentrations as low as 5% significantly reducing lipid oxidation by approximately 70% after 1–3 days. In addition, honey (5%, w/w) was more effective than $\alpha$-tocopherol and butylated hydroxytoluene, two commonly used phenolic antioxidants, after both 1 and 3 days (McKibbon and Engeseth, 2002).
Honeys from different floral sources have also been shown to inhibit the enzymatic browning of fruit and vegetable homogenates (Oszmianski and Lee, 1990; Chen et al., 2000). In the latter study, honeys reduced the browning of baking potato, sweet potato, red delicious apple and d’Anjou pear by up to 45%, but it was less effective than the commercial browning inhibitors ascorbic acid and sodium metabisulphate.
Table 1.1: Antioxidant content of honey
| Reference | No. samples tested* (no. different floral sources) | Average Antioxidant Level | Method of Measurement |
|-------------------------|----------------------------------------------------|---------------------------|-----------------------|
| Frankel et al., 1998 | 19 (14) | $21.3 - 432 \times 10^{-2} \mu eq/g$ | DPPH |
| Chen et al., 2000 | 7 (7) | $2.5 - 59.2 \times 10^{-1} \mu eq/g$ | TBARS |
| Gheldof and Engeseth, 2002 | 14 (7) | 3.1 to 16.3 $\mu mol TE/g$ | ORAC |
* excluding sample replicates, DPPH = 1,1-diphenyl-2-picrylhydrazyl, ORAC = oxygen radical absorbance capacity, TBARS = Thiobarbituric acid reactant substances, TE = trolox equivalents
More recently, a small number of studies have investigated the in vivo antioxidant capacity of honey (Ghledof et al., 2003; Busserroles et al., 2002; Schramm et al., 2003; Perez et al., 2006). Gheldof et al. (2003) found that the serum antioxidant capacity, measured using oxygen radical absorbance capacity (ORAC), was increased by 7% in individuals who had consumed a 500 ml solution of Buckwheat honey (160 g/l), but not in those who consumed 500 ml of black tea or black tea plus 160 g/l of a syrup of mixed sugars (45% fructose, 35% glucose, 20% water). Similarly, in another study, plasma antioxidant capacity increased by 12–25% six hours after the ingestion of a single dose of Buckwheat honey (1.5 g/kg body weight), and the plasma total-phenolic content was increased by 4–8% (Schramm et al., 2003). No significant effects on either parameter were reported in subjects who consumed an equivalent amount of corn syrup (Schramm et al., 2003). The plasma reducing capacity was also shown to be improved by approximately 10% following ingestion of honey (Schramm et al., 2003). In a 2-week rat feeding study in which animals were fed diets containing 65 g of carbohydrate (starch, honey or a mixture of fructose and glucose as in honey) per 100 g of diet, honey-fed rats had higher plasma $\alpha$-tocopherol levels, lower plasma nitrogen oxide levels and a lower susceptibility of lipid peroxidation in the heart (Busserroles et al., 2002). In contrast, pro-oxidative effects were observed in rats fed the fructose/glucose mixture.
The antioxidant capacity of honey has been attributed to several factors including $\alpha$-tocopherol, polyphenolics, organic acids, ascorbic acid, $\beta$-carotene and enzymes (Crane, 1975; Gheldof et al., 2003). In particular, research has
suggested that the antioxidant capacity of honey is largely due to its total phenolic content (Gheldorf and Engeseth, 2002; Gheldorf et al., 2002), and several studies have demonstrated that many honeys do have a rich phenolic profile consisting of benzoic acids and their esters, cinnamic acids and flavonoid aglycones (Ferrerres et al., 1992, 1994; Andrade et al., 1997; Martos et al., 2000; Gheldorf et al., 2002). In one study (Gheldorf et al., 2002) a chromatographic analysis of the phenolic fractions of 8 honeys of different floral sources suggested that most honeys have quantitatively different phenolic profiles, and that a linear correlation exists between phenolic content and ORAC activity (Gheldorf et al., 2002). This same study reported that whereas phenolic compounds contributed significantly to the antioxidant capacity of honey, they were not solely responsible. These authors also found a positive correlation between protein content and ORAC activity and acknowledged that other antioxidant components were also involved. Several authors have also reported that there is a significant positive correlation between antioxidant capacity and honey colour, the darker coloured honeys having higher antioxidant activities (Frankel et al., 1998; Taormina et al., 2001; Gheldorf and Engeseth, 2002). Whether this is due to different phenolic profiles in the different coloured honeys, or due to other floral factors is unknown. In addition, Frankel et al. (1998) reported that the antioxidant capacity of honey was directly correlated to the water content.
Today there is reasonable interest in the use of honey in foodstuffs, and one particular area of interest lies in its ability to offer an antioxidant effect although there are contrasting data as to whether the antioxidant capacity of honey is comparable to other food sources. Frankel et al. (1998), using the DPPH (1,1-diphenyl-2-picrylhydrazyl) method, reported that antioxidant levels in honey (average $0.9 \times 10^{-3}$ µeq/g) tended to be lower than the more traditional sources of dietary antioxidants including sweet orange pulp ($5.7 \times 10^{-3}$ µeq/g), broccoli ($13.6 \times 10^{-3}$ µeq/g) and sweet peppers ($14.2 \times 10^{-3}$ µeq/g) as assayed by Sebrell et al. (1967) using the same methodology. In contrast, the antioxidant content of honey determined using the ORAC assay (3–16 µmol trolox equivalent (TE) units/g) by Gheldorf and Engeseth (2002) were in the same range as many fruits and vegetables measured using the same assay (0.5–19 µmol TE/g fresh weight; Cao et al., 1996; Wang et al., 1996). It is important to note, though, that honey is generally not consumed in the same quantities as most fresh fruit and vegetables. More likely it is used as a healthy alternative to sugar, and consumed in substantially smaller portions than other dietary antioxidant sources, thereby
serving as a supplementary source of antioxidants. However, if even some of the sugar in the typical diet were to be replaced with honey, this could result in a significant increase in the intake of antioxidants.
1.5 ANTI-INFLAMMATORY ACTIVITY OF HONEY
1.5.1 Significance of Inflammation in Health
Inflammation is an important component of the normal reaction to infection or injury involving a series of inter-related events between immune cells, phagocytes, cytokines and other inflammatory mediators (Wan et al., 1989). However, when it occurs in excessive amounts or for prolonged periods of time it can actually be detrimental, preventing healing from occurring or even causing further damage (Molan, 2001).
The most serious consequence of inflammation is the production of oxidant free radicals in the tissues (Flohe et al., 1985) (refer to Sections 1.4.1 and 9.1 for a discussion on oxidative stress). This, in turn, can lead to the breakdown of lipids, proteins and DNA, thereby resulting in loss of cell functioning and tissue damage (Cochrane, 1991). In certain situations, reactive oxygen species can be produced in excessive amounts. During phagocytosis, for example, $H_2O_2$ and $O_2^{-}$ are produced and these recruit more lymphocytes, thereby creating a self-amplification cycle (Flohe et al., 1985). As well, reactive oxygen species can activate tissue proteases which causes greater damage than just that due to the free radicals formed from the $H_2O_2$ and $O_2^{-}$ (van Kempen et al., 2006).
Importantly, there is now evidence to suggest that there are strong correlations between inflammation and many health disorders. Chronic inflammation, for example, is now considered to be a major contributing factor in several diseases including arthritis, cancer and inflammatory bowel disease (Wan et al., 1989). As well, systemic inflammation has been shown to either initiate or worsen autoimmune disorders (including type I Diabetes), pre-senile dementia (Alzheimer’s disease) and atherosclerosis (reviewed by Brod, 2000). The formation of atherosclerosis, in particular, is a particular consideration in this thesis as Diabetes is a major risk factor for its formation because of hyperglycemia-induced endothelial dysfunctions (Mitai and Agrawal, 2007). However, whilst several studies have demonstrated that inflammation is a key part of atherogenesis (Stoll and Bendszus, 2006; Mitai and Agrawal, 2007; Singh and Devaraj, 2007) researchers are now suggesting that nutrition may be used as an intervening factor (Wan et al., 1989; Paoletti et al., 2006).
Recent data from large clinical studies has also demonstrated that there is an association between inflammation and neuropsychiatric symptoms seen in aging, with elevated circulating levels of C-reactive protein, interleukin-6, interleukin-10, tumour necrosis factor and serum amyloid A (markers of inflammation) correlating with reduced cognitive function in older age (Dimopoulos et al., 2006; Jordanova et al., 2007; Schram et al., 2007). This is also an important factor to consider in this thesis as many of the impairments of cognitive function are known to occur because of oxidative stress in the brain (see Section 10.1 for details) and honey is known to be a strong antioxidant agent (see Section 1.4.2).
It has recently been suggested that obesity may also be a chronic inflammatory illness, as there is an increase in inflammatory markers in the circulation of obese individuals, and macrophages have been identified in their white adipose tissue (Cancello and Clement, 2006). This too, may be significant to consider in relation to this thesis as the different effects of sucrose and honey on weight regulation are an important measure in several studies in this thesis (see Chapters 5, 6 and 9).
1.5.2 The Anti-Inflammatory Activity of Honey
Although it is possible that honey may have an anti-inflammatory effect after consumption, most of the research into this area has primarily centred around the use of honey as a topical agent. Numerous studies, for example, have reported that honey applied to wounds reduces the localised swelling, heat and pain associated with inflammation (Burlando, 1978; Efem, 1993; Subrahmanyam, 1993, 1998).
Though the process by which honey acts as an anti-inflammatory agent has yet to be fully elucidated, the effect has been widely observed clinically (Molan, 2006). Manuka honey incorporated in a gel for topical use was shown to suppress the itching and erythema associated with mosquito bites and other inflammatory skin reactions due to local anaphylactic reactions (P. C. Molan; personal communication). These symptoms are produced by the increased liberation of prostaglandins resulting in development of localised hot areas (Dascombe, 1985). This indicates that honey acts to decrease prostaglandin synthesis. Indeed, in one small clinical study (n=12) consumption of honey was shown to have significant effects on urinary total nitrite and prostaglandin concentrations (Al-Waili, 2005). In this study, patients were given a solution of either honey (80 g in 250 ml water) or artificial honey (30 g sucrose and 38 g
fructose in 250 ml water). Urinary prostaglandin E2 levels were decreased by 4%, 6% and 31%; prostaglandin F2-α by 15%, 28% and 44% and thromboxane B2 by 15%, 36% and 67% at 1, 2 and 3 hours after drinking the honey. In contrast, ingestion of artificial honey increased these parameters at most time intervals.
Honey has also been observed to reduce inflammation when applied to unbroken skin, indicating that the anti-inflammatory activity may be able to diffuse through the skin (Molan, 1992). Furthermore, honey decreased the stiffness of inflamed wrist joints in guinea pigs (Church, 1954), a standard test for anti-inflammatories.
Importantly, it has also been shown in histological studies of wounds in both animals and humans (Kandil et al., 1987; El-Banby et al., 1989; Cochrane, 1991; Gupta et al., 1992; Oryan and Zaker, 1998) that honey is effective even when there is no infection present. This suggests that the anti-inflammatory effect of honey is a direct effect, and not a secondary effect resulting from the removal of inflammation-causing bacteria.
188.8.131.52 Are the Anti-Inflammatory Properties of Honey due to its Antioxidant Content?
As mentioned above, the most serious complication of excessive inflammation is the production of reactive oxygen species in the tissue, these being produced as side products of phagocytic activity in the inflammatory process (Flohe et al., 1985). Importantly, though, reactive oxygen species also recruit more leukocytes into areas of inflammation which leads to self-amplification of the inflammatory response via oxidative activation of the transcription factor NF-κB that promotes the production of pro-inflammatory cytokines (Flohe et al., 1985). This, in turn, can stimulate fibroblasts as well which can, if present in excessive amounts, lead to fibrosis (scarring and adhesions) (Molan, 2001).
It has been suggested, therefore, that the antioxidant content of honey may account for its anti-inflammatory activity as the activation of NF-κB can be prevented by antioxidants (Grimble, 1994), and direct application of antioxidants to burns has been demonstrated to reduce inflammation (Burlando, 1978; Subrahmanyam, 1991). Secondly, honey is likely to prevent the feed-back amplification of inflammation that results due to hydrogen peroxide. Clinical studies have confirmed that hydrogen peroxide is directly inflammatory to skin and this is why it is no longer used as an antiseptic on tissues (Saïssy et al.,
Antioxidants have been demonstrated to block the stimulatory effects of hydrogen peroxide and to prevent the oxidation of regulatory proteins which occurs when free radicals form from it (Grimble, 1994). It is important to note, though, that most honeys endogenously produce hydrogen peroxide (when they are diluted) as well as potentially blocking its stimulatory effects and oxidant production. However, production of hydrogen peroxide by glucose oxidase in honey requires a neutral pH and a good supply of oxygen (Schepartz and Subers, 1964), and neither of these conditions are readily met in the stomach or intestinal tract.
As well, research has also provided evidence that antioxidants have potent effects on immune cell function (Bourdon et al., 1999; Grimble, 1994; Ames et al., 1993) and that the ability of other bioactive agents to suppress inflammation is based on their antioxidant content (Basova et al., 2002; Meydani and Erickson, 2001; Alliangana, 1996; Rao et al., 2003). This adds weight to the suggestion that the antioxidant content of honey may be responsible for it having an anti-inflammatory effect, though there have been no studies to date to confirm this hypothesis. However, in one study that showed that topical administration of honey can reduce post-operative peritoneal adhesions, it was suggested that this was due to its content of caffeic acid, benzoic acid, phenolic acid, and flavonoid glycones (Aysan et al., 2002).
### 1.6 PREBIOTIC EFFECT OF HONEY
#### 1.6.1 Probiotics and Prebiotics
Ever since Alexander Fleming discovered the antibacterial properties of the fungus *Pencillium spp.* in 1929 (Fleming, 1929), the world has seen the rapid dominance of antibiotics for the treatment of bacterial infections. However, whilst antibiotics are effective in most cases, they are also inherently associated with a number of drawbacks. When ingested for the treatment of gut infections, for example, antibiotics do not discriminate between the pathogens and the beneficial intestinal microflora (Schrezenmeir and de Vrese, 2001). Furthermore, several gut bacteria are now developing antibiotic resistance, and many of these bacterial infections are recognised as serious health threats (Sanders, 1999).
Global organisations including the World Health Organisation are now suggesting that the use of antibiotics be reduced in human medicine (Avorn et al. 2001) and that other means of disease/infection treatment be developed. One such approach that has quickly gained popularity is the concept of probiotics, a
general term for nutritional supplements containing one or more cultures of living organisms (typically bacteria or yeast) that, when introduced to a human, have a beneficial impact on the host by improving the endogenous microflora (Gibson and Roberfroid, 1995). This is generally achieved by the formation of bacteriocins, competition with pathogens for nutrients as well as lowering of the gut pH by fermentation (Hoerr and Bostwick, 2000; Roberfroid, 2000).
A large amount of research has been undertaken to investigate the probiotic effects of bacteria (reviewed by Hoerr and Bostwick, 2000; Klaenhammer, 2000; Rolfe, 2000; Femia et al., 2002; Gallaher and Khil, 1999; Roberfroid et al., 1998; Roberfroid, 2000; Saikali et al., 2004), showing that improved gut health (including reduced diarrhoea, constipation, inflammatory bowel disease) is often associated with *Lactobacillus* and *Bifidobacterium* spp (Harper et al., 1985; Cherbut et al., 2003; Saikali et al., 2004; Sartor, 2005). Food manufacturers have readily tapped into this new market with the development of probiotic-supplemented foods, fermented dairy foods such as yoghurts appearing to be the preferred choice (Salminen et al., 1998; Roberfroid, 2000).
The use of probiotics can also pose a number of practical difficulties though. First, all foodstuffs are prone to a particular shelf-life, and the effectiveness of the probiotic bacteria can be limited due to the development of acidity by fermentation, development of toxins or loss of viability. Secondly, *L. acidophilus* and *Bifidobacterium* spp. are classified as microaerophillic and anaerobic, respectively, and their survival in an oxygen-based environment is limited (Kailasapathy and Rybka, 1997; Shah, 2000; Talwalkar and Kailasapathy, 2004). Yoghurts incorporate a considerable amount of dissolved oxygen during manufacture, and the packaging materials used are generally not oxygen-impermeable. Limited studies have investigated the viability of *lactobacillus* and *bifidobacteria* spp. in yoghurts, and the available data suggests that the effectiveness of commercial probiotics may be limited despite the fact that oxygen scavengers are often used (Iwana et al., 1993; Rybka and Fleet, 1997; Shah et al., 1995; Micanel et al., 1997; Vinderola and Reinheimer, 1999; Talwalker and Kailasapathy, 2004).
With the difficulties associated with the survival and maintenance of probiotic cultures, a second approach towards improving gut health has evolved involving the use of prebiotics, these being “food ingredients that beneficially affect the host by selectively stimulating the growth and/or activity of one or a limited number of bacteria (usually bifidobacteria) in the colon” (Schrezenmeir and de Vrese, 2001). In most instances stimulation of bifidobacteria growth
occurs due to the presence of particular carbohydrates, particularly those that are non-digestible by the enzymes of the human digestive system. These carbohydrates can include fructo-oligosaccharides (FOS) and inulin (Hidaka *et al.*, 1986; Wang and Gibson, 1993; Gibson *et al.*, 1995; Bouhnik *et al.*, 1997; Menne *et al.*, 2000; Tuohy *et al.*, 2001; Kolida *et al.*, 2002; Roller *et al.*, 2004; Euler *et al.*, 2005), transgalactosylated oligosaccharides (TOS) (Tanaka *et al.*, 1983; Ito *et al.*, 1993; Rowland and Tanaka, 1993; Bouhnik *et al.*, 1997; Sazawal *et al.*, 2004) and soybean oligosaccharides (Hayakawa *et al.*, 1990; Saito *et al.*, 1992).
Besides the stimulation of growth of lactobacilli and bifidobacteria, prebiotics have been demonstrated to have several other beneficial gastrointestinal benefits. These can include increased faecal biomass, a mild laxative effect and an osmotic effect in the small intestine (Gibson *et al.*, 1995; Cummings and MacFarlane, 2002; Marteau and Boutron-Ruault, 2002). In addition, other improvements have been reported with prebiotics, including increased immune function (Kolida *et al.*, 2002), reduced dental caries (Cummings and MacFarlane, 2002), stimulation of apototsis (Cummings and MacFarlane, 2002) and an anticarcinogenic effect (Boutron *et al.*, 1996; Taper *et al.*, 1997; Taper and Roberfroid, 1999, 2000, 2002; Wollowski *et al.*, 2001; Cummings and MacFarlane, 2002).
Importantly it has also been shown that intake of prebiotics may help improve calcium uptake (Abrams *et al.*, 2005; Cashman, 2006), this being a significant finding as many individuals consume less than two thirds of the recommended daily intake of calcium (Heseker *et al.*, 1992; van Dokkum, 1995; see Section 7.1 for further details on calcium intake and problems related to calcium deficiencies). The improvements in calcium uptake with prebiotics are thought to occur in a number of ways. These include the binding of calcium to the non-digestible sugars, thereby preventing the formation of the insoluble hydroxyapatite, and fermentation of the non-digestible sugars in the lower gut to produce acidic conditions, again preventing hydroxyapatite formation (Younes *et al.*, 2001). As well, an osmotic effect resulting from prebiotic intake can lead to the opening of gap junctions between mucosal cells in the intestine, thereby increasing calcium absorption through a paracellular route (Abrams *et al.*, 2005). Further information relating to the possible improvements in calcium uptake with prebiotics (including honey) is given in Chapters 7 and 8.
1.6.2 Prebiotic Effect of Honey
Recently, a small number of researchers have demonstrated that honey can stimulate the growth of bifidobacteria *in vitro* (Chick *et al.*, 2001; Ustunol and Gandhi, 2001; Kajiwara *et al.*, 2002; Sanz *et al.*, 2005). In a large study funded by the National US Honey Board, 3–5% (w/v) honey significantly enhanced the growth and survival of bifidobacteria BF-1, BF-6 and *B. longum* *in vitro* when added to inoculated samples of 12% reconstituted non-fat dry milk but no effect on bifidobacteria growth was observed with the equivalent concentrations of either fructose, glucose or sucrose (Ustunol and Gandhi, 2001). Similarly, 5% honey stimulated the growth of the human intestinal bifidobacterium spp., *B. longum*, *B. adolescentis*, *B. breve*, *B. bifidum* and *B. infantis* when cultured *in vitro* in reinforced clostridial medium (Kajiwara *et al.*, 2002). The mean doubling times of these bacteria decreased from 147–690 hours to 9.9–14.3 hours after 48 hours of anaerobic incubation (Kajiwara *et al.*, 2002). In both these studies the effects of honey were equal to or greater than that observed with FOS, gluco-oligosaccharides (GOS) and inulin (Ustunol and Gandhi, 2001; Kajiwara *et al.*, 2002). However, in both of these studies, no control tests were performed to determine what level of bacterial growth would occur due to the glucose and fructose present in the honey. Bergey's Manual of Systematic Bacteriology (1984) states that bifidobacteria will grow on a medium of glucose and/or fructose, thus it is possible that the bacterial growth reported by Ustunol and Gandhi (2001) and Kajiwara *et al.* (2002) was due to the sugar components of the honey. It has been demonstrated in other research, though, that honey can stimulate the *rate of growth* of bifidobacteria when grown *in vitro* on a glucose medium (P. Molan, personal communication). This may be due to the laxative effect of honey (Ladas *et al.*, 1995, Ladas and Raptis, 1999) such that sugars that are normally absorbed in the upper gut are available as an energy source for bacteria in the lower gut.
In line with other prebiotic research, it has also been suggested that the prebiotic effect of honey is due to its oligosaccharide content. As mentioned in Section 1.2.2, honey consists primarily of the monosaccharides glucose and fructose. However, a detailed examination of 27 Spanish honeys revealed that honey can also contain 10–25% minor carbohydrates, including disaccharides and tri-saccharides (Sanz *et al.*, 2004). Astwood *et al.* (1998) has demonstrated the presence of four tetra-saccharides, one penta-saccharide and one hexa-saccharide in New Zealand honeydew honeys, and it is highly likely that there are also other as yet unknown oligosaccharides present in honey.
To conclusively demonstrate that the prebiotic effects of honey are due to oligosaccharides, a group of British and Spanish researchers recently investigated the growth of faecal bifidobacteria and lactobacilli when in the presence of monosaccharide-devoid honey in an *in vitro* fermentation system (Sanz *et al.*, 2005). After removing the glucose and fructose from a honeydew sample via nanofiltration, yeast treatment and adsorption onto active charcoal, the remaining oligosaccharide mixture was shown to increase the bacterial populations after 12 hours of fermentation, with a prebiotic index (PI) in the range of 3.38–4.24 (the PI is calculated to give a comparable index between the growth of beneficial faecal bacteria (*e.g.* bifidobacteria, lactobacilli and eubacteria) and the less desirable ones (*e.g.* clostridia and bacteroides)) related to changes in the total number of bacteria (Palframan *et al.*, 2003)). Unlike previous studies that reported that honey appeared to have a prebiotic effect that was equal to or greater than that of FOS, this study demonstrated that the prebiotic potential of neither the total honey nor the oligosaccharide mixture was as potent as the FOS (PI = 6.89; GOS and inulin were not investigated in this study). However, this same study did demonstrate that lactic acid and acetic acid production was at least as high with honey and honey oligosaccharides as with FOS, suggesting that growth of bifidobacteria was enhanced to an equal extent in these samples.
Similarly, Shamala *et al* (2000) showed that *Lactobacillus plantarum* counts increased 10–100 fold when grown *in vitro* in the presence of 1% honey compared with 1% sucrose or 1% lactose + 1% glucose. In contrast, Curda and Plockova (1995) demonstrated that the growth of *Lactococcus lactis* bacteria in skim milk was inhibited by the addition of 5–10% honey. The effects of honey on the growth of lactic acid bacteria therefore require further investigation.
With the exception of the two studies mentioned earlier (Astwood *et al.*, 1998; Sanz *et al.*, 2004), there appears to be very little information available as to the oligosaccharide content of honey. A group of German researchers have identified several oligosaccharides (1-kestose, neokestose, nystose, 6-kestose, raffinose, stachyose, isomelezitose and fructocyslismelezitose) in honey, and have demonstrated that these all appear to be resistant to digestive enzymes (Rittig, 2001). To date, only two *in vivo* studies have investigated the prebiotic effect of honey (Shamala *et al.*, 2000; Ezz El-Arab *et al.*, 2006). In the earlier study, lactic acid bacteria counts were significantly increased in rats fed 2 grams of honey per day compared with those fed 2 grams of sucrose per day after 6 weeks of feeding (7.8 vs 5.8 Log$_{10}$ viable counts; Shamala *et al.*, 2000). Similarly, the addition of 10% cotton honey to a powdered AIN-93 diet significantly
increased counts of bifidobacteria and lactobacilli by a mean of 2.3 and 1.07 $\log_{10}$ colony forming units / gram caecum content, respectively, in Swiss Albino mice after 2 months compared with control animals fed the powdered diet alone (Ezz El-Arab et al., 2006).
1.7 OTHER HEALTH PROPERTIES OF INGESTED HONEY
In addition to the well-recognised bioactive properties of honey that have been discussed earlier in this chapter (i.e. antibacterial, antioxidant and prebiotic effects), recent research has also discovered a number of other properties that may support health and wellness.
1.7.1 Gastric Health
In recent years, a small number of studies have been undertaken to assess the gastro-protective effects of honey in rats (Ali et al., 1997; Ali and Al-Swayeh, 1997; Gharzouli et al., 1999; 2002; Mahgoub et al., 2002; Ali, 2003). In the earlier study of Ali et al. (1997), Wistar rats given oral solutions of honey (0.078–0.625 g/kg body weight) 30 minutes prior to ischaemia- and reperfusion-induced gastric lesions exhibited significantly fewer gastric lesions, and reduced intraluminal bleeding and vascular permeability compared with animals pre-treated with water only. Similar results were also obtained with pre-treatment with the free-radical scavenger dimethyl sulfoxide (DMSO) (0.02–0.08 g/kg body weight, intraperitoneally) (Ali et al., 1997), suggesting that free radical damage may be involved in the pathogenesis of ischaemia-reperfusion-induced mucosal injuries, and that the gastro-protective effects of honey may be due to its antioxidant properties.
Similarly, Ali and Al-Swayek (1997) reported that natural honey (0.078–0.625 g/kg body weight) prevented the increase in vascular permeability that was observed following exposure to ethanol, although this effect was diminished if the animals were pre-treated with the sulphydryl blocker $N$-ethylmaleimide (0.05 g/kg) prior to being administered the honey. Thus, it has been suggested that the protective effects of honey may be mediated through sulphydryl-sensitive processes, as well its antioxidant content. Similar conclusions were also drawn by Ali (2003) when it was shown that both honey (0.312–1.25 g/kg body weight) and sulcralfate (0.25–1.0 g/kg) prevented the formation of ammonia-induced gastric lesions, and reversed the decrease in non-protein sulphydryls that resulted from the ammonia treatment.
In two studies undertaken in Algeria (Gharzouli *et al.*, 1999; 2002) honey has again been demonstrated to have gastro-protective effects, it preventing the gastric lesions induced by ethanol (Gharzouli *et al.*, 1999; 2002) and indomethacin and acidified aspirin (Gharzouli *et al.*, 2002). Importantly, both of these studies also tested the effects of a mixture of glucose, fructose, sucrose and maltose, and demonstrated gastro-protective effects that were only slightly less than those of the honey, suggesting that the protective effects of the honey may be substantially due to its carbohydrate content. In the two studies by Gharzouli *et al.*, however, the concentrations of the four sugars used in the sugar mixture were supposed to be representative of the levels found in the honey (38.2% fructose, 31.3% glucose, 1.5% sucrose and 7.3% maltose). But, due to the authors not taking the density of honey into account, and adding only 17.5 ml of water rather than making the solution to a total of 100 ml, the sugar mixture they prepared was considerably more concentrated than that found in a typical honey. It has suggested, therefore, that the gastro-protective effects of the sugar mixture were most likely due to it simply forming a physical barrier over the mucosal surface of the stomach (Ali, 2001).
Honey may also have a possible role in the improvement of gastric health, via the improvement of naturally occurring peptic ulcers. In a small number of *in vitro* studies, Manuka honey has been shown to inhibit the growth of *Helicobacter pylori* (Al Somai *et al.*, 1994; Osato *et al.*, 1999), the organism thought to be responsible for the development of dyspepsia and peptic ulcers. In the earlier study (Al Somai *et al.*, 1994), Manuka honey was shown to have bacteriostatic properties against *H. pylori* at concentrations of 5% (v/v), with most clinical strains showing complete inhibition of growth with honey concentrations of 20% (v/v). Importantly though, solutions of glucose, fructose and their combinations have also been shown to inhibit the growth of *H. pylori* at concentrations ≥ 15% (Osato *et al.*, 1999) suggesting that the inhibition may be due to the osmotic action of the honey/sugar solutions rather than any inherent antibacterial activity. In addition, whereas Manuka honey has been shown to be effective at retarding the growth of *H. pylori* *in vitro*, it has not been demonstrated to have any effect *in vivo*. In a small clinical study, McGovern *et al.*, (1999) reported that all patients (n=6) remained positive for *H. pylori* four weeks after a 2-week regime of a tablespoon of Manuka honey, taken four times a day. No other clinical studies appear to have investigated the efficacy of honey as a treatment for dyspepsia or gastric ulcers, although it would certainly be of interest to further study its clinical efficacy given the above findings that honey can minimise the formation of gastric
ulcers when taken as a preventative measure. In particular, ammonia is liberated in the stomach of *H. pylori*-infected individuals, and it has been implicated in the pathogenesis of peptic ulcer diseases (Ali, 2003). Thus, honey may offer an effective therapeutic treatment for gastric ulcers, both via its antibacterial effect on the *H. pylori* organisms directly, and via prevention of ammonia-induced gastric lesions.
Honey may also be an effective treatment for ulcerative colitis of the gut, as limited research in rats has demonstrated that honey significantly reduced intestinal mucosal injury scores when given as a 50% solution (2 ml) rectally for 7 days following induction of colitis (Bilsel et al., 2002). Importantly, in this same study, treatment with prednisolone and disulfiram (pharmaceuticals that are standard therapy for inflammatory bowel disease) had no effect, the degree of intestinal damage (ulcers and erosions) being similar between these animals given these two treatments and those in the control saline group. Similarly, in a second animal study (Mahgoub et al., 2002), honey provided dose-dependent protection against acetic acid-induced colonic damage, when taken orally and rectally for four days, with induction of colitis on day three (*i.e.* after the first two days of honey treatment). Honey at a concentration of 5 g/kg body weight afforded nearly 100% protection, whilst a mixture of glucose, fructose, sucrose and maltose (as in honey) had no protective effect (Mahgoub et al., 2002). In both studies, honey also restored malondialdehyde levels (an indicator of lipid peroxidation) back towards normal levels (Bilsel et al., 2002; Mahgoub et al., 2002).
In other clinical studies, it has also been suggested that honey may aid in the treatment of diarrhoea and gastroenteritis (Chatterjee et al., 1978; Finberg, 1980; Salem, 1981; Haffejee and Moosa, 1985; Linnett, 1996). In one well-designed study (Haffejee and Moosa, 1985), 169 infants presenting with gastroenteritis were given either standard rehydration therapy (oral and/or intravenous fluids containing glucose and electrolytes) or honey-based rehydration therapy (oral and/or intravenous fluids, with the oral solution containing honey in place of glucose such that the electrolyte content was the same). When taken as a whole, there were no significant differences between the two treatments for the mean recovery time, nor the mean rehydration time; however, when only those patients with bacterial gastroenteritis were considered, infants given honey (50 ml/l) had significantly reduced mean recovery times compared with the control group (58 vs 93 hours). It has been suggested that honey may have this effect due to its high sugar content promoting absorption of
sodium and water from the gut (Nalin, 1975), although it is likely that other factors may be involved also. In contrast, honey has also been suggested as a good remedy for constipation – this being due to the fact that consuming honey has been shown to have a laxative effect *in vivo* (Ladas *et al.*, 1995, Ladas and Raptis, 1999).
### 1.7.2 Anti-Cancer Effects of Honey
A small number of studies (Swellam *et al.*, 2003; Orsolic and Basic, 2004; Orsolic *et al.*, 2005) have investigated the anti-cancer properties of honey in recent years, with interesting results. In the earlier study (Swellam *et al.*, 2003), honey (1–25%) significantly inhibited the growth of bladder cancer cell lines when tested *in vitro*. In addition, intralesional injections of honey (6 and 12%) significantly reduced the growth of tumours resulting from cancer cells that were implanted into the abdomen of mice (Swellam *et al.*, 2003). No comparisons with other sugar solutions were undertaken in this study, but it was suggested that the effects may have been due to its chemical constituents as another study has reported that administration of hydroxycinnamates from honey significantly inhibited benzopyrene-induced neoplasia of the forestomach in mice (Wattenburg *et al.*, 1980).
Similarly, solutions of honey (1–2 g/kg bodyweight) given orally via a gastric tube for 10 days significantly reduced metastasis formation in mice and rats with transplanted carcinoma in the lungs, but only when it was taken as a preventative measure (Orsolic and Basic, 2004; Orsolic *et al.*, 2005). In contrast, animals receiving honey therapy that began 2 days after tumour cell inoculation had no reduction in tumour nodule formation, with a few animals even exhibiting enhanced tumour growth in their lungs (Orsolic and Basic, 2004). Importantly, no controls were carried out with these studies, although it was also reported in one study that royal jelly also reduced the formation of metastases when it was co-administered with the tumour cells (Orsolic *et al.*, 2005).
### 1.7.3 Effects on Biochemical and Physiological Indices
The contents of this section form the basis of much of the work presented in this thesis, therefore they are discussed in detail in the following chapters. For this reason, this section will provide a brief overview only.
Honey has been shown to have a number of effects on biochemical indices, although most of this data has come from only a small number of studies (Al-Waili, 2003a, 2004b). In a small clinical study (*n*=24), inhalation of an aerosol
of honey (60% w/v) for 10 minutes resulted in a lowered blood glucose level and elevation of plasma insulin and C-peptide levels (Al-Waili, 2003a). In contrast, inhalation of 10% dextrose led to a mild reduction in plasma insulin levels and no change in blood glucose (Al-Waili, 2003a). In addition, blood pressure was mildly reduced, and there was an 11–16% increase in peaked expiratory flow rate in patients given honey, but no significant changes were observed for either endpoints in patients given distilled water or dextrose (Al-Waili, 2003a). Similarly, in a second small noncomparative clinical study (n=8) oral consumption of honey (75 g in 250 ml water) once-daily for 15 days resulted in a reduction in total cholesterol (7%), LDL-cholesterol (1%), triglycerides (2%) and C-reactive protein (7%) compared with baseline levels, although these did not reach statistical significance (Al-Waili, 2004b). As well, the same quantity of honey (once-daily for 15 days) decreased total cholesterol (8%), LDL-cholesterol (11%), and C-reactive protein (57%) in patients (n=5) who had elevated cholesterol (> 200 mg/dl) prior to beginning the study, the changes in total cholesterol and C-reactive protein both reaching statistical significance (p < 0.05) (Al-Waili, 2004b).
Intravenous administration of honey (25 g in 500 ml saline) in healthy sheep was also shown to improve renal and hepatic function, bone marrow function, and the fasting lipid profile compared with baseline levels (Al-Waili, 2003b). However, in most cases, the levels reported with honey were not significantly different from those reported for control sheep given dextrose. In the same study, honey (80 g in 500 ml water), given four times in 17 days, numerically reduced serum glutamic oxaloacetic transaminase levels, triglyceride and total cholesterol levels, and significantly elevated serum protein, haemoglobin and white blood cell counts compared with baseline levels (Al-Waili, 2003b). Reductions in triglyceride levels were significantly lower in honey-treated sheep compared with those given dextrose at 20 days (17.3 vs. 21.7 mg/dl; p = 0.02) but no other differences between the two treatment groups were observed at 10 or 20 days. In addition, in a small non-comparative study, honey (80g in 250 ml water) increased serum phosphate levels, and decreased serum creatinine and blood urea nitrogen levels after 10 hours in another study (Al-Waili, 2005). Furthermore, in a small clinical (n=10) study daily consumption of honey (1.2 g/kg bodyweight in 250 ml water) for 2 weeks decreased creatinine kinase (33%), lactic acid dehydrogenase (41%), plasma ferritin (11%), aspartate transaminase (22%) and alanine transaminase (18%) levels (Al-Waili, 2003c). Again, this study was non-controlled and non-comparative, and it is not known
what effects were simply time related, nor whether these responses were due to other components of the diet.
It has also been shown that honey can have differential effects on blood sugar levels compared with other sugars (Shambaugh et al., 1990). Honey has a lower glycemic response than sucrose (Shambaugh et al., 1990), and plasma glucose levels have been shown to be lower in both healthy and diabetic patients (Samanta et al., 1985; Al-Waili, 2004b) as well as in sheep (Al-Waili, 2003b) and rabbits (Akhtar and Khan, 1989) who have consumed honey compared with those that have consumed dextrose, sucrose or fructose. In one recent study comparing honeys of differing floral sources, GI values were shown to not differ significantly between samples, and no relationship between GI and the fructose to glucose ratio was observed (Ischayek and Kern, 2006). These authors reported that the mean GI values of US honeys to range from 69.2–74.1 (Ischayek and Kern, 2006), although Arcot and Brandmiller (2005) reported the GI values of Australian honeys to be lower (range 35–72).
Limited research has also suggested that consumption of honey can have an impact on the levels of various minerals in the body (Knott et al., 1941; Al-Waili, 2003c, Ariefdjohan et al., 2005). In the study by Al-Waili (2003c), daily intake of honey (1.2 g/kg bodyweight) for two weeks increased vitamin C (47%), uric acid (12%), serum iron (20%) and serum copper (33%) levels compared with baseline levels. In the other two studies, honey was shown to improve calcium uptake in humans (Knott et al., 1941) and in rats (Ariefdjohan et al., 2005). In the earlier study, calcium retention was shown to be higher in infants fed formula containing honey compared with those fed formula alone (Knott et al., 1941), whilst in the second study, a single oral gavage of honey (500 or 800 mg) plus calcium led to increased absorption of radioactively-labelled calcium (this study is published as an abstract only). It has been hypothesised that this action was due to the prebiotic effect of honey (discussed in Section 1.6.2).
1.7.4 Effects on Immunity
Honey has been demonstrated to have an effect on various aspects of immunity, and anecdotal evidence suggests that it can stimulate immune function. In *in vitro* studies, honey (at concentrations of 0.1 or 0.2%) has been shown to stimulate the proliferation of B- and T-lymphocytes (Abuharfeil et al., 1999) and to stimulate antibody production during primary and secondary immune responses (Al Wali and Haq, 2004). As well, limited research has shown that honey can stimulate the release of tumour necrosis factor $\alpha$ in unprimed
monocyte cells (Tonks et al., 2001, 2003). The factors in honey responsible for this are currently unknown; however, it has been demonstrated that the same responses are not seen with glucose solutions diluted to the same extent (Abuharfeil et al., 1999) or with mixed sugar solutions made up to represent honey (Tonks et al., 2003).
Research has demonstrated that sugars that are slowly absorbed can lead to the formation of short chain fatty acid (SCFA) fermentation products in the gut (Kruse, 1999). SCFA are commonly formed after ingestion of prebiotic foods, and with the prebiotic effects of honey established *in vitro* (refer to Section 1.6.2) it is possible that the ingestion of honey may also result in their formation. A number of studies have demonstrated, either directly or indirectly, that SCFA can have immunomodulatory properties (reviewed by Schley and Field, 2002). Thus it is possible that honey may stimulate the immune system via the presence of fermentable sugars in the gut.
It is also possible that non-sugar components of the honey may be responsible for its immuno-modulatory effects. Tonks et al. (2007), for example, have recently reported that a 5.8 kDa component of Manuka honey is capable of stimulating immune function *in vitro*. These authors determined that the compound was not a lipopolysaccharide, amino acid, vitamin or mineral, but further investigations are required to elucidate the nature of the compound. It is also possible that the antioxidant content of the honey may contribute to its immuno-modulatory effects. Although there are no studies directly investigating the effects of honey antioxidants on immune function, other antioxidant compounds have been shown to stimulate immune function *in vitro* (Sabongi et al. 1997) and *in vivo* (De La Fuente et al. 2002).
Furthermore, honey is capable of providing a ready supply of glucose to macrophage cells, thereby enabling the “respiratory burst” that produces hydrogen peroxide (hydrogen peroxide is the main substance used by these cells to destroy bacterial activity) (Ryan and Majno, 1977). The acidity of honey also aids in the bacteria-destroying action of macrophages, as an acid pH inside the phagocytic vacuole is involved in killing ingested bacteria (Ryan and Majno, 1977).
### 1.8 OVERVIEW OF THIS THESIS
The aim of this thesis was primarily to investigate the health benefits of consuming honey, as compared with sucrose, within the range of total sugar concentrations that are in the typical New Zealand diet. It hypothesised that
honey may lead to better weight gain, calcium uptake and cognitive performance compared with sucrose during either short- or long-term feeding (see Section 1.8.1 for the specific aims of the different studies). The majority of this work was achieved using the rat as a model, although a number of small *in vitro* studies were also undertaken. As the majority of the research in this thesis was funded by Fonterra Brands, New Zealand Ltd, the research was carried out with the honey and the sucrose incorporated into diets that were formulated using milk products.
This thesis presents a small amount of data from *in vitro* analyses that were designed to investigate whether the bioactivities of honey would be altered in the presence of milk (see Chapter 3), and six animal trials to assess various endpoints (see below). Three of the studies (Chapters 4, 5 and 7) were carried out at Crop and Food Research (CFR) in Palmerston North prior to the conception of this thesis; however, they are included in this thesis thanks to the generosity of management at Crop and Food Research. The additional three studies (Chapters 6, 8, 9 and 10) were fully funded by Fonterra Brands Ltd. These trials were designed to re-evaluate the earlier work carried out at Crop and Food Research, and to further investigate other parameters.
### 1.8.1 Aims of This Thesis
The aims of the 6 animal studies were as follow:
**Study 1:** To determine whether honey, sucrose and mixed sugars as in honey would differ in their effects on protein uptake and protein metabolism in weanling rats.
**Study 2:** To ascertain whether honey, sucrose and mixed sugars as in honey would differ in their effects on weight gain in adult rats.
**Study 3:** To determine whether honey, sucrose, mixed sugars as in honey and a sugar-free diet would differ in their effects on weight gain in young rats.
**Study 4:** To ascertain whether honey and sucrose would differ in their effects on calcium uptake in calcium-deficient rats.
**Study 5:** To determine whether honey and sucrose would differ in their effects on calcium uptake in rats that were not calcium deficient.
Study 6: To ascertain whether honey, sucrose and a sugar-free diet would differ in their effects on cognitive function and age-related parameters (weight gain, immune function, cholesterol profile, bone strength) after long-term feeding in rats.
In both the *in vitro* studies and the animal trials, commercially available honeys were chosen. Honeys from specific floral sources that have known bioactivities but may not be readily accessible to either the general public or food manufacturers (*i.e.* Manuka honeys) were avoided, as these are not representative of the majority of honeys available on the world market. In the various studies, honeys were selected based on their levels of hydrogen peroxide-producing activity, antioxidant content or on the composition of the various sugars (*i.e.* high fructose content); however, in all cases the honeys were still representative of those that are widely available for purchase.
Chapter Two:
Methods and Materials
The majority of methods used in this thesis are given in the relevant chapters, specifically why the particular study and diet designs were chosen., and the reader is directed to the individual chapters for more information. However, methods and analyses that were routinely used are given below.
2.1 MATERIALS
2.1.1 Trial Locations
The work presented in this thesis consists of three animal trials (Chapters 4, 5 and 7) that were carried out at Crop and Food Research in Palmerston North and three trials that were undertaken at Waikato University, Hamilton. All *in vitro* studies were carried out at Waikato University.
Trials undertaken at Crop and Food Research were carried out at the Food Evaluation Unit (FEU) in a room maintained at a temperature of 22±1°C, humidity of 60 (±5)%, air exchange of 12 times/hour, and with a 12 hour light/dark cycle. Trials carried out at Waikato University were in either the rodent room in the Animal house (Building BL5) or in rooms in the Animal Behaviour Research
Both buildings were maintained at $22 \pm 1^\circ C$ with a 12 hour light/dark cycle.
Due to the age of the Animal House (BL5), humidity and air exchange were not mechanically controlled. In this rodent room, humidity was assessed twice weekly using a humidistat, and maintained at 60 ($\pm 10\%$) by adding a dish of water to the room as required. Fresh air was constantly circulating throughout the room due to the presence of an external fan on the exterior wall. A second fan, on an interior wall, moved air through the room.
Unless specified otherwise, animals were housed in standard rat cages that had plastic bottoms and metal grid tops. The final measurements of each cage was 45 x 25 x 30 cm high.
### 2.1.2 Experimental Animals
Weaned, Sprague Dawley male rats (of various ages as detailed in the specific chapters) were used in all the feeding studies described in this thesis. Animals were bred at, and supplied by, the FEU, Crop & Food Research, Palmerston North (for trials carried out at Crop and Food Research), or by AgResearch, Ruakura Campus, Hamilton (for trials carried out at Waikato University).
### 2.1.3 Experimental Diets
All diets were prepared by Crop and Food Research in Palmerston North. Diets were prepared by mixing the dry ingredients in large commercial mixers (20 kg capacity) for a minimum of five minutes. The liquid ingredients (water and oil) were then added by pouring slowly into the mixture while the mixer was turning on low speed. Lastly, the honey (warmed to room temperature one hour prior to mixing) was added to the mixture in a similar manner. All honeys used were fairly liquid in nature, and no difficulties with the diet formulations were encountered. Water was added to all non-honey diets to ensure that all diets had the same moisture content (to account for the fact that honey contains on average 18–20% water (Molan 1996); see specific chapters for actual amounts). All diets retained a similar powdery consistency after mixing, and no stickiness or clumping was observed with the honey diets. Percentage dry matters were determined for all diets in all trials. This was performed by placing $0.5 \pm 0.1$ g into weighed 20 ml beakers (three triplicates per sample) and drying for 16 hours at 105°C. Combined weights of the sample plus beaker were determined both before and after drying and the % dry matter calculated.
Diets were prepared no more than 10 days prior to commencing the study and were kept in the dark at $4^\circ\text{C}$ or $-18^\circ\text{C}$ for the duration of the study. Unless specified otherwise, diet ingredients were sourced from the following places:
| Ingredient | Source |
|---------------------|---------------------------------------------|
| Amylose | HA1, Penford Australia Ltd |
| Cellulose | Avicel PH102, Commercial Minerals Ltd, Auckland, NZ |
| Corn Oil | Davis Trading Company, Palmerston North, NZ |
| Egg Albumin | Zeagold Products, Auckland, NZ |
| Fructose | F0127, Sigma Chemical Company, Australia |
| Glucose | G8270, Sigma Chemical Company, Australia |
| Lactic casein | 80 mesh, New Zealand Milk Products |
| Lactalbumin | Alatal 825, New Zealand Milk Products |
| Maltodextrin | Davis Trading Company, Palmerston North, NZ |
| Maltose | M5885, Sigma Chemical Company, Australia |
| Starch | Davis Trading Company, Palmerston North, NZ |
| Sucrose | S7903, Sigma Chemical Company |
‘Mixed sugars’ were prepared based on a sugar analysis profile of the honey used in Chapter 5 & 6 (Agriquality, Auckland NZ) and formulated to contain equivalent amounts of glucose, fructose, sucrose and maltose. Maltodextrin was used to replace the various minor oligosaccharides present in honey.
Standard rodent vitamin and mineral mixes were prepared to comply with the requirements for growth as specified by the National Research Council (1995). In general, a sugar-free vitamin mix was prepared by mixing 39.57 g of vitamins with 60.43 g cellulose, and adding to the rodent diets at a level of 5 g/kg. This mixture supplied (per kg of diet): 5.0 mg retinol acetate, 200.0 mg DL-$\alpha$-tocopherol acetate, 3.0 mg menadione, 5.0 mg thiamin hydrochloride, 7.0 mg riboflavin, 8.0 mg pyridoxine hydrochloride, 20.0 mg D-pantothenic acid, 2.0 mg folic acid, 20.0 mg nicotinic acid, 1.0 mg D-biotin, 200.0 mg myo-inositol, 1500 mg choline chloride, 25.0 $\mu$g ergocalciferol, $\mu$g 50.0 cyanocobalamin. The mineral mix was prepared and added to all diets at a level of 50 g/kg to supply (per kg of diet): 6.29 g Ca, 7.79g Cl, 1.06 g Mg, 4.86 g P, 5.24 g K, 1.97 g Na, 1.97 mg Cr, 10.7 mg Cu, 424 mg Fe, 78.0 mg Mn, 48.2 mg Zn, 29.0 $\mu$g Co, 152 $\mu$g Mo, 151 $\mu$g Se. A calcium-free mineral mix was prepared for use in Chapter 7 by replacing
the calcium phosphate in the diet with cellulose and adding the same molar quantity of phosphate.
For all trials, honeys were sourced from supplies at the Honey Research Unit, Waikato University or from apiarists in New Zealand. Different honeys were required for the different trials, and details are provided in the relevant chapters.
In all the studies undertaken, the rats seemed to have no issues with eating the different diets. It has been suggested that rats do not like a predominantly starch-based diet as it can get it their nose and whiskers, so care was always taken to ensure that either the fat content was >10% or that sugars of some sort were added to the diet. The diets were therefore in accordance with recommendations for rodents as detailed in the AIN 93 diet.
2.1.4 Ethical Approval
All studies was carried out with ethical approval from the Palmerston North Crown Research Institutes’ Animal Ethics Committee (if carried out at Crop and Food Research) and from the Waikato University Ethics Committee (for studies carried out at Waikato University).
2.2 METHODS
Unless specified otherwise, samples of diet and blood were sent to external sources (Hospital Laboratory, Waikato Hospital, Hamilton and the Nutrition Laboratory, Institute for Food, Nutrition and Human Health, Massey University, Palmerston North) for measurement of the various endpoints. Both laboratories employed were IANZ accredited facilities, and standard methodologies were used. Where the analyses are published methods they are not given in detail in this Section. Readers are directed to the appropriate references if further information is required. AOAC numbers refer to the methods reported in the Official Methods of Analysis of AOAC International (1995).
In all instances, whole blood and/or serum samples were prepared at the university within 2 hours of drawing the blood, and taken to the laboratory for analysis within 8 hours. Details for sampling procedures, and sample preparation are given in the relevant chapters.
2.2.1 Gross Energy
Gross Energy (kJ/g) of diet samples were determined using Bomb calorimetry following the methodology in the AC-350 LECO Instrument Manual (see Appendix 1). In brief, the diet samples were pelletised using compaction,
and 0.5-1.0 g loaded automatically into the AC-350 Automatic Calorimeter. Net caloric values were obtained by the machine using the following:
\[ Q_{\text{net}} = Q_{\text{gr}} - 10.30(H_{\text{ar}} \times 9)[\text{BTU} \cdot \text{lb}^{-1}] = Q_{\text{gr}} - (HF \times H_{\text{ar}}) [\text{BTU} \cdot \text{lb}^{-1}] \]
Where: \( Q_{\text{net}} \) = the net calorific value in BTU/lb
\( Q_{\text{gr}} \) = the gross caloric value in BTU/lb
10.30 = the latent heat of vaporisation of water in BTU/lb
\( H_{\text{ar}} \) = the known weight percent of hydrogen as-received basis in the sample
9 = the approximation for the ratio of the molecular weight of water and diatomic hydrogen
BTU = British thermal units
lb = pound
### 2.2.2 Calcium Measurements
Measurement of dietary calcium content was determined by preparation method AOAC 968.08D followed by colorimetric analysis using the cresol phenolphthalein complexone (CPC) method. For method AOAC 968.08D, samples of diet (2–10 g) were dry-ashed by heating in a furnace at 550°C for four hours. The samples were then cooled, and 10 ml of 3N HCl added to each, before boiling for 10 minutes. The samples were then cooled, filtered into 100 ml volumetric flasks, and diluted to volume with distilled water. Subsequent dilutions with 0.1–0.5N HCl were used to bring the sample solutions into analytical range.
Bone calcium (after HCl digestion) and serum calcium content were also determined using the CPC method. For this method, 0.1 ml samples were incubated with 2 ml of the cresol colour reagent (25 mg o-cresolphthalein complexone powder, 250 mg of 8 hydroxy-quinoline and 15 ml concentrated HCl in a total volume of 250 ml with distilled water) and 2 ml of 2-amino, 2-methyl, 1-propanol (AMP) buffer (37.8 ml of AMP reagent in 150 ml of distilled water, adjusted to pH to 10.7 with 6N HCl and made up to 250 ml with distilled water) at room temperature for 15 minutes. The optical density of the test samples were then measured in a spectrophotometer at 540 nm and compared to working standards (5, 7.5, 10, and 12.5 mg/100 ml calcium).
2.2.3 Fat and Protein Measurements
Total body fat content was measured using Soxhlet fat extraction as detailed by Firth *et al.* (1985) and Hawthorne *et al.* (2000). In brief, samples of ground tissue (1.0–3.5 g) were placed in porous clay thimbles in a soxhlet extractor, held in place with glass wool. The samples were then extracted with diethyl ether over a period of approximately 40 hours.
Tissue protein content was determined using total combustion method AOAC 968.06 using a Coleman Model 29A Nitrogen Analyser. In brief, upper and lower furnace temperatures were set to 850–900°C. Samples were ground (such that there were able to pass through a No. 30 sieve), and placed into weighed ‘combustion boats’. The weight of the combined boat plus sample was then recorded. The combustion boats were loaded into the combustion tubes and volumes of $\text{Co}_3\text{O}_4$ and $\text{CuO}$ powders (equal to the sample volume) added. The prepared combustion tube was then installed in the $\text{N}_2$ analyser. KOH (45%) was added up to the calibrating mark of the nitrometer. The combustion cycle control was set to START and allowed to proceed through its cycle. The amount of nitrogen/protein present was determined automatically by the Nitrogen Analyser using calculations as detailed in the AOAC methods of analysis (1995).
2.2.4 Glycated hemoglobin (HbA1c)
Glycated hemoglobin levels were measured using an automated HPLC with a boronate phenylboronic acid affinity column (Primus Diagnostics, Cat. # 3-02-0078) and colorimetric detection. Briefly, for each sample, 5 ml of blood was diluted/hemolysed in 1 ml HPLC grade water (pH 9.0) and injected automatically into the HPLC equipped with the affinity column (the glycated component of the sample is retained on the column due to its diol groups complexing with the boronate). The glycated hemoglobin was eluted using Tris buffer containing EDTA, sorbitol and acetonitrile (pH 8.0, supplied by Primus Diagnostics; molarity not reported). Absorbance of the bound and unbound fractions, measured at 415 nm (using a UV detector) was used to calculate the percentage of glycated hemoglobin. Calibrated samples (Primus Diagnostics, Cat. # 04-01-0016) were run as appropriate controls.
2.2.5 Fasting Lipid Profiles
Fasting lipid profiles were performed by following standard Roche methods, followed by colorimetric detection with a P800 Hitachi. Total cholesterol was measured as described by Trinder (1969) using Roche Diagnostic reagents.
(Cat. # 11491458216). A reference range of 3.0–5.0 mmol/l cholesterol was used, with a lower detection limit of 0.1 mmol/l.
HDL-cholesterol was determined by the Roche HDL-C Plus homogenous method (Friedwald et al., 1972) using Roche Diagnostic reagents (Cat. # 04713214109) to exclude non-HDL cholesterol and triglycerides. The method has been shown to be linear up to 3.12 mmol/l, with a lower detection limit of 0.08 mmol/l.
Triglyceride levels were determined following the method of Trinder (1969) using Roche Diagnostic reagents (Cat. # 11730711216). The assay has a reference range of 0.3–1.9 mmol/L, with a lower detection limit of 0.05 mmol/l.
LDL-cholesterol levels were determined by calculation using the following:
\[ \text{[LDL-C]} = \left( \frac{\text{[triglycerides]}}{2.2} \right) - \text{[HDL]} \]
As the majority of this research was funded by Fonterra Brands Ltd, the primary aim of many of the studies in this thesis was to determine the health benefits of honey in a diet that also contained milk products, a series of *in vitro* studies were designed to ascertain whether the combination of milk and honey would affect the various bioactivities of honey. For all experiments both skim milk and whole milk, and three honeys of differing floral sources, were tested.
A review of some of the locally available milk products (flavoured milk drinks, yoghurts *etc*) showed that sugars, other than lactose, are often present in these products, but that the level of added sugar generally does not exceed 6%. It was therefore deemed likely that any addition of honey to a milk-based product would not occur at levels higher than 10%. For this reason, unless reported otherwise, only honey concentrations of 10% and 100% (full strength) were assessed in this chapter.
### 3.1 ANTIBACTERIAL ACTIVITY
#### 3.1.1 Introduction
The antibacterial activity of honey is well established in the literature (see Section 1.3) and it is often thought to be one the key bioactive properties of
honey. With the exceptions of Manuka honey, the antibacterial activity of honey is primarily due to hydrogen peroxide production by the enzyme glucose oxidase. However, the levels of hydrogen peroxide that may be present *in vivo* after consuming honey can vary substantially. This can depend on floral source and factors directly affecting the glucose oxidase activity (see Section 1.3), as well as factors present after consumption that may affect the stability or breakdown of hydrogen peroxide.
Importantly, it is possible that there could also be interactions occurring between the honey and other food products consumed that could affect the overall levels of antibacterial activity observed. Milk, for example, is also known to contain a number of antibacterial proteins (including lactoperoxidase, lactoferrin and lysozyme; Ekstrand and Bjorck, 1986) although activity due to these is likely to be negligible, at best, after pasteurisation and spray-drying. As well, recent studies have demonstrated that a number of bioactive peptides derived from milk proteins can also exhibit antibacterial activity (Malkoski *et al.*, 2001; Florisa *et al.*, 2003; Campagna *et al.*, 2004). Research suggests that some of these antibacterial peptides are formed in the gut, after ingestion (Campagna *et al.*, 2004), suggesting that they could indeed influence the overall level of antibacterial activity observed.
Furthermore, measurement of antibacterial activity using the method used in this chapter is also a way by which the levels of hydrogen peroxide generated in the honey can be determined. This is particularly significant as it has been suggested in *in vitro* studies that the hydrogen peroxide in honey may have an insulin-mimetic effect (Heffetz *et al.*, 1990), thereby affecting glycemic control. This, in turn, could have implications for blood sugar regulation leading to reduced hyperglycemia, and possibly even improved weight control (discussed in Chapter 6). In addition, because Glucose oxidase produces hydrogen peroxide and gluconic acid in a 1:1 ratio, measurement of hydrogen peroxide activity also gives an indication of the amount of acid produced. It has been suggested that the acidity of honey may help to keep calcium soluble in the gut for longer, thereby increasing calcium absorption: this is investigated in Chapters 7 and 8.
Thus a simple experiment was designed to measure the antibacterial activity of three different honeys either alone, or in combination with pasteurised whole or skim milk. The assay used is based on the work of Allen *et al.*, (1991).
3.1.2 Methods
184.108.40.206 Sample Preparation
Milk samples were prepared from commercially available Anchor brand milk powders, obtained from the local supermarket. Both skim milk and whole milk were prepared following the directions on the packet.
Three honeys that had previously been shown to produce detectable levels of hydrogen peroxide were assayed for antibacterial activity:
- RE7 (rewarewa)
- PS3 (mixed pasture)
- HD19 (honeydew)
Samples of each honey were diluted in distilled water, skim milk and whole milk to a concentration of 25% w/v (the concentration required for assay, as reported by Allen et al. (1991); see below) and to 10% w/v (the concentration of honey likely to be used in a milk-based product). The honey samples were diluted immediately prior to assaying, and were mixed well using orange sticks to ensure that the honeys were fully dissolved. Samples of milk (100%) were also assessed for antibacterial activity.
220.127.116.11 Assay of Antibacterial Activity
Antibacterial activity was assessed using a standard agar well diffusion assay as described by Allen et al., (1991). In brief, large square plates (Nunc bioassay dishes 243 x 243 x 18 mm) were prepared by mixing 100 µl of an 18 hour culture of *Staphylococcus aureus* bacteria (corrected to 0.5 absorbance units) in Trypticase Soy Broth (BBL) into 150 ml of sterilised nutrient agar (Difco) after it had cooled to 50°C. The plates were poured on a level surface immediately after mixing, and were stored for 24 hours at 4°C before being used.
Sixty-four wells were cut into the agar using a cooled flamed 8 mm cork borer using a quasi-Latin square as a template. Use of the numbered template, prepared on a black card 243 x 243 mm, thereby allowed the samples to be placed randomly on the plate.
All samples were tested in quadruplicate by adding 100 µl to each of four wells on the plate. Solutions of phenol (1, 2, 3, 4, 5, 6, 7 and 8% w/v) were added to the plate as standards. A blank of distilled water (used to dilute the honey) was also included on the plate to ensure there were no contaminants.
The plates were incubated for 18 hours at $37^\circ\text{C}$ before placing back onto the template. Using vernier calipers, the diameter of the clear zones produced were measured and recorded in mm. The mean diameter of the clear zone around each phenol standard was calculated and squared. A standard graph was then plotted of % phenol against the square of the mean diameter of the clear zone. A best fit straight line was plotted and the equation of this line used to calculate the activity of each honey sample from the square of each measurement of the diameter of the clear zone. Antibacterial activity is therefore expressed as the equivalent phenol concentration (w/v), after allowing for the dilution of honey for the assay.
### 3.1.3 Results
All three honeys exhibited significant antibacterial activity (range = 18.6–23.1% phenol equivalent) when tested at 25% but not at 10% using the well diffusion assay (See Table 3.1).
Both skim milk and whole milk had no detectable antibacterial activity when assayed at full strength (see Table 3.1). This was as expected, as milk powders prepared by NZMP consist of spray-dried, pasteurised skim/whole milk. The heating of the proteins in this process destroys the antibacterial factors in the milk.
The dilution of honey in milk, to a final honey concentration of 25%, also had no effect on the levels of antibacterial activity (Table 3.1). Small variations occurred in the final percentage phenol equivalents, but these were all within the standard deviation range. No antibacterial activity was observed when the honeys were diluted to 10% in the milk samples or in water, this agreeing with earlier work that has demonstrated that the minimum inhibitory concentration of *S. aureus* is greater than 10% (Cooper *et al.*, 1999).
Table 3.1: The antibacterial activities of three different honeys (RE7, HD19 and PS3) alone and when diluted in 100% reconstituted whole or skim powdered milk. All values are mean ± SD. nd = no detected activity.
| Honey Sample | Honey concentration in assay (%) | Diluent | % Phenol Equivalent |
|--------------|----------------------------------|-------------|---------------------|
| None | 0 | Water | nd |
| None | 0 | Whole milk | nd |
| None | 0 | Skim milk | nd |
| RE7 | 25 | Water | 23.1 ± 0.7 |
| | 25 | Whole milk | 23.4 ± 0.5 |
| | 25 | Skim milk | 22.8 ± 0.4 |
| RE7 | 10 | Water | nd |
| | 10 | Whole milk | nd |
| | 10 | Skim milk | nd |
| HD19 | 25 | Water | 18.6 ± 0.6 |
| | 25 | Whole milk | 18.9 ± 0.2 |
| | 25 | Skim milk | 18.3 ± 0.7 |
| HD19 | 10 | Water | nd |
| | 10 | Whole milk | nd |
| | 10 | Skim milk | nd |
| PS3 | 25 | Water | 21.4 ± 0.4 |
| | 25 | Whole milk | 21.4 ± 0.8 |
| | 25 | Skim milk | 23.9 ± 0.5 |
| PS3 | 10 | Water | nd |
| | 10 | Whole milk | nd |
| | 10 | Skim milk | nd |
3.1.4 Discussion
The data from this small experiment suggest that the combination of milk and honey (even at ratios higher than would likely be used in a food/drink
product) has no effect on the antibacterial activity of the honey. However, whether similar findings would be obtained *in vivo* after consuming a honey/milk drink is questionable. As mentioned earlier, the main antibacterial component of honey (hydrogen peroxide) is produced by the enzyme glucose oxidase, and enzyme activity can be affected by many factors (see Section 18.104.22.168). In particular, glucose oxidase is only active when the honey is diluted (White *et al.*, 1963) and that peak levels of accumulated hydrogen peroxide occur 6–24 hours after the honey has been diluted, with no detectable hydrogen peroxide present after 24–48 hours (Bang *et al.*, 2003). It is likely, therefore, that any drink product containing honey would likely have no antibacterial activity, even after a relatively short shelf-life. The antibacterial activity of honey could be utilised, however, in products which are not diluted to a large degree. Or, rather than targeting the antibacterial activity at the level of consumer consumption, it could be used as a part of an effective system to kill bacteria at the time of packaging.
Importantly, even if the antibacterial activity of the honey was not reduced by the time it was consumed, other factors would likely reduce the effectiveness of the honey even further. The presence of milk peptides and components of other food products consumed at the same time may very well interact with the honey, the glucose oxidase or the hydrogen peroxide to reduce its antibacterial capacity. As well, despite the fact that hydrogen peroxide can freely cross cell membranes enzymes present in the gut mucosa (including catalase and glutathione peroxidase) may well degrade any hydrogen peroxide before it is able to be absorbed.
Thus, whereas these results have given some limited data to support the antibacterial effectiveness of honey in a milk-based product, additional work could be undertaken to assess the actual antibacterial capacity of honey when incorporated into yoghurts and milk drinks. In particular, it would be of interest to ascertain what levels of hydrogen peroxide can be attained in a honey/milk product, what loss of antibacterial activity occurs with increasing product shelf-life and whether these products can have *any* antibacterial effect *in vivo*. Furthermore, the results demonstrate that there is a dilution effect of honey, as 25% solutions showed antibacterial activity whereas 10% solutions did not. It could also be of interest, therefore, to determine whether this dilution effect is dose-dependant and whether this might have any impact on the levels of hydrogen peroxide produced after consumption.
3.2 ANTIOXIDANT ACTIVITY
3.2.1 Introduction
The antioxidant capacity of honey has been demonstrated in both *in vitro* and *in vivo* studies (see Section 1.4), and it has been claimed to be correlated with the colour of the honey sample; the darker the colour of the honey, the greater the level of antioxidant activity.
Importantly, the antioxidant content of honey is one of the key properties that make it a good potential choice as a replacement for other sugars in food products. One of the big problems affecting Western populations is the increasing prevalence of Diabetes and hyperglycemia (see Chapter 9). In particular, recent research has shown that one of the ways that prolonged high blood glucose levels can have detrimental effects is through the induction of oxidative stress (an increase in oxidant production that adversely affects cellular physiology and function; see Section 9.1). This, in turn, has been shown to contribute to the pathological manifestations of several diseases and disorders, particularly those in older age. There is now a lot of evidence to suggest that cognitive decline in older individuals is correlated with the degree of oxidative damage that occurs both short- and long-term, and that antioxidant intake (dietary or supplementary) may attenuate this damage (see Chapter 10). For this reason, it was deemed relevant to assess whether milk would alter the antioxidant activities of different honeys when the two ingredients were combined.
3.2.2 Methods
The assay for antioxidant activity was that described by Molan (2003).
22.214.171.124 Sample Preparation
The same three honeys used in the antibacterial assay were used in this study. Of the three, two were dark coloured honeys (RE7 and HD19) and one was light in colour (PS3). The honey samples were diluted in deionised water to a concentration of 5% (v/v). They were then mixed well using orange sticks until all the honey was dissolved. Samples of pasteurised skim and whole milk (5%) were also prepared by diluting with deionised water.
A number of honey/milk solutions were then prepared to contain 5% honey, 5% milk (final concentrations) and 90% deionised water. All solutions were stored away from the light until assayed, and were kept for no longer than 30 minutes once prepared.
126.96.36.199 Reagent Preparation
Preparation of ABTS Cation Radical
A standard ABTS solution (7 mmol/l) was prepared by dissolving 38 mg of ABTS powder in 10 ml deionised water. To allow the formation of the ABTS\(^{+}\) cation radical, 6.5 mg of potassium persulphate was added to the ABTS solution (final concentration = 2.45 mmol/l) and it was left to react in the dark for 12-16 hours (a blue-green stable free radical was formed).
Prior to commencing the assay, the ABTS\(^{+}\) solution was diluted for assay. Fifteen microlitres of ABTS\(^{+}\) was added to a well of a microtitre plate and diluted with 85 \( \mu l \) deionised water. A further 100 \( \mu l \) deionised water was then added in place of the sample. An endpoint protocol reading was run on a Biorad 550 microtitre plate reader at 655 nm and the optical density (OD) recorded. If the OD readings fell within the range 2.0–2.4 the solution was at the appropriate concentration. If outside this OD range, the amounts of ABTS\(^{+}\) and water used were altered accordingly.
Preparation of Trolox Standard
A 2.0 mmol/l stock solution of Trolox was prepared by dissolving 25.0 mg of Trolox in 50 ml HPLC grade 95% ethanol. The stock solution was kept for a maximum of 2 days. When required, the stock solution was diluted 1:9 with ethanol.
188.8.131.52 Assay
Using a NUNC 96 well microtitre plate, each sample was plated out using 100 \( \mu l \)/well in rows C–H (8 replicates of one sample per row). Deionised water was used as a blank and placed in row A, and the Trolox standard was placed in row B. The plate was then read using a Biorad 550 microplate reader (endpoint protocol at 655 nm with 9 seconds shaking). This data was termed the “blank” data.
ABTS solution (100 \( \mu l \)) was then added to every well on the plate in a stepwise manner, starting with column 1 using a multichannel pipette. ABTS was added to each new column every 10 seconds. A second endpoint reading (as above) was then performed (termed the “endpoint” data) and the total time taken to fill the plate and to start the second plate reading recorded.
Immediately after the endpoint data was recorded, a kinetic protocol was started (655 nm, no shaking time, 5 readings to be taken at 25 second intervals).
The negative velocity was calculated by the Biorad software, and the velocity report saved.
184.108.40.206 Calculation of Antioxidant Activity
The antioxidant content of the samples was determined by taking the data generated by the plate reader and opening it in an Excel spreadsheet to calculate the following:
1. True zero-time endpoint:
\[ \text{True endpoint} = \text{average endpoint} + [\text{average velocity} \times \text{time for slow reaction}] \]
2. Difference between endpoint and sample blank
\[ \text{Colour of ABTS remaining} = \text{true endpoint} - \text{OD of blank} \]
3. Scavenging capacity of sample
\[ \text{Scavenging} = (\text{OD of ABTS at start}) - (\text{OD of ABTS at true endpoint}) \]
4. TEAC (Trolox-equivalent antioxidant capacity) value
\[ \text{TEAC} = \frac{\text{Scavenging at true endpoint}}{\text{Scavenging by Trolox standard}} \times \frac{\text{Trolox conc} \times \text{honey/milk dilution}}{} \]
3.2.3 Results
The antioxidant capacity of honey, milk and honey/milk solutions is given in Table 3.2. The TEAC values of the three honeys differed from each other, with the lighter coloured PS3 sample having the lowest TEAC values. Both the whole milk and skim milk samples had TEAC values < 1.0 mmol/l.
When samples of honey and milk were assayed together, an additive effect was observed. In all cases, the TEAC value obtained was almost exactly that of the milk plus honey combined. No interference was observed in any of the samples.
In further work (data not shown) the honey was diluted to 10% in milk (as 10% is the highest level of honey likely to be used in a commercial milk product) before diluting further 1:20 with deionised water for assay. These samples also showed no interference.
Table 3.2: Mean antioxidant capacity (TEAC; ± SD) of honey, milk and honey/milk solutions. All samples were diluted to 5% with deionised water for assay.
| Sample | TEAC value (mmol/l) |
|-------------------------|---------------------|
| Water | 0.03 ± 0.01 |
| Whole milk | 0.84 ± 0.06 |
| Skim milk | 0.81 ± 0.07 |
| HD19 | 2.89 ± 0.12 |
| HD19 + whole milk | 3.78 ± 0.08 |
| HD19 + skim milk | 3.68 ± 0.11 |
| RE7 | 2.66 ± 0.05 |
| RE7 + whole milk | 3.55 ± 0.14 |
| RE7 + skim milk | 3.51 ± 0.04 |
| PS3 | 1.43 ± 0.14 |
| PS3 + whole milk | 2.29 ± 0.07 |
| PS3 + skim milk | 2.24 ± 0.06 |
3.3 DISCUSSION
As the data from this experiment show, milk and honey together showed an additive effect of antioxidant activity. Interestingly, the milk samples demonstrated levels of antioxidant activity that were 20–50% of those seen by the honey samples. These milk antioxidants (including cysteine, ascorbate, alpha-tocopherol, and beta-carotene) are often considered to be significant dietary contributors, particularly in light of the fact that the consumption of fresh fruit and vegetables has decreased in recent years (Zulueta et al., 2007).
As with the antibacterial activity discussed earlier, the findings from this small study are limited as it does not take factors such as product formulation, shelf-life or post-consumption antioxidant degradation into account. However, research has demonstrated that antioxidants are stable during storage of up to 6 months (Di Mambro and Fonseca, 2007) or even when heat-treated at 60–100°C (Xiong et al., 2006). Thus, it is likely that the antioxidant content of a honey/milk based product would retain substantial antioxidant capacity, even after long-term storage.
More importantly, antioxidants are well known to be absorbed from the gut, with serum antioxidant levels peaking 2–4 hours after consumption (Mazza et al., 2002; Tesoriere et al., 2004; Walton et al., 2006). Specifically, intake of
antioxidant-rich honey has also been shown to increase serum antioxidant levels in humans (Al Waili, 2003c; Gheldof et al., 2003; Schramm et al., 2003). Thus, honey does appear to have the potential to have antioxidant effects *in vivo*. A full discussion of the role of antioxidants and oxidative damage, as well as the potential effects that antioxidants originating from a honey/milk based diet may have are explored in Chapters 9 and 10.
Chapter Four:
The Effect of Honey versus Sucrose and Mixed Sugars on Protein Uptake and Protein Metabolism in Weanling Rats
This chapter presents the data from a protein evaluation study that was designed to ascertain whether feeding honey, mixed sugars or sucrose would have differential effects on the levels of protein uptake and protein metabolism in young rats. This trial is one of the three trials carried out at Crop and Food Research in Palmerston North. It was undertaken with limited internal funding, and therefore analyses were limited.
4.1 INTRODUCTION
Protein supplements are a multi-million dollar industry, providing nutritional support for the elderly (Milne et al. 2002; Bonnefoy et al. 2003; Ewans, 2004; Milne et al. 2005) and the unwell (Potter et al. 2001; Poustie et al. 2003). In addition, one of the largest markets for protein supplements is that providing for those wishing to increase fitness and body mass (Wolfe, 2000; Armsey and Grime, 2002; Phillips, 2004). Traditional recommendations for building lean
muscle mass have been to increase the level of resistance training and to consume more protein, however, relatively recent research now demonstrates that increasing protein intake alone is often not sufficient to replenish the protein lost after extensive or resistance exercise (Stevenson et al., 2005a).
Instead, research suggests that a combination of protein and carbohydrate together may actually be more effective at reducing muscle loss post-exercise because of the increased insulin response that results due to the carbohydrate content (Betts et al., 2007). Furthermore, a number of studies have demonstrated that post-exercise carbohydrate intake (particularly those with a lower GI value) alone (i.e. without supplemental protein) can improve the rate of recovery (Stevenson et al., 2005a, 2005b), and that net muscle protein balance (protein synthesis minus protein breakdown) following resistance exercise is improved when carbohydrate is consumed after the period of exercise (Borsheim et al., 2004). It has been suggested that this results due to a decrease in muscle protein breakdown because of stabilised insulin levels (Borsheim et al., 2004).
Whilst most commercially available protein supplements do contain a source of carbohydrate; many of them (particularly those targeted towards body building) often have high levels of artificial sweeteners such as aspartame and saccharin added rather than natural sugars (Anderson and McMurray, 1998). This has occurred concomitantly with the move away from the use of simple sugars (including glucose and fructose) in body building supplements as public awareness has increased as to the caloric content of sugar and the detrimental health effects that excessive sugar consumption can have. Artificial sweeteners have no caloric value, though, thus they tend to produce only a negligible insulin response. As well, whereas they are generally considered to be safe, recent evidence is now suggesting that their use may be linked with the development of cancer (Bryan et al. 1970; Schoenig et al. 1985; Ellwein and Cohen, 1990; Rewick, 1990; Garland and Cohen, 1995), migraines/headaches (Lipton et al. 1989; van den Eeden et al. 1994; Schiffman, 1995), muscle tremors, vision problems and mental confusion (Anon, 1994). For this reason, there is a need to develop new protein supplements that are both healthy and nutritious, and capable of improving net protein muscle balance after illness or exercise.
As mentioned in Chapter 1, honey is a naturally occurring sweetener that contains a mix of both simple and complex sugars, as well as vitamins, minerals, acids and enzymes (Molan, 1996), substances which may all aid individuals taking protein supplements. The high glucose content of the honey (White, 1975a), in particular, may aid in protein anabolism by inducing an insulin
response that would reduce the catabolic state. However, there appears to be no literature available detailing whether honey can indeed affect protein absorption from the gut or protein metabolism.
This chapter therefore describes a simple nitrogen (N) balance study to investigate whether there are any differences in protein uptake and utilisation in rats fed diets containing sucrose and honey. A third diet group containing mixed sugars (at concentrations found in honey) is also included in this trial to determine what effects, if any, in the honey-treatment group are due to the different sugar composition in the honey diet or possible insulinmimetic effects of hydrogen peroxide. The main endpoints included in this study are the proportion of absorbed N that was retained (biological value), the proportion of ingested N that was absorbed (protein digestibility) and the proportion of ingested N that was retained (net protein utilisation (NPU)).
4.2 MATERIALS AND METHODS
4.2.1 Experimental Animals
Weaned, Sprague Dawley male rats (21-23 days, 45-50 g) were used in this feeding trial and were bred at Crop & Food Research. The trial was carried out at Crop and Food Research with full ethical approval (see Chapter 2).
4.2.2 Experimental Diets
A rewarewa honey (*Knightia excelsa*) with a high antioxidant content (TEAC = 2.7 mmol/l) content and a high level of hydrogen peroxide-induced antibacterial activity (equivalent to that of 23.4% w/v phenol; Allen *et al.*, 1991) was used in this study. A sugar profile of this honey was determined using an in-house Gas Liquid Chromoatography method at Agriquality, Auckland, New Zealand and the composition of the “mixed sugar” diet prepared such that it contained the same proportion of sugars as the original honey sample (refer Table 4.1).
Three experimental diets were prepared to contain 48% sucrose (diet #1), 48% sugar mix (diet #2) or 60% honey (diet #3) as described in Busserolles *et al.* (2002) (See Table 4.1). Full details on the dietary ingredients is given in Chapter 2. A fourth diet, containing egg albumin (Zeagold Products, Auckland, New Zealand) was prepared to contain 25 g crude protein per kg of diet as outlined in McDonough *et al.* 1990. This diet differs from the other three diets, but was formulated to provide the minimal level of protein required to sustain the life of a rat. The formulation of this diet allows the metabolic faecal N output and
endogenous urinary N output values required for calculation of other parameters to be determined.
**Table 4.1: Composition of Experimental Diets (g/kg)\(^a\)**
| Ingredient | Sucrose (Diet # 1) | Mixed Sugars (Diet # 2) | Honey (Diet # 3) | Egg Albumin (Diet # 4) |
|-----------------------------|--------------------|-------------------------|------------------|------------------------|
| Casein | 245 | 245 | 245 | 0 |
| Egg Albumin | 0 | 0 | 0 | 25.2 |
| Corn Oil | 50 | 50 | 50 | 99.8 |
| Sucrose | 480 | 0.3 | 0 | 0 |
| Fructose | 0 | 265.4 | 0 | 0 |
| Glucose | 0 | 163.9 | 0 | 0 |
| Maltose | 0 | 19.8 | 0 | 0 |
| Maltodextrin | 0 | 30.6 | 0 | 0 |
| Honey | 0 | 0 | 600 | 0 |
| Cellulose | 50 | 50 | 50 | 50 |
| Starch | 0 | 0 | 0 | 725 |
| Mineral Mix | 50 | 50 | 50 | 50 |
| Sugar-free Vitamin Mix* | 5 | 5 | 5 | 0 |
| Standard Vitamin Mix* | 0 | 0 | 0 | 50 |
| Water | 120 | 120 | 0 | 0 |
* The vitamin mixes were prepared as reported in Chapter 2.1.3. The vitamin content is equivalent in both 5g of sugar-free and 50g of standard vitamin mix.
\(^a\) Supplier information for all ingredients is given in Chapter 2.
### 4.2.3 Experimental Procedures
The experimental procedure used was based upon a standard protein/N evaluation study (McDonough *et al.* 1990), with the balance period extended to 10 days to allow for greater measurable differences between treatments.
Twenty-four weanling rats (8 per treatment) were housed individually in metabolism cages and offered the experimental diets at approximately 15 g/day for a pre-balance (adjustment) period of four days and a balance (measuring) period of 10 days. Water was available to the rats at all times. Live weights were recorded at the start of the pre-balance period and at the start and finish of the
balance period. During both pre-balance and balance periods, the total daily food intake for each rat was recorded, and during the balance period alone, total faeces and urine for each rat were collected daily and stored at -20°C until prepared for analysis. Urine was collected through mesh floors into containers with 0.5 ml 1 mol/l HCl.
Diets were prepared as reported in Section 2.1.3, although the vitamin mix for the egg albumin diet differed slightly from the other diets. This diet was prepared to contain 39.57 g of vitamins plus 960.43 g of sucrose and added to the diet at a level of 50 g/kg.
At the completion of the trial, faeces were freeze-dried, sieved to remove any spilled diet, finely ground, and equilibrated in open, tared, sealable Minigrip bags. Urine was filtered through dried, pre-weighed filter papers into tared plastic bottles to remove spilled diet. The urine containers and filter papers were washed and the washings combined with the urine filtrates. Total faeces and urine were weighed, and all samples (including diets) were analysed for total nitrogen by the Nutrition Laboratory, Massey University, Palmerston North, using method TN04-303 (Leco, Total combustion method). Total Energy of the diet samples was also determined by Massey University (using bomb calorimetry) and dry matters were measured as detailed in Chapter 2. This data is presented in Table 4.2.
**Table 4.2: Nutritional composition of the experimental diets**
| Ingredient | Total N (%)* | Gross Energy (kJ/g)* | Dry Matter (%) |
|---------------------|--------------|----------------------|----------------|
| Sucrose (Diet #1) | 3.41 | 16.00 | 80.95 ± 0.5 |
| Mixed sugar (Diet #2)| 3.38 | 15.73 | 79.30 ± 0.2 |
| Honey (Diet #3) | 3.52 | 16.33 | 80.35 ± 0.2 |
| Egg Albumin (Diet #4)| 0.34 | 17.54 | 85.85 ± 0.4 |
* These are mean values supplied by the Nutrition laboratory at Massey University, no standard deviations were supplied.
4.2.4 Statistical Analyses
One-way Analysis of variance (ANOVA) was carried out on all parameters to determine whether there were statistically significant differences between the three experimental diets. Where statistical significance was observed, post-hoc Turkey’s analyses were carried out. All analyses were performed using Genstat and/or SPSS version 12 statistical software (GenStat, 2003).
4.3 RESULTS
A statistical analysis of the data revealed that there was an outlier in treatment #3 (the mixed sugar diet), this animal demonstrating lower weight gain and food intake. Given that there were no obvious signs of distress or sickness, the data for this animal are included in the statistical analysis. As a result, the variance values for this treatment group are considerably higher than expected.
4.3.1 Weight gain and Food Intake
Rats fed the diet containing honey had a significantly lower percentage weight gain that those fed the diet containing sucrose (see Table 4.3). Mean food intake and mean dietary N intake were also significantly lower in honey-fed rats compared with those fed the sucrose diet (see Table 4.3). No differences in the food conversion ratio (food intake / weight gain) were observed between the three treatment groups.
4.3.2 Urinary and Faecal Output
Mean faecal N outputs were significantly higher, and mean urinary N outputs significantly lower, in rats fed the honey-based diet compared with those fed the sucrose- and mixed sugar-based diets (see Table 4.3).
4.3.3 Nitrogen Balance Data
Honey-fed rats demonstrated the highest mean apparent N balance and true N balance values (significant vs. mixed sugar-fed rats only; p ≤ 0.01, Table 4.3). In addition, rats fed honey excreted a higher proportion of ingested N in the faeces, and a lower proportion in the urine compared with those fed sucrose- and mixed sugar-diets (see Table 4.3). No differences were observed between rats fed sucrose and mixed sugars.
4.3.4 Biological Value, Protein Digestibility and Net Protein Utilisation (NPU)
Mean biological value, faecal protein digestibility and NPU values were significantly different in rats fed the honey-based diet compared with both other dietary treatments (see Table 4.3), indicating that honey decreased protein uptake and utilisation. Mixed sugar- and sucrose-fed rats also demonstrated significantly different mean faecal protein digestibility values from each other, but not compared with the honey-fed rats (Table 4.3).
4.4 DISCUSSION
As the results of this study demonstrate, the replacement of sugar with the equivalent amount of honey in the diet has a marked effect on weight gain, protein digestion, absorption and protein utilisation. Weight gain and food/N intake were all significantly reduced in rats fed a honey-containing diet compared with those fed a sucrose-containing diet, suggesting that the honey diet was either less palatable or may have had a satiety effect.
Differences in weight gain and food intake, although not statistically significant, were also lower in honey-fed rats than in those fed the mixed sugar diet. No measures were available as to whether the decreases in animal weight were due purely to decreased food intake or to reductions in body fat or muscle, but other research suggests that rats gain more weight and more brown adipose tissue when fed sucrose compared with an equivalent fructose-containing diet (Kanarek and Orthen-Gambill, 1982). As honey contains on average 40% fructose (accounting for ~50% of the total sugars) it is possible, therefore, that the reduced weight gain was due to reductions in fat stores, rather than loss of muscle weight.
Table 4.3: Assessment of experimental endpoints in rats fed the experimental diets.
| Ingredient | Units | Sucrose (Diet #1) | Mixed sugars (Diet #2) | Honey (Diet #3) |
|-----------------------------------|----------------|-------------------|------------------------|-----------------|
| Weight Gain | %/10 days | 153.0 ± 8.0 | 146.9 ± 24.9 | 131.7 ± 11.9* |
| Food Intake | g/10 days | 145.2 ± 5.4 | 139.4 ± 12.0 | 136.5 ± 5.0* |
| FCRa | | 2.7 ± 0.2 | 2.8 ± 0.3 | 2.8 ± 0.2 |
| Dietary N intake (DNI) | mg/10 days | 4805 ± 143 | 4697 ± 408 | 4651 ± 126* |
| Faecal N output (FNO) | mg/10 days | 260.1 ± 57.0 | 177.3 ± 25.1** | 379.8 ± 121.3*† |
| Urinary N output (UNO) | mg/10 days | 2216 ± 246 | 2410 ± 183 | 1763 ± 317**† |
| Apparent N balance | mg/10 days | 2329 ± 265 | 2109 ± 312 | 2508 ± 195ψ |
| True N balance | mg/10 days | 2479 ± 268 | 2256 ± 322 | 2648 ± 194ψ |
| FNO/DNI*100 | % | 5.4 ± 1.1 | 3.8 ± 0.4 | 8.1 ± 2.5**† |
| UNO/DNI*100 | % | 46.2 ± 5.3 | 51.5 ± 3.6 | 37.9 ± 6.4*† |
| Biological value | % | 53.2 ± 5.2 | 48.6 ± 3.7 | 60.7 ± 54.2**ψ |
| Protein digestibility | % | 96.9 ± 1.1 | 98.5 ± 0.4** | 94.1 ± 2.5*† |
| Net protein utilisation | % | 51.6 ± 4.9 | 47.9 ± 3.7 | 56.0 ± 4.8*† |
* p < 0.05, ** p < 0.01 vs sucrose diet
ψ p ≤ 0.01, † p < 0.005 vs mixed sugars diet
a Food conversion ratio (FCR) is measured as food intake divided by weight gain.
However, removal of the outlier from the mixed sugars treatment group (the outlier was determined using a preliminary REML analysis) increased the mean weight gain from 146.9 to 151.5 %/10 days, and the mean food intake from 139.4 to 141.3 g/10 days. Weight gain and food intake are then similar for rats fed 48% sucrose and 48% mixed sugars, and both groups differ significantly from the honey-fed rats. This latter data would suggest that the reduction in weight gain and food intake in honey-fed rats was not simply due to the different sugar composition of the diet, but may have been due, in part, to the other components of the honey. It is possible that the intake of honey may have had a physiological effect on the stomach. Goldschmidt and Burkert (1955), for example, have reported that honey acts as if it contains acetylcholine and choline esters in it which could effect the gastric muscle. Other hormonal or neurotransmitter activities are also possible as a result of consuming honey, although nothing has been reported in the literature to support this.
The results of this study also show that the type of sugars added to the diet can have an impact on the level of protein absorption and utilisation. Honey-fed rats, for example, absorbed a significantly lower proportion of ingested N, suggesting reduced digestion. Approximately 8% of the ingested N was excreted in the faeces of these rats, compared with 5% and 4% for rats fed sucrose and mixed sugars. This decreased absorption may also account for the reduced weight gain seen in honey-fed rats.
One possible explanation for the reduced amino acid absorption is the presence of tannins (astringent polyphenol compounds) in honey. Condensed tannins present in forage crops have been shown to inhibit protein digestion in sheep (Egan and Ulyatt, 1980; Barry et al., 1986; Messman et al., 1996; Barahona et al., 1997; Barry and McNabb, 1999), but as rats do not generally eat forage crops, corresponding data for this species are not available. The presence of tannins in honey have not been reported in the literature, although given that honey is a concentrated plant fluid it is not unreasonable to expect that they could occur. Indeed, Yilmaz et al. (2003) demonstrated the presence of polyphenol oxidase (an enzyme responsible for the oxidation of mono- and di-phenols) in Turkish honeys. These authors report that the presence of polyphenol oxidase appears to correlate with particular floral sources, although no information is available as to which floral factors may be involved, or whether these factors may have been present in the New Zealand Rewarewa honey used in this study. However, it has also been reported that antioxidants in honey can inhibit the activity of polyphenol oxidase in fruit and vegetable homogenates by
2–45% (Chen et al., 2000). This would suggest that any possible tannin production in honey may be reduced due to the presence of antioxidants, although no information is available as to whether tannins, once produced, are stable in honey. It would be of interest to investigate and quantify the presence of polyphenol oxidase and/or tannins in honeys of various floral sources.
Protein digestion may also have been reduced in honey-fed rats because of the presence of protease inhibitors. Honey has been shown to contain several enzymes (including glucose oxidase, amylase, invertase, catalase and acid phosphatase) as well as other protein constituents (White, 1975a, 1975b) and some of these appear to be regulated by enzyme inhibitors present in the honey. Glucose oxidase, for example, is virtually inactive in full strength honey, with activity increasing 2,500 – 50,000 times as honey is diluted (White et al., 1962). Inhibition of the other proteases in honey does not appear to have been investigated, although unpublished work in our laboratory has demonstrated that lactoperoxidase and horseradish peroxidase are both rapidly inactivated by honey at concentrations as low at 3%. Thus it is possible that enzyme inhibitors present in honey may have an impact in the gut after being consumed.
A further possibility for the reduced N absorption observed in honey-fed rats is a prebiotic effect. Several authors have demonstrated that honey has a prebiotic effect *in vitro* (Chick et al., 2001; Ustunol and Gandhi, 2001; Kajiwara et al., 2002; Sanz et al., 2005) and this is discussed in detail in Section 1.6. This hypothesis of a prebiotic effect is supported by the fact that the mean faecal N output was significantly increased in honey-fed rats (380 mg) compared with rats fed sucrose (260 mg) and mixed sugars (177 mg). However, faecal N output was significantly lower in rats fed mixed sugars compared with those fed sucrose. A prebiotic effect involves the available sugars being used by the gut bacteria rather than being absorbed. Rats fed the mixed sugars should therefore have faecal output values that were similar to rats fed honey, and greater than rats fed sucrose. Clearly, the data does not show this, thus the idea of a prebiotic effect is questionable. More than likely, the differences in N absorption were due to a number of different factors.
Importantly, high protein supplements are usually taken in an attempt to improve total or lean muscle mass, and despite the fact that faecal N output was higher in honey-fed rats, the N balance (total N intake minus total N output) remained higher in these animals compared with those fed sucrose. Indeed, despite the apparent reduction in protein digestion and absorption, honey-fed rats
demonstrated significantly higher biological values and net protein utilisation values suggesting that what protein was absorbed was better utilised.
That the altered N balance occurred in rats fed honey but not in those fed mixed-sugars suggests that this too is due primarily to the non-sugar components of the honey. One explanation is the presence of hydrogen peroxide in the honey, as research *in vitro* has shown hydrogen peroxide to be a strong insulin-mimetic agent (Czech *et al.*, 1974; Hayes and Lockwood, 1987; Heffetz *et al.*, 1990). Levels of hydrogen peroxide production in honey vary depending on floral source *etc*, but were shown to be in the range of 0.5–3.5 mmol/l in high peroxide-producing honeys after prolonged incubation (Bang *et al.*, 2003). Although not measured using the same method, the Rewarewa honey used in this study has also been shown in our laboratory to have a similar level of hydrogen peroxide production. These levels agree with the 1–3 mmol/l shown to induce tyrosine phosphorylation (an insulin-mimetic effect) *in vitro* (Hayes and Lockwood, 1987; Heffetz *et al.* 1990), although hydrogen peroxide levels in honey would arguably be considerably less *in vivo* after dilution the gut. However, there is also quite a lot of hydrogen peroxide produced metabolically in the body, although most it is usually broken down in vivo by the Fenton reaction (Winterbourn, 1995). Recent work has shown that Honeydew and Rewarewa honey is very good at inhibiting the Fenton reaction (Brangoulo and Molan, 2008), thus it is possible that the intake of honey could increase the levels of circulatory hydrogen peroxide by preventing its decomposition. As excess hydrogen peroxide is excreted in the urine, it could be of interest to measure levels in human urine before and after eating Honeydew or Rewarewa honey to ascertain whether they can alter the circulatory levels of hydrogen peroxide *in vivo*. If higher levels of hydrogen peroxide do result after eating honey, it could therefore be possible that this leads to enhanced glucose transport (via activation of insulin receptors by hydrogen peroxide) and utilisation (*i.e.* more stable blood sugar levels), and increased protein anabolism (although the mechanisms by which this may occur are unknown).
Unfortunately, due to financial constraints a number of important measures could not be performed. Certainly, it would have been valuable to have body composition data to assess whether differences in weight gain were due to differences in fat or protein. As well it would have been of interest to evaluate insulin responses after intake of the sucrose, mixed sugars and honey diets. These measures should definitely be considered if this work is to be continued and expanded upon.
In addition, this trial was designed with sugar or honey as the sole carbohydrate source in the diet, and such a dietary regimen is unlikely to occur in real life. Instead, protein supplements are generally incorporated into the diet, along with other proteins, fats, carbohydrates *etc*. Studies of the effects of honey at substantially lower concentrations on protein metabolism are therefore warranted, particularly with reference to interactions with other dietary constituents.
Lastly, as mentioned earlier in the chapter, the diet composition of the honey, sucrose and mixed sugars diets were based upon those of Busserolles *et al.* (2002) and the protein concentration used in the experimental diets was 24.5%. A closer review of the literature suggests, though, that standard analyses of biological value (BV), net protein utilisation (NPU) and protein digestibility are performed using a protein concentration of 10% (James *et al.*, 2003). This is a fairly major flaw in the design of this study, and, as such, the results generated must be considered with this in mind. However, given that the results of this study were only compared within the study (*i.e.* between treatments) and not with data obtained from other BV/NPU studies, the comparative findings can still be considered to be valid results into themselves, and indicative of differences between sucrose, mixed sugars and honey. Of course, further studies will need to be undertaken, using the correct protein levels, before any true conclusions as to the impact of honey and sucrose on protein utilisation can be drawn.
Chapter Five:
The Weight Loss Potential of Honey versus Sucrose and Mixed Sugars in Adult Rats
This chapter presents the data from an 8-week feeding study that was undertaken to assess whether honey, sucrose or mixed sugars as in honey would have differential effects on weight gain in adult rats. The trial is one of the three trials carried out at Crop and Food Research in Palmerston North. It was carried out in 2004, approximately 16 months before the conception of this thesis, and thus was done as a stand-alone study. This trial was funded by internal funding from Crop and Food. Therefore, the types of analyses employed in this study were limited due to financial constraints.
A second study assessing the effects of honey on weight was carried out at Waikato University during the time of this thesis (see Chapter 6). Given that these two trials are related, a brief discussion of the current trial will be given in this chapter, with a more detailed discussion of the effects of honey on weight gain and/or loss given at the end of Chapter 6.
5.1 INTRODUCTION
Obesity is a major concern for westernised populations, and in the USA more than 133 million people (approximately 60%) are now considered to be overweight or obese (National Center for Health Statistics., 2006). Surveys consistently show that adults are concerned by weight, and the health-related implications it incurs, and that most are making a concerted effort to either maintain or lose weight (Serdula et al. 1999; Scott et al., 2006). Despite this, however, the end result is that the proportion of individuals who are overweight or obese has increased steadily over the last 30 years. As such, obesity is now a major threat to health and quality of life. In Western countries, excess body fat is responsible for 30–40% of coronary heart disease, colon, breast and endometrium cancers as well as most cases of Diabetes (Saris, 2003).
The increase in weight observed in western society is a complex issue, although reasons includes factors such as increased workloads/stress and reduced levels of exercise. The largest contributor, however, is thought to be the change in diet that has occurred in the last quarter century. During this time convenience and “junk” foods have become readily available and they now often constitute a large part of the weekly food intake. These foods are generally highly processed, low in nutrition, and often contain excessively high levels of sugar and fat.
In the 1970s, many nutritionists believed that sucrose was the most important predisposing factor for weight gain (Yudkin, 1986), but this idea was quickly replaced with the suggestion that dietary fat was the most important nutritional component responsible for weight gain and excess energy intake (Flatt, 1987; Astrup, 1999). The idea that consuming excess fat leads to increased body fat levels was quickly embraced by health practitioners as well as the general public, and health guidelines tended to focus on two particular lifestyle factors to reduce and manage obesity: increased levels of physical activity and reductions in the intake of fats (Saris, 2003).
As a consequence, the market for low-fat foods has rapidly expanded since the early 1990s (Leveille, 1997) and nutritionists have recommended a low fat, high carbohydrate diet for healthy living. Unfortunately though, despite the absolute reduction in fat in the diet over the last 10 years (Kennedy et al., 1999), Western populations are still getting fatter. The direct relationship between dietary fat and obesity has again been questioned (Saris, 2003), particularly as low-fat foods are often based on sugar to maintain taste and palatability and thus
often have energy density values that are comparable to their high-fat counterparts (Willett, 1998).
Recently, the spotlight has again moved back to the importance of dietary sugars with emphasis on their effects on blood sugar responses. Research has shown that only small amounts of carbohydrate can be stored as glycogen in the human body, and that any excess must be oxidised or converted to fat by *de novo* hepatic lipogenesis (Acheson *et al.*, 1988). Intake of refined carbohydrates therefore results in postprandial carbohydrate oxidation at the expense of fat oxidation, altering fuel partitioning such that body fat gains are favoured. This data is further supported by a substantial number of epidemiological studies that have found a clear relationship between sucrose intake and body weight/body mass index, as well as sucrose intake and total fat intake (reviewed by Astrup and Raben, 1995 and Hill and Prentice, 1995). Similar findings have also been observed in animal studies, with rodents fed a high sucrose diet exhibiting higher weight and fat gains compared with those fed standard chow (Kanarek and Marks-Kaufman, 1979; Morris *et al.*, 2003; Kawasaki *et al.*, 2005) or starch based diets (Hallfrisch *et al.*, 1981; Reiser and Hallfriesch, 1977). It has been suggested that the heightened levels of obesity seen with sucrose are due primarily to the elevated blood glucose and insulin levels that result after consumption (Astrup and Raben, 1995).
Glycemic index is now also being recognised as a factor that can influence satiety and hunger. In particular, foods that have a high glycemic index (*i.e.* those containing carbohydrates that are broken down quickly) tend to result in a large surge in insulin production that leads to a drop in blood glucose soon after eating. This generally results in hunger soon after the meal has been consumed, followed often by more eating. In contrast, foods with a low glycemic index tend to maintain a comfortable blood glucose lever for a longer period of time, hunger after a meal.
Given the overeating and obesity that is prevalent in Western societies, foods and beverages are now often produced with a “diet” version using artificial sweeteners such as aspartame and saccharin (Anderson and McMurray 1998). However, research has demonstrated that these too may be associated with negative health impacts including cancers (Bryan *et al.*, 1970; Schoenig *et al.*, 1985; Ellwein and Cohen 1990; Rewick 1990; Garland and Cohen 1995), migraines/headaches (Lipton *et al.*, 1989; van den Eeden *et al.*, 1994; Schiffman 1995), muscle tremors, vision problems and mental confusion (Anon 1994).
Today, many consumers now demand foods that are healthier and, as a result, certain aspects of nutrition research are now centred on finding food ingredients that can offer nutritional advantages. Honey is recognised as having many beneficial health effects (refer to Chapter 1) and recent research suggests that it may offer advantages as an alternative to the sugars that are more commonly used in food products. In particular, honey offers the sweetness of other sugars, but with additional benefits. Some honeys have been shown to have a lower glycemic index value than sucrose (Shambaugh et al., 1990; Schramm et al., 2003) and it has been reported that honey, sucrose and fructose do have differential effects on blood glucose levels (Akhtar and Khan, 1989; Al-Waili, 2003c; 2004b). Furthermore, it has also been reported the rate of glucose uptake is actually slowed following consumption of a mixture of fructose and glucose where the fructose content is higher (MacDonald, 1968). Honeys usually contain more fructose than glucose (a 1.2:1.0 ratio; White et al., 1975a), although the actual ratio of fructose to glucose can vary dramatically in a particular honey. The honey used in this study had a higher than average fructose content (40.9%, equivalent to 50% of the total sugars) with a ratio of fructose : honey of 1.36: 1.0, thus allowing any possible effects of reduced glucose absorption to be observed.
In addition, it has been demonstrated that rats fed a high fat/high sugar diet that also contains green tea exhibit significantly reduced weight gain compared with those animals fed the diet without the green tea (Choo et al., 2003). The research indicates that the antioxidants that occur in the green tea are responsible for this effect as they can activate β-adrenoceptors in brown adipose tissue, thereby leading to increased thermogenesis of the adipose tissue (Choo et al., 2003). Honey also can contain high levels of antioxidants (Frankel et al., 1998; Gheldof and Engeseth, 2002), thus, it is possible, that the antioxidant content of honey may also contributed to reduced weight gain compared with animals fed the antioxidant-free sucrose-based diet.
This trial was therefore designed to ascertain what effect honey might have on the weight gain of adult rats, as compared with those fed a sucrose-based diet or a diet containing sugars in the same proportion as in honey.
5.2 MATERIALS AND METHODS
5.2.1 Experimental Animals
Thirty 14-week old Sprague Dawley male rats (380–550 g) were used in the feeding trial. These were bred by Crop & Food Research in Palmerston North. The trial was carried out in the Food Evaluation Unit at Crop and Food Research
as described in Section 2.1.1 with full ethical approval (see Section 2.1.4). The rats had previously been used for a Protein Efficiency Ratio study; however, they had been fed standard rat pellets for 2 weeks before starting the current trial.
5.2.2 Experimental Diets
The composition of the diets in this study were based upon the standard diet formulas used to assess weight gain in rodents during commercial feeding studies at Crop and Food Research (Butts et al., 2003). A honeydew honey (*from Nothofagus solandri*) with a known high rate of hydrogen peroxide production (antibacterial activity equivalent to 18.6% phenol; Allen et al., 1991) and a high antioxidant content (TEAC = 2.9 mmol/l) was used for this study. A sugar profile analysis was performed using in-house GLC methods by Agriquality, Auckland, New Zealand. The data from this profile was then used to calculate the concentrations of sugars used in the mixed sugars diet (diet # 1055) such that the concentrations of the various sugars were the same as in the honey diet.
Three experimental diets were prepared to contain 8% sucrose (# 1054), 8% mixed sugars (diet #1055) or 10% honey (diet #1056) (the honey contained 20% water). A mineral mix and a sugar-free vitamin mix were prepared in-house at Crop and Food Research as described in Section 2.1.3. The diet compositions are given in Table 5.1. Sub-samples (~10 g) were taken from each diet at the start of each week and dry matter contents calculated by drying for 16 hours overnight at 105°C.
5.2.3 Experimental Procedures
At 12 weeks of age the 30 rats were placed into raised stainless steel cages with 6 mm$^2$ mesh floors. Numbered blotter papers were placed under each cage to catch the spilled diet, faeces *etc*. Because the animals had previously been used for a protein evaluation study, a wash-out period was required before starting the animals on the experimental diets. All rats were fed the sucrose diet for 14 days to allow the animals to adjust to the new diets. Animals were weighed every 7 days but food intake was not recorded.
At 14 weeks of age, all animals were weighed and grouped into three dietary regimens, such that each treatment group had the same approximate mean body weight and coefficient of variation (COV). The animals in each treatment group were then allocated one of the three diets for 8 weeks.
Glass jars containing the appropriate diet were weighed at the start of each week and placed into the respective cages. New food was weighed and
added to each food pot as required (no more than once daily) so that food was available *ad libitum*.
Every seven days, the rats were weighed and the existing food pots removed and weighed. The blotter papers were replaced weekly and allowed to dry at 25°C for 3–4 days. Once dry, all material on each blotter was placed into a standard kitchen sieve. Faeces and hair were retained, whilst the spilled diet passed through and was collected and weighed. Fresh water was provided at all times, with water bottles cleaned twice weekly.
**Table 5.1: Composition of Experimental Diets (g/kg)**
| Ingredient | Sucrose (#1054) | Mixed Sugars (#1055) | Honey (#1056) |
|------------------|-----------------|----------------------|---------------|
| Lactalbumin | 238 | 238 | 238 |
| Corn Oil | 100 | 100 | 100 |
| Sucrose | 80 | 0.5 | 0 |
| Fructose | 0 | 40.9 | 0 |
| Glucose | 0 | 30.1 | 0 |
| Maltose | 0 | 3.4 | 0 |
| Maltodextrin | 0 | 5.1 | 0 |
| Honey | 0 | 0 | 100 |
| Cellulose | 50 | 50 | 50 |
| Mineral Mix | 50 | 50 | 50 |
| Vitamin Mix | 5 | 5 | 5 |
| Starch | 457 | 457 | 457 |
| Water | 20 | 20 | 0 |
*a Supplier information for all ingredients is given in Chapter 2*
### 5.2.4 Statistical Analyses
One-way ANOVA analyses were carried out on all endpoints. A \((9 \times 3)\) repeated measures ANCOVA was then performed on the weight gain data (using the total food intake as a covariable) to determine if there were any diet x time interactions. Post-hoc analyses included Turkeys analyses. All analyses were performed using Genstat statistical software (GenStat, 2003) and/or SPSS version 12.
5.3 RESULTS
All the rats appeared healthy throughout the 8 week study and no trial-related difficulties were reported. The mean actual weight gain is presented in Figure 5.1. Standard ANOVA analyses suggested that there was no difference in weight gain between the treatment groups at the completion of the trial, although actual mean weight gain was numerically higher in rats fed the sucrose-based diet (37.7%) compared with rats fed either the mixed sugars (31.1%) or honey-based diets (32.3%). However, the repeated measures ANCOVA (using the total food intake for each animal as a covariable) revealed that whilst there was no interaction of diet x time over the 8-week period, there was a significant effect of diet. Mean weights were significantly lower in honey-fed rats compared with both those fed sucrose ($p < 0.05$) and those fed the mixed sugars diet ($p < 0.05$).
Weekly percentage weight gain was similar for all three treatment groups and is given in Figure 5.2.
No statistically significant difference was observed for the overall food intake between treatment groups, although rats fed the mixed sugars diet demonstrated the lowest numerical mean food intake per 8 weeks (1263 g vs 1318 g and 1323 g for animals fed the sucrose and honey diets, respectively; see Figure 5.3).
**Figure 5.1:** Actual mean weight gain ($\pm$ SEM) for rats fed diets containing either 8% sucrose, 8% mixed sugars, or 10% honey (honey is 20% water). Because of being used in a previous study the animals were all fed the sucrose diet for 2 weeks before starting their experimental diets. Animal weights were recorded during this time, and are presented as weeks -2 and -1 on the graph.
Figure 5.2: Mean percentage weight gain (± SEM) for rats fed diets containing 8% sucrose, 8% mixed sugars, or 10% honey (honey was 20% water). (The weight gain each week is taken as the percentage of the previous weeks weight).
Figure 5.3: Mean weekly food intake for rats fed diets containing 8% sucrose, 8% mixed sugars, or 10% honey (honey is 20% water).
5.4 DISCUSSION
As the results of this small study show, there were no significant differences in levels of mean weight gain or food intake in adult rats fed diets containing either sucrose, honey or mixed sugars as in honey when using standard ANOVA analysis, although the difference between treatments reached significance using ANCOVA with food intake as a covariable. As expected from looking at Figure 5.1, the sucrose-fed rats did gain significantly more weight than those fed honey after 8 weeks. Interestingly, though, it was also demonstrated that when the data was corrected for the numerically lower food intake in animals fed the mixed sugars diet, there was also a significant difference in weight gain between the rats fed mixed sugars and those fed honey after 8 weeks. It was initially suggested that differences in weight gain, despite similar food intake values, were due to differences in caloric intake. However, an assessment of the calorie content of each diet (measured by the Nutrition Laboratory at Massey University) revealed that the sucrose, mixed sugars and honey diets were similar (18.77, 18.60 and 18.84 kJ, respectively) and that the total caloric intake per 8 weeks was not significantly different between treatments (24745, 23496 and 24916 kJ respectively).
It is possible that significant differences in weight gain were not observed between treatments with standard ANOVA analyses because of the small number of animals used in each treatment group (n=10). Each treatment group was weight-banded such that they had the same approximate mean starting weight; however, because of a necessity to use all available animals it was not possible to reduce the intra-group weight variability. Starting weight COV values were 11.7%, 8.8% and 9.2%, respectively, for the animals fed the sucrose-, mixed sugars- and honey-based diets. In a number of other confidential commercial weight loss trials carried out at Crop and Food Research, Palmerston North, in which the same trial design was used (Bang et al. 2005a, 2005b) it was shown that significant differences in weight gain were only observed between treatment groups when the starting weight COV was below 5%. It is likely, therefore, that a significant difference in overall weight gain may have been observed between sucrose-fed and mixed sugars- and honey-fed rats without using total food intake as a co-variable if the intra-groups COV values had been lower at the start of the trial. However, there are costs associated with raising an excess number of animals to the required age, and this must be taken into account when designing any further weight loss trials. In addition, the variable weights of the rats used may be more representative of a population as a whole
(people, for example, can vary greatly in their actual weights for a given age). Furthermore, the animals used in this study had previously been used in another study, and it is difficult to know whether the starting weight variability seen in this study was natural or a result of the diets fed in the previous study.
As mentioned earlier, the animals in this trial were grouped to give the lowest intra-group COV and it may have been better to have fully randomised the rats to the three treatment groups. The animals were all randomised to their treatments in the previous study though the details are not available as to what the treatments were or how many experimental groups there were. It is possible, though, that by not fully randomising the treatment groups in the current study that they may have been inadvertently biased. Indeed, this may explain, in part, why rats fed the mixed-sugars diet appeared to consume less food throughout the 8-week period, leading to a significant effect seen with ANCOVA between these rats and those fed honey. Further work with rats that have not been used for previous studies will need to be done to better understand what difference in weight gain and/or food intake may occur with animals fed sucrose, mixed sugars and honey, and to further elucidate what role honey may have on preventing weight gain in adults animals.
In conclusion there does appear to be some evidence to suggest that diets based upon honey could lead to reduced weight gain in sedentary animals. Certainly, further studies need to be undertaken to assess whether this effect might be more obvious with larger sample numbers, but preliminary data from this study is unclear as to whether the lower weight gain seen in honey-fed rats is due to the sugar component of the diet or due to other minor components as the weight gain observed in animals fed honey was lower than in those fed mixed sugars when the data was corrected for food intake (suggesting that non-sugar compounds such as antioxidants could be involved), but food intake between groups was not statistically different. Limited research has also demonstrated that a single dose of honey (100 g in 250 ml water) can have a laxative effect *in vivo* (Ladas *et al.*, 1995; Ladas and Raptis 1999) because of its high fructose content (35–45%; White *et al.*, 1975a), thus it is possible that the lowered weight gain seen in honey-fed rats could be due to reduced absorption. Indeed, clinical studies have reported that healthy individuals have been shown to exhibit incomplete fructose absorption and concomitant loose stools after consuming pure fructose or fructose mixed with other sugars (Ravich *et al.*, 1983; Truswell *et al.*, 1988; Rumessen, 1992).
However, as fructose would have constituted only 4.1% of the mixed sugars and honey diets it is unknown whether such concentrations would have produced a laxative effect in these rats. In the clinical studies incomplete absorption and loose stools were reported after consuming a single dose of 50 g (Ravich et al., 1983; Truswell et al., 1988; Rumessen, 1992). No information was given as to patient weight, however if we assume an average adult weight of 70 kg then this laxative effect occurred at level of 0.7 g fructose / kg body weight. Animal weights in this study ranged from 450–650 g and food intake was 20–25 g (of which fructose was 0.8–1 g). The level of fructose consumption was therefore approximately 2 g/kg body weight which is higher than that reported in clinical studies. This data suggests that the concentrations of fructose in the rat diets may have been sufficient to induce reduced absorption and/or a laxative effect. Faecal output was not recorded in this study, but it was shown to be significantly higher in rats fed 60% honey (but not mixed sugars) compared with an equivalent amount of sucrose (see Chapter 4).
Fructose is absorbed via the sodium-independent transport system (Levin, 1994) and evidence suggests that it is facilitated by the absorption of glucose (Truswell et al., 1988). The human small intestinal mucosa has been shown to completely absorb solutions containing equimolar concentrations of glucose and fructose (Levin, 1994; Ladas et al., 1995), but different degrees of absorption occur when subjects consume pure solutions of fructose (Rumessen and Gudmand-Hoyer, 1986). Glucose concentrations can also vary considerably in different honeys (White et al., 1975a), so the degree of fructose absorption may depend, in part, on the concentrations of fructose and glucose as well as their proportions relative to each other. Recent research has demonstrated that even small amounts of glucose (e.g. 10% of a 75% glucose: fructose solution) may prevent fructose malabsorption (Born, 2007). Thus it is likely that fructose malabsorption is not responsible for the decreased in weight gain seen in honey-fed rats. Instead, it is likely that other factors may be involved in the decreased weight gain observed in rats fed honey and mixed sugars, and it would be advantageous to undertake oral glucose tolerance testing in future studies. The effects of honey as a possible weight-reducing agent are discussed further in Chapter 6.
Chapter Six:
The Effect of Honey versus Sucrose, Mixed Sugars and a Sugar-free Diet on Weight Gain in Young Rats
This chapter presents the data from the 6-week feeding study that was undertaken to assess whether honey, sucrose, mixed sugars as in honey or a sugar-free diet would have differential effects on weight levels in young rats. This trial was designed to follow on from the earlier work presented in Chapter 5, but with a slightly different trial design and additional analyses, to hopefully ascertain whether statistical differences could be determined between the different dietary treatments. This trial was carried at Waikato University and was fully funded by Fonterra Brands Ltd.
The main findings from this study have been published as follows:
Chepulis, L. M. (2007) *Journal of Food Science*, 72(3): S224-S229 (see Appendix 3)
6.1 INTRODUCTION
As the results from the study in Chapter 5 suggest, honey may have an effect on weight gain in adult rats. However, weight gains in adults (animals or
people) are considerably less than during growth, thus the decision was made to investigate the effects of honey in weaning rats rather than in adult animals in this study. Further support for this decision came from the findings of Chapter 4 that demonstrated a positive effect of honey on protein metabolism in young animals.
As the study in Chapter 5 also demonstrated, it was unclear whether the differences in weight gain seen between the different groups was due to the different sugars present in the diets or due to non-sugar components such as antioxidants. For this reason the mixed sugars diet was again included as one of the dietary treatments. Honey contains a number of other compounds, and any of these could also effect absorption of nutrients, gut transit, glycaemic response etc. As well as the research suggesting that antioxidants may reduce weight gain in a high fat/high sugar diet (Choo et al., 2003) limited research has demonstrated that hydrogen peroxide can stimulate insulin receptors (Heffertz et al. 1990) thereby modulating effects on blood sugar and cellular glucose uptake. Certain honeys have been shown to produce relatively large quantities of H$_2$O$_2$ once it is diluted (via oxidation of glucose by the enzyme glucose oxidase; see Section 1.3.2) although the amounts produced depend on a large number of factors including floral source, degree of handling and processing and exposure to heat and light (see Section 220.127.116.11). However, the presence of glucose oxidase, and the resultant production of H$_2$O$_2$, is endemic to most floral sources (Brady et al., 2004). Thus a high hydrogen peroxide-producing honey was again used to determine what effect, if any, H$_2$O$_2$ had in the gut after consumption.
6.2 MATERIALS AND METHODS
6.2.1 Experimental Animals
Forty rats, aged approximately 6 weeks at the start of the trial, were obtained from AgResearch, Hamilton. The trial was carried out in the small animal house (BL5) at Waikato University with full ethical approval (See Chapter 2 for full details).
6.2.2 Experimental Diets
A similar honeydew honey that was used in the study in Chapter 5 was used in the present study (hydrogen peroxide: 18.2% phenol equivalent; antioxidant content: TEAC = 2.7 mmol/l). The sugar profile analysis obtained in Chapter 5 was used to determine the concentrations of sugars added to the mixed sugar diet (diet # 3) such that the concentrations of the various sugars were the same as in the honey diet.
In this study, the diets were prepared such that they approximated the composition of a typical New Zealand diet. Based upon data from the 1997 National Nutrition Survey (New Zealand Ministry of Health, 1999), the diets were formulated so that of the total energy content, 15–16% came from protein, 35% came from fat and 45–47% came from carbohydrate.
Four experimental diets were prepared to contain no sugar (diet # 1), 8% sucrose (# 2), 8% mixed sugars (diet # 3) or 10% honey (diet # 4). All diets were prepared to contain a minimum of 4% water. Additional water was also added to each kilogram of the non-honey diets to account for the fact that the honey contained 20% water. Salt and vitamin mixes were prepared as given in Chapter 2. The composition of the diets is given in Table 6.1.
Sub-samples of the four diets were sent to the Nutrition Laboratory at Massey University for measurement of energy content. The percentage dry matter of these diets was also determined during weeks 1 and 6 by drying pre-weighed samples at 105°C for 16 hours. Percentage dry weights were used to calculate actual food intake and to ensure that there were no differences in moisture content during storage.
Diets were stored at -18°C until required, and allowed to warm to room temperature for 3 hours before feeding to the animals.
**Table 6.1: Composition of Experimental Diets (g/kg)**
| Ingredient | Sugar-free (Diet # 1) | Sucrose (Diet # 2) | Mixed Sugars (Diet # 3) | Honey (Diet # 4) |
|------------------|-----------------------|--------------------|-------------------------|------------------|
| Lactalbumin | 160 | 160 | 160 | 160 |
| Corn Oil | 150 | 150 | 150 | 150 |
| Sucrose | 0 | 80 | 0 | 0 |
| Mixed sugars | 0 | 0 | 80 | 0 |
| Honey | 0 | 0 | 0 | 100 |
| Cellulose | 50 | 50 | 50 | 50 |
| Mineral Mix | 50 | 50 | 50 | 50 |
| Vitamin Mix | 5 | 5 | 5 | 5 |
| Starch | 525 | 445 | 445 | 445 |
| Water | 60 | 60 | 60 | 40 |
*a Supplier information of all ingredients is given in Chapter 2*
6.2.3 Experimental Procedures
Animals were weighed upon receipt, and those within the starting weight range (140–150 g) were randomly allocated to 1 of the 4 dietary treatments. The remaining animals were housed in standard rat cages, with access to rodent pellets and water. These animals were weighed each morning and added into the trial once at the appropriate weight.
During the experiment, the rats were housed in standard rat cages (2 animals per cage) that had a raised mesh floor. Blotting paper was laid on the bottom of the cage (below the mesh) to absorb the urine, and collect the spilled diet and faeces. A 25 cm long piece of 90 mm PVC tubing was affixed into each cage using a metal hose clamp. This allowed the animals to get off the mesh floor to a place where they could “hide”. Food, blotters and water were prepared and replaced as described in Section 5.2.3.
On day 42 after entering the trial, the rats were anaesthetised using CO₂ gas. Dr Lance McLeay of the Department of Biological Sciences, Waikato University removed 3–5 ml of blood from the heart of each animal via cardiac puncture using 19 gauge needles. Approximately 1.5 ml of the removed blood was added to an EDTA-coated blood collection tube (for measurement of glycated haemoglobin (HbA1c)) and the remainder added to a standard vacutainer. These latter blood samples were allowed to clot, before centrifuging at 3000 x g for 10 minutes and removing the serum (for fasting lipid profiles). Both the EDTA-collected blood and the serum were then taken to the laboratory at Waikato Hospital for their respective analyses (refer Chapter 2 for details). All animals were then euthanised with CO₂ gas after the blood removal, and the bodies numbered and stored in a freezer.
After thawing, each rat was minced using a Sunmile SM-G50 mincer (Vantage Systems, Ltd.). The samples were double bagged and frozen before sending to the Nutrition Laboratory at Massey University for measurement of total body fat by Soxhlet fat extraction analyses. The rat samples were also analysed for % Protein (using a nitrogen – protein conversion factor of 6.25) by the LECO total combustion method (see Chapter 2 for details).
6.2.4 Statistical Analyses
One-way ANOVA (followed by turkey’s post hoc analyses) were carried out on overall percentage weight gain, total food intake, glycated haemoglobin, total cholesterol, low density lipoprotein (LDL) cholesterol, high density lipoprotein (HDL) cholesterol and triglyceride levels, and a repeated measures analysis
looked to see if there were any interactions of diet x time. All analyses were performed using Genstat statistical software (GenStat, 2003).
6.3 RESULTS
Two rats (both in the honey treatment group) had noticeable quantities of blood in their urine from day 32 onwards. These two rats were segregated from the other animals; but as they appeared to be otherwise healthy and eating well, they were not excluded from the trial. Urine samples were collected on day 40 from both animals and, at completion of the study, both animals were taken to Vet Pathology at MedLab, Hamilton, New Zealand for a full postmortem. No particular cause could be found to explain the cause of the bleeding, other than the presence of chronic cystitis in both rats. No infections were present in the urine or bladder, and it was concluded that the blood in the urine was likely to be incidental and not related to treatment. For this reason the data pertaining to these two animals was included in the statistical analyses. Data and statistical findings are given in Table 6.2.
The main results of this study are presented in Table 6.2. Overall percentage weight gain in honey-fed rats was similar to that observed in rats fed a sugar-free diet, and was significantly reduced by 16.7% (p < 0.01) compared with sucrose-fed rats after 6 weeks (see Figure 6.1). A repeated measures analysis of the weight data further suggested an effect of diet, with significant differences observed between rats fed sucrose and those fed either the sugar free or honey diet (both p < 0.001). In addition, the differences in weight between animals fed the mixed sugars and those fed honey approached significance (p = 0.06). Figure 6.2 shows the mean percentage weekly weight gains for all four treatments.
Total food (p < 0.01) and calorie intake (p < 0.001) were significantly higher in the sucrose, mixed sugars and honey treatments compared with the sugar-free treatment group. Furthermore, calorie intake was approximately 5% lower in honey-fed animals compared with those given sucrose (p < 0.01).
HbA1c levels were significantly lower in rats fed the sugar-free diet (4.02 mmol/l) than in rats fed the other three diets (4.09–4.14 mmol/l; all p < 0.05), but there were no differences observed between the other three diets. In addition, no differences in total-, LDL- and HDL-cholesterol or triglyceride levels were observed after 6 weeks of feeding between any of the respective diets. However it must be noted that due to difficulties with the cardiac puncture method, we were unable to collect sufficient blood from analyse 10 replicates for each treatment.
As well, the variation for all cholesterol parameters was high for all treatments, and this may have masked any significant differences that may have been present. It is unknown whether this variability is due to the method of collection, the inherent inter-animal variation, or the assay employed.
**Figure 6.1:** Actual weight gains (mean ± SEM) for rats fed diets containing either no sugar (diet #1), 8% sucrose (diet #2), 8% mixed sugars (diet #3) or 10% honey (diet #4). Diets # 1, 2 and 3 had 20 ml of water added per kg of diet such that the moisture contents were the same in all three diets.
**Figure 6.2:** Mean percentage weekly weight gains for rats fed diets containing either no sugar (diet #1), 8% sucrose (diet #2), 8% mixed sugars (diet #3) or 10% honey (diet #4). Diets # 1, 2 and 3 had 20mL of water added per kg of diet such that the moisture contents were the same in all three diets.
Table 6.2: Endpoint measurements for rats fed the experimental diets for 6 weeks in a weight-gain evaluation study.
| Result | Unit | Sugar-free (Diet # 1) | Sucrose (Diet # 2) | Mixed Sugars (Diet # 3) | Honey (Diet # 4) |
|-------------------------------|------------|-----------------------|--------------------|-------------------------|------------------|
| Overall weight gain | % | 139.7 ± 8.6† | 155.0 ± 6.5** | 151.5 ± 14.4 | 138.3 ± 11.2† |
| Overall food intakea,b | g/6 weeks | 1643 ± 62 | 1824 ± 63** | 1762 ± 47* | 1772 ± 77* |
| Calories consumed | kJ/6 weeksc| 29600 ± 1116 | 33214 ± 1144*** | 33010 ± 874*** | 31565 ± 1376***† |
| HbA1cc | mmol/l | 4.02 ± 0.12 | 4.14 ± 0.07* | 4.09 ± 0.11* | 4.11 ± 0.19* |
| Total Cholesterolc | mmol/l | 2.83 ± 0.62 | 2.69 ± 0.59 | 2.34 ± 0.36 | 2.66 ± 0.34 |
| LDL Cholesterolc | mmol/l | 0.31 ± 0.18 | 0.2 ± 0.16 | 0.09 ± 0.09 | 0.18 ± 0.18 |
| HDL Cholesterolc | mmol/l | 2.09 ± 0.46 | 2.1 ± 0.43 | 1.93 ± 0.3 | 2.07 ± 0.18 |
| Triglyceridesc | mmol/l | 0.93 ± 0.30 | 0.9 ± 0.24 | 0.74 ± 0.38 | 0.83 ± 0.28 |
| Total body fat | % | 7.8 ± 1.2 | 8.8 ± 3.5 | 9.5 ± 3.6 | 8.8 ± 2.8d |
| Total Protein | % | 20.9 ± 0.6 | 20.9 ± 1.3 | 20.6 ± 1.0 | 20.5 ± 41.0d |
*p < 0.05, ** p < 0.01, *** p < 0.0001 vs sugar-free diet; † p < 0.01 vs sucrose diet
HbA1c = glycated haemoglobin; HDL = high density lipoprotein; LDL = low density lipoprotein
a Food intake is assessed per cage (i.e. per 2 animals). As such, there are only 5 units per treatment.
b Food intake corrected for percentage dry matter (determined by heating duplicate samples for 16 hours at 105°C)
c Due to an inability to collect sufficient blood from all animals, n=9, 10, 7 and 8 for rats fed sugars free, sucrose, mixed sugars and honey diets, respectively.
d n=8 only, as two animals from this treatment group had blood in their urine and were investigated by Vet Pathology
Total body fat levels also varied considerably, coefficients of variation being 31.5–39.4% for the animals fed the sucrose, mixed sugars or honey. As such, no significant differences were observed between treatments, and the data numerically suggests that the percentage body fat levels were the same in honey-fed rats as in the sucrose-fed rats (both 8.8%) despite the significant difference in weight gain. Although possible, it is unlikely that honey- and sucrose-fed rats had the same levels of body fat with a >15% difference in overall percentage weight gain. Although the samples were well mixed prior to sampling, the animals were not skinned prior to mincing, and the testing laboratory noted that because the ground rat samples contained large amounts of skin and hair, it was hard to get a representative sample from each animal (sampling size was only 1 g).
To determine whether the samples were not ground sufficiently, two samples were ground further at the Massey University laboratory before assaying again with a larger sample size (3.5 g). As the data in Table 6.3 shows, there was little change in mean values compared with the original data.
**Table 6.3:** Percentage body fat levels, as measured using Soxhlet extraction, after single (original) and double (repeat) mincing sessions. Sampling size for assay were 1 g and 3.5 g, respectively.
| Sample | #36 rep 1 | #36 rep 2 | Mean | #37 rep 1 | #37 rep 2 | Mean |
|--------|-----------|-----------|------|-----------|-----------|------|
| Original | 6.65 | 8.57 | 7.61 | 6.55 | 7.33 | 6.94 |
| Repeat | 7.15 | 8.39 | 7.77 | 7.27 | 6.94 | 7.11 |
It is possible that the variation in these body fat data may be a result of the inability to sample accurately. The average weight of the rats at completion of the study was 350 g, therefore a 3.5 g sampling represents 1%. Differences in the amount of skin/hair and animal tissue that were collected in each sample may have dramatically altered the amount of body fat in each sample. An alternative method of body fat measurement (DEXA) will be used in future studies where body fat measurements are required.
Total percent protein levels were comparable for all four treatments.
6.4 DISCUSSION
As the results of this study demonstrate, the type of sugars that are ingested as a part of the daily diet can have a significant impact on levels of food intake and weight gain during *ad libitum* feeding. Overall percentage weight gain, for example, was significantly higher in rats fed the mixed sugars- and sucrose-containing diets compared with those fed the sugar-free diet. This may be accounted for by the increased kilojoule intake, although research is equivocal. Kanarek and Orthen-Gambill (1982) demonstrated that animals given access to 32% solutions of sucrose or fructose in addition to their standard diet gained more weight per calorie consumed than animals given only the standard (sugar-free) diet after 50 days. In addition, a number of other researchers have reported that weight gains in rodents are still higher with sucrose even when matched with caloric-equivalent starch diets (Reiser and Halffrisch 1977; Halffrisch and Reiser, 1981; Hill *et al.*, 1980; Morris *et al.*, 2003).
Importantly, the weight gain observed with the mixed sugar-fed rats did not occur in the honey-fed rats even though both treatments had similar food/energy intakes. Instead, weight gain was comparable between rats fed honey and the sugar-free diet even though food intake was significantly higher in honey-fed rats. As discussed previously in Chapter 5, limited research has demonstrated that honey can have a laxative effect *in vivo* (Ladas *et al.*, 1995, Ladas and Raptis 1999) due to its high fructose content. It has been suggested that the sugar composition of honey could lead to increased gut transit and/or decreased absorption and that this may account for why reduced weight gain was observed in the presence of increased kilojoule intake. However, the finding in this trial that only honey-fed rats and not those fed mixed sugars (where the composition was the same as the sugars in the honey), had reduced weight gain/food intake would suggest that the difference in weight gain is not due solely to the sugar components of the diet.
These differing results between rats fed honey and those fed mixed sugars does agree with the ANCOVA results obtained in Chapter 5. However, whereas the statistical difference in Chapter 5 was observed because of a numerical reduction in food intake in animals fed the mixed-sugars diet (mean food intake was 1263 vs. 1323 g) this slight difference in food intake was not seen in the present study (mean food intake 1762 and 1772 g). Unfortunately, because of the fact that the rats in the current study were housed two animals to a cage, an ANCOVA analysis using food intake as a co-variable could not be performed. Thus, it is impossible to know whether the difference in weight gain
between honey- and mixed-sugars-fed rats in this study is also due to differences in food intake. When taken together, the results of these two chapters suggest that the differences in weight gain seen in honey-fed rats may be due, in part, to non-sugar components. Indeed, when looking at the food intake data for this study, it appears that all of sweetened diets (i.e. sucrose, mixed sugars and honey) resulted in a higher food intake compared with the sugar-free diet. This suggests that improved palatability may account for the increased weight gain seen, with something present in the honey diet preventing absorption of some of the sugars. What these molecules could be is unknown at present, but it could be that certain molecules are interacting with the absorption of food from the gut. As data from Chapter 4 showed, a high honey diet can reduce protein absorption and increase the faecal excretion of nitrogen. A number of hypotheses were presented in Section 4.4 as to what may be going on, including the presence of protease inhibitors and/or tannins preventing protein digestion, although the discussion was speculative at best. Alternatively, the antioxidant content of the honey could increase thermogenesis of brown adipose tissue as seen in rats fed a green-tea containing diet (Choo et al., 2003), and this, in turn, could result in less weight gain. Further studies are needed to evaluate these hypotheses.
Unfortunately the measure of percentage body fat was inconclusive in this trial due to the large degree of variation within each treatment group, although the percentage protein levels were similar for all three treatments, indicating that consumption of honey did not lead to a reduction in protein absorption. This then would suggest that the difference in weight gain seen in this study was due to either fat, bone or water. It could be that the effect of honey on protein absorption seen in Chapter 4 was dose-related, and that honey may influence absorption in other ways when eaten in lower quantities. The faeces were not collected in this study, and we have no measure of whether there was increased total excretion, or altered excretion of either fat, sugar or protein, but it would be worth assessing these measures in future studies.
It must be noted here, though, that despite the fact that comparisons are being drawn between the data in this study and that obtained in Chapter 5, the diet compositions differed between these two studies. The diets used in Chapter 5 were based on those used in other rodent weight assessment studies done at Crop and Food Research whereas the study reported here was formulated to simulate a typical New Zealand diet. However both diets provided levels of fat, protein and sugars well in excess of those required for the maintenance or growth in rodents. In addition, the animals were different ages in the two studies (animals
were aged 14 weeks at the start of the study in Chapter 5, and 6 weeks at the start of the present study). In other studies, adult rats given sucrose displayed increased body weight after 1–2 weeks (Kanarek and Hirsch 1977; Kratz and Levitsky, 1979) whereas weanling rats given sucrose consumed more calories than their sugar-free counterparts, but little measurable differences in weight gain/kilojoule were observed until they reached 10–12 weeks of age (Kanarek and Marks-Kaufmann, 1979). Similar data for combinations of fructose and glucose (as in honey) in the gut of weanling and older animals is not available, but it is possible that absorption of these sugars may have been more pronounced in adult animals and/or that little sugar absorption occurred in younger animals. Furthermore, both weight studies used honey from the same floral source, thus it is possible that the factor(s) involved originate from the plant yielding the honeydew. It would therefore be of interest to assess the effects of honey of differing floral sources on weight gain.
Although not measured in this study, it is possible that the lower weight gains observed in honey-fed animals compared with those fed sucrose are partially due to differences in satiety or glycemic control; however, given that starch was the major component in all diets, these differences are probably minor at best. The honey-fed rats did eat numerically less than those fed sucrose, and this could account for the decrease in weight gain seen between these two groups. It could be that consuming honey rather than sucrose leads to more stable blood sugars for longer (rather than a rapid increase followed by a rapid decrease as is seen with sucrose) which, in turn, may lead to less hunger and less need/desire to eat. To ascertain whether this hypothesis were true a larger study, with a greater power would of course be needed to determine if this numerical difference in food intake was real or simply due to data variability. Another explanation of the lower weight gains seen in the honey-fed rats is the production of hydrogen peroxide by the honey, as *in vitro* research has shown hydrogen peroxide to be a strong insulin-mimetic agent (Czech *et al.*, 1974; Hayes and Lockwood 1987; Heffetz *et al.*, 1990). Levels of hydrogen peroxide production in honey vary depending on floral source, but were shown to be in the range of 0.5–3.5 mmol/l in high peroxide-producing honeys (Bang *et al.*, 2003), and these levels agree with the 1–3 mmol/l shown to induce tyrosine phosphorylation (an insulin-mimetic effect) *in vitro* (Hayes and Lockwood 1987; Heffetz *et al.*, 1990). In addition, iron-binding antioxidants in particular honeys (including that used in the current study) have been shown to reduce the destruction of hydrogen peroxide that usually occurs via the Fenton reaction.
(discussed previously in Section 4.4). It is possible, therefore, that hydrogen peroxide originating from the honey acts to facilitate the uptake of glucose from the blood (by stimulating insulin receptors on the cells), thereby preventing the surge in blood glucose and insulin that usually follows consumption of a high carbohydrate meal.
Limited clinical studies have demonstrated that honey, sucrose and fructose do have differential effects on blood glucose levels (Samanta et al., 1985; Al-Waili, 2003c, 2004b). In the two clinical studies (Samanta et al., 1985; Al-Waili, 2004b), plasma glucose levels were significantly lower after 1–3 hours in both healthy and diabetic patients who had consumed honey (20–75 g) than in those who had consumed equivalent amounts of dextrose, sucrose or fructose. Similarly, sheep given daily IV infusions of honey (50–80 grams daily for 10–14 days) had decreased blood sugar levels compared with animals fed equivalent amounts of dextrose (Al Waili, 2003b). It is possible, therefore, that the ingestion of honey in the present study may have resulted in sustained lower plasma glucose levels, thereby resulting in reduced fat deposition. Of course, large differences in metabolism and activity occur between humans and rodents, and direct inferences cannot be drawn.
Whilst there appears to be no evidence in the literature to demonstrate that hydrogen peroxide is absorbed from the gut or that the levels produced in honey are sufficient to trigger insulin receptors, the findings from this study do demonstrate that intake of honey can lead to reduced levels of weight gain. In particular, the fact that honey but not mixed sugars has a lower weight gain, yet similar food intake, compared with the sucrose diet suggest that there is something present in the non-sugar component of honey that results in decreased weight gain per kilojoule of food consumed.
Other rodent studies have also demonstrated that animals fed a high fat, high sugar diet display glucose intolerance, insulin resistance and reduced adipose tissue lipoprotein lipase activity when compared with animals fed standard chow (Stark et al., 2000; Picard et al., 2002). It is unknown whether the rats in this study exhibited these effects also, but it would appear likely given the high fat/high sugar diet composition. It is possible, therefore, that the effects of honey may have been mediated by an altered glycemic response due to insulin resistance, and that this may not have occurred or been observed if the dietary makeup had been different. The finding is still significant, though, as several clinical studies have demonstrated that glucose intolerance and insulin resistance also occur in humans consuming a high fat/high sugar diet (Eckel et al., 1995;
Furthermore, the diets that these rats were fed was specifically designed to match the typical New Zealand diet, so that any such effects of diet on blood sugars responses would occur in a similar fashion.
It is also possible that the honey may have directly increased the basal metabolic rates (BMR) of these animals, or resulted in increased energy levels leading to higher energy expenditure. This is questionable, though, as all animals were housed in relatively small cages (45 x 25 x 30cm high) that did not allow them a lot of room to play or exercise. However, rats are nocturnal animals so would have been more active at night. None of these animals were observed between the hours of 6pm and 8am so it is impossible to say that activity levels were not increased in honey-fed animals.
Other research on humans has also demonstrated that honey can have beneficial effects on lipid profiles. Al-Waili (2004b) reported that whereas a single dose (75 g/250 ml) of dextrose or artificial honey led to increases in cholesterol and triglycerides over 1–3 hours, the effect was not observed with honey. In this same study, daily feeding of honey for 15 days decreased cholesterol by 8%, LDL-cholesterol by 11% and C-reactive protein by 57% in patients with elevated cholesterol compared with baseline values. No effects on total cholesterol, LDL-cholesterol, HDL-cholesterol or triglyceride levels were observed in the present study with any of the four treatments, however, due to difficulties with blood sampling we were unable to collect sufficient blood from all animals to allow 10 replicates to be analysed for each treatment. As well, the variation for all cholesterol parameters was high for all treatments, and this may have masked any significant differences that may have been present.
Housing animals in pairs is not ideal for weight investigation studies, and this may have affected the results obtained. O’Connor (2000) has demonstrated that food intake in rats is higher when animals are housed in pairs compared with when they are housed individually. When housed in pairs one animal may dominate over the other and consume more food. Fighting was common in all the cages, particularly as they got bigger, and this may have been to exert dominance within the cage. On certain weigh-in dates, particular cages did show a discrepancy between the weights of the two animals (despite similar weights the week before) suggesting that one animal may be dominating the access to, or intake of, food. Approximately 60 g of food was provided per cage daily, and this is well in excess of that consumed by the two animals. However, at certain times the food container was dislodged and tipped up such that the food spilled through to the blotter beneath the mesh. As well, some rats were messy eaters, digging at
the diet with their front paws, spilling diet in the process. It is possible; therefore, than one of the rats in a given cage may have had less access to food due to the other animal inadvertently spilling too much such there was insufficient left for the other animal. However, a look at the complete 6-week weight data did not show any patterns for reduced weight gain for a given animal nor for ongoing weight discrepancies for any of the cages.
Although honey does appear to have a significant effect on weight gain in weaning rats (and potentially in adult rats also), we cannot automatically assume that the effect will be the same in humans. Ong and Kern (1989) and Swierczynski *et al.*, (2000) have demonstrated that the activities of lipogenic enzymes are comparable in rodents and human when the macronutrient compositions are the same (as in this study) but mass, physiology, activity level, stress levels differ significantly between these two groups (the use of rat models to assess human health is discussed in Chapter 11). In this study, for example, animals were given access to only powdered diet and water. In the real world, people have ready access to a huge variety of foods, ranging from the healthy, nutritious fruit and vegetables to the less desirable high fat, highly processed snacks. It is fairly unlikely that many people would replace all the sugar in their diet with honey or that they would consume enough honey to have a significant effect on their weight. Weight loss depends on controlling calorie intake as well as calorie expenditure and weight loss is not likely to occur in an individual that consumes significant quantities of honey as well as excess calories from other foods. However, food producers may in time take some responsibility for the “healthiness” of the foods they produce and supply. The replacement of sugars (including sucrose and fructose) with honey in particular foods and beverages may provide sweetness without additional calorie-induced weight gain. A trial in humans instead of in rats would be needed to determine if such a benefit to health would result.
Chapter Seven:
The Effect of Honey versus Sucrose on the Recovery of Bone Density Following a Calcium-Deficient Diet in Rats
This chapter presents the information from the first of two rat-feeding trials that were designed to assess the effect of honey on calcium uptake (the second trial is presented in Chapter 8). This trial was carried out at Crop and Food Research (CFR) in Palmerston North in 2004, and was fully funded by a CFR EUREKA award. As with the weight regulation study funded by CFR (see Chapter 5), funding was limited. Thus the experimental design and analyses undertaken were chosen to fit within budgetary constraints.
A brief discussion of the results of the trial presented in this chapter will be given in Section 7.4, and a more detailed discussion of the roles of sugar and honey on calcium absorption and bioavailability will be given at the end of Chapter 8.
7.1 INTRODUCTION
Calcium is an essential dietary nutrient, and both scientists and the general public are now becoming aware of the importance of consuming
sufficient calcium. The recommended daily intake (RDI) of calcium is about 900 mg/day (800–1000 mg/day depending on the country) for adults although levels as high as 1300 mg/day are recommended for adolescents, pregnant women and the elderly (Gueguen and Pointillart, 2000). Various studies are now showing that many individuals are often consuming less than two thirds of the RDI (Heseker et al., 1992; van Dokkum, 1995; Gueguen, 1996). Those that choose to exclude dairy products from their diet are particularly at risk as approximately 70% of dietary calcium comes from milk and other dairy products (although minimal levels are also provided in green vegetables, fruits and water) (Gueguen and Pointillart, 2000).
Calcium has numerous roles in the body including regulation of enzyme activity, blood clotting, secondary messenger systems in the cell and the hydrolysis of energy rich phosphate bonds in ATP to fuel work (Wood, 2000). However, approximately 99% of the body’s calcium (about 1200 g in total) is involved in the formation of bone and teeth (Wood, 2000). Bone calcium stores act as a reservoir of calcium for the body, their levels getting depleted to maintain levels for other functions of calcium if intake is not sufficient (Wood, 2000). Reductions in calcium intake are therefore most often reflected in decreased bone strength and quality. Osteoporosis is a disease that is associated with a lifetime of inadequate calcium intake (although other factors including vitamin D and hormonal levels are also involved). It is characterised by a reduction in bone mineral density, disrupted bone microarchitecture and alterations in the amount and variety of non-collagenous proteins in bone (Sowers, 1996), and affects an estimated 200 million people worldwide (Gueguen and Pointillart, 2000). While treatment options such as the bisphosphonates are becoming available, prevention is still considered the most important way to reduce the incidence and severity of osteoporosis. As well, research is now showing a link between reduced dietary calcium intake and other diseases including arterial hypertension and colon cancer (Sowers, 1996). The ability to increase calcium absorption is therefore of both nutritional and economical importance, and research is now focussed on determining how calcium absorption and bioavailability can be improved, and whether calcium supplementation can retard the rate of bone loss and calcium-related disease formation in older, at-risk individuals.
Calcium absorption occurs via two mechanisms, depending on its location in the gut. Active transport (an energy-dependent process) occurs mainly in the duodenum and upper jejunum, whilst passive diffusion occurs throughout the small intestine. Calcium is also significantly absorbed from the large intestine,
particularly the caecum and the colon (Younes et al., 2001). For calcium to be able to cross the intestinal wall, it must be in a soluble form (generally ionised Ca$^{2+}$) or bound to a soluble organic molecule (Gueguen and Pointillart, 2000). However, calcium is readily bound to phosphate and other ions, resulting in the rapid formation of insoluble calcium complexes. As a result, less than 50% of consumed dietary calcium is actually absorbed (Younes et al., 2001).
Passive diffusion, unlike active transport, is an unsaturable process that can increase with dietary intake (Bronner, 1992). Thus, substances that can make calcium soluble or keep calcium soluble for longer should stimulate passive diffusion, thereby increasing calcium absorption. Casein phosphopeptides, for example, form soluble chelates with calcium (Bronner, 1987) and their ability to increase calcium absorption *in vivo* is well established in the literature (readers are referred to the reviews by Meisel, 1997; Clare and Swaisgood, 2000; Scholz-Ahrens and Schrezenmeir, 2000). Limited research has demonstrated that sugars alcohols such as xylitol, erythritol, sorbitol, maltitol and lactitol can increase calcium absorption from both the large and small rat intestine (Hamalainen and Makinen, 1986; Hamalainen et al., 1990; Abrams et al., 2002; Mineo et al., 2002) and one theory is that this is due to the complex formation between polyols and calcium in the intestinal tract (Hamalainen and Makinen, 1989). However, results from clinical studies have not supported these data (Zitterman et al., 2000).
Similarly, carbohydrates that are more slowly absorbed have also been shown to improve calcium absorption. These “fermentable carbohydrates” as they are often known, reach the large intestine largely undigested where they are fermented and utilised by the local microflora. This may stimulate gut bifidobacteria and lactobacilli growth in the intestine, which has been suggested to have health promoting functions (Gibson et al., 1995; Kruse et al., 1999). Importantly, bacterial carbohydrate fermentation can result in the formation of short chain fatty acid (SCFA) fermentation products. These SFCA can reduce the pH of the caecal content (which increases mineral solubility and mineral absorption) and affect absorption directly by complexing with the calcium, resulting in improved absorption (Younes et al., 2001). Animal studies have demonstrated that rats absorb more calcium and have higher levels of bone recalcification than control rats if fed fermentable carbohydrates such as inulin (Niness, 1999) and resistant starches (Ohta et al., 1994, 1995, 1996; Delzenne et al., 1995, Younes et al., 2001). Similarly, Brommage et al. (1993) and Beynen et al. (2001) demonstrated that lactulose (a disaccharide of galactose and fructose)
is also rapidly fermented by gut bacteria leading to increased calcium absorption in dogs. In addition, inulin has also been shown to increase calcium uptake in a small number of clinical studies (Coudray *et al.*, 1997; Coudray and Fairweather-Tait, 1998, Van den Heuvel *et al.*, 1998).
Honey is approximately 80% sugars by weight, including both simple and complex sugars. As well it contains other components including the enzyme glucose oxidase that produces gluconic acid from glucose and oxygen (see Chapter 1). As research has previously demonstrated that honey exhibits reduced glucose absorption in the gut because of its high fructose content (Ladas *et al.*, 1995; Ladas and Raptis, 1999), and that the presence of glucose in the gut can stimulate calcium absorption directly (Younoszai and Nathan, 1985; Wood *et al.*, 1987) it is likely that honey may also have a positive effect on calcium absorption *in vivo*. Indeed, in one small clinical study carried out in the early 1940s (Knott *et al.*, 1941) calcium retention was shown to be higher in babies fed formula containing honey than in those fed standard formula alone. The current trial was therefore designed to determine if feeding honey to calcium-deficient rats could improve calcium absorption and bone calcium levels. The basic study design is based upon that of Hamalainen *et al.* (1990) and Hamalainen (1994).
### 7.2 MATERIALS AND METHODS
#### 7.2.1 Experimental Animals
Weaned, Sprague Dawley male rats (21-23 days, 45-50 g) were used in the feeding trial and were bred at the Food Evaluation Unit, Crop & Food Research, Palmerston North, New Zealand. The trial was carried out in the Food Evaluation Unit as described in Section 2.1.1 with full ethical approval (see Section 2.1.4). These animals were bred specifically for this study, and were housed in groups with access to rodent pellets prior to commencing the study.
#### 7.2.2 Experimental Diets
A honeydew honey (from *Nothofagus solandrii*) with a known rate of hydrogen peroxide production (antibacterial activity due to hydrogen peroxide equivalent to that of 18.6% phenol; Allen *et al.*, 1991) and a high antioxidant content (TEAC = 2.9 mmol/l) was supplied by the Honey Research Unit, Waikato University, New Zealand for this study. The water content of the honey was determined using a refractometer and shown to be 20%.
A calcium-free, sucrose-based diet (diet #1027) and two calcium-rich diets containing either 8% sucrose (diet #1028) or 10% honey (diet #1029) were
prepared by Crop and Food Research and stored at 4°C (see Table 7.1 for diet composition). A standard vitamin mix and a modified calcium-free salt mix were prepared in-house at CFR, the details of which are given in Chapter 2. Where required, calcium (in the form of CaHPO$_4$) was added to the diet at a level of 20.7 g/kg (providing 6 g calcium per kg diet). Twenty millilitres of water was added to each kilogram of sucrose diet to account for the fact that the honey contained 20% water. Sub-samples (~10 g) were taken from each diet at the start of each week and dry matter contents calculated by drying for 16 hours overnight at 105°C.
**Table 7.1: Composition of Experimental Diets (g/kg)$^a$**
| Ingredient | Ca-deficient diet (Diet #1027) | Sucrose diet (Diet #1028) | Honey diet (Diet #1029) |
|---------------------|---------------------------------|---------------------------|-------------------------|
| Lactalbumin | 120 | 120 | 120 |
| Corn Oil | 65 | 65 | 65 |
| Sucrose | 80 | 80 | 0 |
| Honey | 0 | 0 | 100 |
| Cellulose | 50 | 50 | 50 |
| Ca-free Mineral Mix | 50 | 50 | 50 |
| CaHPO$_4$ | 0 | 20.7 | 20.7 |
| Vitamin Mix | 50 | 50 | 50 |
| Starch | 585 | 564.3 | 564.3 |
| Water | 20 ml | 20 ml | 0 |
$^a$ Supplier information for all ingredients is given in Chapter 2.
### 7.2.3 Experimental Procedures
Thirty weanling rats were placed into raised stainless steel cages with 6 mm$^2$ grid floors. They were randomly allocated to receive either the standard calcium-containing sucrose diet (diet 1027; treatment groups 1 and 2; n = 6 per group) or the calcium-deficient sucrose diet (diet 1028; treatment groups 3, 4 and 5; n = 6 per group) *ad libitum* for 21 days (Phase 1). Water was available to the rats at all times. Live weights were recorded for each rat every seven days, and food intakes were calculated for every seven-day period.
On day 19, the 12 animals from treatment groups 2 and 3 were placed into clean metabolism cages and their urine and faeces collected during a 48
hour period. Excretions were discarded from the first 24 hour period, with total urine collected during the second 24 hour period and frozen at $-80^\circ$C for later analysis of urinary calcium. On day 21, these 12 animals were anaesthetised using CO$_2$ gas, and 3–6 ml of blood removed via cardiac puncture (using 18 gauge needles). The rats were then fully euthanised with CO$_2$ and the bodies placed in numbered bags for dissection. The blood samples were left to clot at room temperature before centrifuging at 3000 x $g$ for 10 minutes. The serum was removed, transferred to clean, labeled Ependorf tubes and stored at $-80^\circ$C for later analysis of plasma calcium levels.
From day 21 onwards, the calcium-deprived animals in treatment groups 4 and 5 were fed calcium-containing diets that contained either sucrose (diet #1028), or honey (diet #1029) for a further 21 days (Phase 2). Rats in treatment group 1 continued to receive the standard calcium-sucrose diet during this time. A diagrammatic representation of the dietary treatments for Phase 1 and 2 is given in Figure 7.1. Live weights and food intakes were again recorded for each rat for every seven-day period.
**Figure 7.1:** Schematic representation of the dietary treatment regime
On day 40, all remaining animals were transferred to clean metabolism cages. Urine and blood samples were collected and processed on day 42 as described previously, and the animals bagged for dissection.
Left fore and hind limbs were sectioned from each animal. The humerus and the fibula/tibia were carefully removed and the attached soft tissue removed. The bones were then left to air-dry at room temperature for 72 hours. After this time, all remaining soft tissue material was carefully removed from each bone using a scalpel. The individual bones were weighed, and their volumes recorded by placing into a 5 ml measuring cylinder that was two thirds filled with distilled water and measuring the increase in volume. All urine, blood and bone samples were then sent to the Nutrition Laboratory at Massey University for measurement of calcium levels (see Chapter 2 for details).
### 7.2.4 Statistical Analyses
One-way ANOVA analyses were carried out on weight gain, food intake, bone weight and volume as well as on bone, serum and urinary calcium levels to determine whether there were statistically significant differences between the calcium levels of control and calcium-deprived rats, and/or between calcium-deprived rats fed the sucrose- and honey-based diets. All analyses were performed using Genstat statistical software (GenStat 2003).
### 7.3 RESULTS
#### 7.3.1 Phase 1 (Weeks 1–3): Assessment of Feeding a Calcium-Free Diet vs the Control Sucrose Diet
##### 18.104.22.168 Weight Gain/Food Intake
Animal weights were significantly reduced by approximately 25 g in rats fed the calcium-deficient diet (Treatments 3, 4 and 5) compared with those fed the control calcium-containing sucrose diet (Treatments 1 and 2) after 3 weeks of treatment ($p < 0.001$; Table 7.2). Similarly, total food intake during weeks 1–3 was significantly reduced in rats fed the calcium-deficient diet compared with animals fed the control ($p < 0.001$; Table 7.2).
Table 7.2: Assessment of Phase 1 (Weeks 1–3) weight gain and food intake (mean ± SD) for rats fed either the control sucrose-based diet (Treatments 1 and 2) or the calcium-deficient diet (Treatments 3, 4 and 5). W=week
| Parameter | Calcium-containing sucrose Diet (#1028) | Calcium-Free Diet (#1027) |
|----------------------------------|----------------------------------------|---------------------------|
| Live weight at W3 (g) | 152.2 ± 6.7 | 126.8 ± 9.2* |
| Δ Live weight (g, W3–W0) | 99.5 ± 7.0 | 75.1 ± 9.0 * |
| Food Intake (g) | 275.3 ± 17.5 | 233.5 ± 15.8* |
* p < 0.001 vs calcium-sucrose (#1028) diet
a Food intake corrected for percentage dry matter
22.214.171.124 Bone Data and Serum/Urinary calcium levels
The bone, serum and urinary calcium data obtained from animals sacrificed at Week 3 (treatments 2 and 3) are given in Table 7.3. The mean calcium content of both fibula/tibia and humerus bones were significantly reduced by approximately 50% in the calcium-deprived rats compared with the control rats fed the calcium-sucrose diet at Week 3. Mean bone weight and mean bone densities were significantly reduced by 35–40% and 25%, respectively, in the calcium-deprived rats (all p < 0.001 vs the control diet). In addition, mean serum and urinary calcium levels were reduced by 30% and 60%, respectively, in the calcium-deprived rats compared with control animals (both p < 0.001).
Table 7.3: Assessment of Week 3 bone measurements and urinary/serum calcium levels (mean ± SD) for rats fed either the control sucrose-based diet (Treatments 1 and 2) or the calcium-free diet (Treatments 3, 4 and 5).
| Parameter | Calcium-containing Sucrose Diet (#1028) | Calcium-Deficient Diet (#1027) |
|----------------------------|----------------------------------------|--------------------------------|
| **Fibula/Tibia** | | |
| Calcium content (mg/g) | 116.8 ± 30.1 | 56.3 ± 18.3* |
| Bone Volume (ml) | 0.33 ± 0.05 | 0.28 ± 0.03 |
| Bone Weight (mg) | 0.25 ± 0.02 | 0.16 ± 0.01* |
| Bone Density (mg/ml) | 0.76 ± 0.07 | 0.58 ± 0.08* |
| **Humerus** | | |
| Calcium content (mg/g) | 129.2 ± 8.6 | 72.6 ± 10.6* |
| Bone Volume (ml) | 0.16 ± 0.02 | 0.13 ± 0.03 |
| Bone Weight (mg) | 0.13 ± 0.01 | 0.08 ± 0.01* |
| Bone Density (mg/ml) | 0.82 ± 0.09 | 0.62 ± 0.09* |
| Urinary calcium (mmol/l) | 20.7 ± 5.8 | 8.8 ± 3.3* |
| Serum calcium (mmol/l) | 3.0 ± 0.1 | 2.1 ± 0.3* |
*p < 0.001 vs control (#1028) diet*
7.3.2 Phase 2 (Weeks 4–6): Assessment of Feeding a Calcium-Containing Sucrose- or Honey-Based Diet to Calcium-Deficient Rats vs Control Animals.
126.96.36.199 Weight Gain/Food Intake
Animal weights at Week 6 remained significantly lower in animals fed the calcium-deficient diet during Phase 1 (Treatments 4 and 5) when compared with control animals (Treatment 1) \((p < 0.05)\). However, the weight gain per 3 weeks was not significantly different in the three treatment groups (see Table 7.4). In addition, no significant differences in food intake were observed in rats fed the control, sucrose- or honey-based diets (Table 7.4).
**Table 7.4:** Assessment of weight gain and food intake (mean ± SD) during Weeks 4–6 (Phase 2) for control rats continuing to be fed the control calcium/sucrose-based diet (Treatments 1), and for calcium-deficient rats fed the sucrose- (Treatment 4) or honey-based (Treatment 5) diets. \(W=\text{week}\).
| Parameter | Sucrose Diet (Treatment 1) | Sucrose Diet\(^a\) (Treatment 4) | Honey Diet\(^a\) (Treatment 5) |
|----------------------------|----------------------------|----------------------------------|-------------------------------|
| Live weight (W6) | 287.3 ± 6.4 | 272.2 ± 9.0* | 273.2 ± 9.4* |
| \(\Delta\) Live weight (W6–W3) | 133.5 ± 8.1 | 141.9 ± 14.5 | 146.3 ± 12.9 |
| Food Intake\(^b\) | 446.4 ± 36.4 | 421.0 ± 29.4 | 437.7 ± 34.2 |
\(^a\) Rats were previously fed the calcium-deficient diet (#1027) during Weeks 1–3.
\(* p < 0.05\) vs control sucrose diet (treatment 1)
\(^b\) Food intake corrected for percentage dry matter
188.8.131.52 Bone Data and Serum/Urinary Calcium Levels
The data obtained from animals sacrificed at Week 6 (Treatments 1, 4 and 5) are given in Table 7.5. Generally, no differences were observed in all three treatments for either bone calcium content, volume, weight or serum calcium levels and urinary calcium excretion, suggesting that the calcium stores lost in Treatment 4 and 5 rats during Phase 1 had been replenished during Phase 2 feeding. However, bone density remained lower in rats fed sucrose during Phase 2 (Treatment 4) compared with control animals (Treatment 1; \(p < 0.05\)) suggesting that bone density in these animals had not been fully restored. In contrast, bone density levels were fully restored in honey-fed rats at week 6..
Table 7.5: Assessment of Week 6 bone measurements and urinary/serum calcium levels (mean ± SD) for rats continuing to be fed the control sucrose-based diet (Treatment 1), and for calcium deficient rats fed the sucrose- (Treatment 4) or honey-based (Treatment 5) diets.
| Parameter | Sucrose Diet (Treatment 1) | Sucrose Diet$^a$ (Treatment 4) | Honey Diet$^a$ (Treatment 5) |
|----------------------------|----------------------------|---------------------------------|------------------------------|
| **Fibula/Tibia** | | | |
| Calcium content (mg/g) | 120.2 ± 53.1 | 120.4 ± 19.0 | 119.2 ± 29.1 |
| Bone Volume (ml) | 0.41 ± 0.04 | 0.38 ± 0.03 | 0.41 ± 0.05 |
| Bone Weight (mg) | 0.36 ± 0.03 | 0.30 ± 0.02 | 0.34 ± 0.03 |
| Bone Density (mg/ml) | 0.88 ± 0.11 | 0.80 ± 0.1 | 0.84 ± 0.07 |
| **Humerus** | | | |
| Calcium content (mg/g) | 178.2 ± 35.2 | 148.5 ± 30.4 | 172.6 ± 16.4 |
| Bone Volume (ml) | 0.25 ± 0.01 | 0.24 ± 0.02 | 0.23 ± 0.03 |
| Bone Weight (mg) | 0.20 ± 0.01 | 0.16 ± 0.02 | 0.16 ± 0.01 |
| Bone Density (mg/ml) | 0.81 ± 0.05 | 0.68 ± 0.07* | 0.73 ± 0.08 |
| Urinary calcium (mmol/l) | 17.8 ± 3.2 | 15.8 ± 3.7 | 14.9 ± 3.5 |
| Serum calcium (mmol/l) | 3.07 ± 0.1 | 3.1 ± 0.3 | 3.0 ± 0.2 |
* p < 0.05 vs control sucrose diet (Treatment 1)
$^a$ Rats were previously fed the calcium-deficient diet (#1027) during Weeks 1–3
7.3.3 Week 3 vs Week 6
To ensure the robustness of the trial design a number of parameters were compared between the control group of rats sacrificed at Week 3 and the control group sacrificed at Week 6.
Fibula/tibia calcium levels were not significantly different in control calcium-fed rats at Week 6 (Treatment 1) versus Week 3 (Treatment 2) (120.2 vs 116.8 mg/g bone); however, humerus calcium levels were greater in Week 6 control animals compared with Week 3 (178.2 vs 129.2 mg/g; p < 0.05). This difference may be artefactual due to the small numbers of animals assessed at each time period, and the fact that the bones were so small that replicates could not be analysed for each sample. No differences were observed in bone density between the two control groups although both tibia/fibula and humerus bone weights and bone volumes were significantly higher in Week 6 control animals compared with Week 3 animals (p < 0.001). This is to be expected because of
the increased growth and size of the animals at Week 6. Furthermore, there were no differences in either urinary or serum calcium levels in the two control groups.
7.4 DISCUSSION
As the effects of honey on calcium absorption are further explored in the rat-feeding trial in Chapter 8, the discussion in this chapter will relate only to the results obtained in this trial and the methodology employed. Further discussion on the implications of this research and on other aspects of calcium absorption and bioavailability will be presented in the discussion section of Chapter 8.
As the results of this small study show, there are no significant differences in levels of bone recalcification between calcium-deficient rats fed a diet containing 8% sucrose or 10% honey (honey is ~20% water). However, this may be a result of the trial design rather than due to similarities between the two experimental treatments. The trial design used in this study was based upon the work of Hamalainen *et al.* (1990) and Hamalainen (1994) who showed that lactose, xylitol and gluconate increased bone relcalcification compared with a sugar-free diet in calcium-deficient rats. However, three main differences were employed in the present study. Firstly, the diet composition used in this study (see Table 7.1) differs from that of the two studies by Hamalainen (20% casein, 62.7% cornstarch, 5% cellulose, 7% fat/oil). The diet in the present study was formulated based on rodent dietary requirements (National Research Council, 1995) and on other rodent diets that had been prepared by Crop and Food Research previously. Whereas both the diets in this study, and that presented by Hamalainen had similar levels of starch, fat, fibre, vitamins and minerals, the two diets differed in the level and type of protein used, the presence of sugar and the form of calcium that was used.
Casein, for example, was used in both of the studies by Hamalainen; however, lactalbumin was used as the source of dietary protein in the present study to prevent the presence of casein phosphopeptides having any effect on calcium absorption. Secondly, calcium phosphate rather than calcium carbonate was used in the present study to increase the level of calcium that would potentially form hydroxyapatite thereby rendering the calcium unavailable for absorption. This was to test the hypothesis that honey may improve bone recalcification due to the gluconate content of the honey keeping the calcium soluble in the gut. Thirdly, an 8% sucrose diet, rather than a sugar-free diet was used as the control diet in this study as the typical human diet is not sugar-free, but instead often contains a large proportion of sucrose. It may be of interest,
though, to compare the effects of both the sucrose diet and honey diet in calcium-deficient rats with control rats fed a calcium-containing, sugar-free diet.
Importantly, Hamalainen *et al.* (1990) and Hamalainen (1994) used a 2-week calcium-recovery period during Phase 2 of the study, compared with the 3 week period using in the current study. This difference in trial duration may explain why different bone calcium levels were detected with different experimental diets in their research whereas bone calcium levels in the experimental groups were comparable to those in the control group at the end of the current study. Hamalainen *et al.* (1990) mention briefly that a preliminary pilot study suggested that a 2-week period does not permit the full recovery of bone density. A 3-week period was chosen for Phase 2 in the current study as it was hypothesised that bone recalcification would be slower than in the published studies because of the absence of casein and the use of calcium phosphate in the diets. Limited resources meant that a pilot study could not be performed prior to commencing this study; although the data would now suggest that this hypothesis was not supported.
Despite the fact that there were few statistically significant differences observed between the control rats (Treatment 1) and the calcium-deficient rats fed a sucrose- (Treatment 4) or honey-containing diet (Treatment 5) after 6 weeks, a number of trends were observed. Humeral calcium content, for example, was 97% of control levels in honey-fed rats, yet only 83% of control levels in sucrose-fed animals. Similarly, bone weight and bone density values were 90–95% of control values in honey-fed rats, but were only 80–91% of control values in those fed sucrose. In addition, humeral bone density levels were significantly lower in sucrose-fed rats compared with those of control animals at 6 weeks ($p < 0.05$). It is unknown whether the non-significant findings are due to random variance, or whether these numerical differences are indicative of a potential difference in the diets that simply did not reach statistical significance because of the small sample sizes used in this study and the inherent variability that occurs in animal trials. These data suggest, though, that sucrose and honey *may* have a different effect on calcium absorption and bone recalcification, although further studies are needed to determine this.
Another point of consideration is that the rats in the present study were given calcium at a rate of 6 g/kg of bodyweight during Phase 2, which is slightly higher than the 5 g/kg required to satisfy their nutritional requirements (National Research Council, 1995). It is possible that no significant differences in calcium uptake/bone recalcification were observed between animals fed the sucrose diet.
and the honey diet because of a surplus of calcium available for absorption. As mentioned previously, passive transport of calcium in the small intestine is a non-saturatable process, thus any surplus calcium in an absorbable form is likely to be absorbed and incorporated into bone stores. As humans, and particularly women, generally have an insufficient intake of calcium in their diet, it may have been of more value to feed the animals in Phase 2 with diets that contained minimal levels of calcium such that differences in uptake were more visible and 100% replenishment of bone calcium levels was not obtained by Week 6. However, given the design of the trial, and the use of calcium-deficient diets in Phase 1, it was deemed to be unacceptable to use such a low level of calcium in the second phase of the trial.
It would also have been advantageous to run the trial using a larger number of animals as there was substantial variability in all the parameters measured, particularly bone calcium levels. Fibula/tibia and humerus bones from weanling rats are very small and, once ashed, there is generally insufficient sample to allow duplicate analyses for each sample. Alternatively, both fore- and hind-limbs could be removed for analysis (rather than just one of each as used in this study); although, there is obviously a financial cost associated with needing to remove, ash and analyse twice as many bones. Instead it may be more beneficial to use larger animals in the trial which should yield larger bones that are easier to analyse. Furthermore, better analytical techniques are available for measurement of bone strength. DEXA is routinely used for measurement of bone mineral density and for diagnosis of conditions such as osteoporosis. This method was not used in the present study as it was financially beyond the scope of this project. In addition, it would have been advantageous to have an additional treatment group that assessed the effects of honey on bone calcium levels in healthy animals that were not calcium-deficient (*i.e.* fed the control sucrose diet in Phase 1, followed by honey in Phase 2). These factors have been considered in the design of the next calcium trial, and the data is presented in Chapter 8.
Chapter Eight:
The Effect of Honey versus Sucrose on Calcium Bioavailability in Weanling Rats Fed a Low Calcium Diet
This chapter presents the data from the second rat-feeding study that was designed to ascertain whether honey can improve calcium absorption and/or bone calcium levels. This trial was undertaken at Waikato University between 26 October and 21 December 2005 as was fully funded by Fonterra Brands Ltd.
8.1 INTRODUCTION
As the data from Chapter 7 have shown, there is some limited evidence to suggest that honey may improve calcium uptake and bone calcium levels in calcium-deficient rats compared with sucrose-fed animals. However, as discussed in Section 7.4, the small number of animals used in the previous study as well as the study design employed may have been inadequate to detect any dietary differences. This present study, therefore, does not follow the work of Hamalainen et al., (1990) and Hamalainen (1994) in which a calcium-deficit was artificially induced, but instead uses a different methodology. In the present study, male Sprague Dawley rats were fed a low calcium diet for the duration of the
study, with the diets formulated such that they approximated the composition of a typical New Zealand Diet (New Zealand Ministry of Health, 1999) as this scenario was considered to better represent the typical Western diet. In addition, only two treatment groups (sucrose and honey) were included in this study, each group containing 20 animals in an attempt to increase the power of the study. As with the previous study presented in Chapter 7, lactalbumin rather than casein was used as the protein source to prevent casein phosphopeptides having any effect on calcium absorption (see Section 7.4). In addition, calcium phosphate rather than calcium carbonate was used as the sole calcium source, thereby increasing the amount of calcium that would potentially be unavailable for absorption, as calcium phosphate is relatively insoluble at pH > 7 (Clare and Swaisgood, 2000). Phosphate is also required at relatively high levels in the diet as it is needed with calcium to mineralise bones.
8.2 MATERIALS AND METHODS
8.2.1 Experimental Animals
Forty Sprague Dawley rats, aged approximately 8 weeks (225–250 g) at the start of the trial, were sourced from AgResearch, Hamilton. The trial was carried out at Waikato University as described in Section 2.1.2 with full ethical approval (see Section 2.1.4).
8.2.2 Experimental Diets
Two experimental diets were prepared to contain either 7.9% sucrose (diet # 1) or 10% honey (diet # 2). A rewarewa honey (*Knightia excelsa*) with a high fructose content (45.2%; measured by Agriquality New Zealand Ltd) was used, and the percentage of sucrose used in Diet #1 was based on the finding that the honey contained 21% water (measured using a refractometer).
The powdered diets were prepared by Crop and Food Research, Palmerston North (see Chapter 2). Based upon data from the 1997 National NZ Nutrition Survey, the diets were formulated so that of the total energy content, 15–16% came from protein, 35% came from fat and 45–47% came from carbohydrate. Calcium was incorporated into the diet at a level of 1.6 mg/kg diet. This is lower than the minimal requirement (5 mg/kg) for maximum calcium absorption and bone calcium levels in rodents as reported by The National Research Council (1995) but has been shown to be adequate for growth and bone mineralisation (Bernhart *et al.*, 1969). It was considered that using a less than maximal level of calcium in the diet would allow any differences, if any, in
calcium absorption and bone calcification to be observed between the two dietary treatments. Extra water (21 ml/kg diet) was added to the sucrose diet to account for the water content of the honey. Ten-gram samples were taken from both diets weekly, and the percentage dry matters calculated by drying for 16 hours at 105°C.
In the standard Crop and Food salt mix used in the diets (see Chapter 2), 427 g of CaHPO₄ is included per kg of salt mix to give a calcium content of 6.29 mg/kg diet (when added at 50 g salt mix per kg diet). To obtain the low calcium content of the diet used in this study, the salt mix was prepared by adding only 108.62 g CaHPO₄ per kilogram of salt mix plus 318.38 g cellulose as filler. The composition of the diets is given in Table 8.1.
**Table 8.1: Composition of Experimental Diets (g/kg)**
| Ingredient | Sucrose diet (Diet #1) | Honey diet (Diet #2) |
|-----------------------------|------------------------|----------------------|
| Lactalbumin | 160 | 160 |
| Corn Oil | 150 | 150 |
| Sucrose | 79 | 0 |
| Honey | 0 | 100 |
| Cellulose | 50 | 50 |
| Low Calcium Mineral Mix | 50 | 50 |
| Sugar-free Vitamin Mix | 5 | 5 |
| Starch | 445 | 445 |
| Water | 61 ml | 40 ml |
*a Supplier information of all ingredients is given in Chapter 2*
### 8.2.3 Experimental Procedures
The animals were weighed upon receipt, and randomly allocated to one of the two dietary treatments. During the experiment, the rats were housed individually in raised stainless steel cages with 6 mm² mesh flooring. As required by the Waikato University Ethics Committee, pieces of small grid mesh (~2 mm²) were affixed with metal twist ties into the back half of each cage so that each rat was able to get off the larger mesh, whilst still allowing urine to pass through. These pieces of smaller mesh were removed and cleaned once a week. Trays containing shavings were slotted into the rack beneath each row of cages. Blotting paper was placed onto each tray (one per cage) to absorb the urine and
collect the spilled diet and faeces. Food jars were loosely affixed into the front of each cage using metal hose clamps. This ensured that feeding occurred near the front of the cage, and that faeces were generally defecated in this area (rats tend to defecate whilst eating). Food, blotters and water were prepared and replaced as described in Section 5.2.3.
On day 56, all rats were anaesthetised using CO₂ gas. Dr Ric Broadhurst of AgResearch, Ruakura, Hamilton then removed approximately 5 ml of blood from the heart of each animal via cardiac puncture using 19 gauge needles. These blood samples were allowed to clot, before centrifuging at 3000 x g for 10 minutes and removing the serum. The serum samples were sent to the Nutrition Laboratory at Massey University for measurement of serum calcium levels (using the cresol phenolphthalein complexone method, see Chapter 2). All animals were then fully euthanised with CO₂ gas, and the bodies numbered and stored in a freezer.
After approximately two weeks in the freezer, the frozen rat bodies were sent to the Department of Nutrition and Health at Massey University on the overnight courier. There the spine and hind limbs were dissected for DEXA and bone biomechanic analyses (see below).
**DEXA**
Spines and femurs were stripped of extraneous tissue, leaving about 1 cm of flesh attached. These were submerged in a 1.5 cm deep dish of phosphate buffered saline (PBS). Spines were scanned from L4 to L1, and femurs from the knee to hip joints.
Bone mineral measurements were taken using a Hologic QDR4000 bone densitometer using a pencil beam unit (Bedford, MA, USA). On each day that scans were undertaken, a quality control (QC) scan was taken to ensure that its precision met the required DEXA manufacturer’s coefficient of variation. The coefficient of variation (CV) for the QC data was 0.98 – 1.01%. Regional high-resolution scans were performed using a 1.5 mm diameter collimator with 0.31 mm point resolution and 0.5 mm line spacing. Coefficient of variance for the femurs ranged between 0.85% and 0.92% with and without repositioning between scans. These values ranged between 0.98% and 1% for the spine.
**Biomechanics**
Left femurs were scraped clean of flesh and incubated at 23°C for 1 hour before the assay, to ensure they were at room temperature for the test. The
length of each femur was measured with an electronic calliper and the midpoint marked with a waterproof pen. Both the vertical and transverse diameter at the midpoint of the femur were similarly determined.
Maximum load, breaking load, maximum deformity (stroke length), breaking stress, breaking strain (the percent of deformation of the femur just prior to the time of breaking), the breaking energy (the amount of energy required to break the femur) and the elastic modulus (force required to bend the bone in the elastic phase of deformation) were determined at the marked midpoint using the Shimadzu Ezi-test (Kyoto, Japan). The femurs were subjected to a three point bending test with the application point of the upper fulcrum positioned midway between the two supporting rods of the testing jig. The supporting rods were spaced 15 mm apart. Load was applied at a constant deformation rate of 50 mm/hour.
Following these analyses the bones were taken to the Nutrition Laboratory at Massey University where they were cleaned and ashed for measurement of bone calcium levels (see Chapter 2 for details).
8.2.4 Statistical Analyses
Two-sample t-tests were carried out on overall and percentage weight gain, total food intake, femur weights, serum and bone calcium levels and all bone-breaking and DEXA measurements. A two-way ANOVA was also performed on the DEXA measurements, comparing the three positions (spine, left femur and right femur) for bone mineral density (BMD) and bone mineral composition (BMC). In addition, a \((2 \times 9)\) repeated measures ANCOVA (with Turkeys post-hoc analyses) was performed on the weight gain data using total food intake per animal as a co-variable to determine if there were any diet x time interactions. The analyses were carried out using Minitab and/or Statistica software.
8.3 RESULTS
All animals appeared healthy throughout the 8-week study, and no obvious problems resulting from lowered dietary calcium levels were observed.
No significant differences were observed between the two groups of rats for any of the endpoint measures (see Table 8.2). Figure 8.1 shows the actual mean weight gain over time. As with the other measures, serum calcium levels were comparable for both treatment groups. However, it must be noted that due to a problem with several of the centrifuge tubes splitting open during centrifugation,
only 8 serum samples per treatment were able to be retained for analysis. It is therefore possible, but unlikely, that the two treatments may have shown different results had all 40 samples been analysed.
No urinary calcium data was obtained during this trial as metabolism cages were not available for use (metabolism cages have only been used in those studies that were carried out at Crop and Food Research in Palmerston North). An attempt was made to collect the urine in clean, empty trays beneath the mesh-floored cages during the last 24-hour period, however, because of the large surface area of the trays, the small volumes of urine involved and the warmth of the room, evaporation was too rapid and the samples could not be collected.
**Figure 8.1:** Mean (\( \pm \) SEM; \( n=20 \)) actual weight gains for rats fed diets containing either 7.9% sucrose or 10% honey over an 8 week period. The sucrose diet had 21 ml of water added per kg of diet such that the moisture content was the same in both diets.
Table 8.2: Endpoint measurements (mean ±SD, n= 20 per group) for rats fed the experimental diets (7.9% sucrose or 10% honey (honey is 21% water)) for 8 weeks in a calcium absorption study.
| Result | Unit | Diet |
|---------------------------------------------|--------|---------------|
| | | Sucrose Diet | Honey Diet |
| Overall weight gain (actual) | g | 202.1 ± 24.4 | 193.8 ± 22.6 |
| Overall weight gain | % | 85.2 ± 11.0 | 81.8 ± 8.4 |
| Overall food intake | g/8 w | 1063.1 ± 82.4 | 1079.7 ± 99.6 |
| Wet Femur Weight | g | 1.10 ± 0.07 | 1.06 ± 0.08 |
| Dry Femur Weight | g | 0.62 ± 0.04 | 0.61 ± 0.04 |
| Serum calcium levels* | mg/ml | 2.74 ± 0.09 | 2.80 ± 0.08 |
| Bone calcium levels | mg/ml | 110.92 ± 5.7 | 109.78 ± 4.3 |
**Bone Breaking Parameters**
| Parameter | Unit | Diet |
|--------------------------------|----------|---------------|
| Max Load | N | 185.9 ± 19.6 | 173.4 ± 21.6 |
| Max Stroke | mm | 1.82 ± 0.2 | 1.72 ± 0.15 |
| Break Load | N | 185.2 ± 19.3 | 171.9 ± 20.9 |
| Break Stress | mm | 75.6 ± 9.0 | 71.8 ± 12.1 |
| Break Stroke | N/mm² | 1.83 ± 0.16 | 1.73 ± 0.16 |
| Break Strain | % | 17.2 ± 0.2 | 16.2 ± 2.0 |
| Elastic Modulus | N/mm² | 582.2 ± 104.1 | 622.7 ± 121.5 |
| Energy | J | 0.18 ± 0.02 | 0.17 ± 0.03 |
**DEXA Parameters**
| Parameter | Unit | Diet |
|--------------------------------|----------|---------------|
| Bone mineral content | g | |
| - spine | | 0.404 ± 0.037 | 0.405 ± 0.032 |
| - left femur | | 0.432 ± 0.030 | 0.418 ± 0.034 |
| - right femur | | 0.434 ± 0.024 | 0.423 ± 0.027 |
| - left + right femurs combined | | 0.433 ± 0.027 | 0.420 ± 0.03 |
| Bone mineral density | g/cm² | |
| - spine | | 0.193 ± 0.011 | 0.193 ± 0.008 |
| - left femur | | 0.211 ± 0.015 | 0.212 ± 0.013 |
| - right femur | | 0.212 ± 0.011 | 0.208 ± 0.010 |
| - left + right femurs combined | | 0.211 ± 0.013 | 0.210 ± 0.012 |
* Due to a problem with several centrifuge tubes spilling their contents during centrifugation to obtain serum, n=8 for both treatment groups
8.4 DISCUSSION
As the data from this study show, feeding honey did not improve the bioavailability of calcium or increase bone calcium levels when compared with sucrose in rats fed a low calcium diet. These results contrast with the findings of two smaller studies that have shown that honey can improve calcium uptake and retention levels. In 1941 Knott *et al.* demonstrated that infants fed honey-containing formula had calcium retention levels (intake minus urinary and faecal output) that were 1.5–2 times higher than those fed formula containing corn syrup. However, no information was given as to the concentration of honey and corn syrup used, nor whether there was a statistical difference between the two groups. More recently, a study using Sprague Dawley rats showed that absorption of radioactively-labeled calcium was significantly higher two days after a single-dose feeding of 500 or 800 mg honey than in those fed no honey (Ariefdjohan *et al.*, 2005). Importantly, the animals in the study by Ariefdjohan *et al.* (2005) were gavaged with the oral solutions of honey and calcium, and there is no mention of whether the animals were also given access to food during the 2-day period after consumption (this study is published as an abstract only).
Eight-week old Sprague Dawley rats consume approximately 22–25 g of food each day (based on the studies presented in this thesis); therefore, the amount of honey fed to the animals in the study by Ariefdjohan (500 and 800 mg) would correlate to approximately 2.2–3.6% of the daily food intake. These levels of honey are substantially less than the 10% used in the present study, but suggest that feeding in one dose may be more effective than *ad libitum* feeding. In human populations, calcium is often consumed in discrete quantities rather than in smaller amounts throughout the day as it is generally limited by the intake of milk and dairy products (milk provides up to 130 mg calcium/100 ml). It is possible, therefore, that feeding honey plus a low level of calcium *ad libitum* in the present study did not allow high enough concentrations of honey to be present in the gut to have had any physiological effect on calcium absorption as the active calcium transport mechanisms would not have been saturated.
Furthermore, having such a low level of calcium ingested at any one time may have meant that it was virtually all absorbed via active transport mechanisms in the duodenum and upper jejunum where the pH would be low enough to keep it soluble. Any dietary factors would therefore have had little or no effect, as these influence solubility of calcium for passive absorption in the lower intestine, and the components of the honey were probably all absorbed before reaching the lower gut. In contrast, feeding the honey and calcium
together in a single meal (as occurred in Ariefdjohan *et al.*, 2005) would have saturated the active transport systems in the duodenum and upper jejunum, with some of the honey and calcium passing into the lower gut allowing a potential increase in passive diffusion of calcium to occur. This may, in turn, have resulted in an increase in calcium absorption overall. As mentioned earlier, no measure of urinary calcium excretion was available as it was deemed to be impossible to collect the urinary calcium because of the warm temperatures in the room leading to evaporation. Since the completion of this study, though, it has been realised that an acid wash of the collection trays followed by volume measurement and calcium analysis would have allowed measurements of excretory calcium levels. Certainly, the lack of this measurement was a flaw in this study, and it should be undertaken in any further studies (in the absence of metabolism cages) to determine what level of absorbed calcium is being retained in the body.
The use of meal feeding (with a large amount of honey and calcium given during one meal) was considered for the present study (and acknowledged as the best trial design); however, it was deemed to not be practical for long-term feeding. With only one person available to feed the 40 animals, it was simply not feasible to take food jars in and out of each cage three times every day for 8 weeks. However, given the findings from the current trial as well as those from the previous authors, it does suggest that any future trial work in this area should look at providing honey and calcium in a bolus rather than as a part of *ad libitum* feeding.
Even if honey could have had an effect on calcium solubility and absorption during *ad libitum* feeding, it is possible that honeys of different floral sources may have differential effects. The honey chosen in the present study was a rewarewa honey with a high fructose content. A study on sugar absorption from mixtures of glucose and fructose has shown that a higher proportion of fructose leads to delayed sugar uptake (MacDonald, 1968), thereby leading to fermentation and acid production in the lower gut that would allow the calcium to remain soluble for longer. However, this may have not occurred. In addition, the level of glucose oxidase activity was measured on this honey and shown to be low. Thus the amount of acid produced directly from the honey would be low (gluconic acid is produced by glucose oxidase) and it unknown whether this gluconic acid production is required for honey to be able to improve calcium uptake. In the work of Ariefdjohan *et al.* (2005), no mention is given as to what the floral source of their honey was. Interestingly, though, these authors did report that a 800 mg glucose/fructose mixture (with proportions of sugar the same
as in the honey they used) also significantly increased calcium absorption compared with animals given no honey, but that this increase in absorption was only half of that reported with an equivalent amount of honey (17.1% vs 33.6%). This finding strongly suggests that non-sugar components in the honey likely contributed to the observed improvement in calcium absorption and bone calcium levels. It is possible that this may have been due to a high level of production of gluconic acid by the honey as increased gastric acidity has been shown to keep calcium soluble for longer (Bo-Linn *et al.*, 1984). In one study that assessed honeys of differing floral sources (Bang *et al.*, 2003) hydrogen peroxide levels were shown to range from 0.3–1.4 mmol/l in 10% honey solutions, to 0.9–2.9 mmol/l in 30% solutions after 30 minutes of dilution (rates decreased again in higher honey concentrations; see Chapter 1.3.2 for a full discussion of factors affecting glucose oxidase activity and rates of hydrogen peroxide in honey). As gluconic acid and hydrogen peroxide are produced by glucose oxidase in a 1:1 ratio (White, 1975a), equivalent concentrations of gluconic should also have been produced. With an 800 mg dose of honey, it would require 2.4–8 ml of fluids in the gut to bring the honey within the range of 10–30%. Ariefdjohan *et al.* (2005) did not give details as to concentration of honey administered (only that it was given as an oral solution) but it is possible that final honey concentrations of 10–30% could have been obtained in the lower gut of the 8-week old animals. Whether such a level of acid production would be sufficient to influence calcium solubility and absorption is unknown; however, as the gut is an anaerobic environment and oxygen is one of the key substrates for glucose oxidase it is unlikely to be an important contributing factor.
It is important to note, though, that glucose oxidase is inactive in honey until the honey is diluted (White *et al.*, 1962) and that enzyme activity continues for only a finite period of time (Bang *et al.*, 2003). The level of gluconic acid that occurs in honey prior to dilution is therefore low, with levels of less than 1% reported by White (1975a). Whether the honey is diluted prior to consuming it could also have a significant impact on its effects on calcium bioavailability. Honey given in an undiluted form as a part of the meal (as in the current study), would probably contain low levels of gluconic acid, and produce only negligible levels upon dilution after ingestion. In contrast, honey given in solution (in concentrations of 50% or less) would likely contain substantially more gluconic acid, the amount present depending on how long the honey had been diluted for prior to being consumed. There is also no mention in the work of Ariefdjohan *et al.* (2005) as to how long the honey solutions were diluted for prior to be fed to
the rats. It is possible, though, that had these solutions been prepared more than 30 minutes prior to feeding, that they may have accumulated sufficient levels of gluconic acid that could have influenced calcium bioavailability in the lower gut, irrespective of the further dilution of the acids that would have occurred *in vivo*.
It is interesting to note also that there was no significant difference in overall percent weight gain in this trial (85% vs 82% for sucrose- and honey-fed rats) as this contrasts with the results from the two earlier weight regulation studies (see Chapters 5 and 6) that showed that honey-fed rats had lower overall weight gains that sucrose-fed rats despite a similar food intake. No direct comparisons can be made between these three studies because of the fact that the animals were different ages (and therefore different starting weights) at the start of each trial; although an indirect comparison is possible. Animals in both the current study and that presented in Chapter 6 had almost identical diet compositions except for the calcium content (the only difference was that the previous study used a honeydew honey with 20% water, whereas the current study used a rewarewa honey with 21% water). A comparison of week 2–6 data from the weight regulation study (where the Week 2 weights were 220–230 g) with the Week 0–4 data of the present study (where starting weights were ~235 g) showed that there were only minimal differences in weight gains between the two studies. In the present study, sucrose-and honey-fed rats exhibited an increase in weight of 56.2% and 54.8%, respectively, during the 4-week period, compared with 61.8% and 60.5% in the weight regulation study. The differences in weight between the two studies are small but may be due to the reduced calcium levels used in the current study. Tordoff and Rabusa (1998) and McCay and Eaton (1947; cited in Tordoff and Rabusa, 1998) have demonstrated that calcium-deprived rats avoid sweet compounds and show a lower intake of sugared water than non-calcium deprived animals. Age-adjusted food intake was reduced by 50–80 g per rat per week in the present calcium trial compared with the weight regulation study suggesting that the animals in the present study may also have exhibited a reduced liking of sweetened food. Potentially, the presence of sufficient calcium and the lack of intake regulation in the weight regulation study may have allowed those animals to consume sufficient extra calories such that any differential effects of sucrose and honey on absorption or metabolism could be observed.
Despite the findings from both the current study and the earlier trial presented in Chapter 7 that honey has no effect on calcium absorption, the limited evidence from other authors suggest that this may still warrant further
investigation. As reported earlier, the results in these two studies do contrast with those that have been obtained in other honey-based studies (Knott *et al.*, 1941; Ariefdjohan *et al.*, 2005). In addition, several studies have demonstrated that a high sucrose diet can alter the calcium balance in humans (Lemann *et al.*, 1970; Thom *et al.*, 1978; Ericssen *et al.*, 1990) and negatively effect levels of both bone (Li *et al.*, 1990; Saffar *et al.*, 1981; Saffar and Markis, 1982; Salem *et al.*, 1992; Tjaderhane and Larmas, 1998) and dentin mineralisation (Tjaderhane, 1996) in rats. The use of honey, therefore, whereas it showed no effect on calcium absorption in short-term feeding, may still be a good alternative to the use of sucrose in food products. Certainly, calcium absorption was no worse with honey than with sucrose in either of the calcium studies investigated in this thesis, and it is possible that longer-term benefits may still be gained. Women, for example, are particularly prone to calcium deficiencies and its related disorders because of the effects that hormonal influences can have on bone calcium loss. As mentioned previously, Goldschmidt and Burkert (1955) have reported that honey acts as if it has hormonal/neurotransmitter activities. No further research has been undertaken in this area but given the complex composition of honey, it is possible that honey could influence calcium balance at points other than absorption. Studies assessing the effects of honey on both male *and* female subjects are therefore warranted, particularly if real life dietary compositions and regimes can be used. Any data arising from studies assessing calcium bioavailability in rodents needs to carefully interpreted, though, as the intestine of a rodent contains high levels of phytase activity enabling it to hydrolyse phytates in food and absorb calcium down as far as the lower intestine (Gueguen and Pointillart, 2000). More discussion on the relevance of using animal models in this thesis is presented in Chapter 11.
Chapter 9:
The Long-Term Effects of Feeding Honey versus Sucrose and a Sugar-Free Diet on Age-Related Health Parameters
This chapter presents the data from a 12-month feeding study that was undertaken to assess whether long-term feeding of honey might have different effects from those of sucrose and a sugar-free diet. The trial was carried out between February 2006 and February 2007, and was fully funded by Fonterra Brands Ltd. The trial was designed to assess a number of simple age-related parameters (including weight regulation, blood cholesterol levels, blood glucose levels and immunity) as well as a number of cognitive measures. Given the large amount of data generated from this trial, the results have been divided between two chapters. The present chapter will discuss the effects of honey, sucrose and a sugar-free diet on the non-cognitive measures, whilst Chapter 10 will discuss the effects on various aspects of cognition and behaviour.
The main findings of this chapter have been published as follows (see Appendix 3):
Chepulis, L., Starkey, N. (2008) The long-term feeding effects of honey versus sucrose and a sugar-free diet on weight gain, lipid profiles and DEXA measurements in rats. *Journal of Food Science*, 73(1): H1-H7
Chepulis, L. (2007) The effects of honey compared with sucrose and a sugar-free diet on neutrophil phagocytosis and lymphocyte numbers after long-term feeding in rats. *Journal of Complementary and Integrative Medicine*. 4(1), article 8 (Available at: http://www.bepress.com/jcim/vol4/iss1/8)
### 9.1 INTRODUCTION
Several aspects of health are known to deteriorate as a natural part of the aging process. However, many physiological disorders that can occur in later life, including obesity, cardiovascular disease and Diabetes, are influenced both by genetics and by factors that have accumulated over the span of a lifetime. Most age-related disorders have complex aetiologies and are not due a single factor. In particular, dietary choices often have a significant impact on disease development and progression, and recent evidence suggests that diseases such as obesity, Diabetes, atherosclerosis, hyperlipidemia, insulin resistance and loss of cognitive function can be influenced by long-term dietary changes (see below). Carbohydrate consumption (both the type of carbohydrate and the amount) is recognised as a predominant contributing factor for many of the aforementioned diseases (see below). Thus, the scope of this animal trial was limited to age-related endpoints that could possibly be altered by a change in carbohydrate intake.
Glycemic index (GI), or the postprandial blood glucose level that results after consuming a given quantity of carbohydrate (Jenkins *et al.*, 1981), is the most common way that different carbohydrates can affect disease aetiology. Evidence shows that diets containing substantial amounts of carbohydrate with medium to high glycemic responses (those that break down rapidly during digestion) may actually be detrimental to health because of elevated postprandial hyperglycemia. Specifically, sucrose has been shown to have a direct impact on disease formation and development including atherosclerotic heart disease (Bierman, 1979). Furthermore, the DECODE study, a meta-analysis of more than 20 studies, has shown that increased rates of mortality and morbidity are
associated with high blood glucose levels in both diabetic and non-diabetic patients (The DECODE Study Group, 1999). In addition, links have been made between carbohydrate ingestion and the development of atherosclerosis in non-diabetic subjects (Balkau et al., 1998) as well as with colon cancer (Francheschi et al., 2001; Michaud et al., 2005) and breast cancer (Augustin et al., 2001). Epidemiological evidence suggests that different types of carbohydrate may also decrease the risk of cardiovascular disease (Liu et al., 2000; Stampfer et al., 2000) as well as promote satiety, minimise postprandial insulin secretion and increase fat oxidation (Liljeberg et al., 1999; Augustin et al., 2002).
Recent studies have also shown that dietary carbohydrate content can also have a larger impact than previously thought on weight gain (Bell and Sears, 2003), and that sucrose intake can lead to increased weight gain in animal studies (Kanarek and Marks-Kaufman, 1979; Morris et al., 2003; Kawasaki et al., 2005). The standard recommendation (besides increasing exercise) for an individual wishing to lose weight is to consume a diet that is low in fat and high in carbohydrate. However, despite the fact that fat intake has decreased in the US during the last 20 years, the number of individuals who are overweight or obese has increased (Bell and Sears, 2003). It has been suggested that this is likely to be due to the carbohydrate component of the diet, as many carbohydrates in the current American diet come primarily from sugars, refined starches and grains (Bell and Sears, 2003). Importantly, short-term feeding studies carried out earlier in this thesis (refer to Chapters 5 and 6) suggest that honey may be able to lead to reduced weight gain compared with sucrose despite a similar carbohydrate content in the diet. Whether this is due to differences in blood glucose response following consumption of the different diets, or due to other, as yet, unidentified substances in honey is unknown at present, but an investigation of its efficacy as a weight reducing carbohydrate during longer-term feeding is warranted. Further support for this investigation is the finding that even when low and high GI diets have differing effects on body weight levels during short-term feeding, this difference often does not continue after consuming the different diets for a longer period of time. Das et al. (2007) reported that individuals consuming a calorie restricted diet that was low GI weighed ~ 2kg less than those fed an equivalent high GI load diet, but their body weights were the same as those in the high GI group after 12 months. Thus, regardless of whether honey reduces weight gain compared with sucrose because of differences in glycemic control, antioxidant content or other factors, it is warranted to investigate whether these effects continue to be observed after longer-term feeding.
Cholesterol parameters were also determined in the present study, despite the fact that studies in earlier chapters of this thesis showed the levels to not be different between honey- and sucrose-fed rats. A small number of studies have shown that there is a strong correlation between carbohydrate intake and HDL-cholesterol circulatory levels (Frost et al., 1999; Luscombe et al., 1999; Buyken et al., 2001; Ford and Liu, 2001; Liu et al., 2001), and that sucrose can induce postprandial hypertriglyceridemia (Grant et al., 1994) elevated triacylglycerol levels (Fried and Rao, 2003) and elevated total cholesterol and triglyceride levels (Saku et al., 1996). Again, there appears to be little information available as to how a mixture of high and low GI sugars (like glucose and fructose in honey) might impact on physiological measures such as cholesterol. For this reason, and given the ease with which the samples can be measured, these too were deemed to be key measures in this study.
In addition, diets that contain large quantities of carbohydrates can result in prolonged hyperglycemia, and one of the ways that this can have detrimental effects is through the induction of oxidative stress, with chronic or excessive increases in oxidant production adversely affecting cellular physiology and function (Mezetti et al., 2000; Chang et al., 2003; King and Locken, 2004). In particular, there is a lot of evidence to suggest that oxidative stress is involved in the aetiology of several diabetic complications (reviewed by Chang et al., 2003). A failure in insulin-stimulated glucose uptake by fat and muscle results in blood glucose concentrations remaining high. As a result, glucose uptake by insulin-independent tissues increases, and oxidant production increases due to an upregulation of several pathways, including protein kinase C and mitochondrial NADPH oxidase activation (Moscovitz et al., 2002). This, in turn, leads to increased lipid peroxidation, amide-type adduct formation, oxidised tyrosine moieties and advanced glycation end-products (AGEs) (Osawa and Kato, 2005). Importantly, accumulating evidence suggests that oxidative damage plays a major role in the development and progression of other age-related disorders including cancers, mitochondrial dysfunction, chronic inflammation, ischemia, degenerative arterial and autoimmune diseases (Davies et al., 2001). The critical targets that are affected by oxidative damage during aging have not been specifically identified, but DNA damage has been shown to be involved (Richter et al., 1988) as has protein carbonyl formation (Moscovitz et al., 2002). Oxidative damage is also known to play a significant role in cognitive decline in older individuals: this is discussed, in length, in Chapter 10.
Immune function is also known to decline in older age (Makinodan and Kay, 1980), and limited research suggests that this is due to dysregulation of the immune system rather than a decrease in immune response (Lesourd, 1997). Aging in humans is associated with a decrease in cell-mediated immunity, particularly a reduction in peripheral blood lymphocyte counts, and with changes in T lymphocyte subpopulations (Lesourd, 1997; Castle, 2000). Similarly, neutrophil activity has also been shown to decline in older populations (Wenisch et al., 2000; Butcher et al., 2001). The latter may be of particular importance as neutrophils are considered to be the “first line of defense”, these being the leukocytes that respond most rapidly to a pathogenic invasion.
Recently, it has been reported that the decline seen in immune function in older age may be related to increased levels of oxidative stress, with antioxidant intake being able to improve immune function (De La Fuente et al., 2005). Thus it is suggested that honey may be able to improve age-related immune function due to its antioxidant content, and due to it possible reducing hyperglycemia-induced oxidative damage. In addition, research has shown that honey can have a prebiotic effect (see Chapter 1) and that prebiotics do have the ability to enhance immune responses (Yamada et al., 1999; Schley and Field, 2002). Limited research has demonstrated that honey can have an effect on immune function. In *in vitro* studies it has been shown to stimulate the release of tumour necrosis factor-α in unprimed monocyte cells (Tonks et al., 2001, 2003), and increase proliferation of B- and T-lymphocytes and neutrophils *in vitro* (Abuharfeil et al., 1999). In addition, honey has been demonstrated to stimulate antibody production during primary and secondary immune responses against thymus-dependent and thymus-independent antigens (Al-Waili and Haq, 2004). Thus, the immune effects resulting from feeding sucrose, honey and a sugar-free diet were also compared in this study.
The aim of this study was to assess whether feeding honey, sucrose or a sugar-free diet long-term would have any effects on age-related parameters. Weight gain, food intake, cholesterol and blood glucose levels were determined, as well as some simple immunity measures (neutrophil phagocytosis and lymphocyte counts) and a measure of overall oxidative damage (AGEs) in aortic collagen. Percentage body fat levels were determined using DEXA analyses to ascertain whether any differences in weight gain were attributable to changes in lean or fat body mass. Furthermore, because a number of parameters can easily be assessed during a single DEXA scan without any increase in cost (and because these endpoints gave inconclusive findings in studies presented in
previous chapters), bone mineral density and bone mineral composition levels were also measured during this study.
9.2 MATERIALS AND METHODS
9.2.1 Experimental Animals and Housing
Fifty five rats, aged approximately 8 weeks at the start of the trial, were obtained from AgResearch, Hamilton. The trial was carried out at the University of Waikato as described in Section 2.1.2 with full ethical approval (see Section 2.1.4).
9.2.2 Experimental Diets
A honeydew honey (HD19) with a high antioxidant content (TEAC = 3.1 mmol/l) was chosen for use in this study (see Chapter 3 for details on the determination of TEAC levels). Three experimental diets were prepared to contain no sugar (Diet # 1), 7.9% sucrose (Diet # 2) or 10% honey (Diet # 3). All diets were prepared to contain a minimum of 5% water. An additional 21 ml of water was also added to each kilogram of the non-honey diets to account for the fact that the honey contained 21% water (measured using a refractometer).
In this study, the diets were prepared such that they approximated the composition of a typical New Zealand diet. Based upon data from the 1997 National Nutrition Survey (New Zealand Ministry of Health, 1999), the diets were formulated so that of 100% total energy, 15–16% came from protein, 35% came from fat and 45–47% came from carbohydrate. To satisfy the requirements from Fonterra that milk be incorporated into the diets, skim milk powder was added to the diets at a level of 8% of the total daily kilojoule intake based on a dietary kilojoule content of 18 kJ/g (this value being obtained from the diets prepared in Chapters 6 and 8 as they were also formulated to contain the same level of energy from protein, fat and carbohydrate). This level of skim milk powder (8%) was chosen as it is equivalent to approximately 350–400 ml of milk or dairy products in an average person’s daily diet (assuming a total energy intake of 11000-12000 kJ/day). This results in the rodents consuming approximately 1.9–2.3 g skim milk powder per day (assuming an intake of 20–25 g food per day). The skim milk powder used in these diets was sourced from Fonterra Research, Palmerston North and had the following specifications: energy 1520 kJ/100 g, protein 36.1 g/100 g and fat 0.8 g/100 g. These values were used to determine
the quantities of additional fat, protein and carbohydrate required in the three diets as follows:
Protein in diet = 34.3 g (from skim milk powder) + 120 g (from casein) = 154.3 g
= 154.3 g x 17 kJ/g
= 2623 kJ
= approximately 15.4% of the total energy in the diet
Fat in Diet = 0.8 g (from skim milk powder) + 160 g = 160.8
= 154.8 g x 37 kJ/g
= 5949 kJ
= approximately 35% of the total energy in the diet
Carbohydrate = 51.4 g (lactose in skim milk powder) + 79 g
in Diet (sugar/honey/amylose) + 365 g(starch)
= 495.4g
= 495.4g x 17 kJ/g
= 8429 kJ
= approximately 48% of the total energy in the diet
To enhance the possible levels of oxidative damage that may occur in these animals, the diets were prepared using pre-used cooking oil rather than virgin oil as the source of fat. The cooking oil was sourced from various commercial kitchens in Palmerston North. As it was not possible to obtain sufficient pre-used oil for the full 12 month period, the oil was obtained in batches (enough for approximately 3 months of diet) and well mixed prior to inclusion in the diets. This ensured that whereas there may be slight differences over time, these would be standard across all three diets, and there would be no differences in the composition of the oil between diets at any one time.
A low GI starch product (amylose) was used in the sugar-free diet as a replacement for the sucrose/honey rather than standard starch that has a high GI. This allowed any effects in the honey-fed rats to therefore be attributed to the lower GI component of the diet (if the response was also similar in rats fed a sugar-free diet) or to other components of the honey (if a different response was observed in rats fed a sugar-free diet).
Salt and vitamin mixes were prepared as described in Chapter 2; however, the mineral mix was modified to reflect the amounts of calcium (1.33 g/100 g) and phosphate (1.05 g/100 g) added to the diet from the skim milk powder (cellulose was added instead to make up the final weight). All other mineral levels in the skim milk powder were minimal and therefore not altered in the prepared mineral mix. The composition of the diets is given in Table 9.1.
**Table 9.1: Composition of Experimental Diets (g/kg)**
| Ingredient | Sugar-Free Diet | Sucrose diet | Honey diet |
|-----------------------------|-----------------|--------------|------------|
| Skim milk powder | 95 | 95 | 95 |
| Casein | 120 | 120 | 120 |
| Used oil | 160 | 160 | 160 |
| Amylose | 79 | 0 | 0 |
| Sucrose | 0 | 79 | 0 |
| Honey | 0 | 0 | 100 |
| Cellulose | 50 | 50 | 50 |
| Modified mineral Mix | 50 | 50 | 50 |
| Sugar-free Vitamin Mix | 5 | 5 | 5 |
| Starch | 365 | 365 | 365 |
| Water | 76 ml | 76 ml | 55 ml |
* Supplier information of all ingredients is given in Chapter 2
Sub-samples of the three diets were sent to the Nutrition Laboratory at Massey University for measurement of their energy content by bomb calorimetry (see Chapter 2). The percentage dry matter of these diets was determined prior to commencing the study, and once a month thereafter for the remainder of the trial. The percentage dry matter in the diets was calculated by drying weighed samples in triplicate at 105°C for 16 hours. Percentage dry weights were used to calculate actual food intake and to ensure that there were no differences in moisture content during storage. Fresh diets were prepared by Crop and Food Research every month and stored at -16°C until required. All bags of diet were allowed to warm to room temperature for 3 hours before feeding to the animals.
9.2.3 Experimental Procedures
Animals were weighed upon receipt, and the five smallest and five largest housed together in two large cages. These “spare” animals were fed on standard rat pellets and kept as practice animals for the various cognitive tasks (see Chapter 10). The remaining animals were randomly allocated to one of three experimental diets and housed individually in standard rat cages that contained shavings. The cages were all kept in one room of the Animal Behaviour building, with three levels of cages on shelves around three walls of the room. A 10–12 cm long piece of 90 mm PVC tubing was placed into each cage to allow the animals a place to “hide”. Enrichment devices (including small plastic containers, pegs, sticks and pieces of doweling) were routinely added to the cages to give the animals something to play with to prevent boredom. Food and water were prepared and replaced as described previously.
184.108.40.206 Weight Gain and Food Intake
Animal weights were recorded every 1–2 weeks throughout the 12 month period and food intake was assessed every two months (including the start of the study period). For assessment of food intake (refer to Section 8.2.3 for details) the animals were removed from their home cages and placed in raised stainless steel cages in another room of the same building. Animals were allowed to acclimatise to the new cages for 4 days before beginning the food intake assessment. During the acclimatisation period, all animals had *ad libitum* access to their food and water but intake was not recorded. Food, blotters and water were then prepared and replaced as described in Section 5.2.3. On completion of the food intake assessment, each rat was removed from the raised cage and placed back into a clean home cage.
220.127.116.11 Sample Analyses
On Days 364 and 365 (half of each treatment group on each day), the rats were anaethetised using CO$_2$ gas. Dr Ric Broadhurst of AgResearch, Hamilton then performed a cervical dislocation on each animal and removed approximately 10 ml of blood from the heart of each animal via cardiac puncture using 19 gauge needles. Approximately 2 ml of the removed blood was added to an EDTA blood collection tube (for measurement of glycated haemoglobin (HbA1c)), 2 ml to a heparin blood collection tube (for measurement of neutrophil phagocytosis – see below) and the remainder added to a standard Vacutainer. These latter blood samples were allowed to clot, then centrifuged at 3 000 x $g$ for 10 minutes and
the serum removed (for fasting lipid profiles). Both the EDTA-collected blood and the serum were then taken to the laboratory at Waikato Hospital for their respective analyses (refer to Chapter 2 for details). Samples of abdominal aorta (1–1.5 cm) were removed, cleaned in PBS buffer and stored at -70°C. The animal bodies were stored in a -20°C freezer for further analysis.
**DEXA**
After approximately 3 weeks in the freezer, the rat bodies were sent to the Department of Nutrition and Health at Massey University by overnight courier where they were analysed for percentage body fat and bone mineralisation levels using DEXA. Bone mineral measurements were taken using a fan beam Hologic QDR Discovery bone densitometer (Bedford, MA, USA). On the day preceding each set of scans, a quality control scan of an anthropomorphic spine phantom was taken to ensure the unit’s precision. The quality control values fell within 1.5% of the mean. A small step phantom was also scanned as quality control for body composition measurements. The whole rat bodies were scanned using collimator size 10.24 X 0.10 with point resolution of 0.064 cm and 0.1512 cm line spacing. Regional high-resolution scans of the lumbar spine, and the right and left femurs were performed using 5.69 X 0.03 collimator. Point resolution and line spacing were 0.0311 cm. Rats were positioned supine with right angles between the spine and femur, and between femur and tibia.
For the *ex vivo* scans the left femurs were stripped of extraneous tissue, leaving about 1 cm of flesh attached. These were submerged in a 1.5 cm deep dish of PBS. Regional high-resolution scans of the left femurs were performed using 5.69 X 0.03 collimator. Point resolution and line spacing were 0.0311 cm. The bone mineral density coefficients of variation for the femurs ranged between 1.87% and 0.45% with and without repositioning between scans respectively. These values ranged between 1.91% and 0.85% for the spine, and 0.74% and 0.55% for the whole body.
**Assay of Neutrophil Phagocytosis and Lymphocyte Numbers**
Heparin-collected blood was taken to AgResearch, Hamilton and assayed for neutrophil phagocytosis activity (within 2 hours of collection) using a method supplied by Fran Wolver at Massey University. Briefly, 100 µl of whole blood was added to a pre-cooled FACS tube in an ice bath. A sample (50 µl) of fluorescein isothiocyanate (FITC)-labelled *E.coli* (prepared in-house using non-opsonised K12 strain *E.coli* and Fluorescein conjugate W-2861) containing $4 \times 10^6$ bacteria was
then added to each tube (except the control) and the tubes incubated at 37°C for 10 minutes (the control tube was left in the icebath). After incubation, 50 µl of FITC-labelled *E.coli* was added to the control tube. All tubes were then lysed with FACS lyse buffer (BD Biosciences Catalog number 349202) and the tubes incubated at room temperature in the dark for 10 minutes. The tubes were then centrifuged at 1200 rpm for 10 minutes at 18°C, the supernatant discarded and the pellets re-suspended in 1ml each of PBS buffer. The tubes were again centrifuged as described and the supernatant discarded. Each sample was then re-suspended in 500 µl running buffer (1% paraformaldehyde in PBS), and 50 µl Trypan blue (0.4% in PBS) added to each tube. These samples were then run on a Becton Dickenson Flow Cytometer and the percent neutrophil phagocytosis and percent leukocytes that were lymphocytes determined using standard in-house methodologies.
**Measurement of Advanced Glycation End-products (AGE)**
The assay used was based upon the protocol of Makita *et al.* (1992). In summary, aortic samples (collected at the time of euthanisation) were slowly thawed from -70°C during a 48 hour period (24 hours at -20°C, followed by 24 hours at 4°C). Once thawed, the tissues were scraped with a scalpel to remove adherent fat, and then rinsed in PBS buffer (pH 7.4). The samples were blotted dry and finely minced with scissors, with the wet weights recorded. Lipids were extracted from the aortic samples with a 1:1 mixture of acetone/chloroform by shaking overnight at 4°C (50 volumes (w/v) of extractant was used as detailed in Dunn *et al.*, 1991). Samples were then freeze-dried for 24 hours, weighed and resuspended in 0.2 mol/l NaPO₄ buffer (pH 7.4) to a final concentration of 10 mg/ml. Collagenase (CO130, Sigma) was added to each sample tube at a ratio of 1:100 (w/w) and the mixture incubated for 48 hours at 37°C with mild shaking. One drop of toluene was added to each tube to maintain sterility during incubation. The digested samples were then centrifuged at 15 000 x g and the clear supernatants removed.
The collagen AGE products were determining by measuring fluorescence, (Flurostar Optima, BMG Laboratories) with excitation/emission at 390:460 nm (malondialdehyde (MDE) protein adducts) and 355:460 nm (4-hydroxy-2-nonenal (HNE) protein adducts). The test samples were measured at a protein concentration of 10 mg/ml, with the samples all tested in duplicate, or in triplicate where sample volume allowed. A sample blank (buffer only) was also run, and
these values subtracted from all test values. The values were expressed as relative fluorescent units.
9.2.4 Statistical Analyses
A one-way ANOVA was performed on all parameters to determine if there were statistical differences between the three dietary treatments. In addition, a (3 x 37) repeated measures ANCOVA was performed on the weight gain data using total food intake per animal as a co-variable to determine if there were any diet x time interactions. Post-hoc analyses included Turkeys analyses, and all analyses were carried out using SPSS software (version 12).
9.3 RESULTS
Unfortunately, despite assurances from staff at Agresearch that all the rats supplied were male, two of the rats were actually female as they gave birth within two weeks of commencing the trial. These two animals were removed from the study, and the babies grown and kept for other laboratory work at the University of Waikato. For this reason the initial sample size for the remainder of the trial was 14, 14 and 15, respectively for sugar-free-, sucrose- and honey-fed rats.
All animals remained healthy throughout the 12-month period and no obvious signs of illness were observed. In the first few months as the rats got bigger, a few animals (5–6) routinely tried, and succeeded, at escaping from their cages, though they were never out of their home cage for more than 12 hours. More enrichment devices were placed into their cages to try and alleviate the boredom, and the cage lids were weighted down with concrete tiles or pieces of wood. However, in week 44, one animal (rat #3, sugar-free group) managed to escape from its cage on a top shelf and was found dead on the floor the following morning. No obvious cause of death was determined, and its death was deemed to likely to have been due to the fall. A second animal (rat #43, honey group) was found dead in its cage in week 46. Dissection revealed that this animal had a large abdominal tumour, No further investigations were carried out; although tumour formation is common in Sprague Dawley rats so it was considered to most likely not be diet-related.
9.3.1 Weight Gain and Food Intake
The results of this study (presented in Table 9.2) suggest that honey and sucrose do have different effects on weight gain in adult rats. The mean overall
percentage weight gain in honey-fed rats was similar to that observed in rats fed a sugar-free diet, and was significantly reduced compared with those fed sucrose after 52 weeks ($p < 0.05$). Overall percentage weight gain was also significantly reduced in rats fed the sugar-free diet compared with the sucrose-fed rats ($p < 0.01$). A repeated measures ANCOVA analysis of weight revealed a significant interaction of diet * time ($p < 0.001$), and a significant effect of diet. Weight measurements were significantly different between sugar-free and sucrose-fed rats ($p < 0.001$) and sucrose- and honey-fed rats ($p < 0.05$). Figure 9.1 shows the overall percentage weight gain during the duration of the study, and Figure 9.2 shows the mean percentage weekly weight gains for all three treatments.
**Figure 9.1:** Actual mean weight values (± SEM) for rats fed diets that were either sugar-free, or contained 7.9% sucrose or 10% honey. All diets were formulated to contain equivalent amounts of honey/sugar/amylose and water (the honey was 21% water).
Food intake was assessed during seven week-long periods, each measurement period being two months apart. No significant differences were observed between treatments at any of these endpoints, nor in the weekly or overall 7-week kilojoule intake (see Table 9.2).
9.3.2 Blood Glucose (HbA1c) and Cholesterol Levels
HbA1c levels were significantly lower in rats fed the honey diet compared with those fed the sucrose diet ($p < 0.001$), but there were no significant differences observed between the sucrose and sugar-free treatment groups (see Table 9.2). No significant differences in levels of total-cholesterol, LDL-cholesterol or triglycerides were observed after 52 weeks of feeding between any of the respective treatments; however, HDL-cholesterol was shown to be significantly higher (16–21%) in honey-fed rats than in those fed the sucrose ($p < 0.05$) or sugar-free ($p < 0.01$) diets (see Table 9.2).
Table 9.2: Mean data (mean ± SD) for rats fed diets that were either sugar-free, or contained 7.9% sucrose or 10% honey after 12 months of feeding. HbA1c = glycated haemoglobin; HDL = high density lipoprotein; LDL = low density lipoprotein
| Result | Unit | Sugar-free (Diet # 1), n=14 | Diet Sucrose (Diet # 2), n=14 | Honey (Diet # 3), n=15 |
|-------------------------------|------------|-----------------------------|-------------------------------|------------------------|
| Overall weight gain | % | 102.5 ± 19.7 † | 130.6 ± 26.7 * | 107.2 ± 13.8 † |
| Overall food intakea,b | g/7w† | 1246.4 ± 85 | 1243.6 ± 111 | 1244.8 ± 89 |
| Overall kilojoule intakec | kJ/7w† | 23182 ± 1580 | 23019 ± 2053 | 22730 ± 1620 |
| Faecal Output b | g/7w† | 131.4 ± 6.9 | 124.7 ± 12.6 | 133.1 ± 10.9 |
| HbA1c | mmol/l | 4.07 ± 0.17 | 4.19 ± 0.14 | 3.97 ± 0.12† |
| Total Cholesterol | mmol/l | 2.79 ± 0.45 | 2.98 ± 0.59 | 3.12 ± 0.37 |
| LDL Cholesterol | mmol/l | 0.09 ± 0.09 | 0.10 ± 0.14 | 0.06 ± 0.14 |
| HDL Cholesterol | mmol/l | 2.32 ± 0.33 | 2.44 ± 0.51 | 2.82 ± 0.30*† |
| Triglycerides | mmol/l | 0.85 ± 0.24 | 0.96 ± 0.34 | 0.86 ± 0.33 |
| Neutrophil phagocytosisd | % | 51.7 ± 11.7 ‡‡ | 79.2 ± 11.5 * | 74.7 ± 14.6 * |
| % lymphocytes d,e | % | 29.5 ± 8.0 ‡‡ | 40.1 ± 10.8 *‡ | 53.0 ± 6.6 *† |
* significant vs sugar-free diet; † significant vs sucrose diet; ‡ significant vs honey diet (p < 0.05)
a Food intake corrected for percentage dry matter (determined by heating duplicate samples for 16 hours at 105°C)
b Data collected from the 7 weeks of food intake assessment only
c Kilojoule content of the diets were 18.6, 18.5 and 18.3 kJ/g for sugar-free, sucrose and honey diets, respectively.
d Due the cost of the assays, the sample size of each group was reduced to 12 for this test.
e Percentage of leukocytes that were lymphocytes. The data was generated by the flow cytometer; actual counts were not generated.
† 7w data is actually the total of seven separate one-week periods obtained at 2-monthly intervals.
9.3.3 DEXA Scans
The full body scans by DEXA revealed a small number of differences in the body composition of the animals in the three dietary treatments (see Table 9.3). Lumbar spine area (total bone surface area) was significantly greater in both sucrose- and honey-fed rats compared with those given a sugar-free diet (both $p < 0.05$); and whole body bone surface area ($p < 0.05$) and bone mineral composition ($p < 0.01$) were significantly higher in rats fed sucrose compared with those given the sugar-free diet.
Table 9.3: Mean DEXA Data (mean ± SD) for rats at the end of feeding for 12 months on diets that were either sugar-free, or contained 7.9% sucrose or 10% honey.
| Result | Unit | Sugar-Free (Diet #1) | Sucrose (Diet #2) | Honey (Diet 3) |
|-----------------|--------|----------------------|-------------------|----------------|
| **Left Femur** | | | | |
| Area | cm$^2$ | 1.94 ± 0.07 | 2.04 ± 0.11 | 2.07 ± 0.12* |
| BMC | g | 0.59 ± 0.04 | 0.64 ± 0.07 | 0.65 ± 0.07 |
| BMD | g/ cm$^2$ | 0.30 ± 0.01 | 0.31 ± 0.02 | 0.31 ± 0.02 |
| **Right Femur** | | | | |
| Area | cm$^2$ | 1.98 ± 0.13 | 2.02 ± 0.11 | 2.09 ± 0.07 |
| BMC | g | 0.60 ± 0.05 | 0.64 ± 0.07 | 0.65 ± 0.05 |
| BMD | g/ cm$^2$ | 0.30 ± 0.01 | 0.32 ± 0.02 | 0.31 ± 0.01 |
| **Lumbar Spine**| | | | |
| Area | cm$^2$ | 2.67± 0.07 | 2.84 ± 0.14* | 2.83 ± 0.15* |
| BMC | g | 0.65± 0.04 | 0.71 ± 0.11 | 0.72 ± 0.07 |
| BMD | g/ cm$^2$ | 0.24 0.01 | 0.25 ± 0.03 | 0.25 ± 0.02 |
| **Whole Body** | | | | |
| Area | cm$^2$ | 82.9 ± 5.3 | 90.1 ± 6.9* | 85.1 ± 3.9 |
| BMC | g | 12.5 ± 0.6 | 14.4 ± 1.6* | 13.7 ± 0.65 |
| BMD | g/ cm$^2$ | 0.15 ± 0.01 | 0.16 ± 0.01 | 0.16 ± 0.01* |
| Percent Fat | % | 26.5 ± 5.4 | 34.7 ± 9.1† | 25.5 ± 6.4† |
* significant vs sugar-free diet; † significant vs sucrose diet; ‡ significant vs honey diet ($p < 0.05$)
$BMC = \text{bone mineral composition}, \ BMD = \text{bone mineral density}$.
Honey-fed rats exhibited a slight, but statistically significant, increase in mean whole body bone mineral density (BMD) (0.161 g/cm$^2$) compared with those fed a sugar-free diet (0.151 g/cm$^2$; $p < 0.01$). Sucrose fed rats had a BMD of 0.159 g/cm$^2$; however, this was not significantly different from rats fed either honey or a sugar-free diet.
Mean total percent body fat was significantly higher in sucrose-fed rats (34.7%) than in honey-fed rats after 12 months (25.5%; $p < 0.05$). No significant differences were observed between sucrose-fed rats and those given a sugar-free diet, although percentage body fat levels were similar for animals given honey and the sugar-free diet (26.5%).
### 9.3.4 Neutrophil Phagocytosis and Lymphocyte Populations
The percentage of neutrophils that exhibited fluorescence resulting from phagocytosis was similar for sucrose- and honey-fed rats (79.2% and 74.7%) and both of these treatments were significantly higher than rats fed the sugar-free diet (51.7%; both $p < 0.0001$). The percentage of leukocytes that were lymphocytes also differed significantly between all three diets (see Table 9.2). The lymphocyte percentage was nearly twice as high in honey-fed rats compared with those fed the sugar-free diet ($p < 0.0001$), and nearly 13% higher than those fed sucrose ($p < 0.01$). The percentage lymphocyte values for rats fed the sucrose and sugar-free diets was also significantly different at $p < 0.0001$ (Table 9.3).
### 9.3.5 Measurement of Advanced Glycation End-products
Mean levels of MDA oxidative damage in the aortic collagen were significantly higher ($p < 0.05$) in sucrose-fed rats (55390 arbitrary fluorescent units) compared with either honey-fed rats (50661 units) or those fed a sugar-free diet (50974 units) after 12 months. HNE oxidative damage was not detectable in any of the three dietary treatments investigated.
### 9.4 DISCUSSION
As the results from this study demonstrate, there do appear to be health benefits associated with replacing sucrose in the diet with honey for a prolonged period of time. As with the shorter-term feeding studies presented earlier in this thesis, weight gain was substantially reduced in honey-fed rats compared with those given a sucrose-based diet. Honey-fed rats had mean overall weight gains that were similar to those of animals fed the sugar-free diet, and this agrees with the findings in Chapter 6, despite small differences in diet composition between
the two trials. Importantly, these comparable data suggest that the weight-regulating property of honey is not restricted to only young animals (animals were aged 6–12 weeks in the earlier trial) but instead may occur throughout the lifetime of the animal. In Chapter 6; however, reduced weight gain occurred in honey-fed rats even though the overall 6-week food intake was significantly higher in these animals compared with those fed the sugar-free diet. In contrast, food intake in the current study appears to be similar for all treatments groups throughout the duration of the study. Food intake in the current study was assessed during seven week-long periods and not for the total duration of the study, as occurred in the earlier study. Due to the need to house the animals individually long-term, it was not ethically viable to use food assessment cages for everyday housing. These cages are smaller than those required by the Waikato University Ethics Committee, and as they have a mesh floor, they are unsuitable for long-term use. However, given the standard housing conditions used throughout the 12 month period, it is unlikely that food intake would have varied between the three dietary treatments during the times that food intake was not measured. In Chapter 6, food intake (and total kilojoule intake) was significantly higher in the sucrose, mixed sugars and honey groups compared with the sugar-free animals. Thus, it was suggested that honey-fed rats had a lower weight gain per kilojoule consumed (compared with animals fed either the sugar-free or sucrose diets), these animals somehow diverting the extra consumed kilojoules away from fat storage. In the present study, however, kilojoule intake was the same for all three dietary treatments. This suggests that both the sugar-free and honey-based diets demonstrated a reduced weight gain/kJ compared with the sucrose-fed group.
It must be noted, though, that the sugar-free diet prepared in the current study was not entirely sugar-free as it contained nearly 10% skim milk powder. Skim milk powder contains, on average, 52% lactose; therefore, even the sugar-free diet contained approximately 5% sugars by weight. This may have been sufficient to increase the sweetness of the diet, thereby improving palatability. An increase in palatability may account for why food intake was not reduced in rats fed the sugar-free diet in the current study, whereas it was in the trial presented in Chapter 6. However, similar kilojoule intakes should have potentially led to similar levels of weight gain and clearly this was reduced in animals fed the sugar-free and honey diets compared with those fed sucrose. This suggests that kilojoule intake is not solely responsible for the weight gains (or lack thereof) observed in this study.
Importantly, the three diets only differed in the content of the amylose, sucrose, and honey. Without having accurate measures of the GI of the different diets it is impossible to speculate as to whether differences in GI may have been responsible for the differences seen in weight gain, but it is unlikely given that the majority of the carbohydrate content (starch plus lactose) was the same across all treatments). However, that said, the data does suggest that there may be an differential effect of honey and sucrose on blood glucose as plasma HbA1c levels were reduced in both sugar-free and honey-fed rats compared with those fed the sucrose diet (although this difference did not reach significance for the animals fed the sugar-free diet). Glycated haemoglobin (HbA1c) is routinely used as a measure of long-term serum glucose regulation as it is easily quantifiable, with the haemoglobin occurring in large quantities in the blood. However, glycation is a non-enzymic, free-radical process, and the presence of antioxidants can reduce the frequency of this reaction, thereby reducing the measurement of HbA1c (Osawa and Kato, 2005). The honey used in this study was specifically chosen for its high antioxidant content (see Chapter 10 for more details) and it is possible that the antioxidant content of the honey, rather than any differential glycemic effects was responsible for the reduced HbA1c level detected in these animals. In addition, it may explain why the honey-fed rats had a lower mean HbA1c levels than those fed the sugar-free diet (although that these two groups were not significantly different). HbA1c levels were not reduced in honey-fed rats (nor in any of the other treatment groups) in the trial in Chapter 6, and it is difficult to explain why this is so, given that similar honeydew honeys with similar antioxidant contents (TEAC = 2.7 and 3.1) were used. It could be that the earlier trial simply did not run for a long enough period of time to be able to detect a difference (HbA1c is a marker of the level of haemoglobin glycation occurring over the previous 4–12 weeks), or that other factors (either diet- or age-related) affected the level of glycation that occurred.
Interestingly, cholesterol parameters were also altered in this study, with honey-fed rats exhibiting HDL-cholesterol levels that were 15–20% higher than those fed the sugar-free and sucrose diets. No other long-term feeding studies have investigated the effects of honey on lipid profiles; however, short-term animal feeding studies have shown no increases in HDL-cholesterol levels, either compared with baseline levels or with other dietary treatments (see Chapter 6 and Al-Waili, 2004b). It is possible that the changes in HDL-cholesterol observed in the present study occurred gradually over a prolonged period of time, rather than occurring in only a few weeks. As mentioned earlier, there is a strong link
between high GI diets and low HDL-cholesterol levels (Frost *et al.*, 1999; Luscombe *et al.*, 1999; Buyken *et al.*, 2001; Ford and Liu, 2001; Liu *et al.*, 2001); thus, we can speculate that the honey-diet may have contributed to the increase in HDL-cholesterol levels because of differences in glycemic response. However, as HDL-cholesterol levels were comparable between the low GI-sugar-free diet and the high GI-sucrose diet, it is unlikely that dietary GI played a significant role. Several factors have been reported to improve HDL-cholesterol levels in humans, including aerobic exercise, weight loss, cessation of smoking and supplements such as omega 3 fat, monounsaturated fat and nicotinic acid (Drexel, 2006) although it is hard to see how any of these factors may be relevant to the current study, except maybe the weight loss. Van Gaal *et al.* (1997) reported that a weight reduction of as little as 5–10% can significantly improve HDL-cholesterol levels in overweight individuals. Similarly, several authors have reported specific improvements in HDL-cholesterol levels in both men and women after 12–18 months of weight-reducing diets (Wood *et al.*, 1991; Williams *et al.*, 1994; Wing and Jeffery, 1995; Stefanick *et al.*, 1998). It is possible, therefore, that the increase in HDL-cholesterol levels seen in honey-fed rats was directly related to the reduced levels of body weight compared with animals fed the sucrose diet. However, if the improvement in HDL-cholesterol was purely due to reduced body fat levels, then animals fed the sugar-free diet should also have demonstrated increases in HDL-cholesterol levels compared with sucrose-fed animals, and this did not occur. Thus, it would seem that there are other factors responsible for the improvement in HDL-cholesterol levels observed in honey-fed rats.
It is important to note, though, that the implication of increased HDL-cholesterol levels in honey-fed rats is still significant, regardless of the means by which it occurred. In clinical trials there have been strong associations seen between low HDL-cholesterol levels and the increased risk of cardiovascular disease (Drexel, 2006). Several large studies (Carlson and Rosenhammer, 1988; Rubins *et al.*, 1999; Canner *et al.*, 2003) have also investigated the use of HDL-cholesterol-raising agents as a therapeutic strategy for improving cardiovascular outcomes in high-risk populations and the findings have been impressive. The risk of death, myocardial infarction, stroke or revascularisation was reduced by up to 90% with only minimal improvements in HDL-cholesterol levels. The ability to improve HDL-cholesterol through simple dietary means is therefore a valuable tool, particularly in individuals that are high-risk for the development of cardiovascular disease.
The ability to use dietary interventions to lessen the decline in immune function seen in older age would also be highly advantageous, as reduced immunity plays a large role in the development and progression of age-related disease (Makinodan and Kay, 1980). Immune function is not something that can be easily measured *in vivo*, though, as it is generally only activated in the presence of an invading pathogen. Certain assays have been devised where the immune response is assessed following an artificial immune challenge (Fang *et al.*, 2000; Akbulut *et al.*, 2001) but these were deemed to be inappropriate for this study as aging appears to have little effect on humoral immunity indices (*i.e.* B cell subpopulations and proliferation) (Lesourd, 1990a). Instead, the assessment of immune function used in this study focused on the simple measure of neutrophil function. Neutrophils mediate the immediate host response to bacterial and fungal infections, which are largely responsible for the higher rates of mortality and morbidity seen in older populations (Butcher *et al.*, 2001). In human populations, total neutrophil numbers are not thought to decline; however, a decrease in neutrophil function (phagocytic activity) has been shown to occur with increasing age (Mege *et al.*, 1988; Wenisch *et al.*, 2000; Butcher *et al.*, 2001).
In this study, the degree of neutrophil phagocytosis was similar in both honey- and sucrose-fed rats (75–80%), both of these treatments having approximately 50% higher levels of phagocytosis than rats fed the sugar-free diet. Many other studies have investigated neutrophil function in rats (including Wheeler *et al.*, 1994; Chawla *et al.*, 1995; Wise, 1996; Lin *et al.*, 1996, Bober *et al.*, 2000), but given that every trial used different diets, breeds, age and drug interventions it is impossible to get comparable data, or data that could be possibly be used as an age-equivalent baseline. Thus, it is impossible to know whether the higher levels of neutrophil phagocytosis in honey- and sucrose-fed rats reflect a reduced decline with age, or whether there has been a stimulation in phagocytic activity in these two groups that did not occur in those fed the sugar-free diet. A review of the literature revealed nothing that might suggest that sucrose could affect the activity of the immune system, although there is some limited data available for the effects of feeding honey on neutrophil counts. In one small study (Al-Waili, 2003b) 12 sheep (6–8 months; 25–30kg) were randomised to receive either 500 ml of intravenous honey (5%) or saline once every 10 days for 40 days, with blood removed at 0, 10, 20, 30, 40 and 50 days. The % neutrophils (it is not stated, but the reader must assume that the author mean the percent of leukocytes that were neutrophils) increased from 55% at time zero to
76% in the honey group after 10 days, whereas no difference was observed in the saline group. In the honey-fed sheep the % neutrophil levels remained elevated for 30 days before decreasing to baseline levels again on day 50. No data are available in that study as to what the level of neutrophil phagocytosis may have been in those animals, nor are the animals considered to be in old age, but is still of interest to note that the total number of neutrophils increased so dramatically. In the present study, no actual neutrophil counts were measured, but it is possible that the increased phagocytosis seen in honey- and sucrose-fed rats resulted from an increase in the number of new (and maybe more active) neutrophils. This idea is supported by the finding that the % of leukocytes that were lymphocytes was higher in honey- and sucrose-fed rats compared with those given the sugar-free diet (and also higher in honey-fed rats compared to those fed sucrose). Lymphocytes consist primarily of B cells, T cells and Natural Killer cells (Wenisch et al., 2000) thus an elevated lymphocyte count could reflect an improvement to either or both of the cell-mediated and humoral immune responses. Honey has been shown to have a mitogenic effect on human B and T lymphocytes (Abuharfeil et al., 1999) and it has been suggested that this may occur through the glycosylation of proteins resulting from the high sugar content (glycosylated proteins have been shown to activate a number of cell types; Brownlee, 1995).
As mentioned earlier in Chapter 7, sugars that are slowly absorbed can lead to the formation of short chain fatty acid (SCFA) fermentation products in the gut. SCFA are commonly formed after ingestion of pre-biotic foods, and with the pre-biotic effects of honey established *in vitro* (see Chapter 1) it is possible that the ingestion of honey may also result in their formation. A number of studies have demonstrated, either directly or indirectly, that SCFA can have immunomodulatory properties (reviewed by Schley and Field, 2002). Thus it is possible that honey may also be stimulating the immune system via the presence of fermentable sugars in the gut. Much more research is needed to elucidate if this is so.
It is also possible that non-sugar components of the honey may be responsible for the enhanced immuno-modulatory effects seen. Tonks *et al.* (2007), for example, have recently reported that a 5.8 kDa component of Manuka honey is capable of stimulating immune function *in vitro*. These authors determined that the compound was not a lipopolysaccharide, amino acid, vitamin or mineral, but further investigations are required to elucidate the nature of the compound. Furthermore, it is possible that the antioxidant content of the honey
may have contributed to its immuno-modulatory effects. Although there are no studies directly investigating the effects of honey antioxidants on immune function, other antioxidant compounds have been shown to stimulate immune function *in vitro* (Sabongi *et al.* 1997) and *in vivo* (De La Fuente *et al.* 2002).
Aging in human populations has also been associated with changes in the T cell subpopulations (Ales-Martinez *et al.*, 1988; Lesourd, 1990b; Cossarizza *et al.*, 1992; Lesourd and Meaume, 1994). Due to the costs of the antibodies involved, it was not possible to assess these lymphocyte subsets directly in this study; although it would certainly be of interest to assess whether honey could influence these subpopulations (or other aspects of cell-mediated immunity) in future work. Similarly, despite the evidence that humoral immune response probably does not alter significantly in older age, it would be advantageous to determine what role honey might have in improving humoral immunity.
Few differences between treatments were found in the bone-related DEXA measurements performed in this study, which lends support to the findings in Chapters 7 and 8 that honey does not improve bone calcium levels. Certainly, no differences in any of the DEXA endpoints were observed between rats fed sucrose and honey, suggesting that the type of sugars ingested long-term may have little impact on bone density or mineralisation levels. No other long-term data is available for the effects of honey on bone density measures, but evidence suggests that long-term feeding of high sucrose diets can alter the calcium balance in humans and negatively effect bone mineralisation levels (refer to Chapter 8). Such decreases in bone density and mineralisation were not seen in sucrose-fed rats in the present study, but it may be that the levels of sugars were not high enough to induce reductions in bone strength and density (calcium levels in the aforementioned studies were up to 65%). In addition, the addition of skim milk powder to the diets in this current study may have aided calcium absorption in all three dietary treatments due to the presence of casein and the possible formation of casein phosphopeptides in the gut.
The degree of oxidative damage was assessed in this study as a means for gaining some measure of whether the antioxidant content of the honey could offset some of the free-radical damage that occurs in older age. However, as with measurement of immune function, measurement of oxidative damage is fraught with difficulty. The usual methodologies for quantifying oxidative damage *in vivo* either measure DNA damage (via the presence of the oxidised base 8-hydroxy-2-deoxyguanosine (8OHdG)) or protein damage, specifically protein carbonyl formation (reviewed by Halliwell and Whiteman, 2004). However, whereas both
DNA damage (Richter et al., 1988; Gedik et al., 2005) and protein carbonyl formation (Buss et al., 1997; Davies et al., 2001) are simple to measure (using ELISA), neither method can accurately quantify the damage accumulating over the span of a lifetime: measurement of 8OHdG typically results in artificial oxidative damage arising during the DNA isolation process, and both protein and damaged DNA are turned over fairly rapidly inside the cell. Collagen molecules, in contrast, have an exceptionally long lifetime, which makes them good markers for accumulated oxidative damage. In particular, collagen is susceptible to the accumulation of AGE products which react to form fluorescent adducts. The level of MDE-protein adducts measured in the aortic collagen samples was significantly higher (~ 5%) in the sucrose-fed rats after 12 months compared with animals fed either the honey or sugar-free diets, and it is possible that this is due to differences in the glycemic indices of the diets. Odetti et al. (1996) and Traverso et al. (1998) have both demonstrated that age-related accumulation of AGE products is higher in rats with poor glycemic control and suggest that this is due to hyperglycemia-induced oxidative stress (the significance of oxidative stress is discussed further in Chapter 10). This certainly fits with the data presented in this study as animals fed the low GI diets sugar-free diet had comparable lower levels of MDE fluorescence compared with those animals fed sucrose.
Interesting, it has been reported in a well designed study that rats fed isocaloric diets containing either cornstarch, glucose, sucrose, fructose or equimolar amounts of fructose and glucose as their carbohydrate source (660 g/kg) all exhibited similar levels of AGE formation in the skin, aortic, tracheal and tail tendon collagen at 9, 18 or 26 months of age (Lingelbach et al., 2000). This data is interesting as the treatment group receiving the fructose:glucose combination provides a close comparison for the honey treatment group in this study. Obviously, direct comparisons cannot be drawn due to the different rats used and the fact that the sugar composition of honey is not as simple as a 1:1 fructose/glucose mixture, but it suggests that either the different ratio of these sugars in honey or the presence of other components of the honey (either minor sugars or non-sugars) induces a lower level of AGE formation.
It is unknown what effect(s) a small difference such as 5% could have in human health; however, given the role that oxidative stress can play in the development and progression of many age-related diseases, the findings are promising. Recent research by Schramm et al. (2003) has demonstrated that plasma antioxidant and reducing capacities increased significantly by 5–30% in
volunteers 1–6 hours after consuming honey (1.5 g/kg body weight). This is a fairly high level of honey ingestion (105–120g for a 70–80kg person) and certainly more than the average person would eat in a day (let alone in one sitting) but it does show that the antioxidant content of honey is bioavailable after consumption.
In conclusion, honey does appear to have a number of health benefits associated with long-term feeding. These appear to result from a number of different factors including its antioxidant content. A lot of the work undertaken in this trial was preliminary at best and restricted by budgetary constraints. However, it provides good evidence to suggest that honey may be a healthier replacement for sucrose, particularly in individuals who are overweight or at high-risk for cardiovascular heart disease. Of course, a crucial flaw of this study was not having the resources available to assess the glycemic index of the different diets to ascertain whether consumption of honey and sucrose resulted in similar or differing glycemic response. This information would certainly aid in understanding how honey and sucrose can have different effects on weight gain and biochemical measures, and it would be essential in any further studies in this area. The further roles of long-term feeding of honey are addressed in Chapter 10.
Chapter 10:
The Long-Term Feeding Effects of Honey versus Sucrose and a Sugar-Free Diet on Anxiety and Cognition in Rats
As mentioned at the start of Chapter 9, this current chapter presents the results from the behavioural measures (relating to the cognitive function) from the 12-month feeding study undertaken between February 2006 and February 2007 to determine whether there were any differential effects of feeding honey, sucrose or a sugar-free diet long-term. All the data pertaining to the non-behavioural measures (weight regulation, lipid profiles, bone densities etc) has been presented in Chapter 9.
The main findings of this chapter have been submitted for publication as follows:
10.1 INTRODUCTION
As discussed previously in Chapter 9, many aspects of health are known to deteriorate in older age. In both humans and animals, aging is associated with a slow deterioration of cognitive performance, and particularly of learning and memory (Ingram et al., 1994; Grady and Craik, 2000). Cognitive decline or impairment not only deteriorates with increasing age though, but can also vary widely within a population (Awad et al., 2004). Recently, evidence has suggested that deteriorations in learning and memory can occur during middle age rather than just in older age (Lamberty and Gower, 1990, 1992; Feeney et al., 2002), and that cognitive declines in middle age can predict deficits in these areas in later life (Lamberty and Gower, 1992; Stone et al., 1997).
Oxidative damage has long been proposed to be critically involved in the pathological manifestations of aging (see Section 9.1) including the decline in cognitive performance (Kumar and Gupta, 2002). However, the intracellular oxidative balance is a tightly regulated system and an increase in oxidative stress generally results in an upregulation of antioxidant compensatory mechanisms including the induction of Cu/Zn superoxide dismutase, catalase, glutathione reductase, peroxiredoxins and a number of heat shock proteins (Berr et al., 2004; Guidi et al., 2006). It appears, however, that endogenous antioxidant defenses are often insufficient in older age, they being unable to detoxify all the oxygen free radicals that are continually being generated. The end result is oxidative damage to critical biological molecules (including DNA, protein and membrane lipids) leading to age-related neuronal loss and/or dysfunction (Harman, 1992).
The production of free radicals (as a side product during the reduction of molecular oxygen) is thought to be higher in cerebral tissue than in other tissues, with this tissue being more susceptible to damage, because of its low content of antioxidants, high content of polyunsaturated fatty acids in neuronal membranes and high oxygen requirements for metabolic processes (Guidi et al., 2006). Research has demonstrated that there is a progressive increase in the steady state concentration of oxidatively-modified DNA and proteins in the brain during aging in both animals (Carney et al., 1991; Leutner et al., 2001) and humans.
As well, a large clinical study has shown that there was a substantial reduction in glutathione peroxidase levels in elderly individuals who demonstrated a decline in cognitive performance (Berr et al., 2004).
Evidence for the involvement of oxidative stress in age-related dementia and cognitive decline has also come from research investigating the causes of severe cognitive impairment disorders such as Alzheimer’s disease. Increasing evidence supports a role of oxidative stress in the development of this disease, as an increase in oxidative metabolites of DNA, lipid and protein have been observed in the blood and post-mortem brain samples of Alzheimer’s subjects compared with healthy individuals (Guidi et al., 2006). In addition, a number of studies have reported that there are direct correlations between increases in oxidative damage with reductions in learning (Vishnevskaya et al., 1991; Liu et al., 2003; Jhoo et al., 2004; Wu et al., 2004) and memory (Fukui et al., 2001; Jhoo et al., 2004; Pieta Dias, 2007).
Importantly, researchers are now becoming aware that there are strong links between both impaired glucose tolerance and type II Diabetes with cognitive function. A large number of studies have examined the impact of type II Diabetes on brain function and dementia (reviewed by Messier, 2005), and the general conclusion is that type II Diabetes is associated with an increased incidence of cognitive impairment, particularly in those older than 70 years, and those with concomitant cerebrovascular disease and hypertension. Several studies have also shown that middle-aged subjects with Diabetes are at a higher risk of developing dementia and cognitive decline (Di Bonito et al., 2007), raising the idea that the metabolic abnormalities of Diabetes such as hyperglycemia and insulin resistance may play a role in the development of cognitive decline in elderly subjects. Indeed, a number of studies have shown that impaired glucose tolerance has a significant impact on working memory, verbal declarative memory and executive functions (reviewed by Awad et al., 2004). Similarly, Di Bonito et al. (2007) have demonstrated that impaired fasting glucose levels, hyperhomocysteinaemia and insulin resistance are strongly correlated with impaired cognitive function in elderly non-diabetic subjects.
Hyperglycemia may directly damage the brain through a number of mechanisms, the most likely being an increase in the generation of oxygen free radicals and the formation of AGEs (both of which have been associated with Alzheimer’s disease) (Vitek 2004). The adverse effects of high blood glucose on cognitive performance have been confirmed by studies showing that improving
glycemic control improves cognitive abilities in older people with Diabetes. Similarly, a limited number of studies have also demonstrated that dietary GI can have an effect on cognitive performance (because of hyperglycemia-induced oxidative damage). In one small study involving elderly diabetic subjects (mean age 65 years), cognitive performance was significantly improved after short term consumption of a low-GI diet compared with a high-GI diet (Papanikolaou et al., 2006). A similar finding was also observed in younger subjects (mean age 21 years) (Benton et al., 2003) however, the effects of long-term feeding of a low vs high GI diet on cognitive performance appear to have not been investigated.
Guidi et al. (2006) have shown that production of reactive oxygen species is correlated with age but not specific dementia disorders, and suggest that the oxidative imbalance observed in mild to severe cognitive decline is due to a decrease in total antioxidant capacity rather than an increase in reactive oxygen species. For this reason, research is now focusing on the availability of dietary antioxidants, and the use of supplemental antioxidants as a way of reducing the severity of cognitive decline.
Animal studies have demonstrated that oxidative damage can be attenuated relatively rapidly in older animals following the consumption of certain antioxidant compounds (Carney et al., 2001; Kolosova et al., 2006a). The antioxidant phenyl-\(\alpha\)-tert-butyl-nitrone, for example, has been shown to reduce the amount of brain protein oxidation and improve cognitive performance after both short- and long-term feeding (Carney et al., 1991). In addition, cognitive improvements were observed in aged rats (80 weeks old) but not in young rats (8 weeks old) fed extracts of the plant *Equisetum arvense* L that has antioxidant properties (Guilherme dos Santos et al., 2005). Similarly, aged dogs fed a diet supplemented with vitamins E and C and/or a mixture of fruit and vegetables for 6 months had significantly improved cognitive abilities compared with those fed standard chow (Cotman et al., 2002; Ikeda-Douglas et al., 2004). Furthermore, a number of studies have specifically demonstrated that spatial and recognition memory (Carney et al., 1991; Dairam et al., 2007; Pieta Dias, 2007) and learning (Liu et al., 2002, 2003; Ying and Gomez-Pinella, 2004; Duffy et al., 2007) can be enhanced in older animals after feeding substances that reduce oxidative damage. Thus, there appears to be strong evidence to suggest that antioxidant intake may help attenuate the reductions in memory and learning seen in middle-and older-age.
In large well-designed clinical studies, however, the effects of antioxidant intake on cognitive performance have been equivocal. Peacock et al. (2000)
demonstrated that cognitive performance in middle-aged adults (mean age 56 years) was in no way correlated with dietary antioxidant intake or supplemental use. Similarly, in the Zutphen Elderly Study, neither β-carotene nor vitamins C or E had any effect on cognitive impairment or decline in elderly men aged 69–89 (Kalmijn et al., 1997), and no beneficial effects of vitamin C and E or β-carotene on cognitive abilities were observed in elderly subjects (mean age 75 years) when given as an antioxidant supplement for nearly 7 years (Yaffe et al., 2004).
However, the Rotterdam Study (mean age 68 years) demonstrated that a lower dietary intake of β-carotene (but not Vitamins C or E) was associated with impaired cognitive performance (Jama et al., 1996), and the Cache County Study reported that β-carotene and Vitamins C or E may delay cognitive decline in the elderly (Wengreen et al., 2007). Again, though, there appears to be no literature published on the long-term use of either dietary or supplemental antioxidants on the possible reduction of cognitive decline in later life. However, data from clinical and epidemiological studies does suggest that antioxidants may reduce the risk for cerebrovascular disease in later life (Gey et al., 1993; Rimm et al., 1993; Kardinaal et al., 1993; Jama et al., 1996) thus this area of research is still being studied extensively.
Because of concerns about the safety of synthetic antioxidants, many studies have focused on the beneficial effects of natural sources of antioxidants, especially those derived from fruits and vegetables. Berries, in particular, have been a popular area of research in recent years, as they have been demonstrated to contain high levels of natural antioxidants. In addition, a few studies have shown that berry-enhanced diets can improve cerebellar physiology and cognitive performance in both animals and humans (Bickford et al., 2000, Lau et al., 2005; Ramirez et al., 2005; Ramassay, 2006). Honey has also been shown to have strong antioxidant properties *in vitro* (refer to Section 1.4), the darker coloured honeys generally having higher antioxidant levels (Gheldorf and Engelseth, 2002). In addition, intake of antioxidant-rich honey has been shown to increase serum antioxidant levels in humans (Al-Waili, 2003c; Gheldorf et al., 2003; Schramm et al., 2003) and to reduce lipid peroxidation in cooked poultry (Antony et al., 2000; McKibben and Engelseth, 2002). The long-term use of honey as an antioxidant has never been investigated though, thus its potential ability to reduce cognitive impairment in older subjects has never been fully explored.
The aim of this study was therefore to assess the cognitive abilities of rats during long-term feeding of either honey, sucrose or a sugar-free diet. A number of cognitive measures were assessed at set points throughout the 12-month duration of the study to determine whether there was a difference in the rate of cognitive decline between the three diet groups, whilst other measures were assessed only at the completion of the study.
10.1.1 Choice of Behavioral Tasks
There are many behavioural and ethological methodologies that can be used to assess cognitive functions in animals; however, they can differ widely depending on whether the animals require training prior to performing a task, whether the task is a stand-alone event or a repetitive exercise, how the animals are supposed to learn a given task and what reward system is used.
Most behavioural tasks use some sort of food reward system as a means by which the animals are enticed to do a particular task, with the animals usually reduced to 80–85% of their pre-testing body weight (Komaki, 2004). Given, however, that assessment of cognitive ability was only one facet of the experiment in which these rats were fed on the different diets long-term, and that weight gain and food intake were key endpoints in another aspect of this experiment (refer to Chapter 9), depriving the animals of food and providing food rewards was not feasible in this study. Therefore, only tasks that used other means of positive reward or negative consequence were employed.
As well as there being many tasks available to assess animal behaviour, there are also many aspects of cognition that can potentially be investigated. However, due to time and financial constraints in this study, only a limited number of tasks to assess cognitive abilities could be set up for this trial. The maze tasks for this study were therefore chosen based on their reported effectiveness in the literature, their relatively low set-up costs and the areas of cognition that they potentially assessed. The intention was to cover as many aspects of cognition as possible. Initially the areas of cognition that were to be assessed were anxiety (using an Elevated Plus maze), spatial learning/recognition memory (using a Y maze) and active learning (using passive avoidance). Measurement of passive avoidance, using methods from the literature that used white noise (Halladay et al., 2000; Ledgerwood et al., 2005) or a mild electric foot shock (Halladay et al., 2000; Torres et al., 2005; Schneider et al., 2006) as a negative stimulus proved difficult in initial testing though and were abandoned before the first testing session. Additional tasks were then designed and included in the study after the
trial had begun. A decision was made to assess exploratory behaviour (using an Open Field task) as the degree of movement that an animal exhibits may be a confounding factor in its level of performance in other tasks. An Object Recognition task was also added to the behavioural suite of assessments as recognition memory is one of the key areas of cognition that is known to deteriorate with age (Berr, 2002). A second learning task where animals learned to turn off a bright light was also investigated, and used later in the study to determine if the learning aspects of cognition could be influenced by the experimental diets. A brief overview of the rationale behind each task is given in the relevant sub-section in Section 10.2 (see below).
10.2 MATERIALS AND METHODS
10.2.1 Experimental Animals, Housing and Diets
All experimental details related to the dietary aspects of the design of this trial and the maintenance of the rats are given in Section 9.2. The composition of the experimental diets is given in Table 9.1.
10.2.2 Behavioural Studies: Overall Design
All maze tasks were carried out in a separate room of the experimental facility where the animals were housed. As with the room in which the animals were housed, the temperature of the testing room was maintained at approximately 22°C. With the exception of the Y maze, which required two phases of testing, all tasks were carried out between the hours of 0800–1200. This was the start of the night time phase for the animals (lights were off at 0630) when they should be most alert and active. The lights were kept switched off in the testing room and in the hallway throughout the entire duration of testing. A 40 watt lamp was turned on in the corner of the testing room and positioned so that it was facing the wall near the floor. This provided minimal light in the testing room (maximum 40 lux) allowing the animals to see cues on the walls of the maze and the room. A similar lamp was turned on in the room in which they were housed 30 minutes prior to testing and for the duration of testing to allow them to acclimatise to the light level before being moved to the testing room.
Unless specified otherwise, all animals in each diet group performed every task. The order in which the animals performed each task was randomised prior to beginning the first test, and they were placed into each maze according to this order (no observers were present in the testing room other than to place the rat in the maze and collect it upon completion). All maze work was videotaped
from above and from different angles (1-3 cameras depending on the task) and the videotapes scored within one month of the test sessions using Hindsight software (Version 1.5, designed by Scott Weiss, University of Leeds). The videotapes were scored blind using the same random ordering and the session data was not collated back into dietary groupings until all animals in a given session had been scored.
Unfortunately due to the time that it took to have the mazes made, no baseline behavioural measurements were able to be taken. Unless reported otherwise, the tests were commenced 3 months into the study (at 5 months of age) and performed every 3 months for the duration of the trial.
### 10.2.3 Elevated Plus Maze
The elevated plus maze (EPM) is a simple method for the measurement of anxiety and it has been used widely in the literature with good results (reviewed by Kulkarni and Sharma, 1991; Rodgers and Dalvi, 1997; Carobrez and Bertoglio, 2005). This task was chosen because whilst anxiety is not directly linked with cognitive decline, there is evidence to suggest that anxiety often presents with depression, and that both anxiety and depression may occur to a greater extent in individuals with cognitive disorders (Dupuy and Ladouceur, 2007; Herrmann et al., 2007; Mantella et al., 2007; Steffens and Potter, 2007).
The EPM task works on the theory that rats have an innate tendency to explore new environments but also a fear of open spaces. Importantly, this task does not require the animal to learn the task prior to undertaking it, and the influence of non-specific factors such as those generated by aversive or food reinforcements is not involved. As the EPM is an anxiety test, it was always the first task performed in each testing period (*i.e.* before the animals became used to being out of their cages).
#### 10.2.3.1 Apparatus
The design of the EPM was based upon measurements given by Sayin *et al.* (2004). The maze consisted of two open arms that were $50 \times 10$ cm at right angles to two closed arms that were $50 \times 40 \times 10$ cm (see Figure 10.1). The open-sided central area of the maze was $10$ cm square (see Figure 10.1). The maze was made out of dark grey PVC plastic and painted with matt black paint on the insides of the closed arms and the top of the open arms. White lines marked out the centre area so that it was clearly visible on the videotape when the animal moved into a new area of the maze. The maze was elevated to $50$ cm
above the ground to provide an aversive stimulus to animals in the open arms, preventing them from jumping off the maze.
*Figure 10.1: Representation of the elevated plus maze.*
### 10.2.3.2 Testing Routine
Each animal was placed in the centre area of the maze, with its head facing towards an open arm. The rat was then allowed to explore the EPM for 5 minutes before it was taken back to its home cage. The maze was fully cleaned with mild detergent between animals.
Based upon conventional parameters of Rodgers and Johnson (1998) and Cole and Rodgers (1995), activity within the EPM were determined by scoring a pre-defined set of behavioural activities (see Table 10.1). Once scoring was complete, the following behavioural measures were calculated: total arm entries, open and closed arm entries, percentage of open and closed arm entries, duration open and closed arm time, duration of centre square time, frequency of rearing, latency to enter the open arm, frequency of protected and unprotected head dips, frequency of stretch attend and frequency of half body out. In the event that an animal fell off the EPM, it was not placed back onto the maze, although it was recorded as having not completed the task. Data from any animals that fell were excluded from the analyses.
Table 10.1: Definition of behavioural elements in the elevated plus maze
| Behaviour | Description / Definition |
|--------------------|------------------------------------------------------------------------------------------|
| Arm Entry | All four paws in an arm |
| Rear | Front paws off the floor, with the body stretched upward, either supported by the maze wall, or unsupported in the open arms |
| Head Dip | Exploratory action, where head and shoulders are placed over the side of the maze, with the animal looking towards the floor. The head dip was deemed to be unprotected if the animal's body was in the open arm at the time, and protected if the animal's body was in either the closed arm or centre area. |
| Stretch Attend | Exploratory movement in which the animal stretches forward (often peering into the open arm from the closed arm) then returning to the original position |
| Half Body Out | Exploratory movement where the animal is in the centre square and moves the front half to two-thirds of its body out into an open arm. Front paws are in the open arm, whilst back paws remain in the centre square |
10.2.4 Y Maze
The Y maze task is designed to assess recognition memory and spatial learning. It has been used successfully in a number of other studies, some of which used additional reinforcements (e.g., food, electric shock) (Cazala and Zielinski, 1983; Rao et al., 2001; Holden et al., 2004; Levshina and Shuikin, 2004), whilst others did not (Conrad et al., 1996, 1997, 2003; Taghzouti et al. 1999). This task was chosen because of its relative ease of use, and because recognition memory is well accepted as being one of the key areas of cognition that declines in older age (Verhaeghen et al., 1998; Clarys et al., 2002; Prull et al., 2006; Gutches et al., 2007).
The Y mazes task is designed to use a rat’s innate desire to explore new environments (Granon et al., 1996), thereby assessing memory and learning by
determining whether the animal can remember which arms of the maze it has visited previously, and whether it can spatially orient itself appropriately so as to visit the unvisited arms of the maze when placed into it on a second occasion. Further details are given below.
10.2.4.1 Apparatus
The design of the Y maze was based primarily on that of Conrad et al., (1997) and Taghzouti et al. (1999). The maze consisted of three closed arms that were each 50 x 16 x 32 cm high and all 120° apart (see Figure 10.2). The maze was made out of grey PVC plastic and painted matt black on the inside. A layer of mixed soiled bedding (wood shavings etc) was placed in the Y maze to mask any olfactory cues from previous animals. These shavings were mixed thoroughly, and the walls of the maze wiped down with mild detergent after every animal. A removable door made from the same PVC plastic as the maze was used to block access to one arm as required (see Figure 10.2). Spatial clues were affixed to the end of each arm (cardboard 15 x 15 cm with an image of either a black triangle, a patterned circle or a patterned square) and on the walls of the testing room (at a height that allowed them to be seen over the walls of the maze).
10.2.4.2 Testing Routine
Y maze testing consisted of two phases. During Phase 1 the animal was placed into the end of one arm (facing the centre) and allowed access to that arm (the START arm) and one other (the OTHER arm) for 10 minutes. The third arm (the NOVEL arm) was blocked by the removable door. Choice of which arm was ‘start’, ‘other’ and ‘novel’ was rotated with each new animal, and all the rats were randomised for the sequence of placement into the maze. The rat was then removed from the maze and returned to its home cage in the housing room for an inter-trial duration of 4 hours as previous research has shown that Sprague Dawley rats demonstrate no recognition memory after 6 hours but that recognition memory occurs for time periods of 4 hours or less (Conrad et al., 1996; Taghzouti et al., 1999).
After 4 hours had lapsed the rat was placed back into the start arm of the maze and given free access to all the three arms for five minutes (Phase 2). The arm they first chose to explore after initially leaving the ‘start’ arm was recorded, as well the latency to enter the ‘novel’ arm and the number and duration of explorations of each arm and the centre area. These latter data were recorded each minute over the five minute period. During both phases, entry into (and
duration in) a particular arm was defined as placement of all four feet at least 5 cm into the arm. Animals were excluded from the analyses if they did not leave the start arm for the duration of the testing session, and if they spent >75% of their time in the centre area during a given time interval.
**Figure 10.2:** Diagrammatic representation of the Y maze showing the removable door and the objects used as spatial cues.
### 10.2.5 Open Field Study
An Open Field task was undertaken at 6 months to assess locomotor activity across the three diet group groups as some animals showed only minimal movement in the Y maze task and it was unknown whether this was due to dietary influences or other factors. The task was again undertaken at 12 months to determine if diet had any affect on levels of locomotor activity in older animals. The Open Field task was based upon the work of Luvone *et al.*, (1996), Stohr *et al.*, (1998) and Bowman *et al.*, (2002), and simply assesses the degree of movement within an arena over a given period of time.
10.2.5.1 Apparatus
Large Perspex sheets were covered in black polythene and joined together to form the four 50 cm high walls of an enclosed arena that was 100 x 100 cm. The arena was placed onto the floor of the testing room, with a thick layer of soiled bedding covering the floor of the Open Field maze. The soiled bedding was randomly mixed around between animals. On the monitor used for scoring a sheet of clear plastic was overlaid on the image of the arena, and the area divided into a 5 x 5 grid, each section of the grid being 20 x 20 cm (this area being greater than the head to rump lengths of all animals). Using this grid, the arena was divided into three zones: centre, middle and outside (refer Figure 10.3).
**Figure 10.3:** Diagrammatic representation of the Open Field arena showing the centre, middle and outside zones.
10.2.5.2 Testing Routine
Each animal was taken in its home cage from the housing room to the testing room. At the beginning of the test the animal was removed from its cage and placed in the centre zone of the Open Field arena (see Figure 10.3). The rat was then given 5 minutes to explore the open area and all movements recorded. The animal was then placed back into its home cage in the testing room, and the
cage kept in that room for the Object Recognition task (see Section 10.2.6). All animals were tested and scored in a random order.
Once scoring was complete, three time bins were chosen for analysis: the full 300 seconds, and 0-150 and 151-300 seconds to determine if the rate of locomotor activity altered during the first and second half of the testing period. The following behavioural measures were then calculated for each time bin: duration in centre, middle and outside zones, frequency of entries to each zone, number of line crosses within the middle and outside zones, and the total number of movements (including zone entries and line crosses).
10.2.6 Object Recognition Task
To determine if the different diets could affect object recognition learning in aged rats, an Object Recognition task was performed at the 12 month testing session. The methodology used was based upon the work of Ennaceur *et al.* (1997, 2005) and Andrews (1995) with modifications as described. This task was primarily included in the suite of behavioural assessments as other research has demonstrated that recognition memory declines in older age in both animals (Shamy *et al.*, 2006; Pieta Dias *et al.*, 2007; Wallace *et al.*, 2007) and humans (Rose *et al.*, 1986; Murphy *et al.*, 1997), and that antioxidants may be able to offset this decline (Goyarzu *et al.*, 2004; Andres-Lacueva *et al.*, 2005). Furthermore, this task was a simple and inexpensive measure by which another facet of memory could be easily assessed.
In the research of the aforementioned authors, the Object Recognition task was a three-phase test with various inter-phase time periods. Phase 1 was a habituation phase that varied from one ten-minute session the day before testing (Andrews, 1993) to 4 ten-minute sessions over four days (Ennaceur *et al.*, 1997). Phases 2 and 3 were the experimental periods of the experiment, and these were generally the same in all three studies (see below for methodology). As time was limited at the 12 month testing period and both the Object Recognition task and the Open Field task use the same maze arena, the Object Recognition task was run immediately after the Open Field task above, with the 5-minute Open Field testing period also counting as the habituation phase of the Object Recognition task (see below). Only 10 animals per diet group (chosen at random) performed this task.
10.2.6.1 Testing Routine
After completion of the Open Field task, the animal was placed back into its home cage for 5 minutes and the cage ¾ covered with a black cloth to prevent the animals seeing where the objects were placed in the arena. During this 5-minute interval, two identical objects (A1 and A2 – see Figure 10.4a) were placed in the arena, each 10 cm away from a corner (two corners of one side of the arena were used). The rat was then taken from its home cage and placed back into the middle of the arena facing the test objects. The animal was given 3 minutes to explore the two objects (Phase 2).
After completion of Phase 2, the animal was again removed from the arena and placed back into its home cage in the testing room. During this 3-minute retention interval, the two objects were removed and replaced with an identical copy of those used in Phase 2 (A3) and a novel object (see Figure 10.4b) (Phase 3). These two objects were placed in the same locations as the previous objects. The animal was then placed back into the arena as described previously and allowed a further 3 minutes to explore the two objects. The spray bottle used as a novel object had been filled with water and the spray trigger disabled. The white containers were filled with small stones to prevent them from being tipped over.
Based upon the work of Ennaceur et al. (1997, 2005) a rat was considered to be exploring or visiting an object when its nose was either touching or < 2 cm away from the object. It was not considered to be exploring the object if it was sitting on it. The location (left or right) of the novel object was alternated with each new animal and all four objects were wiped down with mild cleaning solutions between each test.
The following behavioural measures were then scored and calculated: number of visits to object 1 or object 2 (Phase 2) and object 3 or novel object (Phase 3), duration of time spent exploring object 1 or object 2 (Phase 2) and object 3 or novel object (Phase 3), total time exploring either object and the latency (time taken to first explore) the novel object (Phase 3). Animals were excluded from the analysis if they did not explore either of the two objects in a given testing phase, and excluded from the latency data if they did not explore that particular object.
Figure 10.4: The objects used in the Object Recognition task. In Phase 2 (3 minutes), animals had access to two identical objects (A). These objects were then removed and replaced with one identical copy of that used in Phase 2 and a novel object (B, Phase 3).
10.2.7 Light Extinction Task
The ability to learn new tasks is also known to deteriorate with age (Savage and Bolton, 1968; Collie et al., 2002; Royall et al., 2003), although it is unknown how much of this may be influenced by diet. A simple task was therefore employed to assess the learning ability of rats fed the three different diets. The Light Extinction task used in this study is based upon the work published by Messaoudi et al. (1996) with modifications as described by Benton et al. (2003). In brief, the test is designed as a one-time experiment (i.e. they do not learn via repeated exposures) where animals have access to two levers, one of which turns off a bright light (active lever), the other of which has no effect (inactive lever). The measure of learning is whether the animals can differentiate between the two levers and keep the lights turned off (rats prefer dark environments). This task was performed at the 12 month testing session only.
10.2.7.1 Apparatus
The apparatus consisted of a standard rat cage (the same as those which they were routinely housed in) with two 75 watt angle-poise lamps positioned directly above the wire mesh top of the cage. Both lamps were plugged into a multi board and controlled via one switch. When illuminated, the light level in the cage was approximately 1200 lux. Two standard small animal levers with thin (8 mm) metal lever arms were modified by affixing pieces of thick plastic (5 cm x 3 cm) onto the thin metal arms with cellotape as initial testing demonstrated that the rats would not depress the thin levers (see Figure 10.5).
*Figure 10.5:* A modified (top) and un-modified (bottom) lever as used in the light extinction experiment.
The levers were then affixed onto upside down plastic boxes and secured into the bottom of the cage (one at either end of the cage) (see Figure 10.6). A mixture of soiled shavings from various animals was placed in the bottom of the cage and mixed thoroughly between animals. A camera was attached to a nearby wall bracket, and the whole apparatus (including the lamps) covered with two layers of dark cloth. This ensured that light did not escape from the testing apparatus while the lights were on, and that no external light entered while the lights were off. An infrared camera was used to ensure that the rats could be observed when the lights were off.
10.2.7.2 Testing Routine
Ten rats, randomly selected from each diet group, were tested in random order in the Light Extinction task (the remaining animals were used in pilot trials to determine what size lever to use). Each animal performed one 20-minute session. At the start of the test, the rat was placed into the middle of the cage, with the lights off. The lights were then immediately turned on and the timer started. One lever was allocated to be the active lever throughout the session, whilst the other was the inactive lever. Which lever was the active or inactive lever was alternated with every new subject.
When the active lever was pressed, the lights above the cage were manually switched off for 30 seconds (using a switch on the multi-board) allowing for total darkness (no other lights were on in the testing room). Pressing the inactive lever had no effect; likewise pressing the active lever during the dark period did not prolong the period of darkness. All lever presses were recorded manually by watching the recorded sessions on videotape after all animals had completed the task. The number of active lever (AL) and inactive lever (IL) presses during periods of illumination (AL\textsubscript{ON} and IL\textsubscript{ON}) and darkness (AL\textsubscript{OFF} and IL\textsubscript{OFF}) and for both periods (AL\textsubscript{TOTAL} and IL\textsubscript{TOTAL}) were then determined for both the total 20 minute session and the first and second 10 minute periods.
Discrimination between the active and inactive levers whilst the lights were on was determined for the entire 20 minute testing session, as well as for the first and second 10 minute intervals. Learning was deemed to have occurred if the number of active lever presses was significantly higher than the number of inactive presses (i.e. if the AL/IL ratio was significantly greater than 0.5) as this suggests that the animal has learnt that pressing the active light extinguishes the light (rather than the active lever presses just being random events).
### 10.2.8 Statistical Analyses
Repeated-measure ANOVAs were performed on the EPM, Y maze and Open Field data to assess whether there were any interactions of diet with time. One-way ANOVAs were then performed on data from given time-points, or for particular measures where the repeated-measure analyses indicated a statistically significant difference. One-way ANOVAs were also performed on the Object Recognition and Light Extinction data to determine if there were any differences due to diet. As well, a mixed ANOVA was conducted on the Light Extinction data to compare the number of active and inactive lever presses across the three diet groups. Where ANOVA was significant, post-hoc tests using a Bonferroni correction were carried out to determine which groups differed. Chi Square tests was used to determine whether there was a statistical difference in the choice of arm entered first (other or novel) in the Y maze task, and whether the arm of first choice differed between dietary diet groups at a given time point. Paired t-tests were used to ascertain whether the number of active and inactive lever presses in a given diet group in the Light Extinction task were statistically different. All analyses were performed using SPSS version 12.0. (Note that presentation of the statistical findings in this chapter follow standard behavioural convention (e.g. F value (degrees of freedom); p value) and so differ from previous chapters).
The number of animals assessed in repeated-measures analysis often differs from the number of animals in each diet group due to the fact that not all animals completed each task at each time-point (fewer animals were generally tested at the 12-month testing session, for example, due to the need to perform additional tasks during that testing session) and that the *same* animals must be involved in each testing session for a repeated-measures analysis to be valid. In addition, if an animal was excluded from a task at a given time-point due to it not completing the task properly (e.g. falling off the maze) or because it died, the data from that animal was removed from the entire repeated-measures analysis.
10.3 RESULTS
As mentioned in Section 9.3, two animals were removed from the study in the first few weeks due to them being female, and the initial sample size for the remainder of the trial was 14, 14 and 15, respectively, for sugar-free-, sucrose- and honey-fed rats. In addition, two animals died later in the study, with a reduction in the sample size to 13, 14 and 14, respectively, for rats fed the sugar-free, sucrose and honey-based diets. With the exception of the two rats that died, all animals remained healthy throughout the 12-month period and no obvious illnesses were observed.
10.3.1 Elevated Plus Maze
The one major issue noted with the EPM task was that several of the rats had difficulty fitting into the closed arms of the EPM at the 12-month testing session due to their large size. Because of this, the 12-month EPM data was not included in the statistical analyses of this data, although full EPM Data from each testing session (including the 12-month data) are given in Appendix 2.
A repeated-measures analysis \((n = 10, 11\) and \(14\) for rats fed diets that were sugar-free or contained sucrose or honey, respectively) demonstrated that there was a significant effect of time \((F(2,64) = 8.5; p < 0.0001)\), irrespective of diet, but that no diet x time interaction occurred. Overall, the mean duration of time spent in the open arms of the maze increased from 3.6 seconds at 3 months to 39.7 seconds at 9 months \((F(2,64) = 27.2; p < 0.0001)\), this suggesting that all animals were less anxious as they got older (see Figure 10.7). In addition, the total number of rearing events (in the open or closed arms and the centre area) decreased significantly with time \((F(2,64) = 23.5; p < 0.0001)\), with no effect of diet observed. Figure 10.8 shows the amount of time spent in the three areas of the maze at each time point for each diet group.
The analysis also revealed a significant effect of diet, irrespective of time. The overall mean percentage of time spent in the open arms of the EPM was significantly higher in rats fed honey (13.7%) than in those fed a sugar-free diet (7.1%; $F(2,32) = 4.8; p < 0.05$). The overall mean percentage of time that sucrose-fed rats spent in the open arms of the EPM (7.8%) was similar to that of rats fed the sugar-free diet; however, the difference between sucrose- and honey-fed rats only approached statistical significance ($p = 0.056$). Similarly, the overall mean duration of time that was spent in the open arms of the EPM was significantly higher in honey-fed rats compared with those fed sucrose (29.3 vs 14.1 seconds; $F(2,32) = 5.0; p < 0.05$). Rats fed sucrose and the sugar-free diets were again similar (14.1 and 16.3 seconds) although the difference between honey-fed rats and those given the sugar-free diet did not reach statistical significance. (Note: for both these measures, animals not entering the open arm were included, but were given a value of 0 seconds). Figure 10.8 shows the percentage of time spent in the open arms of the EPM for all three diet groups at 3, 6 and 9 months.
*Figure 10.7: Mean duration of time (seconds, ± SE) spent in the open arms of the Elevated Plus Maze for animals that were fed a diet that was either sugar-free (n=10) or contained 8% sucrose (n=11) or 10% honey (n=14). * significantly different to sucrose-fed rats at 9 months, $p = 0.017$*
Figure 10.8: Mean percentage of time (seconds, ± SE) spent in the open and closed arms and the centre area of the Elevated Plus Maze at 3, 6 and 9 months. Animals were fed diets that were either sugar-free ($n=10$) or contained 8% sucrose ($n=11$) or 10% honey ($n=14$).
10.3.2 Y Maze
Testing in the Y maze was carried out every three months and all animals participated in the task at the 3, 6 and 9 month time points. However, due to the need to perform several tasks at the 12 month time point, only 10 rats from each diet group performed the task during this session.
The majority of animals performed the task well, quickly leaving the start arm after being placed in it at the beginning of Phase two (where they were given access to all three arms). However, many animals only explored the arms of the maze for a short period of time before sitting in an arm and not exploring further (this has been reported by other authors also; Conrad et al., 1996). For this reason, the key endpoints for this task were deemed to be ‘the arm of first choice’ (the arm the animal first chose to enter after leaving the start arm for the first time in Phase 2) and the duration and frequency of visits to each arm during the first 60 seconds. The complete Y maze data for the three diet groups at each of the four testing sessions is given in Appendix 2.
The arm of first choice data (see Table 10.2) demonstrates that honey-fed rats chose to first explore the novel arm rather than the other arm significantly more often during the 3 ($\chi^2(1) = 11.3$), 6 ($\chi^2(1) = 9.3$) and 9 ($\chi^2(1) = 8.1$) month
testing sessions (all $p < 0.001$), with the 12 month data also nearing significance ($p = 0.058$). In contrast, sucrose-fed rats entered the novel arm as the arm of first choice significantly more often than the other arm only at the 3 month testing session ($\chi^2 (1) = 7.1; p < 0.01$), with the choice of entry into the novel or other arm of the Y maze approached 50% for the remaining testing sessions. Similarly, rats fed the sugar-free diet demonstrated a clear preference for the novel arm as their arm of first choice during the 3- ($\chi^2 (1) = 7.1; p < 0.01$) and 6-month ($\chi^2 (1) = 4.6; p < 0.05$) testing sessions only.
A comparison of the percentage of rats choosing to enter the novel arm first at each of the four time points revealed a significant difference between honey- and sucrose fed rats at the 6 month testing session ($\chi^2 (2) = 8.3; p < 0.05$; see Table 10.2). At nine months this trend continued (approaching significance) with more honey-fed rats entering the novel arm first compared to either of the other groups ($\chi^2 (2) = 4.92, p = 0.08$). However, at 12 months there were no significant differences between the three groups.
**Table 10.2:** Arm of first choice (% of animals) after being placed back into the start arm (facing the centre) at the start of Phase 2 where the animal was given access to all three arms.
| | Sugar Free | Sucrose | Honey |
|------------------|------------|---------|-------|
| | Novel | Other | Novel | Other | Novel | other |
| 3 months$^a$ | 86 | 14$^\dagger$ | 86 | 14$^\dagger$ | 93 | 7$^\ddagger$ |
| 6 months$^{b,e}$ | 79 | 21* | 57 | 43 | 92$^c$ | 8$^\ddagger$ |
| 9 months$^c$ | 64 | 36 | 64 | 36 | 87$^0$ | 13$^\ddagger$ |
| 12 months$^{d,e}$| 78 | 22 | 60 | 40 | 80 | 20 |
$^{\tau} p < 0.05$ versus the sucrose-fed rats for the number of rats choosing the novel arm first
$^0 p < 0.10$ versus the sucrose- and sugar free-fed rats for the number of rats choosing the novel arm first
* $p < 0.05$, $^\dagger p < 0.01$, $^\ddagger p \leq 0.001$ that the observed n < the expected n (the expected n being 50%)
$^a n= 14, 14$ and 15 for animals fed the sugar-free, sucrose and honey-based diets
$^b n= 14, 14$ and 13 for animals fed the sugar-free, sucrose and honey-based diets.
$^c n= 14, 14$ and 15 for animals fed the sugar-free, sucrose and honey-based diets
$^d n= 9, 10$ and 10 for animals fed the sugar-free, sucrose and honey-based diets.
$^e$ One animal from the honey-fed group (6 months) and one animal from the sugar free-fed group (12 months) were excluded from the analysis as they did not enter either the ‘other’ or ‘novel’ arm after leaving the start arm.
A repeated-measures analysis of the data from the first 60 seconds of the Y maze task (n = 10 for each diet group) resulted in few statistical differences. There was an overall effect of time, with the duration of time spent in the centre area of the maze being statistically higher at the 6-month testing session compared with the other sessions \((F(2.3,78) = 4.1; p < 0.05)\). An effect of diet, irrespective of time, was observed only for the frequency of visits to the novel arm, with sucrose-fed rats entering the novel arm significantly more often than those fed the sugar-free diet (1.54 vs 1.26 visits; \(F(2,26) = 3.9; p < 0.05\)). Furthermore, an interaction of diet x time was observed for the frequency of visits to the novel arm \((F(6,78) = 2.4; p < 0.05)\), however, further analyses could not clearly differentiate this further, suggesting that this was likely a chance result.
No statistically different effects of diet, time or diet x time were observed for the start latency (the time until the animal left the start arm for the first time), the novel latency (the time until the animal first entered the novel arm) nor the frequency of visits or the duration of time spent in the three arms of the maze during any other time bins.
### 10.3.3 Open Field Task
The Open Field task was performed at 6 and 12 months to determine if there were any effects of diet on locomotor activity. As mentioned in Section 10.2.4.2, the data was analysed for the entire 5 minute (300 second) testing session, as well as for the first and second 150 second intervals. Ten animals per diet group performed the task at 6 months, with 12 animals per diet group performing it at 12 months. However, due to the fact that the two rats that died later in the study participated in the 6 month testing session only, and the fact that different subsets of animals were assessed at the two time points (6 and 12 months), only 8, 9 and 8 animals, respectively, from the sugar-free, sucrose and honey groups participated in both sessions of this task. Full data for the 6-month and 12-month testing sessions (including all animals and time bins) is given in Appendix 2.
A repeated-measures analysis of the entire 300 second data indicated that there was a significant effect of time \((F(8,21) = 5.1; p < 0.01)\), irrespective of diet, with animals generally exhibiting less locomotor activity at the 12 month session compared with the 6-month session (see Figure 10.9). Overall, the mean number of visits to the middle \((F(1,21) = 9.0; p < 0.01)\) and outside zones \((F(1,21) = 7.3; p < 0.05)\) of the arena was significantly higher at the 6-month testing session compared to the 12-month session. In addition, the mean number
of line crosses in the outside zone of the arena decreased by half ($F(1,21) = 32.6$; $p < 0.0001$), and the mean number of total moves in the arena (including zone entries and crosses inside a zone) decreased by 40–50% ($F(1,21) = 41.6$; $p < 0.0001$) during the second 6 months of the study.
Importantly, no significant effect of diet or diet x time were observed for any of the parameters measured in the Open Field task (refer to 10.2.4.2 for details) when analysing the data from the entire 300 second testing interval.
**Figure 10.9:** The effects of time observed between the 6-month and 12-month testing sessions of the Open Field task when analysing the data from the entire 300 second testing interval. $N = 8$, 9 and 8 for sugar-free, sucrose- and honey-fed rats. * $p < 0.05$, † $p < 0.01$, ‡ $p > 0.0001$ between 6- and 12-months.
An analysis of the 0-150 and 151-300 second testing intervals revealed similar results. Overall, the mean number of total moves was significantly lower during both the first ($F(1,21) = 47.0$; $p < 0.0001$) and second ($F(1,21) = 11.1$; $p < 0.01$) halves of the testing session at 12 months compared with 6 months, and both intervals showed no interaction of diet x time.
Further analyses at the individual time points (6 and 12 months) indicated that whereas there were no differences between diet groups at 6 months, statistically significant differences did occur between diet groups in the 12 month
testing session. During the second half of the testing session (151-300 seconds), rats fed the sugar-free diet entered the middle and outside zones of the arena significantly more often than either the sucrose- or honey-fed rats (all $p < 0.05$); however, there was no significant difference in the duration of time spent in each zone (see Figure 10.10).
**Figure 10.10:** Mean ($\pm$ SE) 12-month Open Field data during the second half of the testing session (151–300 seconds) for rats fed diets that were either sugar free or contained 8% sucrose or 10% honey (honey is 20% water). Bars not sharing the same letters (within each set of three) are significantly different, $p < 0.05$; NS = non-significant. 'Total moves' includes all zone entries and line crosses within zones. $N = 12$ for each diet group.
Rats fed the sugar-free diet also exhibited approximately twice as many total moves (including all zone entries and line crosses within zones) in the arena than sucrose-fed rats (23.2 vs 11.9 moves; $F(2,33) = 4.9$; $p < 0.05$). The mean number of total moves was similar in sucrose- and honey-fed rats (11.9 and 14.3 moves) suggesting that both groups may have demonstrated decreased locomotor activity during the second half of the session at 12 months (see Figure 10.10).
10.3.4 Object Recognition Task
Ten animals from each diet group performed the Object Recognition task, following immediately after the Open Field task (the 5 minutes spent in the arena during the Open Field was considered to be the habituation phase (Phase 1) of the Object Recognition task; see Appendix 2 for the raw data). Results showed that during Phase 2 of the task, where the animals were presented with two identical objects, no effects of time or diet were observed for either the number of visits to each object nor the duration of time spent exploring them (See Figure 10.11). Overall all animals in the three diet groups explored objects 1 and 2 to the same extent and there was no difference in the latency to visit the two objects.
During Phase 3 of the task (where one of the original objects was replaced with an identical copy and one was replaced with a novel object) the novel object was visited more frequently ($F(1,22) = 15.8; p < 0.001$) and explored for a longer period of time ($F(1,22) = 41.8; p < 0.0001$) than object 3 overall, but there were no differences between the three dietary diet groups. Similarly, the latency to visit object 3 and the novel object different significantly overall, the time until the novel object was first explored being approximately a third of that of object 3 (16.4 vs 48.4 seconds, $F(1,17) = 12.9; p < 0.01$). No interaction of object x diet was observed for object latency.
Figure 10.11: Mean data (± SE) for the Object Recognition task including the duration of time spent exploring each object (A) and the number of visits to each object (B). During Phase 2, animals were allowed to explore two identical objects (object 1 and 2). During Phase 3, the objects were replaced with an identical copy of object 1/2 (object 3) and a novel object. $N = 8$, 8 and 9 for rats fed a sugar-free, 8% sucrose or 10% honey diet. Bars sharing the same letter are significantly different from each other (all $p \leq 0.001$); NS = non-significant.
10.3.5 Light Extinction Task
Ten animals from each diet group performed the Light Extinction task, and the data was analysed for the complete 20-minute testing session, as well as the first and second 10-minute intervals (see Appendix 2 for the raw data).
The overall number of level presses did not differ significantly between the three diet groups. However, further analysis revealed that, irrespective of diet, the rats pressed the active lever significantly more often than the inactive lever \((F(1,27) = 36.5, p < 0.001)\) over the entire 20-minute session as well as during the first (0–10 minutes; \(F(1,27) = 13.49, p < 0.001\)), and second half (10-20 minutes; \(F(1,27) = 24.58, p < 0.001\)) of the testing session. In addition, analysis of each separate diet group confirmed that animals fed on each diet pressed the active lever significantly more than the inactive lever during the entire 20-minute session (\(t (9) = 0.01\) (sugar-free), 0.04 (sucrose) and 0.02 (honey) see Figure 10.12).
Similar results were also obtained for the 0-10 minute session (\(t (9) = 0.012\) (sugar-free) and 0.016 (honey)) and 10-20 minute session (\(t (9) = 0.003\) (sugar-free), 0.008 (sucrose) and 0.019 (honey) for most treatments. However, the difference between active and inactive lever presses did not reach statistical
significance for sucrose-fed rats during the first 10-minute session. This could indicate that animals fed sucrose were slower to learn that the active lever rather than the inactive lever had to be pressed to turn the lights off, or it could simply be a result of data variability.
The rats in all three diet groups displayed a similar number of active lever presses while the lights were on (AL\textsubscript{ON}) and while the lights were off (AL\textsubscript{OFF}) during the entire 20-minute testing session as well as the first and second 10-minute sessions (see Figure 10.13). As a result the AL\textsubscript{ON} / AL\textsubscript{TOTAL} ratios (proportion of the total active lever presses that occurred while the lights were on) were close to 0.5 for all groups, indicating that the distribution of active lever presses between the lights on and the lights off periods was approximately even (a series of one-way between-groups ANOVAs confirmed that there were no significant differences between the groups during either test session). This suggests that whereas the rats were able to determine that pressing the active rather than the inactive lever turned off the lights, none of the three dietary groups were able to distinguish the difference between pressing the active lever while the lights were on and when the lights were off (\textit{i.e.} that pressing the lever whilst the light were already off had no further effect).
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{image.png}
\caption{Mean ($\pm$ SE) number of active lever presses while the lights were ON (AL\textsubscript{ON}) as a proportion of the total number of active lever presses (AL\textsubscript{ON} / AL\textsubscript{TOTAL} ratio) during the total 20-minute session, and the first and second 10-minute sessions for rats fed a sugar-free, 8% sucrose or 10% honey die ($n = 10$ per diet group).}
\end{figure}
10.4 DISCUSSION
It appears that consuming honey rather than sucrose as a part of the daily diet may have an effect on various aspects of cognition as well as on other age-related disorders (described in Chapter 9). In particular, honey-fed rats outperformed their sucrose- and sugar-free-fed counterparts in the EPM, spending approximately twice as long in the open arms of the maze at each time interval tested (3, 6 and 9 months). The cause of anxiety is a complex issue, although it occurs in both animals and humans (Stone, 1997). Research has suggested that several areas of the brain may play a role in the development of anxiety (Bridges, 2006), although the full pathology has yet to be elucidated. The ventral hippocampus of the brain, for example, has been shown to possibly be involved as lesions in that area result in a reduction in anxiety behaviour (Bannerman et al., 2004). As well several other areas of the brain have been implicated in the etiology of anxiety, including the locus coeruleus, amygdala, hypothalamus and higher cortical areas (Charney et al., 1998; Gray and McNaughton, 2003). Importantly, however, it has been suggested that generalised anxiety disorders may result from a disruption to the neurotransmitter systems as agents acting at these sites (e.g. Benzodiazepines) decrease the anxiety response seen in both animals and humans (Charney et al., 1983; Teixeira-Silva et al., 2004). Although not proven scientifically in recent years, one study from the 1950s (Goldschmidt and Burkert, 1955) has suggested that honey may contain compounds that exhibit hormonal or neurotransmitter activities. These authors reported that honey acts as if it contains acetylcholine and choline esters (which would bind to muscarinic and nicotinic receptors). Benzodiazepines, in contrast, bind to $\gamma$-aminobutyric acid (GABA) receptors suggesting that different molecules would be involved. It is possible, though, that honey may also contain compounds that could bind to GABA receptors, and in light of the findings in the current study it would certainly warrant further investigation. Lyons and Truswell (1988), for example, have reported that high carbohydrate meals can influence serotonin synthesis. Thus, it is not infeasible to expect different carbohydrates to also influence other brain receptors.
Of course, honey could also be affecting anxiety in ways that do not involve neurotransmitter activities. It is possible that honey may have reduced anxiety-like behaviour because of its high antioxidant content. Evidence suggests that oxidative damage is critically involved in the pathological manifestations of aging including cognitive performance (Kumar and Gupta, 2002), however, a review of the literature suggests that only a few studies have investigated what
effect antioxidants may have on anxiety. In a recent study (Bouayed et al., 2007a) it has been demonstrated that clorogenic acid, an antioxidant compound present in fruits, decreased anxiety-related behaviour in mice using an EPM. Similarly, *Vaccinium* berries (with a high antioxidant content) have been shown to reduce anxiety-like behaviour in mice (Barros et al., 2006), and Whortleberry extract (Kolosova et al., 2006b) and Zingicomb (a mixture of *Zingiber officinale* and Ginko Biloba extracts; Hasenhoehr et al., 1996) have reduced anxiety scores in rats. Furthermore, recent research has suggested that there may be a definitive link between oxidative stress and levels of anxiety, as anxiety-related behaviour was higher in mice with elevated levels of reactive oxygen species (Bouayed et al., 2007b). High levels of anxiety appeared to also be correlated with an increase in free radical intake and a decrease in plasma antioxidant content in one clinical study involving 66 women (Arranz et al., 2007). Importantly, though, one study has shown that the behavioural response to antioxidant content may differ depending on the strain of animal used (Kolosova et al., 2006b). In that study, Whortleberry extract reduced EPM-based anxiety in OXYS rats after 45 days of feeding but *increased* anxiety behaviour scores in Wistar rats given the same extract during the same period. Thus, it appears that whilst the antioxidant content of honey may have contributed to the reduced anxiety scores in the animals in the present study, its significance requires further evaluation before definitive conclusions can be drawn.
Research has shown that when placed on an EPM, a rat’s behaviour is largely based on its anxiety level. Normal rats that have not been given anti-anxiety treatments become moderately anxious in the new environment, preferring the closed arms over the less secure open arms (Salum et al., 2000). In contrast, animals given anti-anxiety drugs tend to be less anxious, spending more time in the open arms of the maze (Treit et al., 1993), with generally less movement overall (Kalynchuk and Beck 1992). It is also possible, therefore, that honey maybe having an anxiolytic or pharmacological (tranquilising) effect, rather than preventing a decline in cognitive function, and that this may account for why the honey-fed animals were substantially less anxious at each time point compared with rats fed the other two diets.
The ability of honey to decrease anxiety levels is not always desirable though as anxiety is a response that is designed to enable an individual to deal with threatening situations and perform at optimum levels (Bridges, 2006). That said, however, there are many anxiety disorders that present worldwide, where an abnormal anxiety response is generated to normal everyday situations, the
level of anxiety being out of proportion to the level of stimulus generating the response (Bridges, 2006). Indeed, it has been reported that anxiety disorders now account for 27% of all psychiatric illnesses, with a cost of over 41 million Euros per annum in Europe alone (Andlin-Sobocki et al., 2005). Several diet groups are available for individuals suffering from such disorders, although today the mainstay therapy is still the use of anxiolytic drugs (Bridges, 2006). However, such drugs are often associated with unwanted side effects, and in some patients (particularly those with mild anxiety), their sustained use is not warranted. The ability to influence anxiety levels through natural supplements and diet is therefore a valuable tool for patients wishing to control their anxiety.
In addition to the effects of diet on EPM activity observed in this study, it was also shown that there was a significant effect of time overall, with animals generally spending more time in the open arms as they got older. It is possible that there was an overall increase in the time spent in the open arms of the EPM as the maze was no longer unique after the first testing session. An analysis of the literature shows that EPM tasks are generally only performed once (Rodgers and Johnson, 1998; Cole and Rodgers, 1995; Sayin et al., 2004), and not at reoccurring time points as in this study, thus there is little evidence to either support or reject this theory. However, it is well established that the memory of a rat is in the range of hours to days rather than months (Conrad et al., 1996; Levin et al., 1996), thus it is unlikely that the animals remembered the task three months after a previous session. More likely, these results were accurate, indicating that increasing age leads to a decrease in anxiety levels. Indeed, these findings agree with those from other animal studies (Slawecki, 2005; Chen et al., 2007) as well as with some clinical studies (Le Roux et al., 2005; Brenes, 2006) that show that anxiety decreases with age.
Interestingly, a significant finding was also observed in the Y maze task, with honey-fed rats choosing to enter the novel arm more often than the other arm for 9 months compared with only 3 and 6 months for rats fed sucrose and a sugar-free diet, respectively. This suggests that the honey-fed rats did not show the reduction in spatial memory that was exhibited by rats fed the other two diets, though it must be noted that a significant difference between diet groups was only observed at 6 and 9 months (refer to Table 10.2). Rats fed honey appeared to recognise the novel arm as being the unvisited arm of the maze at each of the four testing sessions (although the difference between novel (80%) and other (20%) arm only neared significance at 12 months) whereas rats fed sucrose only recognised the novel arm as being the unvisited arm at the 3-month testing
session. For the remaining three testing sessions, the ratio of sucrose-fed animals entering the novel and other arms of the maze neared 50:50. With animals fed the sugar-free diet, the novel arm was recognised as being the unvisited arm at the 3- and 6-month testing sessions. This would suggest that GI may have influenced recognition memory in this study as both the sugar-free and honey-based diets were low GI, whilst the sucrose-based diet was high GI. Furthermore, a look at the data at 12 months shows that the percentage of animals fed the sugar-free diet entering the novel arm (78%) was very similar to the percentage of honey-fed rats (80%) entering the novel arm at that time. Although the difference between the proportion of animals entering the novel and other arms did not approach significance at 12 months for rats fed the sugar-free diet ($p = 0.096$), it is possible that any significant difference between diet groups was masked by the reduced number of animals tested at that time (only 9, 10 and 10 rats from each diet group completed the task at this time point). Thus, it could be that rats fed honey or the sugar-free diet had a similar level of recognition memory after 12 months of feeding, with both groups outperforming the animals fed the sucrose-based diet.
HbA1c levels were also significantly reduced in honey-fed rats compared with those given sucrose at the end of the study (refer to Section 9.3.2), lending weight to the theory that rats fed honey may have demonstrated better cognitive abilities at 12 months because of improved glycemic control. As discussed in Section 10.1, impaired glucose tolerance and hyperglycemia have been shown to have an impact on cognitive function, with diabetic individuals and those suffering with poor glycemic control often exhibiting a greater impairment of cognitive function in older age (Messier et al., 2005; Di Bonito et al., 2007). In addition, Awad et al. (2004) specifically reported that impaired glucose tolerance has a significant impact on various aspects of memory, and animal studies have shown that regulation of insulin and glucose levels improves memory (Stone et al., 1990) and maze performance (Long et al., 1992) in aged rats. It is therefore possible that the lower GI of honey prevented the decline in spatial memory seen in rats fed sucrose.
However, the HbA1c levels of rats fed the sugar-free diet, whilst numerically lower, were not statistically different ($p = 0.249$) from those of sucrose-fed rats at the completion of the study. This suggests that glycemic control was not completely responsible for why honey-fed rats exhibited better spatial memory for longer periods of time (as both the sugar-free and honey diets
should be low GI compared with sucrose). Thus, other components of honey may also play a role in the improved memory scores seen in this task.
As with most aspects of brain function memory is a complex process, although it is well established that it can be influenced by diet (Greenwood and Winocur, 1990; Yokogoshi and Nomura, 1991; Long et al., 1992; DeSilvey, 2005; Booij et al., 2006). Many studies have reported a significant effect of dietary antioxidants on cognitive performance (see Section 10.1), and a number of studies have even shown a direct correlation between antioxidant intake and improved memory scores (Perkins et al., 1999; Raghavendra and Kulkarni, 2001; Cho et al., 2003; Farr et al., 2003). In light of these studies, it is possible that the antioxidant content of the honey may be, in part, responsible for the improved spatial memory seen in honey-fed rats in the Y maze task. The honey used in the present study was specifically chosen for its high antioxidant content (TEAC = 3.1 mmol/l), and this level of antioxidants is comparable to that in the diet in another study that has shown a significant effect on cognitive function (Cho et al., 2003). However, the majority of studies investigating the effect of antioxidants on cognition do not report the antioxidant content of the foods/extracts they are investigating but instead give information as grams of food extract (Bickford et al., 2000; Guilherme dos Santos et al., 2005; Kolosova et al., 2006a). Thus it is not possible to fully compare the effects of honey versus other dietary substances on cognitive performance.
Interestingly, there were generally few significant differences between diet groups for the amount of time spent in the three arms of the Y maze, nor in the number of visits to each arm. It had been hypothesised at the start of this trial that if spatial/recognition memory were to differ between diet groups, that there would be a noticeable difference in the amount of time spent in the novel arm of the maze, particularly in the first 1–2 minutes. However, with the exception of the frequency of visits to the novel arm at the 6 month testing session, no differences were observed for either the number of visits to the novel arm, or the duration of time spent exploring that arm of the maze. An inter-trial period of four hours was chosen for this task, as it has previously been reported that Sprague Dawley rats demonstrate no recognition memory after six hours (Taghzouti et al., 1999) but that recognition memory occurs for time periods of four hours or less (Conrad et al., 1996). It is possible that four hours was right at the limit of the animals ability to remember the maze and the spatial cues, and that a shorter inter-trial period may have improved the performance of some or all animals in this task. It was not possible to investigate other inter-trial intervals during this study due to the
time it took to complete this task at each testing session, nor could pilot studies been effectively undertaken as it was unknown how the performance of the animals would change as they aged. Based on these results, however, it would be advantageous to maybe use a shorter inter-trial interval if similar studies were to be carried out in the future.
Another compounding factor with the Y maze task is that the majority of animals did not explore the Y maze to any great extent (exploration was deemed to include movement around the maze/arm entries as well as sniffing), most rats instead preferring to sit in an arm for a prolonged period of time. It is likely that this occurred as the maze (and the novel arm) quickly became a familiar environment with no food or other rewards to entice them into exploring further. Other studies have demonstrated that exploration in maze tasks may be improved by the presence of food rewards (Seo et al., 1999; Sayin et al., 2004) though as mentioned earlier it was not possible to use food rewards in any of the behavioural tasks in the present study due to the need to accurately control and record dietary intake and weight gain. In addition, the maze had relatively narrow and high-sided arms, providing the animals with a level of security. This may have provided an environment where the animals did not feel the need to explore the maze any further than was required to determine the presence of food, predators or a means of escape.
In contrast, when the animals were placed into the large open area of the Open Field arena the rats generally moved around constantly during the 5-minute session (albeit slowing over the time of the task), most likely in an attempt to find somewhere to hide. However, there was no effect of diet on the degree of locomotor activity during this task at either 6 or 12 months. This indicates that the degree of movement displayed by animals in the various behavioural tasks in this study was likely to not have been influenced by diet, but rather was due to the maze designs themselves. Thus, any differences observed in the Y maze, EPM or Object Recognition tasks could be assumed to be real findings and not a result of the fact that one dietary diet group exhibited a higher lever of activity/mobility compared with the other diet groups.
As expected, the degree of movement within the Open Field arena decreased as the animals aged, with the older animals exhibiting fewer movements within the arena (see Figure 10.9). This agrees with the observations that older individuals tend to be less active compared with their younger counterparts, this being affected by factors including weight gain, changes in
lifestyle/fitness and general age-related muscle, tissue and bone degeneration (Hayflick, 1998).
No differences between diet groups were observed for animals performing the Object Recognition task, although all animals recognised the novel object as being the new, unvisited object. These results suggest that the honey diet had no impact on the degree of object recognition, although it may be that the animals were not old enough that either the control sugar-free-fed animals or those given sucrose displayed a decline in recognition memory. At what age a rat is considered to be “old” is debatable, although Hubert et al. (2000), have reported that Sprague Dawley rats fed *ad libitum* will often live for 2–3 years in a laboratory setting, with death generally occurring from approximately 50 weeks of age onwards. Similarly, Altun et al. (2007) have reported that the mean survival age of Sprague-Dawley, inbred female Lewis and outbred male Wistar rats is 29–30 months. In a number of studies assessing behavioural measures in rats the animals were considered to be “old” when aged 22–25 months (McLay et al., 1999; Topic et al., 2002; Bizon and Gallagher, 2003). In addition, one paper has stated that the rats were “young” when aged approximately 7 months and “middle-aged” when aged 10 months (Bizon and Gallagher, 2003). In the current study animals were aged approximately 14 months at the completion of the study, which would put them at middle-old age, and this should have been old enough for declines in recognition memory to have begun to occur (and indeed a decline in recognition memory was observed in the Y maze task). Thus it is unknown why rats that completed the Object Recognition task did not show a loss in cognitive performance, although it may have been that the task was simply not sensitive enough to pick up the minor changes that may have occurred through dietary influence. Alternatively, the power of the study may have been inadequate to detect statistically significant differences. As this task was performed only once at the 12 month testing session, variability within groups was likely to be high due to differences in aging, weight, metabolism *etc* (indeed, the coefficients of variation (COVs) were 35–60% for most variables, and 90% in one case). Thus, it is possible that a greater number of experimental animals may have yielded better results. In addition, object recognition works on the theory that an animal will want to explore a novel object in its environment. It could be, however, that the animals in this study were habituated to the presence of novel objects as enrichment devices were placed in their cages at regular intervals throughout the 12-month study.
Importantly, however, two studies have shown dietary antioxidants to have an effect on object recognition performance (Goyarzu *et al.*, 2004; Andres-Lacueva *et al.*, 2005). In the first study, aged Fischer rats (exact age unknown, abstract only) fed a 2% blueberry-supplemented diet for 4 months demonstrated significantly improved object recognition capabilities compared with aged animals fed a control diet, with blueberry-fed animals having similar levels of cognitive performance to those of young rats fed the control diet. These authors reported that this was due to reduced levels of the oxidative stress responsive protein nuclear factor kappa-B in the brain (Goyarzu *et al.*, 2004). In the second study, Andres-Lacueva *et al.* (2005) reported that 19 month old Fischer rats fed 2% blueberry extracts for 8–10 weeks demonstrated improved recognition and memory compared with control animals, with significant levels of anthocyanins being detected in the brain. Thus, both of these studies have shown that dietary antioxidants are indeed capable of crossing the blood brain barrier, where they may exert positive effects on oxidant-related declines in cognitive performance. It is likely, therefore, that the antioxidants present in honey may also reach the brain where they too can offset oxidative damage. It would be of interest to assess this in future studies.
Although the Light Extinction task has produced good results in other studies (Messaoudi *et al.*, 1996; Benton *et al.*, 2003), it revealed no conclusive findings in the present study. Rats in all three diet group groups appeared to be able to distinguish that the active lever turned the light off whilst the inactive lever did not (see Figure 10.12), although there were no differences between treatments (this may have been due to the small number of rats tested and the high intra-group variability as COVs were in the range of 39–97%). Measurement of learning capability generally involves tasks where there is a strong positive or negative association with a given action (*i.e.* animals are given a mild electric shock when they perform an incorrect action; Torres *et al.*, 2005; Schneider *et al.*, 2006) or where the animals are given training for a particular task (reviewed by Whishaw, 1999). As the ability to learn appears to deteriorate in older age (Cerella *et al.*, 2006; Seidler, 2006; Bennett *et al.*, 2007), it may be advantageous to use more operant-learning based tasks in future studies, or tasks where there is a stronger incentive for the animal to learn. Again, the age of the animals may also have had an impact on the results of this task, and it may be worthwhile in future investigations to assess learning skills in animals aged older than 14 months. However, there are obviously additional costs associated with feeding
and housing animals for an additional 6–12 months and this may be beyond the scope of further studies.
In conclusion, it appears that long-term feeding of honey, sucrose and a sugar-free diet may have differential effects on cognitive performance in rats, with honey-fed rats exhibiting improved cognitive performance in some tasks at the completion of the study. Interestingly, where a difference in cognitive ability was observed between diet groups, rats fed the sugar-free diet generally performed less well than the honey-fed rats. This suggests that the improved performance seen in honey-fed rats is not due only to a lower dietary GI content (and better glycemic control) but involves other components in the honey. As mentioned previously, the honey chosen for this study contained a high content of antioxidants, and it is likely that these were involved in the improved cognitive abilities seen in honey-fed rats, as other studies have demonstrated the efficacy of antioxidants on cognitive performance *in vivo*. It would be of interest to assess honeys of differing floral sources and those with differing antioxidant contents to ascertain what other factors present in the honey may be responsible for the results obtained in this study. Importantly, though, this study has demonstrated that the cognitive decline often observed in older individuals may be able to be offset by long-term improvements to diet in earlier life.
During the research presented in this thesis a number of interesting results have been obtained. However, like all scientific studies/trials, those presented in this thesis are also open to criticism and evaluation. This chapter will therefore critically review the findings of this thesis, specifically the use of animal models and how the results of these studies may relate to human health.
11.1 USE OF ANIMAL MODELS FOR NUTRITIONAL INVESTIGATIONS
Animal models have been used extensively in this thesis to investigate the various endpoints, and several conclusions have been drawn based on the data obtained. However, whereas animal models offer advantages in nutritional investigations (see below) they also can have negative implications. In particular, whilst some animals share certain characteristics and conditions with humans, they are only ever analogues at best and not an exact match. Differences in anatomy, physiology and pathology can all contribute to why results may differ in a given animal model compared with a human counterpart. LaFolette and Shanks (1992) have reported that animals are generally chosen for a given study if they are shown to be a “strong” model, i.e. if they are identical to the analogous human features in all casually relevant aspects, such that the research generated
from such models can be confidently applied to humans. But, investigations into disease and physiological disorders often do not meet these criteria. Cancer, for example occurs in both animals and humans, and initial thoughts would suggest that a rodent or primate model could effectively be used to investigate carcinoma formation. However, development of cancerous malignancies can differ widely depending on their causes (Kaufman et al., 1989), and experimentally-induced malignancies in non-human animals cannot be directly compared to those that occur spontaneously in humans.
In this thesis, the basis of most of the studies has been to investigate possible differences in sugar absorption and metabolism (*i.e.* the fructose and glucose in honey compared with sucrose and amylose) and to determine whether other components of honey (particularly antioxidants) may be absorbed from the gut to confer a physiological effect. Whilst rats are generally considered to be good models for humans, particularly with respect to nutrition, they are not always a perfect match. Recent research (published after much of the work in this thesis had been completed) has reported, for example, that the internal structures of insulin-producing pancreatic islet cells are dramatically different between rodents and humans (Cabrera et al., 2006), and that fructose transport and metabolism in adipose tissue is compromised in some rat models compared with humans (Litherland et al., 2004). Furthermore, several studies have demonstrated that feeding a high fat diet (as occurred in this study) to some breeds of rats (Sprague Dawleys were not investigated) can lead to insulin resistance and impaired glucose metabolism (Kraegen et al., 1991; Bernstein et al., 1977; Furler et al., 1997; Han et al., 1997). In addition, rodents are generally considered to not be an appropriate model to assess lipoprotein concentrations in blood (this was a key endpoint in several studies) as plasma lipid levels in rats are only minimally affected by modifications of dietary fat and cholesterol compared with their response in humans (Hegsted, 1975). However, more appropriate models for both blood sugar- and lipid-related endpoints would likely be animals with a similar and comparable physiology (pigs and primates), and the burdening costs associated with the housing, feeding and manipulation of these animals would make many of these studies impractical and unachievable.
Despite the differences that can occur, the use of small animals in biomedical research is still warranted as it provides a means of undertaking research that is cost- and time-effective, allowing the generation of huge amounts of data that could not be obtained otherwise. It should be noted, though, that such studies are generally considered to be pilot investigations and most
researchers do not automatically draw direct conclusions as to the implications their findings could have in humans. Instead, such animal studies provide an opportunity to investigate a hypothesis or evaluate a new drug in a controlled manner, and further studies are undertaken (including clinical evaluations) once the additional costs, time and interventions are deemed appropriate.
Despite the fact that the use of animal models can be flawed, it has offered several advantages in this thesis. The one main advantage of using rodents in these studies has been the ability to completely control the experimental conditions and diet, thereby providing the best possible means of determining whether there were actual differences between the dietary treatments. To perform such controlled studies in humans would be virtually impossible as it is impractical to expect volunteers to conform to such a rigid dietary regime for extended periods of time. The second main advantage of using rodents was due to the costs associated with this work. Clinical studies are prohibitively expensive for all but the more wealthy companies due to the large number of patients that must be recruited in order to show a significant effect (and because of the large number of withdrawals that usually occur due to side effects) (Mawson, 2003), thus it would have been completely unfeasible to have undertaken the work in this thesis using human volunteers. Thirdly, without the use of small animals it would have been impossible to investigate the efficacy of honey in older age after long-term feeding, as humans (and closely related animals such as primates), have a life span that excessively exceeds that of a PhD project (or even most funded research programs).
As mentioned, the animal trials in this thesis were designed to obtain the best possible data which might indicate whether honey could have an effect on the various endpoints studied (calcium absorption, weight gain, cognitive performance etc). It is recognised, though, that irrespective of the fact that animals were used rather than humans, the experimental designs were not real life situations. The calcium studies (Chapters 7 and 8), for example, were designed using male animals only to avoid the impact that hormones might have on calcium uptake, despite the fact that it is primarily women who suffer from osteoporosis and other low-calcium related disorders. As well, in all studies the animals were fairly restricted in the amount of activity they could undertake because of the size of the cages they were housed in, and it is unknown what impact this may have had on the results. It would therefore be advantageous in future work with animal models to more closely match the experimental
conditions to typical human situations so as to better assess what impact honey may have on human health.
11.2 IMPLICATIONS FOR HUMAN HEALTH
As the data from this thesis has demonstrated, honey may have the ability to influence certain aspects of human health. Certainly, there appears to be a consistent finding across many of the studies that ingesting honey may improve an individual’s ability to control their blood sugar levels and weight gain. It is possible that this could be due to differences in the glycemic responses that result after eating honey and sucrose, as honey-fed rats often exhibited weight gain and blood glucose levels that were similar to those fed a sugar-free diet that contained low GI amylose. However, it must be noted that the GI value was never actually measured for any of the honey samples used. The GI value of a particular food is generally determined by measuring the area under a two hour blood glucose response curve (AUC) in at least 10 individuals (measured using 15 minute blood sampling for the first hour, and 30 minute sampling for the second hour) following the ingestion of a fixed portion of the food (usually containing 50 g carbohydrate) (Brouns et al., 2005). The AUC value is then divided by the AUC value of the standard (either glucose or white bread) and multiplied by 100. This process is relatively costly, though, and was not performed in this thesis because of budgetary constraints and because of the fact that the literature generally reports that honey has a low to moderate GI value (Shambaugh et al., 1990; Arcot and Brandmiller, 2005; Ischayek and Kern, 2006) and results in low plasma glucose levels after consumption (Samanta et al., 1985; Akhtar and Khan, 1989; Al-Waili, 2003a, 2003b 2004). It would be worthwhile, though, to accurately assess the GI value of any honeys used in further studies so that more accurate conclusions are able to be drawn. As well it would be of interest assess honeys of differing floral sources as limited research has demonstrated that floral source may be a contributing factor to the GI value of the honey (Foster-Powell et al., 2002).
Another important factor to consider is that whereas the GI values of honey and sucrose have been shown to differ when assessed as stand-alone dietary ingredients (Shambaugh et al., 1990), it is unknown whether any differences in GI would be detected when they are incorporated into the diets at levels usually used in this thesis (8–10%). For example, the addition of high GI sugars to low GI yoghurts at a level of 15 g /100 g still resulted in a low GI overall
when tested using the standard method (Joanne Todd, Fonterra Brands, personal communication). With the composition of the diets in this study consisting of 36–53% high GI starch, 16–22% milk powder/casein/lactalbumin and 15–16% fat, it is likely that the overall GI of the diets was moderate to high, although without full GI testing, this is hypothetical only. However, assuming that this is correct, the question is then whether adding 10% honey (containing 8% sugars) can actually have an impact on this rating. It may be that honey is not directly influencing weight gain and blood glucose levels through differences in GI, but rather through other mechanisms, including its possible insulin-mimetic effects (see Section 6.4 for details).
A second issue that must be addressed is the fact that in the studies presented in this thesis all of the sugars in the diet were replaced with honey. As mentioned previously, the carbohydrate content of the diets in Chapters 6, 8 and 9/10 was based upon data from the 1997 National Nutrition Survey (New Zealand Ministry of Health, 1999) that reported 45–47% of the energy content of the average New Zealander’s diet comes from carbohydrate. However, the data was not available as to what this carbohydrate content generally consisted of, i.e. whether it was complex carbohydrates such as pasta and whole grains, or more simple carbohydrates such as white flours and sugars. What was reported, though, was the fact that the daily median intake of sugars was 131 g for men and 99 g for women, and that the daily median energy intake was 11 631 kJ and 7 701 kJ, respectively. Assuming an energy content of the sugars of 17 kJ/g, sugars therefore accounted for approximately 20% of the daily energy intake (19% for men and 22% for women). In the present studies the total levels of honey or sucrose added to the diet was approximately 8% by weight (honey was 10%, but 20% of this is water). Coincidentally, this was also equivalent to 8% of the daily energy intake (see Section 9.2.2 for an example of how the dietary energy intake was comprised), indicating that the quantity of sugar used in the present studies was only about half of that of the typical New Zealand daily intake. Importantly, though, the survey data also did not indicate what types of sugars make up the 20% daily kilojoule intake. Differences in the quantities of fructose, sucrose and glucose ingested can, and do, have very different effects on blood glucose levels (Foster-Powell et al., 2002), and the impact that a given persons sugar intake can have on their health can vary greatly, even when not considering the differences in metabolism and lifestyle.
As Fonterra was funding the majority of the research presented in this thesis, the underlying objective was always to assess how honey might act when
it was incorporated into milk-based products such as yoghurts and flavoured milk drinks. A review of the milk products currently available on the New Zealand market revealed that such products generally have around 7.5–9.5% sugars added, these making up the bulk of the carbohydrate content. Thus, in the studies presented in this thesis, a level of around 10% honey (containing 7.9–8.0% sugars) was generally used as it was considered to be the maximum level that would potentially be added to a milk-based product. The problem arises, though, as there is a big difference between 10% honey/8% sugars in a drink or yoghurt consumed once or twice a day and 10% honey/8% sugars in the total diet. However, as mentioned, in the work in this thesis all of the sucrose in the diet was replaced with honey to directly compare what effects the two diets would have on the various endpoints. To have incorporated sucrose into the diet at a level of 20% of the energy intake would certainly have been feasible, but to have that much honey in the diet would have been impractical. Honey is often used as a sugar substitute by those who are health conscious but rarely, if ever, is it used to replace all the sucrose that is being consumed. It may have been advantageous to have used 20% sucrose in one diet and a mixture of honey and other sugars in the other (with the total sugar content equally 20%) but it then would have been impossible to know which effects were due to the honey alone.
Furthermore, the levels of honey consumed by rats in these studies are substantially more than that consumed by the average public. Data from the Global Environmental Monitoring System/Food Contamination Monitoring and Assessment (FEM/Food) Program indicates that daily consumption of honey per capita ranges from 0.0–1.3 grams per person (World Health Organisation, 1998). This is an incredibly small amount when you consider that it comprises only about 0.2–0.3% of the days total energy intake, suggesting that any positive, health-promoting effects are almost certain not to occur at these levels.
In addition, in all the studies presented in this thesis, raw honey was used, and it is unknown whether the bioactivities observed would be retained after food processing. The addition of honey to milk based products, for example, might require it to undergo pasteurisation, and it is likely that the high temperatures involved (usually 71°C for 15-20 seconds) would alter enzyme structure/function as well as that of other unidentified heat-sensitive molecules. In addition, honeys produced for sale in North America and Europe are regularly pasteurised before being made available, and the consumer must be aware that the effects observed in the various studies in this thesis may not have occurred had we used pasteurised honey. ‘Raw’ honey can be sourced directly from the apiarists as well.
as from health food stores, though, and this is a better alternative for individuals wishing to consume honey because of its possible effects on health. In addition, it has also been reported that certain honeys can actually retain some of their heat-sensitive properties after heating due to the presence of iron-binding antioxidants (P. Molan – personal communication). Honey Dew and Rewarewa honeys, for example, have been shown to retain their glucose oxidase activity after heating if high levels of these particular antioxidants are present. This work is very much in its infancy, but future work hopes to investigate how the bioactivities of honey may be able to be retained after UHT or pasteurisation, or when incorporated into baking *etc.* In the meantime, there are other means of sterilising honey (including gamma-irradiation), and it could be that honey may need to be added to foods at a later stage in the development process to avoid any loss of function. These points would need to be addressed by any food manufacturer wishing to add honey to their products to improve health.
The results of this thesis do demonstrate, though, that honey could have positive effects on certain aspects of human health, including improved weight regulation, immunity, lipid levels and cognitive performance without having to be consumed at excessively high levels. Certainly, it appears that honey does not need to replace all the sugar ingested per day, and it could be that the use of honey in a supplemental form or as a partial substitute may be adequate to confer a particular effect. Consumption of food in human populations is driven not only by the need to fulfill our body's requirements for energy and nutrients, but also by emotional and psychological cues. Many people eat not only when they are hungry, but when they are sad or lonely. Similarly, effective advertising can induce a person to purchase and consume a food product that they did not necessarily want or need. Our abilities to control our dietary intake are therefore controlled by a multitude of different factors, and it is unlikely that many individuals would have the willpower required to refrain from eating products that contained sugars, whilst consuming only those that contained honey. However, most sugar is consumed in manufactured products, and dramatic changes in dietary sugar intake could be affected if food manufacturers switched to using honey in their products. It would also be of interest in future studies to investigate exactly how much honey must be consumed to have a specific effect *in vivo*, and whether honey is more effective when taken as a supplement to the typical diet (thereby increasing the overall sugar intake) or as a partial substitute.
As well, it would be of interest to determine for how long honey must be consumed before health benefits are observed. In the present studies,
improvements in weight regulation were seen after short-term feeding (see Chapters 5 and 6), but corresponding data for brain function was limited (see Chapter 10). Data from the EPM maze (assessing anxiety), for example, showed no interaction of diet x time for the duration of time spent in the open arm of the maze (indicating less anxiety), although there was a significant reduction in anxiety in honey-fed rats overall. A closer look at the one-way ANOVAs from each time point of this study revealed that honey-fed rats were only significantly less anxious compared with those fed sucrose at the 9-month testing session (see Figure 10.8). This would suggest that at least 9 months of consuming honey is therefore required to observe this effect. However, analysis of the 6-month data shows that the mean duration of time spent in the open arm of the maze was at least twice as high in honey-fed rats compared with those fed sucrose at this testing session also (27.1 vs 12.4 seconds). This did not reach statistical significance because of the high data variability, but it is possible that significant differences may have been observed if larger sample sizes had been used. If this is the case, it could be speculated that honey may be able to be consumed for a shorter period of time than initially thought to exert its effects on cognitive ability and/or mental acuity.
It is important to recognise, though, that feeding honey to rodents for 6 or 9 months is not equivalent to a human individual consuming it for the same period of time. The life span of a Sprague Dawley rat is only 2–3 years when kept in a laboratory setting (Hubert et al., 2000), thus 6–9 months is \( \frac{1}{4} - \frac{1}{2} \) of its life span. By comparison, the average life expectancy in US populations is 77.9 years (Minino, 2005). Potentially, an individual may therefore need to consume honey for at least 20 years of his or her life to have an effect on cognitive performance, although it is also unknown whether the outcomes might differ depending on when the honey was consumed (\textit{i.e.} in early life, in later life, or sporadically throughout the life-time). Such questions would need to be addressed in future studies.
### 11.2.1 Negative Aspects of Consuming Honey
Although the positive aspects of consuming honey have been addressed thoroughly in this study (see Chapter 1), there is some evidence to suggest that consuming honey, particularly in higher quantities, can also be detrimental for some individuals. Recent research has demonstrated, for example, that some honeys are derived from plants containing pyrrolizidine alkaloids, these substances being known to cause poisoning, liver damage and death in humans,
as well as cancer in rodent models (reviewed by Edgar *et al.*, 2002). It has been suggested that pyrrolizidine alkaloids occur in approximately 3% of the world’s flowering plants (Smith and Culvenor, 1981), but that the occurrence of honeys containing these compounds may be considerably higher, as several of these plant species are specifically grown for other uses (*e.g.* *Borago officinalis* and *Echium* spp. are high in alpha- and gamma-linoleic acids, making them good seed oils; Roeder *et al.*, 2001). Honeybees are used to pollinate the flowers of these plants in such areas, however, and honey is considered to be a valuable byproduct of this industry (Edgar *et al.*, 2002). As mentioned earlier, daily consumption of honey per capita ranges from 0.0–1.3 grams per person, and individuals in European countries consume the highest amounts (World Health Organisation, 1998). It has been suggested that certain individuals (*i.e.* those living in areas where plants containing these compounds are known to grow abundantly) may therefore be consuming up to 7.8 µg of pyrrolizidine alkaloids per day, this being significantly higher than the 0.1 µg/day specified as safe by world authorities (World Health Organisation, 1998). Caution against consuming large quantities of honey is therefore advised for floral sources that are either unrecognised, or known to contain these substances.
Intake of honey (particularly in large amounts) may also be detrimental to some individuals because of the high levels of fructose ingested. In the present studies it has been suggested that the fructose in the honey may be a better alternative to sucrose or glucose in the diet as it results in a lower GI (Samanta *et al.*, 1985). However, GI measures only the glucose response and not that resulting from the intake of fructose, as fructose metabolism follows a completely different pathway from that of glucose (Elliot *et al.*, 2002). In addition, fructose has been shown to have the opposite effect of glucose on insulin, leptin and ghrelin, three hormones that are known to have key roles in the regulation of food intake (Wylie-Rosett *et al.*, 2004), such that a high fructose intake may actually result in an *increase* in overall food intake because of decreased satiety. Such findings were not corroborated in the studies presented in this thesis, though, the animals being fed honey generally consuming the same amount of food as those fed sucrose or a sugar-free diet. High-fructose diets have also been shown to induce fatty liver in rats and ducks, and to increase hepatic lipid peroxidation in rats (reviewed by Gaby, 2005). Similar findings have not been detailed in human studies, although one small study has reported that the fructose moiety of sucrose may have been responsible for the liver injury seen in healthy non-obese
males who consumed 20–35% of calories as sucrose for 30 days (Porikos and Van Itallie, 1979).
Furthermore, ingestion of honey has been shown to have a laxative effect in some people because of its high fructose content (Ladas et al., 1995; Ladas and Raptis 1999). Fructose is generally poorly absorbed from the gut, and the unabsorbed sugar can act to draw water into the bowel because of its osmotic load, thereby leading to diarrhoea, bloating, flatus and abdominal discomfort (Elliott et al., 2002). However, glucose has been shown to enhance the absorption of fructose, and the ratio of glucose:fructose present can be a key factor in determining its effects on the gut in susceptible individuals (Ament et al., 1997). In addition, the laxative properties of honey may actually aid some individuals, particularly those suffering from constipation.
In both human and animal studies, fructose consumption has also been shown to elevate triglyceride levels (reviewed by Elliott et al., 2002). This was also not seen in the studies undertaken in this thesis, but this is likely because the levels of fructose consumed did not reach those used in the published studies. Indeed, whilst honey is considered to be a high-fructose food (the fructose content of honey is ~45%), the levels of fructose ingested by the rats in the present studies rarely exceeded 5% in the diet overall. The impact of consuming honey related to high fructose levels may therefore be minimal in human consumption, except in cases where large quantities are ingested over a short period of time.
11.3 CONCLUSIONS
Although there are a few potential negative consequences of adding honey to the daily diet, its use should not be completely disregarded. In 2003, four United Nations agencies, (including the World Health Organisation (WHO) and the Food and Agriculture Organisation (FAO)) commissioned a report that stated that the total of free sugars (all monosaccharides and disaccharides added to foods by manufacturers, cooks or consumers, plus sugars naturally present in honey, syrups and fruit juices) should not account for more than 10% of the energy-intake of a healthy diet. But, despite this, intake of sugars (particularly sucrose, glucose and high fructose corn syrups) continues to increase in Western countries (Joint FAO/WHO Expert Consultation, 2003).
The ability to at least replace some of the more commonly used sugars with a product that could positively influence health has to therefore be a step in the right direction. However, with the burden that chronic diseases are now
placing on our global society, education as to the role that diet, nutrition and lifestyle can play is also key. Recent changes in the world’s food economy has resulted in shifting dietary patterns, including increased consumption of energy-dense diets high in fat, particularly saturated fat, and low in unrefined carbohydrates (Joint FAO/WHO Expert Consultation, 2003). Importantly, these patterns, along with an increase in sedentary lifestyle are all contributing to the escalating prevalence of chronic diseases such as Diabetes, cardiovascular disease and cancer in Western populations. Food manufacturers must therefore take some level of responsibility for the nutritional status of the foods they produce, rather than being driven purely by levels of profit that can be achieved.
In conclusion, it appears that the consumption of honey may offer several advantages to human health, specifically as a possible replacement for other sugars in the diet. In particular, honey appears to have a significant impact on weight regulation, with reductions in weight gain being observed after only a few weeks of dietary change. Importantly, these reductions in weight gain also continued to be observed in older age (after long-term feeding), when it is well accepted that it is generally harder to manage weight because of a reduction in metabolic rate. Unfortunately, despite the fact that three studies were undertaken to investigate the effects of honey on weight gain, no definitive conclusions as to how it induced these effects were able to be elucidated. Based on the data in this thesis, it appears that the reduced weight gain seen in honey-fed animals is not due to satiety as food intake was generally not reduced in these animals compared with those fed sucrose. It is possible that the honeys used in this thesis were lower GI than the sucrose, and that this could have accounted for some of the differences, but this too is questioned as rats fed mixed sugars as in honey did not display the same reductions in weight. The data does suggest that there are substances present in the non-sugar fraction of honey that are responsible for the weight loss effects seen. What these substances are is currently unknown, as are the actions by which they could be exhibiting these effects. More research into this area is needed to better understand how honey is having this effect and what concentrations are required to be eaten to affect weight gain.
Importantly, long-term feeding of honey also resulted in a significant reduction in blood glucose levels suggesting that it may be a good sugar source for those who are susceptible to Diabetes or insulin resistance. As well, honey demonstratably increased HDL-cholesterol (the “good” cholesterol) compared with an equivalent amount of dietary sucrose, suggesting that consumption of
honey may also help to reduce the risk of cardiovascular heart disease in some individuals (low levels of HDL-cholesterol are a key indicator of heart disease).
Although full analyses were not undertaken, preliminary data also suggested that honey may help improve immunity in later life. As declining immune function is one of the key driving forces behind the development of many age-related disorders, this may also act to reduce the cost of medical care, whilst improving an individual's quality of life.
Finally, consumption of honey appears to have a significant impact on some aspects of cognition in later life, possibly helping to maintain brain function. Cognitive decline is a complex issue, and much more work needs to be done in this area to better elucidate these effects. The use of different behavioural tasks, as well as brain analyses, for example, may generate new data that could help researchers better understand what effects honey can have on maintaining brain function in older age.
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Appendix 1:
AC-350 Automatic Calorimeter Instruction Manual.
© 2003 LECO® Corporation.
Supplied by Felicity Jackson, Manager, Nutrition Laboratory, Institute of Food, Nutrition & Human Health, Massey University
Appendix 2:
Raw Data from the Behaviour Experiments
(Chapter 10)
Raw Elevated Plus Maze data (mean ± SD) from the 3, 6, 9 and 12 month testing sessions for animals fed a sugar-free diet, 7.9% sucrose or 10% honey (duration of the testing session = 300 seconds)
| Behaviour | Sugar Free | Sucrose \(^a\) | Honey | Sugar Free | Sucrose \(^a\) | Honey | Sugar Free \(^b\) | Sucrose \(^a\) | Honey | Sugar Free | Sucrose | Honey \(^c\) |
|----------------------------------|------------|----------------|---------|------------|----------------|---------|--------------------|----------------|---------|------------|----------|-------------|
| # Animals tested | 14 | 14 | 14 | 14 | 15 | 14 | 14 | 15 | 13 | 14 | 14 | 14 |
| Total arm entries | 9.7 ± 5.9 | 11.5 ± 5.8 | 12.1 ± 1.7 | 7.1 ± 3.8 | 8.5 ± 4.3 | 10.3 ± 4.8 | 9.6 ± 4.3 | 9.9 ± 4.9 | 12.0 ± 5.4 | 6.9 ± 3.7 | 5.5 ± 3.3 | 9.7 ± 4.8 |
| Open arm entries | 1.4 ± 1.6 | 2.2 ± 1.6 | 2.5 ± 2.4 | 1.3 ± 1.5 | 1.1 ± 1.3 | 2.5 ± 2.0 | 2.5 ± 2.0 | 2.2 ± 2.0 | 4.3 ± 2.6 | 1.6 ± 1.8 | 0.8 ± 1.3 | 2.4 ± 2.3 |
| Closed arm entries | 8.4 ± 4.6 | 9.3 ± 4.4 | 9.6 ± 3.6 | 5.9 ± 2.7 | 6.9 ± 3.5 | 7.8 ± 3.1 | 7.1 ± 2.6 | 8.3 ± 2.5 | 7.7 ± 3.5 | 5.2 ± 2.3 | 4.7 ± 2.5 | 7.3 ± 2.8 |
| # Entering open arm | 8/14 | 10/13 | 9/14 | 7 / 14 | 7 / 13 | 13 / 15 | 10/11 | 9/13 | 13/15 | 6/14 | 8/13 | 9/12 |
| % Open arm time | 6.5 ± 8.0 | 9.8 ± 7.9 | 13.2 ± 12.5 | 5.6 ± 7.7 | 4.1 ± 5.9 | 9.0 ± 6.9 | 10.9 ± 10.6 | 8.3 ± 8.0 | 21.7 ± 15.0 | 7.2 ± 8.7 | 3.2 ± 5.8 | 8.1 ± 8.4 |
| % Closed arm time | 66.4 ± 30.1| 65.0 ± 11.2 | 63.1 ± 22.7 | 56.9 ± 27.0 | 59.5 ± 26.5 | 54.2 ± 24.6 | 61.4 ± 24.1 | 66.1 ± 18.2 | 40.8 ± 27.8 | 57.7 ± 15.4 | 61.9 ± 25.7 | 55.4 ± 29.1 |
| % Centre area time | 13.8 ± 10.3\(^d\) | 24.1 ± 9.0 | 17.3 ± 8.1 | 37.4 ± 22.3 | 35.2 ± 26.4 | 30.5 ± 19.9 | 27.7 ± 21.3 | 25.6 ± 13.6 | 24.2 ± 10.8 | 35.1 ± 11.8 | 30.5 ± 23.6 | 35.9 ± 25.7 |
| Duration open arm time (secs) | 2.1 ± 2.7 | 3.3 ± 2.6 | 4.4 ± 4.1 | 16.9 ± 23.1 | 12.4 ± 17.8 | 27.1 ± 20.6 | 32.7 ± 31.8 | 24.8 ± 24.0 | 65.2 ± 45.0 | 21.7 ± 26.2 | 9.4 ± 17.5 | 24.3 ± 25.1 |
| Latency to enter open arm \(^d\) | 162.5 ± 133.4 | 126.8 ± 123.1 | 134.0 ± 131.8 | 191.2 ± 123.3 | 183.0 ± 124.0 | 109.8 ± 110.7 | 98.4 ± 99.9 | 153.1 ± 112.3 | 64.8 ± 102.2 | 154.8 ± 127.8 | 214.6 ± 111.2 | 120.0 ± 122.0 |
| Mean number rears | 4.0 ± 3.2 | 5.4 ± 3.1 | 5.7 ± 4.3 | 1.8 ± 1.8 | 1.4 ± 1.4 | 1.2 ± 1.6 | 1.6 ± 1.2 | 1.4 ± 1.5 | 1.4 ± 2.0 | 4.2 ± 2.1 | 2.7 ± 1.7 | 5.7 ± 2.2 |
| Total number rearing events | 56 | 70 | 84 | 26 | 20 | 18 | 17 | 15 | 22 | 56 | 39 | 68 |
| Total unprotected head dips | 0.8 ± 1.4 | 1.6 ± 1.5 | 2.1 ± 4.3 | 0.7 ± 1.2 | 0.9 ± 1.8 | 1.2 ± 1.5 | 1.2 ± 1.2 | 1.5 ± 1.7 | 3.9 ± 3.4 | 0.8 ± 1.1 | 0.4 ± 0.7 | 0.8 ± 1.1 |
| Total protected head dips | 1.2 ± 1.9 | 2.1 ± 1.9 | 0.8 ± 0.9 | 1.8 ± 1.9 | 1.2 ± 1.6 | 1.9 ± 1.7 | 2.2 ± 2.0 | 2.3 ± 1.8 | 3.0 ± 1.7 | 1.6 ± 1.1 | 0.9 ± 1.4 | 1.6 ± 1.6 |
| Total protected head peeps | 9.4 ± 5.5 | 8.6 ± 3.7 | 9.3 ± 3.8 | 5.2 ± 4.4 | 6.2 ± 5.8 | 6.6 ± 4.5 | 7.9 ± 4.3 | 9.7 ± 3.4 | 7.0 ± 5.2 | 5.5 ± 3.9 | 7.1 ± 4.9 | 7.7 ± 5.0 |
| Total protected half body out | 3.0 ± 3.5 | 4.4 ± 2.2 | 3.4 ± 1.8 | 5.4 ± 3.5 | 5.2 ± 3.5 | 4.2 ± 3.3 | 3.2 ± 1.5 | 3.8 ± 2.5 | 5.1 ± 3.1 | 6.4 ± 3.2 | 4.2 ± 3.0 | 6.3 ± 3.7 |
| # falling off EPM | 0 | 1 | 0 | 0 | 1 | 0 | 3 | 1 | 0 | 0 | 0 | 2 |
\( ^a \) n=13 as one animal fell from the open arm and was not included in the data
\( ^b \) n=11 due to animals falling off the maze not being included in the data
\( ^c \) n=12 due to animals falling off the maze not being included in the data
\( ^d \) animals not entering the open arm were given a latency time of 300 sec (the duration of the test)
Raw Y Maze data (mean ± SD) from the 3, 6, 9 and 12 month testing sessions (0–60 second time bin only) for animals fed a sugar-free diet, 7.9% sucrose or 10% honey (duration of the full testing session = 300 seconds).
| Behaviour | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey |
|----------------------------|------------|---------|---------|------------|---------|---------|------------|---------|---------|------------|---------|---------|
| # Animals tested | 14 | 14 | 15 | 14 | 14 | 13 b | 14 | 13 b | 13 b | 10 | 10 | 9 b |
| Duration Start arm (secs) | 13.3 ± 10.7| 14.6 ± 14.0| 15.0 ± 17.3| 6.4 ± 4.4 | 9.4 ± 7.0| 12.2 ± 10.9| 16.3 ± 11.6| 17.5 ± 10.8| 8.6 ± 7.0| 13.4 ± 11.3| 15.2 ± 12.7| 12.3 ± 10.3|
| Duration Novel arm (secs) | 25.3 ± 9.7 | 22.9 ± 12.9| 26.4 ± 10.8| 15.5 ± 11.4| 15.4 ± 11.0| 22.6 ± 11.2| 9.0 ± 12.0| 5.6 ± 7.7| 10.6 ± 11.0| 23.7 ± 11.5| 12.7 ± 13.5| 14.5 ± 9.4|
| Duration Other arm (secs) | 16.4 ± 8.9 | 15.4 ± 4.9| 15.0 ± 7.4| 16.6 ± 13.3| 9.4 ± 9.3| 9.4 ± 9.8| 22.9 ± 12.2| 17.9 ± 6.6| 27.3 ± 14.0| 6.9 ± 10.2| 15.5 ± 18.2| 24.7 ± 13.8|
| Duration in centre area (secs) | 12.8 ± 5.2| 11.7 ± 6.3| 11.7 ± 7.9| 18.5 ± 10.8| 25.8 ± 10.6| 15.8 ± 10.2| 11.8 ± 6.2| 19.0 ± 7.1| 13.4 ± 7.1| 16.0 ± 7.3| 16.6 ± 11.2| 8.5 ± 12.0|
| % time in Start arm (secs)a| 28.3 ± 21.2| 25.1 ± 28.2| 29.7 ± 30.4| 21.5 ± 17.1| 27.8 ± 19.0| 28.1 ± 22.5| 33.9 ± 23.4| 42.3 ± 23.6| 18.3 ± 14.3| 29.2 ± 21.5| 38.6 ± 33.4| 28.7 ± 24.0|
| % time in Novel arm a | 38.6 ± 22.6| 38.7 ± 24.8| 37.7 ± 22.8| 38.7 ± 25.8| 45.2 ± 25.4| 52.2 ± 19.5| 47.5 ± 23.5| 44.8 ± 18.2| 58.3 ± 28.1| 54.5 ± 25.5| 28.4 ± 27.4| 53.8 ± 29.9|
| % time in Other arm a | 35.2 ± 17.8| 34.6 ± 12.6| 32.2 ± 14.4| 39.8 ± 25.6| 27.0 ± 26.6| 19.7 ± 17.2| 18.6 ± 23.6| 12.9 ± 14.6| 23.4 ± 23.3| 16.4 ± 23.3| 33.0 ± 32.4| 17.5 ± 22.0|
| Number of visits to Start arm | 1.6 ± 0.5| 2.0 ± 0.8| 1.6 ± 0.5| 1.1 ± 0.6| 1.9 ± 0.6| 1.6 ± 0.8| 1.7 ± 0.6| 2.1 ± 0.5| 1.4 ± 0.5| 1.7 ± 0.5| 1.7 ± 0.5| 1.8 ± 0.5|
| Number of visits to Novel arm | 1.3 ± 0.8| 1.5 ± 0.8| 1.4 ± 0.8| 1.1 ± 0.7| 1.5 ± 0.8| 1.4 ± 0.5| 1.2 ± 0.6| 1.9 ± 0.6| 1.2 ± 0.4| 1.3 ± 0.5| 0.9 ± 0.7| 1.4 ± 0.5|
| Number of visits to Other arm | 1.6 ± 0.7| 1.9 ± 0.5| 1.7 ± 0.8| 1.6 ± 0.5| 1.6 ± 0.7| 0.9 ± 0.4| 0.7 ± 0.6| 1.1 ± 0.6| 0.8 ± 0.6| 0.7 ± 0.8| 0.8 ± 0.6| 0.5 ± 0.5|
| Latency to leave start arm (secs) | 7.9 ± 10.9| 8.5 ± 11.0| 15.7 ± 34.8| 6.1 ± 15.0| 2.6 ± 2.8| 4.1 ± 7.9| 5.7 ± 8.5| 2.3 ± 2.5| 6.0 ± 7.4| 2.2 ± 2.9| 4.4 ± 5.9| 1.9 ± 2.4|
| Latency to visit novel arm (secs) | 6.9 ± 18.7| 8.4 ± 17.6| 11.5 ± 37.1| 19.4 ± 34.2| 21.4 ± 28.9| 7.2 ± 8.1| 17.4 ± 19.9| 6.1 ± 4.5| 10.4 ± 7.4| 6.8 ± 6.9| 29.7 ± 50.7| 15.6 ± 15.6|
a Percentage time spent in a particular arm were calculated exclusive of the time spent in the centre area
b Animals were excluded from the data analysis if they did not leave the start arm for the duration of the testing session, or if they spent > 75% of their time in the centre area.
c Only 10 animals per treatment performed the task at the 12 month testing session
Raw Y Maze data (mean ± SD) from the 3, 6, 9 and 12 month testing sessions (0–120 second time bin only) for animals fed a sugar-free diet, 7.9% sucrose or 10% honey (duration of the full testing session = 300 seconds).
| Behaviour | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey |
|----------------------------|------------|---------|---------|------------|---------|---------|------------|---------|---------|------------|---------|---------|
| # Animals tested | 14 | 14 | 15 | 14 | 14 | 14 | 14 | 13 | 13 | 10 | 10 | 10 |
| Duration Start arm (secs) | 29.1 ± 20.2| 28.1 ± 16.5| 29.9 ± 32.2| 20.4 ± 11.3| 24.1 ± 15.5| 21.7 ± 19.6| 36.2 ± 18.5| 34.2 ± 24.2| 33.2 ± 18.1| 21.9 ± 18.1| 27.7 ± 25.3| 29.0 ± 14.6|
| Duration Novel arm (secs) | 38.3 ± 14.1| 39.7 ± 20.2| 43.7 ± 26.0| 23.2 ± 17.6| 35.6 ± 20.0| 44.4 ± 28.3| 31.6 ± 19.3| 32.4 ± 13.1| 34.8 ± 18.8| 38.4 ± 13.8| 29.5 ± 29.1| 42.5 ± 30.3|
| Duration Other arm (secs) | 30.5 ± 14.1| 31.9 ± 13.8| 32.1 ± 17.1| 34.7 ± 28.8| 19.8 ± 14.7| 26.2 ± 28.0| 19.0 ± 17.7| 16.8 ± 12.9| 24.8 ± 26.7| 27.8 ± 25.6| 36.3 ± 35.3| 21.0 ± 11.6|
| Duration in centre area (secs) | 27.1 ± 10.4| 26.6 ± 11.3| 22.0 ± 15.8| 37.5 ± 23.8| 40.6 ± 11.7| 27.6 ± 19.4| 33.1 ± 18.8| 36.6 ± 13.0| 27.2 ± 12.0| 31.9 ± 19.5| 26.6 ± 15.3| 27.5 ± 14.6|
| % time in Start arm (secs)a| 31.6 ± 21.1| 25.7 ± 20.8| 28.8 ± 28.8| 29.3 ± 19.1| 30.6 ± 19.2| 25.9 ± 20.4| 41.7 ± 16.6| 39.8 ± 22.5| 40.1 ± 18.2| 24.7 ± 18.0| 30.5 ± 28.9| 32.4 ± 20.0|
| % time in Novel arm b | 33.7 ± 19.1| 37.7 ± 13.0| 36.9 ± 23.5| 31.7 ± 21.7| 44.9 ± 23.5| 49.8 ± 27.0| 36.6 ± 17.2| 40.1 ± 16.9| 41.1 ± 16.5| 45.7 ± 20.2| 32.4 ± 29.6| 44.8 ± 27.1|
| % time in Other arm c | 33.1 ± 14.5| 36.2 ± 16.3| 32.6 ± 16.1| 39.0 ± 26.1| 24.5 ± 18.1| 24.2 ± 21.6| 21.7 ± 18.9| 20.1 ± 15.0| 18.8 ± 19.6| 29.6 ± 27.7| 37.2 ± 30.9| 22.8 ± 10.7|
| Number of visits to Start arm | 2.3 ± 0.5 | 2.7 ± 1.1 | 2.1 ± 0.7 | 2.3 ± 0.7 | 2.5 ± 0.9 | 1.9 ± 1.0 | 2.5 ± 0.7 | 2.7 ± 0.8 | 2.1 ± 0.5 | 1.9 ± 0.7 | 1.9 ± 0.6 | 2.3 ± 0.7 |
| Number of visits to Novel arm | 2.0 ± 1.0 | 2.3 ± 1.5 | 1.8 ± 1.0 | 1.6 ± 0.9 | 2.3 ± 1.3 | 1.9 ± 0.8 | 1.4 ± 0.7 | 2.5 ± 0.8 | 1.7 ± 0.8 | 1.6 ± 0.5 | 1.5 ± 1.0 | 1.5 ± 0.5 |
| Number of visits to Other arm | 2.3 ± 1.0 | 2.8 ± 0.7 | 2.2 ± 1.0 | 1.4 ± 0.9 | 1.7 ± 1.0 | 1.3 ± 0.5 | 1.2 ± 0.9 | 1.7 ± 0.8 | 1.0 ± 0.7 | 1.2 ± 0.9 | 1.4 ± 1.0 | 1.3 ± 0.7 |
a Percentage time spent in a particular arm were calculated exclusive of the time spent in the centre area
b Animals were excluded from the data analysis if they did not leave the start arm for the duration of the testing session, or if they spent > 75% of their time in the centre area.
c Only 10 animals per treatment performed the task at the 12 month testing session
Raw Y Maze data (mean ± SD) from the 3, 6, 9 and 12 month testing sessions (0–180 second time bin only) for animals fed a sugar-free diet, 7.9% sucrose or 10% honey (duration of the full testing session = 300 seconds).
| Behaviour | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey |
|----------------------------|------------|---------|---------|------------|---------|---------|------------|---------|---------|------------|---------|---------|
| # Animals tested | 14 | 14 | 15 | 14 | 14 | 14 | 14 | 13 | 13 | 10 | 10 | 10 |
| Duration Start arm (secs) | 41.1 ± 20.0| 40.3 ± 17.3| 38.5 ± 36.8| 28.4 ± 20.1| 45.5 ± 28.3| 37.5 ± 28.1| 60.7 ± 19.3| 62.5 ± 29.4| 52.6 ± 23.5| 45.8 ± 21.7| 38.6 ± 34.6| 48.4 ± 28.1|
| Duration Novel arm (secs) | 54.5 ± 20.9| 56.5 ± 19.5| 57.5 ± 41.7| 50.9 ± 27.6| 45.0 ± 21.1| 68.8 ± 43.4| 42.5 ± 25.6| 38.3 ± 12.7| 54.5 ± 23.9| 45.2 ± 15.5| 52.0 ± 49.5| 61.8 ± 47.1|
| Duration Other arm (secs) | 48.5 ± 25.5| 49.6 ± 15.5| 51.5 ± 28.0| 46.3 ± 37.8| 34.7 ± 24.4| 34.7 ± 40.3| 32.1 ± 26.8| 25.8 ± 19.8| 40.3 ± 32.1| 38.9 ± 29.6| 52.7 ± 54.1| 30.3 ± 21.8|
| Duration in centre area (secs) | 41.1 ± 19.3| 44.0 ± 10.4| 37.2 ± 20.4| 50.3 ± 25.2| 54.8 ± 17.6| 39.0 ± 27.0| 44.6 ± 22.5| 53.4 ± 18.5| 32.5 ± 11.4| 50.1 ± 24.6| 36.8 ± 21.8| 39.5 ± 27.4|
| % time in Start arm (secs)a| 30.3 ± 13.7| 29.6 ± 13.0| 29.9 ± 24.1| 24.1 ± 17.9| 36.4 ± 20.8| 30.3 ± 21.6| 43.9 ± 19.7| 48.5 ± 20.1| 38.2 ± 18.1| 34.3 ± 14.6| 28.5 ± 26.9| 35.6 ± 19.5|
| % time in Novel armb | 33.8 ± 15.4| 35.4 ± 12.6| 34.9 ± 25.1| 41.8 ± 22.1| 35.6 ± 15.7| 50.5 ± 25.2| 31.4 ± 16.9| 31.5 ± 13.1| 39.3 ± 15.5| 36.8 ± 19.9| 36.7 ± 32.0| 42.2 ± 27.5|
| % time in Other armc | 34.7 ± 15.9| 36.6 ± 12.3| 34.3 ± 17.0| 34.1 ± 23.9| 28.0 ± 19.3| 19.0 ± 13.7| 24.7 ± 20.0| 20.0 ± 14.3| 22.5 ± 20.3| 28.9 ± 22.5| 34.8 ± 31.0| 22.2 ± 14.0|
| Number of visits to Start arm | 2.9 ± 0.8 | 3.3 ± 1.2 | 2.5 ± 1.0 | 2.5 ± 0.8 | 3.1 ± 1.0 | 2.3 ± 1.2 | 2.7 ± 0.8 | 3.1 ± 0.6 | 2.4 ± 0.7 | 2.6 ± 0.8 | 2.3 ± 0.8 | 2.5 ± 0.8 |
| Number of visits to Novel arm | 2.5 ± 1.1 | 2.9 ± 1.5 | 2.1 ± 0.9 | 2.1 ± 0.7 | 2.9 ± 1.9 | 2.3 ± 1.0 | 1.9 ± 0.9 | 2.9 ± 1.0 | 2.0 ± 0.7 | 2.0 ± 0.7 | 1.9 ± 1.0 | 2.0 ± 0.8 |
| Number of visits to Other arm | 2.1 ± 1.1 | 2.5 ± 0.7 | 2.1 ± 0.9 | 1.7 ± 1.1 | 2.4 ± 1.5 | 1.4 ± 0.5 | 1.6 ± 1.1 | 2.1 ± 0.8 | 1.5 ± 1.0 | 1.5 ± 0.7 | 1.5 ± 1.1 | 1.4 ± 0.9 |
a Percentage time spent in a particular arm were calculated exclusive of the time spent in the centre area
b Animals were excluded from the data analysis if they did not leave the start arm for the duration of the testing session, or if they spent > 75% of their time in the centre area.
c Only 10 animals per treatment performed the task at the 12 month testing session
Raw Y Maze data (mean ± SD) from the 3, 6, 9 and 12 month testing sessions (0–300 second time bin only) for animals fed a sugar-free diet, 7.9% sucrose or 10% honey (duration of the full testing session = 300 seconds).
| Behaviour | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey |
|----------------------------|------------|---------|---------|------------|---------|---------|------------|---------|---------|------------|---------|---------|
| # Animals tested | 14 | 14 | 15 | 14 | 14 | 14 | 14 | 13 | 13 | 10 | 10 | 10 |
| Duration Start arm (secs) | 66.4 ± 31.6| 67.5 ± 43.1| 67.0 ± 60.5| 62.8 ± 46.1| 84.3 ± 65.2| 75.5 ± 37.7| 91.1 ± 42.7| 91.4 ± 48.2| 95.2 ± 52.2| 82.1 ± 38.7| 73.4 ± 49.9| 98.7 ± 73.1|
| Duration Novel arm (secs) | 54.8 ± 44.6| 50.6 ± 34.8| 57.6 ± 66.9| 85.5 ± 49.2| 65.6 ± 23.9| 89.8 ± 44.5| 70.5 ± 53.1| 74.0 ± 27.2| 96.4 ± 65.7| 81.6 ± 44.4| 83.4 ± 63.1| 104.2 ± 90.1|
| Duration Other arm (secs) | 83.2 ± 46.3| 82.4 ± 39.3| 82.3 ± 41.7| 59.0 ± 39.6| 68.8 ± 55.2| 77.8 ± 65.6| 67.8 ± 51.1| 53.8 ± 38.2| 60.7 ± 44.8| 57.4 ± 46.5| 84.2 ± 88.7| 36.4 ± 23.4|
| Duration in centre area (secs) | 67.6 ± 30.2| 70.7 ± 16.7| 64.4 ± 34.6| 87.2 ± 39.7| 81.2 ± 38.3| 65.1 ± 40.3| 70.6 ± 30.7| 80.8 ± 23.2| 47.6 ± 16.7| 78.9 ± 37.5| 59.0 ± 34.6| 60.7 ± 49.9|
| % time in Start arm (secs)a| 29.5 ± 11.6| 31.5 ± 17.5| 29.9 ± 23.4| 29.9 ± 18.3| 37.5 ± 24.9| 32.7 ± 17.2| 40.3 ± 20.2| 43.6 ± 20.4| 38.4 ± 20.4| 37.4 ± 17.1| 32.5 ± 24.5| 41.2 ± 26.3|
| % time in Novel armb | 35.3 ± 17.5| 34.0 ± 14.3| 37.9 ± 23.0| 42.5 ± 21.2| 31.0 ± 12.2| 43.9 ± 21.3| 29.5 ± 18.1| 32.9 ± 15.6| 38.1 ± 23.8| 35.6 ± 16.8| 34.6 ± 23.5| 42.2 ± 31.7|
| % time in Other armc | 35.6 ± 17.2| 34.9 ± 15.4| 34.5 ± 16.2| 27.6 ± 16.2| 31.7 ± 23.1| 23.4 ± 10.9| 30.2 ± 23.3| 23.5 ± 16.4| 23.5 ± 19.4| 27.0 ± 24.2| 32.9 ± 29.7| 16.6 ± 11.3|
| Number of visits to Start arm | 3.8 ± 1.1 | 4.2 ± 1.5 | 3.4 ± 1.1 | 3.4 ± 0.9 | 3.5 ± 1.0 | 3.0 ± 1.5 | 3.3 ± 1.0 | 3.4 ± 0.7 | 2.8 ± 0.8 | 3.1 ± 0.7 | 3.1 ± 1.1 | 3.0 ± 1.1 |
| Number of visits to Novel arm | 3.5 ± 1.5 | 3.7 ± 2.0 | 3.0 – 1.1 | 3.0 ± 1.2 | 3.5 ± 2.0 | 3.0 ± 1.2 | 2.3 ± 1.1 | 3.9 ± 0.7 | 2.5 ± 0.8 | 2.7 ± 0.7 | 2.6 ± 1.5 | 2.6 ± 1.3 |
| Number of visits to Other arm | 2.4 ± 1.4 | 2.7 ± 1.1 | 2.2 ± 1.1 | 2.5 ± 1.5 | 3.1 ± 1.9 | 2.3 ± 1.1 | 2.2 ± 1.2 | 2.6 ± 1.1 | 2.0 ± 1.1 | 2.4 ± 2.2 | 2.1 ± 1.5 | 1.8 ± 1.3 |
a Percentage time spent in a particular arm were calculated exclusive of the time spent in the centre area
b Animals were excluded from the data analysis if they did not leave the start arm for the duration of the testing session, or if they spent > 75% of their time in the centre area.
c Only 10 animals per treatment performed the task at the 12 month testing session
Raw Open Field data (mean ± SD) from the first half of the 6 and 12 month testing sessions (0–150 seconds) for animals fed a sugar-free diet, 7.9% sucrose or 10% honey (duration of the full testing session = 300 seconds).
| Behaviour | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey |
|------------------------------------------------|------------|---------|---------|------------|---------|---------|
| # Animals tested | 10 | 10 | 10 | 12 | 12 | 12 |
| Duration Centre zone (secs) | 1.9 ± 1.2 | 1.1 ± 1.0 | 1.0 ± 0.9 | 1.1 ± 0.7 | 2.5 ± 3.0 | 2.3 ± 1.8 |
| Duration Middle Zone (secs) | 11.2 ± 6.5 | 13.1 ± 7.5 | 7.2 ± 5.4 | 8.4 ± 9.8 | 19.6 ± 23.1 | 11.9 ± 10.4 |
| Duration Outside Zone (secs) | 136.6 ± 6.8 | 130.0 ± 23.1 | 141.7 ± 5.9 | 140.5 ± 10.3 | 127.6 ± 25.4 | 135.8 ± 11.9 |
| # Visits to centre zone | 1.6 ± 0.5 | 1.2 ± 0.4 | 1.4 ± 1.0 | 1.1 ± 0.4 | 1.4 ± 0.7 | 1.1 ± 0.4 |
| # Visits to middle zone | 5.0 ± 2.7 | 4.6 ± 1.7 | 3.5 ± 2.5 | 2.1 ± 1.5 | 3.0 ± 2.3 | 2.3 ± 2.0 |
| # Visits to outside zone | 4.4 ± 2.4 | 4.3 ± 1.8 | 3.3 ± 2.0 | 1.9 ± 1.1 | 2.6 ± 1.9 | 2.1 ± 2.0 |
| # Line crosses in middle zone | 2.6 ± 1.9 | 2.6 ± 2.5 | 2.3 ± 2.6 | 1.1 ± 1.7 | 1.5 ± 2.2 | 1.6 ± 2.2 |
| # Line crosses in outside zone | 33.9 ± 15.3 | 34.9 ± 15.5 | 43.8 ± 8.8 | 24.7 ± 11.9 | 13.2 ± 10.0 | 17.0 ± 5.2 |
| Total moves* | 47.4 ± 18.9 | 47.6 ± 54.1 | 54.1 ± 14.0 | 31.0 ± 15.3 | 21.7 ± 10.4 | 24.1 ± 7.6 |
*a Includes all line crosses and zone entries
Raw Open Field data (mean ± SD) from the second half of the 6 and 12 month testing sessions (151–300 seconds) for animals fed a sugar-free diet, 7.9% sucrose or 10% honey (duration of the full testing session = 300 seconds).
| Behaviour | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey |
|------------------------------------------------|------------|---------|---------|------------|---------|---------|
| # Animals tested | 10 | 10 | 10 | 12 | 12 | 12 |
| Duration Centre zone (secs) | 1.5 ± 2.9 | 0.18 ± 0.5 | 1.5 ± 3.9 | 0.1 ± 0.3 | 0.0 ± 0.0 | 0.14 ± 0.4 |
| Duration Middle Zone (secs) | 7.6 ± 7.2 | 3.2 ± 4.7 | 7.8 ± 7.9 | 7.7 ± 5.0 | 8.3 ± 18.5 | 7.1 ± 9.4 |
| Duration Outside Zone (secs) | 139.9 ± 9.6 | 145.7 ± 5.0 | 139.7 ± 10.3 | 141.2 ± 5.1 | 140.7 ± 18.5 | 141.8 ± 9.5 |
| # Visits to centre zone | 0.6 ± 1.0 | 0.4 ± 0.3 | 0.4 ± 0.5 | 0.1 ± 0.4 | 0.0 ± 0.0 | 0.1 ± 0.4 |
| # Visits to middle zone | 2.1 ± 2.4 | 0.9 ± 1.2 | 2.0 ± 1.7 | 1.9 ± 1.2 | 0.4 ± 0.7 | 0.6 ± 1.2 |
| # Visits to outside zone | 2.6 ± 1.5 | 1.8 ± 1.0 | 2.5 ± 1.4 | 2.7 ± 1.0 | 1.3 ± 0.5 | 1.5 ± 0.9 |
| # Line crosses in middle zone | 2.9 ± 2.8 | 0.4 ± 0.9 | 3.1 ± 2.7 | 2.7 ± 3.3 | 0.3 ± 0.5 | 0.6 ± 1.1 |
| # Line crosses in outside zone | 22.3 ± 18.6 | 23.2 ± 16.2 | 23.8 ± 10.4 | 17.6 ± 7.2 | 10.8 ± 10.0 | 11.8 ± 9.0 |
| Total moves* | 30.4 ± 24.3 | 26.4 ± 17.1 | 31.8 ± 11.5 | 25.0 ± 10.0 | 12.9 ± 9.8 | 14.6 ± 10.4 |
*a Includes all line crosses and zone entries*
Raw Open Field data (mean ± SD) from the full 300 seconds of the 6 and 12 month testing sessions for animals fed a sugar-free diet, 7.9% sucrose or 10% honey (duration of the full testing session = 300 seconds).
| Behaviour | Sugar-Free | Sucrose | Honey | Sugar-Free | Sucrose | Honey |
|------------------------------------------------|------------|---------|---------|------------|---------|---------|
| # Animals tested | 10 | 10 | 10 | 12 | 12 | 12 |
| Duration Centre zone (secs) | 3.5 ± 2.6 | 1.3 ± 1.4 | 2.5 ± 4.5 | 1.2 ± 0.8 | 2.5 ± 3.0 | 2.1 ± 1.8 |
| Duration Middle Zone (secs) | 18.8 ± 7.6 | 16.2 ± 11.0 | 15.0 ± 12.4 | 16.1 ± 12.4 | 28.1 ± 40.2 | 18.1 ± 17.9 |
| Duration Outside Zone (secs) | 277.5 ± 8.6 | 276.6 ± 15.1 | 282.4 ± 15.2 | 282.7 ± 13.2 | 269.1 ± 42.5 | 279.8 ± 19.3 |
| # Visits to centre zone | 2.1 ± 1.1 | 1.3 ± 0.7 | 1.8 ± 1.4 | 1.3 ± 0.8 | 1.4 ± 0.7 | 1.1 ± 0.4 |
| # Visits to middle zone | 7.1 ± 3.8 | 5.4 ± 2.6 | 5.5 ± 4.0 | 4.0 ± 2.5 | 3.3 ± 2.6 | 3.1 ± 2.7 |
| # Visits to outside zone | 6.0 ± 2.9 | 5.1 ± 2.4 | 4.9 ± 3.2 | 3.7 ± 1.9 | 3.0 ± 2.1 | 3.0 ± 2.9 |
| # Line crosses in middle zone | 5.4 ± 3.0 | 3.0 ± 3.1 | 5.4 ± 5.2 | 3.9 ± 4.3 | 1.8 ± 2.5 | 2.6 ± 3.2 |
| # Line crosses in outside zone | 56.3 ± 32.5 | 58.2 ± 28.9 | 66.6 ± 13.6 | 42.3 ± 16.2 | 24.0 ± 18.8 | 30.9 ± 9.0 |
| Total moves* | 77.0 ± 41.4 | 73.1 ± 29.7 | 84.1 ± 19.4 | 55.1 ± 23.5 | 33.4 ± 18.8 | 40.8 ± 12.5 |
*a Includes all line crosses and zone entries
Raw Object Recognition data (mean ± SD) from Phase 1 (3 minutes, animals were presented with two identical objects) and Phase 2 (3 minutes, animals were presented with a novel object and a copy of that presented in Phase 1) for animals fed a sugar-free diet, 7.9% sucrose or 10% honey.
| Behaviour | Sugar Free | Sucrose | Honey |
|------------------------------------------------|------------|---------|-------|
| Number of animals assessed \(^a\) | 8 | 8 | 9 |
| **Phase 1** | | | |
| # Visits to object 1 | 4.0 ± 1.2 | 2.3 ± 1.4 | 2.8 ± 1.6 |
| # Visits to object 2 | 3.4 ± 2.3 | 2.7 ± 1.9 | 2.4 ± 1.0 |
| Total visits | 7.4 ± 2.5 | 5.0 ± 2.8 | 5.2 ± 2.2 |
| Duration spent exploring object 1 | 15.5 ± 5.3 | 9.0 ± 4.5 | 16.9 ± 6.0 |
| Duration spent exploring object 2 | 11.5 ± 7.5 | 10.1 ± 7.3 | 11.1 ± 4.6 |
| Total time exploring | 27.0 ± 9.1 | 19.1 ± 8.1 | 28.0 ± 9.0 |
| Latency to visit object 1 | 48.7 ± 51.3 | 53.9 ± 54.9 | 60.4 ± 44.8 |
| Latency to visit object 2 | 29.7 ± 14.1 | 45.7 ± 50.1 | 76.8 ± 56.3 |
| **Phase 2** | | | |
| # Visits to object 3 | 2.1 ± 0.8 | 2.3 ± 0.9 | 1.0 ± 1.0 |
| # Visits to novel object | 3.8 ± 2.1 | 3.6 ± 1.8 | 2.7 ± 1.3 |
| Total visits | 5.9 ± 2.1 | 5.9 ± 2.2 | 3.7 ± 1.6 |
| Duration spent exploring object 3 | 6.3 ± 4.9 | 6.6 ± 2.8 | 4.6 ± 1.9 |
| Duration spent exploring novel object | 25.5 ± 15.5 | 28.6 ± 21.1 | 26.2 ± 12.8 |
| Total time exploring | 31.8 ± 18.4 | 35.2 ± 21.4 | 29.3 ± 12.3 |
| Latency to visit object 3 | 48.6 ± 42.0 | 28.8 ± 22.8 | 65.4 ± 28.8 |
| Latency to visit novel object | 20.8 ± 22.8 | 16.9 ± 15.2 | 10.8 ± 8.5 |
\( ^a \) 10 animals from each treatment performed the task. Animals were excluded from the data analysis if they didn’t explore one or more objects in either phase.
Raw Object Recognition data (mean ± SD) from the Light Extinction task for animals fed a sugar-free diet, 7.9% sucrose or 10% honey. Animals were presented with an active lever that turned the lights off for 30 seconds and an inactive lever which had no effect.
| Behaviour | Sugar Free | Sucrose | Honey |
|------------------------------------------------|------------|---------|-------|
| Number of animals assessed | 10 | 10 | 10 |
| **Total 20 Minute Session** | | | |
| Number of active lever presses | 23.5 ± 8.7 | 30.1 ± 17.8 | 28.4 ± 14.4 |
| Number of inactive lever presses | 12.8 ± 8.7 | 18.5 ± 9.7 | 11.9 ± 6.0 |
| Total number of lever presses | 36.3 ± 13.9 | 48.6 ± 26.2 | 40.3 ± 17.9 |
| AL<sub>on</sub>/AL<sub>tot</sub> ratio \(^a\) | 0.47 ± 0.11 | 0.45 ± 0.16 | 0.48 ± 0.11 |
| **0–10 Minutes** | | | |
| Number of active lever presses | 13.6 ± 5.6 | 15.6 ± 11.0 | 15.5 ± 6.8 |
| Number of inactive lever presses | 7.9 ± 5.3 | 13.1 ± 8.0 | 8.3 ± 4.6 |
| Total number of lever presses | 21.5 ± 7.9 | 28.7 ± 17.2 | 23.8 ± 9.5 |
| AL<sub>on</sub>/AL<sub>tot</sub> ratio \(^a\) | 0.55 ± 0.20 | 0.51 ± 0.22 | 0.47 ± 0.21 |
| **11–20 Minutes** | | | |
| Number of active lever presses | 9.9 ± 4.5 | 12.7 ± 8.8 | 10.6 ± 10.4 |
| Number of inactive lever presses | 4.5 ± 4.2 | 5.1 ± 2.6 | 3.9 ± 2.5 |
| Total number of lever presses | 14.4 ± 7.8 | 17.8 ± 10.0 | 14.5 ± 12.3 |
| AL<sub>on</sub>/AL<sub>tot</sub> ratio \(^a\) | 0.46 ± 0.09 | 0.50 ± 0.27 | 0.50 ± 0.21 |
\(^a\) The number of Active lever presses while the lights were on (AL<sub>on</sub>) as a proportion of the total Active lever presses (AL<sub>tot</sub>). A value of 0.5 indicates that the animals did not discriminate between pressing the active lever while the lights were on or off, suggesting that the rats did not learn that pressing the active lever while the lights were OFF have no effect.
Appendix 3:
Published Papers from this Thesis.
The Effect of Honey Compared to Sucrose, Mixed Sugars, and a Sugar-Free Diet on Weight Gain in Young Rats
L.M. CHEPULIS
ABSTRACT: To determine whether honey, sucrose, and mixed sugars as in honey have different effects on weight gain, 40 6-wk-old Sprague–Dawley rats were fed a powdered diet that was either sugar free or contained 8% sucrose, 8% mixed sugars as in honey, or 10% honey freely for 6 wk. Weight gain and food intake were assessed weekly, and at completion of the study blood samples were removed for measurement of blood sugar (HbA1c) and a fasting lipid profile. The animals were then minced and total percentage body fat and protein measured. Overall percentage weight gain was significantly lower in honey-fed rats than those fed sucrose or mixed sugars, despite a similar food intake. Weight gains were comparable for rats fed honey and a sugar free diet although food intake was significantly higher in honey-fed rats. HbA1c and triglyceride levels were significantly higher in all sugar treatments compared with rats fed a sugar free diet, but no other differences in lipid profiles were reported. No differences in percentage body fat or protein levels were reported.
Keywords: honey, obesity, sugars, weight gain
Introduction
Obesity is a major concern for westernized populations, and in the USA alone over 50% of all adults are now considered to be overweight or obese (Flegel and others 1998). Surveys consistently show that adults are concerned by weight and its health-related implications, and that most individuals are making a concerted effort to either maintain or lose weight (Serdula and others 1999; Scott and others 2006). Despite this, however, the end result is that the number of overweight and obese individuals has increased steadily over the last 30 y.
The increase in weight observed in western society is a complex issue, although reasons include factors such as increased workloads/stress and reduced levels of exercise. However, the largest contributor may be the change in diet that has occurred in the last quarter century. Today, convenience and “junk” foods are readily available, and they often constitute a large proportion of the weekly food intake. These foods are generally highly processed, low in nutrition, and often contain excessively high levels of sugar and fat.
Whereas food companies continue to produce, and successfully market, products that are high in both sugar and fat, there is now a public-driven trend toward the development of food products that are healthier and/or confer specific health benefits. In recent years, a large number of foods and beverages have become available with a “diet” version using artificial sweeteners such as aspartame and saccharin (Anderson and McMurray 1998). These substances are generally considered safe and nontoxic (Leon and others 1989; Ellwein and Cohen 1990; Renwick 1993; Butchko and others 2002); although limited evidence is producing conflicting data. Several authors, for example, have reported a higher incidence of bladder cancer in rats and mice fed sodium saccharin (Bryan and others 1970; Schoenig and others 1985; Ellwein and Cohen 1990; Rewick 1990; Garland and Cohen 1995). In addition, ingestion of aspartame has been linked with migraines/headaches (Lipton and others 1989; van den Eeden and others 1994; Schiffman 1995), muscle tremors, vision problems, and mental confusion (Anon. 1994).
An alternative to the use of artificial sweeteners is the replacement of sugar with less energy-dense alternatives and the use of sugars other than sucrose and glucose as sweetening agents. Honey is a naturally occurring sweetener that contains a mix of both simple and complex sugars, as well as vitamins, minerals, acids, and enzymes (Molan 1996). Furthermore, it has a lower glycemic index (GI) than sucrose (Samanta and others 1985), and the beneficial effects of consuming honey are well established in the literature. These include improved antioxidant capacity (Taormina and others 2001; Gheldof and others 2003; Schramm and others 2003), enhanced gut motility (Ladas and Rapitis 1999), enhanced cytokine production (Tonks and others 2003), and a prebiotic effect (Sanz and others 2005; Ezz El-Arab and others 2006). In addition, anecdotal evidence suggests that ingested honey may have the potential to enhance absorption from the gut.
This trial was therefore designed to ascertain what effect honey might have on the weight gain of young, growing rats, as compared with those fed a sucrose diet or a diet containing sugars in the same proportion of honey. A 4th treatment group, fed a sugar-free diet, was also included in this trial as a control.
Materials and Methods
Experimental design
Forty Sprague–Dawley rats, aged approximately 6 wk at the start of the trial, were sourced from the small animal research facility at AgResearch, Hamilton, New Zealand. The trial was carried out in the Animal Behaviour Research Facility (Building BL10) at Waikato Univ., Hamilton, New Zealand. The research room was maintained...
Effect of honey compared to sugar on weight gain...
at 22 ± 1 °C with a 12-h light/dark cycle (lights on 0700 h). This study was approved by the Waikato Univ. Animal Ethics Committee.
**Experimental diets**
A honeydew honey (*Northofagus solandrii*) with a known high level of hydrogen peroxide production (antibacterial activity due to peroxide equivalent to 23.4% phenol equivalent) and a high antioxidant content (TEAC = 2.7 mmol/L) was sourced from Tom Penrose, North LongBurn, Rangiora, New Zealand. A sugar profile of this honey was determined using in-house GLC methods by Agriquality (Auckland, New Zealand) and was used to determine the concentrations of sugars added to the mixed sugar diet (diet nr 3) such that the concentrations of the various sugars were the same as in the honey diet.
The diets were prepared such that they approximated the composition of a typical New Zealand diet. Based upon data from the 1997 Natl. Nutrition Survey (New Zealand Ministry of Health 1999), the diets were formulated so that of 100% total energy, 15% to 16% came from protein, 35% came from fat, and 45% to 47% came from carbohydrate.
Four experimental diets were prepared by Crop and Food Research, Palmerston North, New Zealand, to contain no sugar (diet nr 1), 8% sucrose (diet nr 2), 8% mixed sugars (diet nr 3), or 10% honey (diet nr 4). All diets were prepared to contain a minimum of 4% water. An additional 20 mL of water was also added to each kilogram of the nonhoney diets to account for the fact that the honey contained 20% water (measured using a refractometer). Diets were prepared no more than 10 d prior to commencing the study and were kept in the dark at 4 °C or −15 °C for the duration of the study. Standard rodent vitamin and mineral mixes was prepared to comply with the requirements for growth as specified by the Natl. Research Council (1995). The composition of the diets is given in Table 1.
Subsamples of the 4 diets were analyzed by the Nutrition Laboratory at Massey Univ., Palmerston North, New Zealand, for measurement of energy (bomb calorimetry). The percentage dry matter of these samples was also determined at the start and end of the trial by drying preweighed samples at 105 °C for 16 h.
**Table 1 — Composition of experimental diets (g/kg)**
| Ingredient | Sugar free (diet nr 1) | Sucrose (diet nr 2) | Mixed sugars (diet nr 3) | Honey (diet nr 4) |
|------------------|------------------------|---------------------|--------------------------|-------------------|
| Lactalbumin | 160 | 160 | 160 | 160 |
| Corn oil | 150 | 150 | 150 | 150 |
| Sucrose | – | 80 | 0.5 | – |
| Fructose | – | – | 40.9 | – |
| Glucose | – | – | 30.1 | – |
| Maltose | – | – | 3.4 | – |
| Maltodextrin | – | – | 5.1 | – |
| Honey | 0 | 0 | 0 | 100 |
| Starch | 525 | 445 | 445 | 445 |
| Mineral mix | 50 | 50 | 50 | 50 |
| Vitamin mix | 5 | 5 | 5 | 5 |
| Water | 60 | 60 | 60 | 40 |
| Energy (kJ/g) | 18.02 | 18.21 | 18.74 | 17.82 |
*aAlatal 825, New Zealand Milk Products.*
*bDavis Trading Co., Palmerston North, New Zealand.*
*cSigma Chemical Co.*
*dSigma pH102, Commercial Minerals Ltd, Auckland, New Zealand.*
*eA mixture supplying: (g/kg diet) Ca 6.29, Cl 7.79, Mg 1.06, P 4.86, K 5.24, Na 1.97; (mg/kg diet) Cr 1.97, Cu 10.7, Fe 424, Mn 7.80, Zn 48.2; (μg/kg diet) Co 22.0, I 152, Se 151.*
*fA mixture supplying: (mg/kg diet) retinol acetate 5.0, DL-α-tocopherol acetate 200.0, menadione 3.0, thiamin hydrochloride 5.0, riboflavin 7.0, pyridoxine hydrochloride 8.0, D-pantothenic acid 20.0, folic acid 2.0, nicotinic acid 20.0, D-biotin 1.0, myo-inositol 200.0, choline chloride 1500; (μg/kg diet) ergocalciferol 25.0, cyanocobalamin 50.0.*
**Experimental procedures**
Animals were weighed upon receipt, and those within this starting weight range (140 to 150 g) were randomly allocated to one of the 4 dietary treatments. The remaining animals were housed in standard rat cages with plastic bottoms and metal grid tops (final measurements 45 × 25 × 30 cm high), with access to rodent pellets and water. These animals were weighed each morning and added into the trial once at the appropriate weight.
During the experiment, the rats were housed in standard rat cages (2 animals per cage) that had an 8 mm metal grid floor sitting 2 cm above the cage bottom. Blotting paper was laid on the bottom of the cage (below the mesh) to absorb the urine and collect the spilled diet and faeces. A 25 cm long piece of 90 mm PVC tubing was affixed into each cage using a metal hose clamp. This allowed the animals to get off the mesh floor.
Glass jars containing the appropriate diet were weighed at the start of each week and placed into the respective cages. New food was weighed and added to each food pot as required (no more than once daily) so that food was available freely.
Every 7 d, the rats were weighed and the existing food pots removed and weighed. The blotter papers were removed and allowed to dry for a minimum of 48 h at 26 °C, and each pair of rats was transferred to a cleaned cage with new weighed food. Fresh water was provided at all times, with water bottles cleaned twice weekly. Once dry, the spilled diet was scraped off the blotters and separated from the faeces/hair by passing through a 2 mm sieve and weighed.
On day 42, all rats were anaesthetized using CO₂ gas. Samples (3 to 5 mL) of blood were taken from the heart of each animal via cardiac puncture using 19 gauge needles. Approximately 1.5 mL of the removed blood was added to an EDTA blood collection tube and the remainder added to a standard vacutainer. These latter blood samples were allowed to clot, before centrifuging at 3000 × g for 10 min and removing the serum. Both the EDTA-collected blood and the serum were then analyzed at Waikato Hospital (Hamilton, New Zealand) using standard laboratory procedures for measurement of glycated haemoglobin (HbA1c) (HPLC Biomate Affinity column) and fasting lipid profiles (Roche Method using P 800 Hitachi). All animals with euthanized with CO₂ gas after the blood removal, and the bodies numbered and stored in a freezer for later analysis.
After thawing, each rat was minced using a Sunmile SM-G50 mincer (Vantage Systems, Ltd.). The samples were double bagged and frozen before sending to the nutrition laboratory at Massey Univ. for measurement of total body fat by Soxhlet fat extraction (AOAC 991.36) analyses. The rat samples were also analyzed for % protein (using a nitrogen–protein conversion factor of 6.25) by the LECO total combustion method (AOAC 968.06).
**Statistical analyses**
Analysis of variance (ANOVA) was carried out on endpoints. All analyses were performed using Genstat statistical software (GenStat 2003).
**Results**
Two rats (both in the honey treatment group) had noticeable quantities of blood in their urine from day 32 onward. These 2 rats were segregated from the other animals; but as they appeared to be otherwise healthy and eating well, they were not excluded from the trial. Urine samples were collected on day 40 from both animals and, at completion of the study, both animals were taken to Vet Pathology at MedLab, Hamilton, New Zealand, for a full post-mortem. No particular cause could be found to explain the cause of the bleeding, other than the presence of chronic cystitis in both rats. No infections were present in the urine or bladder, and it was
concluded that the blood in the urine was likely to be incidental and not related to treatment. For this reason the data pertaining to these 2 animals were included in the statistical analyses. Data and statistical findings are given in Table 2.
The results of this study suggest that there are beneficial effects of replacing sugar with honey in the diet (see Table 2). In particular, overall percentage weight gain in honey-fed rats was similar to that observed in rats fed a sugar-free diet, and was significantly reduced, by 16.7%, compared with sucrose-fed rats after 6 wk (see Figure 1). Figure 2 shows the mean percentage weekly weight gains for all 4 treatments.
Total food and calorie intake was significantly higher in all sugar treatments compared with the sugar-free treatment group. However, no statistically significant differences in total food intake were observed between any of the 3 sugar treatments. Similarly, HbA1c levels were significantly lower in rats fed the sugar-free diet (4.02 mmol/L) than in rats fed the other 3 diets (4.09 to 4.14 mmol/L), and there were no differences observed between the 3 sugar treatments. In addition, no differences in total-, LDL-, or HDL-cholesterol or triglyceride levels were observed between any of the treatments after 6 wk of feeding.
Total percentage body fat and protein levels were not statistically different between treatments, although variability in body fat measurements were high (coefficients of variations were 31.5% to 39.4% for the 3 sugar treatment groups). The animals were not skinned prior to mincing, and the testing laboratory noted that because the ground rat samples contained large amounts of skin and hair, it was hard to get a representative sample from each animal (sampling requires only 1 g). Total percent protein levels were comparable for all 4 treatments.
**Discussion**
As the results of this study demonstrate, the type of sugars that are ingested as a part of the daily diet can have a significant impact on levels of food intake and weight gain during free feeding. Overall percentage weight gain, for example, was significantly higher in rats fed the mixed sugars- and sucrose-containing diets compared with those fed the sugar free diet. This may be accounted for by the increased kilojoule intake, although research is equivocal. Kanarek and Orthen-Gambill (1982) demonstrated that animals given access to 32% solutions of sucrose or fructose in addition to their standard diet gained more weight per calorie consumed than animals given only the standard (sugar free) diet after 50 d. In contrast, a number of other researchers have reported that weight gains in rodents are still higher with sucrose even when matched with caloric-equivalent starch diets (Reiser and Halffrisch 1977; Hill and others 1980; Halffrisch and others 1981; Morris and others 2003). However, animal age has also been shown to be a major contributing factor. Adult rats given sucrose displayed increased body weight after 1 to
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**Table 2 – Endpoint measurements for rats fed the experimental diets for 8 wk in a weight evaluation study**
| Result | Unit | Sugar free (diet nr 1) | Sucrose (diet nr 2) | Mixed sugars (diet nr 3) | Honey (diet nr 4) | LSD | P-value | Degrees freedom |
|-------------------------------|--------|------------------------|---------------------|--------------------------|-------------------|--------|---------|----------------|
| Overall weight gain | % | 135.7 ± 8.6<sup>a</sup> | 155.0 ± 6.5<sup>a</sup> | 151.5 ± 14.4<sup>a</sup> | 138.3 ± 11.2<sup>b,a</sup> | 10.38 | 0.009 | 16 |
| Overall food intake<sup>a,b</sup> | g/6 w | 1643 ± 62 | 1824 ± 63<sup>a</sup> | 1762 ± 47<sup>a</sup> | 1772 ± 77<sup>a</sup> | 84.6 | 0.003 | 16 |
| Kilojoules consumed<sup>a</sup> | kJ/6 w | 26090 ± 1116 | 29103 ± 874<sup>a</sup> | 30337 ± 1144<sup>a</sup> | 28557 ± 1376<sup>a</sup> | 1343 | 0.000 | 19 |
| HbA1c<sup>c</sup> | mmol/L | 4.02 ± 0.12 | 4.14 ± 0.07<sup>a</sup> | 4.09 ± 0.11<sup>a</sup> | 4.11 ± 0.19<sup>a</sup> | 0.0777 | 0.226 | 15 |
| Total cholesterol<sup>d</sup> | mmol/L | 2.63 ± 0.62 | 2.69 ± 0.59 | 2.54 ± 0.36 | 2.56 ± 0.34 | 0.319 | 0.532 | 15 |
| LDL cholesterol<sup>d</sup> | mmol/L | 0.31 ± 0.18 | 0.2 ± 0.16 | 0.09 ± 0.09 | 0.18 ± 0.18 | 0.150 | 0.779 | 15 |
| HDL cholesterol<sup>d</sup> | mmol/L | 2.03 ± 0.46 | 2.1 ± 0.43 | 1.93 ± 0.2 | 2.0 ± 0.18 | 0.4096 | 0.803 | 15 |
| Triglycerides<sup>d</sup> | mmol/L | 0.93 ± 0.30 | 0.9 ± 0.24 | 0.74 ± 0.38 | 0.83 ± 0.28 | 0.2849 | 0.797 | 15 |
| Total body fat | % | 7.8 ± 1.2 | 8.8 ± 3.5 | 9.5 ± 3.6 | 8.8 ± 2.8<sup>a</sup> | NR | 0.627 | 37 |
| Total protein | % | 20.9 ± 0.6 | 20.9 ± 1.3 | 20.6 ± 1.0 | 20.5 ± 1.0<sup>a</sup> | NR | 0.844 | 37 |
HbA1c = glycated haemoglobin; HDL = high density lipoprotein; LDL = low density lipoprotein.
<sup>a</sup>Food and energy intake are assessed per cage (that is, per 2 animals). As such, there are only 3 units per treatment.
<sup>b</sup>Foods taken into account for percentage dry matter determined by drying duplicate samples for 16 h at 105 °C.
<sup>c</sup>Due to an inability to collect sufficient blood from all animals, n = 9, 10, 7, and 8 for rats fed sugars free, sucrose, mixed sugars, and honey diets, respectively.
<sup>d</sup>n = 8 only, as 2 animals from this treatment group had blood in their urine and were investigated by Vet Pathology.
<sup>e</sup>Significant compared to sugar-free diet.
<sup>f</sup>Significant compared to sucrose diet.
<sup>g</sup>Significant compared to mixed sugars diet.
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**Figure 1 – Actual weight gains for rats fed diets containing either no sugar (diet nr 1), 8% sucrose (diet nr 2), 8% mixed sugars (diet nr 3), or 10% honey (diet nr 4). Diets nr 1, 2, and 3 had 20 mL of water added per kilogram of diet such that the moisture contents were the same in all 3 diets.**
Effect of honey compared to sugar on weight gain...
Figure 2 – Mean percentage weekly weight gains for rats fed diets containing either no sugar (diet nr 1), 8% sucrose (diet nr 2), 8% mixed sugars (diet nr 3) or 10% honey (diet nr 4). Diets nr 1, 2, and 3 had 20 mL of water added per kilogram of diet such that the moisture contents were the same in all 3 diets.
2 wk (Kanarek and Hirsch 1977; Kratz and Levitsky 1979) whereas weanling rats given sugar consumed more calories than their sugar-free counterparts, but with little measurable differences in weight gain/kilojoule until they reached 10 to 12 wk of age (Kanarek and Marks-Kaufmann 1979). The animals in this study were only 6 wk old at the start of the study, weighing approximately 140 g. At this young age, these animals could easily have been diverting all extra energy into growth rather than fat storage. This would likely have resulted in increased percentage body protein levels though and no differences were observed between any treatments. However, an unpublished study in our laboratory has demonstrated that rats fed a diet containing 60% honey (of which 12% is water) had significantly higher fecal nitrogen output and significantly reduced protein digestibility compared with animal fed equivalent amounts of either sucrose or mixed sugars as in honey. The results of this study therefore suggest that protein absorption and utilization may be reduced in honey-fed rats, although the levels of sugars and honey used in the diets of this unpublished study are approximately 5 times higher than those used in the present study. It could be possible therefore that the young animals used in this study were diverting more energy into protein synthesis and growth but that body protein levels increased at a slower rate than their sucrose or mixed sugars counterparts. As the percentage body fat data in this study were inconclusive, it is impossible to know whether the presence of sucrose or mixed sugars in the diet led to increased body fat levels. However, dietary carbohydrates have been shown to accelerate fat synthesis by increasing the capacity of the lipogenic pathway (Morris and others 2003).
Importantly, the increased weight gain observed with the mixed sugar-fed rats did not occur in the honey-fed rats even though both treatments had similar food/energy intakes. Limited research has speculated that honey can have a laxative effect *in vivo* (Ladas and others 1995; Ladas and Raptis 1999) as honey contains 35% to 45% fructose (White 1975) and incomplete fructose absorption has been shown to have this effect in healthy subjects (Ravich and others 1983; Truswell and others 1988; Rumessen 1992). However, this is likely not to be responsible for the decreased weight gains observed in honey-fed rats in this study, as fructose only constituted 4.1% of the total honey diet and it is doubtful that such concentrations would have a laxative effect. Furthermore, any fructose-related decreases in absorption/weight gain should also have been observed in rats fed the mixed sugars diet and this did not occur. Fecal output was not assessed in this study, so we cannot conclusively demonstrate that the rate of gut absorption/transit was affected in rats fed honey or mixed sugars. However, unpublished work from our laboratory suggests that fecal output does not differ significantly between rats fed 8% sucrose, 10% honey, or sugar free diets after 10 wk of feeding.
In addition, the sucrose, mixed sugars, and honey diets all contained the same level of fructose, but the fructose to glucose ratio varied. Sucrose is a dimer consisting of 1 glucose molecule attached to 1 fructose molecule; therefore the ratio of fructose to glucose is 1:1. In the honey used in this trial (and in the mixed sugars diet also) the ratio of fructose to glucose was 4:3. This agrees with the levels of fructose and glucose reported in other honeys (White 1975, 1980). A limited number of studies have demonstrated that the presence of glucose can facilitate and improve absorption of fructose and vice versa (Truswell and others 1988; Shiota and others 1998, 2002). Therefore, it is possible that the differing fructose:glucose ratios in the different diets may have played a role. Possible differences in absorption may also have resulted in differences in glycemic control. Fructose and honey have both been shown to have lower glycemic index values than sucrose (Shambaugh and others 1990), and it is possible that honey-fed rats have more stable blood sugar levels. This, in turn, may lead to better metabolism and decreased amino acid catabolism and fat deposition. However, this potential sugar-related effect was also not observed in rats fed the mixed sugars diet.
One explanation is the presence of hydrogen peroxide in the honey, as research has shown hydrogen peroxide to be a strong insulin-mimetic agent (Czech and others 1974; Hayes and Lockwood 1987; Heffetz and others 1990). Levels of hydrogen peroxide production in honey vary depending on floral source, and so on, but were shown to be in the range of 0.5 to 3.5 mmol/L in high peroxide-producing honeys (Bang and others 2003). Although not measured using the same method, the honeydew honey used in this study has also been shown in our laboratory to have a similar level of hydrogen peroxide production. These levels agree with the 1 to 3 mmol/L shown to induce tyrosine phosphorylation (an insulin-mimetic effect) *in vitro* (Hayes and Lockwood 1987; Heffetz and others 1990), although hydrogen peroxide levels in honey would arguably be considerably less *in vivo* after dilution in the gut.
Limited clinical studies have demonstrated that honey, sucrose, and fructose do have differential effects blood glucose levels (Samanta and others 1985; Al-Waili 2004). In both studies, plasma glucose levels were significantly lower in both healthy and diabetic patients who had consumed honey (20 to 75 g) than in those who had consumed equivalent amounts of dextrose, sucrose, or fructose.
after 1 to 3 h. It is possible therefore that the ingestion of honey in this study may have resulted in decreased plasma glucose levels, thereby resulting in reduced fat deposition. Whilst there appears to be no evidence in the literature to demonstrate that hydrogen peroxide is absorbed from the gut or that the levels produced are sufficient to trigger insulin receptors, this study does demonstrate that there is something present in the nonsugar component of honey that results in decreased weight gain per kilojoule. It is possible that the honey may have had a physiological effect on the stomach. Goldschmidt and Burkert (1955) have reported that honey acts as if it contains acetylcholine and choline esters, which could affect the gastric muscle. Other hormonal/neurotransmitter activities are also possible as a result of consuming honey, although nothing has been reported in the literature to support this.
Al-Waili (2004) also observed that whereas a single dose of dextrose (glucose) or artificial honey (35 g dextrose + 40 g fructose in 250 mL) led to increases in cholesterol and triglycerides over 1 to 3 h, the effect was not observed with honey. In this same study, daily feeding of honey for 15 d decreased cholesterol by 8%, LDL-C by 11%, and C-reactive protein by 57% in patients with elevated cholesterol compared with baseline values. No effects on total cholesterol, LDL-C, HDL-C, or triglyceride levels were observed in this study with any of the 4 treatments; however, due to difficulties with blood sampling we were unable to collect sufficient blood from all animals to allow $10 \times$ replicates to be undertaken for each treatment. As well, the variation for all cholesterol parameters was high for all treatments, and this may have masked any significant differences that may have been present. It is unknown whether this variability is due to the method of collection, the inherent interanimal variation, or the assay employed.
Housing animals in pairs is not ideal for weight investigation studies, and this may have affected the results obtained. O’Connor (2000) has demonstrated that food intake in rats is higher when animals are housed in pairs compared with when they are housed individually. When housed in pairs 1 animal may dominate over the other and consume more food. Fighting did occur in the cages at times, and particular cages did show a discrepancy for the weights of the 2 animals on certain weigh-in dates (despite similar weights the week before). However, a look at the complete 6-wk weight data did not show any patterns for reduced weight gain for a given animal or for ongoing weight discrepancies for any of the cages.
**Conclusions**
Rats fed a honey-containing diet showed significantly reduced weight gains after only 6 wk compared with those fed other sugars. High intakes of sugars are associated with weight gain and obesity. The replacement of sugars (including sucrose and fructose) with honey in particular foods and beverages may therefore provide sweetness without additional calorie-induced weight gain.
**Acknowledgments**
This research was funded by Fonterra Co-operative Group Ltd., New Zealand, as a part of a PhD program. The author would also like to thank Dr. Peter Molan and Dr. Judi McWhirter, both of Waikato Univ., for their assistance.
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The Effects of Honey Compared With Sucrose and a Sugar-free Diet on Neutrophil Phagocytosis and Lymphocyte Numbers after Long-term Feeding in Rats
Lynne M. Chepulis*
*University of Waikato, Hamilton, New Zealand, firstname.lastname@example.org
Copyright ©2007 The Berkeley Electronic Press. All rights reserved.
The Effects of Honey Compared With Sucrose and a Sugar-free Diet on Neutrophil Phagocytosis and Lymphocyte Numbers after Long-term Feeding in Rats*
Lynne M. Chepulis
Abstract
To determine whether honey and sucrose would have differential effects on levels of neutrophil phagocytosis after long-term feeding 36 2-month old Sprague Dawley rats were fed a powdered diet that was either sugar-free or contained 7.9% sucrose or 10% honey (honey is 21% water) *ad libitum* for 52 weeks. The percent of neutrophils exhibiting phagocytosis, and the percentage of leukocytes that were lymphocytes were then measured by flow cytometry after 52 weeks. Results: Neutrophil phagocytosis was similar between sucrose- and honey-fed rats, and lower in rats fed the sugar-free diet (79.2%, 74.7% and 51.7 %, respectively). The percentage of leukocytes that were lymphocytes differed significantly between all three treatments, the levels being highest in honey-fed rats (53% vs 40.1% and 29.5% for sucrose- and sugar-free fed rats). In conclusion: Honey may have a beneficial effect on immune activity, possibly attenuating the decline seen in older age.
KEYWORDS: Honey, sucrose, neutrophil phagocytosis, immunity, lymphocytes
*This research was funded by Fonterra Brands Ltd, New Zealand as a part of a PhD program. The author would also like to thank Dr Peter Molan and Dr Nicola Starkey of Waikato University for their assistance.*
INTRODUCTION
Immune function is known to decline in older age and limited data suggests that this is due to dysregulation of the immune system rather than a decrease in immune response (Lesourd, 1997). In particular, aging in humans is associated with a decrease in cell-mediated immunity including a reduction in peripheral blood lymphocyte counts, and with changes in T lymphocyte subpopulations (Lesourd, 1997; Castle, 2000). Similarly, neutrophil activity has also been shown to decline in older populations (Wenisch et al. 2000; Butcher et al. 2001). The latter may be of particular importance as neutrophils are considered to be the “first line of defense”, these being the leukocytes that respond most rapidly to a pathogenic invasion. Research has shown that prebiotics have the ability to enhance immune responses (Yamada et al. 1999; Schley and Field, 2002) and anecdotal evidence suggests that honey can stimulate immune function. Limited research has demonstrated that honey can stimulate the release of tumour necrosis factor-α and cytokines in monocyte cells (Tonks et al., 2001, 2003), and increase proliferation of B- and T-lymphocytes and neutrophils *in vitro* (Abuharfeil et al. 1999). In addition, honey has been demonstrated to stimulate antibody production during primary and secondary immune responses against thymus-dependent and thymus-independent antigens (Al-Waili and Haq, 2004). This trial was therefore designed to ascertain what effect honey might have on the immunity levels of older rats, compared with those fed a sucrose-based or sugar-free diet, after long term feeding.
MATERIALS AND METHODS
Experimental Animals and Housing
This study included 36 male Sprague Dawley rats, aged approximately 8 weeks at the start of the trial, sourced from the small animal research facility at AgResearch, Hamilton, New Zealand. The trial was carried out in the Behaviour Research Facility at Waikato University, Hamilton, New Zealand.
The research room was maintained at 22±1°C with a 12 hour light/dark cycle (lights off 0700h). This study was approved by the Waikato University Animal Ethics Committee.
Diets
Three experimental diets were prepared to contain either no sugar (diet # 1), 7.9% sucrose (diet # 2) or 10% Honeydew honey (diet # 3) (the honey was 21% water) as well as the following (g/kg diet): skim milk powder, 95; casein, 120; oil, 160; cellulose, 50; mineral mix, 50, sugar-free vitamin mix, 5, starch, 365. The diets were prepared such that they were equivalent to a typical New Zealand diet, based upon data from the 1997 National Nutrition Survey (1999). Of 100% total energy, 15–16% came from protein, 35% came from fat, and 45–47% came from carbohydrate. Low GI amylose was used in place of sucrose and honey in the sugar-free diet.
Diets were prepared monthly and were kept in the dark at 4°C or -15°C for the duration of the study. Standard rodent vitamin and mineral mixes was prepared as described previously (Chepulis, 2007).
**Experimental Design**
All animals were weighed upon receipt, randomly allocated to one of three experimental diets and housed individually in standard rat cages (45 cm x 25 cm x 30 cm high) with plastic bottoms and metal grid lids. Food jars containing the appropriate diet were placed into the respective cages and new diet added to the jars every two days so that food was available *ad libitum*. Water was freely available, and replaced twice weekly. All animals were weighed every 1–2 weeks.
On days 364 and 365 (half of each treatment group on each day), the rats were anaethetised using CO₂ gas. Each animal underwent a cervical dislocation before a sample of blood was removed from the heart via cardiac puncture using 19 gauge needles. The samples were taken to AgResearch, Hamilton, New Zealand (within 2 hours of collection) and assayed using Flow cytometry as follows. Briefly, 100 µl of whole blood was added to pre-cooled FACS tubes in an ice bath. A sample (50 µl) of fluorescein isothiocyanate (FITC)-labelled *E.coli* (prepared in-house using non-opsonised K12 strain *E.coli* and Fluorescein conjugate W-2861) containing $4 \times 10^5$ bacteria was then added to each tube (except the control) and the tubes incubated at 37°C for 10 minutes (the control tube was left in the icebath). After incubation, 50 µl of FITC-labelled *E.coli* was added to the control tube. All tubes were then lysed with FACS lyse buffer (BD Biosciences Catalog number 349202) and the tubes incubated at room temperature in the dark for 10 minutes. The tubes were then centrifuged at 1200 rpm for 10 minutes at 18°C, the supernatant discarded and the pellets re-suspended in 1mL each of PBS buffer. The tubes were again centrifuged as described and the supernatant discarded. Each sample was then re-suspended in 500 µl running buffer (1% paraformaldehyde in PBS), and 50 µl Trypan blue (0.4% in PBS) added to each tube. These samples were then run on a Becton Dickenson Flow Cytometer and the percent neutrophil phagocytosis and percent leukocytes that were lymphocytes determined.
**Statistical Analyses**
All values are expressed as mean ± SD. A one-way analysis of variance (ANOVA) was performed on all parameters to determine if there were statistical differences between the three dietary treatments.
**RESULTS**
All animals appeared healthy throughout the 52-week study and no adverse events were recorded. The results are presented in Table 1. Mean overall percentage weight gain in honey-fed rats was similar to that observed in rats fed a sugar-free diet, and was significantly reduced compared with sucrose-fed rats after 52 weeks ($p = 0.015$). Mean overall percentage weight
gain was also significantly reduced in rats fed the sugar-free diet compared with the sucrose-fed rats ($p = 0.004$). Food intake did not differ between the three dietary treatments throughout the 12 month period (see Chepulis and Starkey, 2007 for further details).
The percentage of neutrophils that exhibited fluorescent phagocytosis was similar between sucrose- and honey-fed rats, and both of these treatments were significantly higher than rats fed the sugar-free diet (both $p < 0.0001$). The percentage of leukocytes that were lymphocytes was nearly twice as high in honey-fed rats as in those fed the sugar free diet ($p < 0.0001$), and nearly 13% higher than the sucrose-fed rats ($p = 0.002$). The percentage lymphocyte values for rats fed the sucrose and sugar-free diets were significantly different at $p < 0.0001$.
**Table 1: Endpoint Data (mean ± SD) for rats fed diets that were either sugar-free, or contained 7.9% sucrose or 10% honey for 12 months.**
| Result | Unit | Diet |
|-------------------------|------|-----------------------|
| | | Sugar-free (Diet # 1) | Sucrose (Diet # 2) | Honey (Diet # 3) |
| Overall weight gain | % | 102.5 ± 19.7† | 130.6 ± 26.7* | 107.2 ± 13.8† |
| Overall food intakea | g/7 w| 1246.4 ± 85 | 1243.6 ± 111 | 1244.8 ± 89 |
| Overall kilojoule intake| kJ/7 w| 23182 ± 1580 | 23019 ± 2053 | 22730 ± 1620 |
| Neutrophil phagocytosis | % | 51.7 ± 11.7†‡ | 79.2 ± 11.5* | 74.7 ± 14.6* |
| % lymphocytesb | % | 29.5 ± 8.0‡‡ | 40.1 ± 10.8*‡‡ | 53.0 ± 6.6*† |
* significant vs sugar-free diet; † significant vs sucrose diet; ‡ significant vs honey diet ($p$ values given in the text)
a Food intake was assessed during 7 week-long periods, each two months apart. Animals were placed into mesh-bottom cages and the amount of consumed diet recorded. A 4-day lead-in period was used prior to assessing food intake to allow the animals to acclimatised to the different cages. Food intake was corrected for percentage dry matter (determined by heating duplicate samples for 16 hours at 105°C)
b Percentage of leukocytes that were lymphocytes. The data was generated by the flow cytometer; actual counts were not generated.
**DISCUSSION**
Long-term feeding of honey has been shown in our laboratory to have a number of health benefits, including improved weight regulation, decreased oxidative damage and improved cognitive functions compared with rats fed sucrose or a sugar-free diet (Chepulis and Starkey, 2007; Chepulis et al., 2007) and it appears that honey may also stimulate immune function in aged rats. Neutrophils mediate the immediate host response to bacterial and fungal
infections, which are largely responsible for the higher rates of mortality and morbidity seen in older populations (Butcher et al. 2001). In human populations, total neutrophil numbers are not thought to decline; however, a decrease in neutrophil function (phagocytic activity) has been shown to occur with increasing age (Wenisch et al. 2000; Butcher et al. 2001).
In this study, the degree of neutrophil phagocytosis was similar in both honey- and sucrose-fed rats (75–80%), both of these treatments having approximately 50% higher levels of phagocytosis than rats fed the sugar-free diet. Many other studies have investigated neutrophil function in rats, but given that every trial used different diets, breeds, age and drug interventions it is impossible to get comparable data. Thus, it is impossible to know whether the higher levels of neutrophil phagocytosis in honey- and sucrose-fed rats reflect a reduced decline with age, or whether there has been a stimulation of phagocytic activity in these two groups that did not occur in those fed the sugar-free diet. A review of the literature revealed nothing that might suggest that sucrose could affect the activity of the immune system, although there is some limited data available for the effects of feeding honey on total neutrophil numbers. In one small study (Al-Waili, 2004) 12 sheep (6–8 months; 25–30 kg) were randomized to receive either 500 ml of intravenous honey (5% w/v) or saline once every 10 days for 40 days, with blood removed at 0, 10, 20, 30, 40 and 50 days. The % neutrophils (it is not stated, but the reader must assume that the author mean the percent of leukocytes that were neutrophils) increased from 55% at time zero to 76% in the honey group after 10 days, whereas no difference was observed in the saline group. In the present study, no actual neutrophil counts were measured, but it is possible that the increased phagocytosis seen in honey- and sucrose-fed rats resulted from an increase in the number of new (and maybe more active) neutrophils. This idea is supported by the finding that the percentage of leukocytes that were lymphocytes was higher in honey- and sucrose-fed rats compared with those given the sugar-free diet (and also higher in honey-fed rats compared to those fed sucrose). Ideally, it would have been best to have measured the levels of neutrophil phagocytosis and lymphocyte counts throughout the 12 months, rather than just at the end of the study, so as to get a better idea of the trend of phagocytic activity over time; however, this was not practical in this study due to financial constraints. It would certainly be advantageous, though, to investigate these trends in lymphocyte counts and neutrophil phagocytosis in future feeding studies.
The findings from this research do demonstrate, though, that honey may have a better immuno-modulatory effect than sucrose alone, as honey-fed rats had percentage lymphocyte counts that were 1.3 times higher than those of the sucrose-fed animals. The honey used in this study contained 40.9% fructose, 30.1% glucose, 0.5% sucrose, 3.4% maltose and 5.1% oligosaccharides (Chepulis, 2007), these levels being comparable to the average values reported elsewhere (White, 1975; Rousseau et al. 1980). As sucrose is a dimer of glucose:fructose, the dietary concentrations of fructose and glucose resulting from the intake of the sucrose diet would both have been
3.95g / 100g diet. This is comparable to the 4.09g / 100g fructose and 3.01g /100g glucose consumed in the honey diet (4.34g and 3.26g /100g, respectively, when the sucrose present in honey is taken into account), suggesting that the sugar content of the two diets does not explain the difference in lymphocyte counts, although it is possible that the small differences in sugar concentrations may have been involved. Indeed, honey has been shown to have a mitogenic effect on human B and T lymphocytes (Abuharfeil et al. 1999) and it has been suggested that this may occur through the glycosylation of proteins resulting from the high sugar content (glycosylated proteins have been shown to activate a number of cell types).
Research has also demonstrated that sugars that are slowly absorbed can lead to the formation of short chain fatty acid (SCFA) fermentation products in the gut (Kruse, 1999). SCFA are commonly formed after ingestion of pre-biotic foods, and with the pre-biotic effects of honey established *in vitro* (Ustunol and Ghandi, 2001; Sanz et al. 2005) it is possible that the ingestion of honey may also result in their formation. A number of studies have demonstrated, either directly or indirectly, that SCFA can have immunomodulatory properties (reviewed by Schley and Field, 2002). Thus it is possible that honey may also be stimulating the immune system via the presence of fermentable sugars in the gut.
It is also possible that non-sugar components of the honey may be responsible for the enhanced immuno-modulatory effects seen. Tonks et al. (2007), for example, have recently reported that a 5.8 kDa component of Manuka honey is capable of stimulating immune function *in vitro*. These authors determined that the compound was not a lipopolysaccharide, amino acid, vitamin or mineral, but further investigations are required to elucidate the nature of the compound. It is also possible that the antioxidant content of the honey may have contributed to its immuno-modulatory effects. Although there are no studies directly investigating the effects of honey antioxidants on immune function, other antioxidant compounds have been shown to stimulate immune function *in vitro* (Sabongi et al. 1997) and *in vivo* (De La Fuente et al. 2002). However, further investigations, perhaps using artificial immune challenges, are recommended to better elucidate these effects.
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Al-Waili NS: Intravenous and intrapulmonary administration of honey solution to healthy sheep: effects on blood sugar, renal and liver function tests, bone marrow function, lipid profile and carbon tetrachloride-induced liver injury. J Med Food, 2004; 6:231-247
Al-Waili NS, Haq A: Effect of Honey on Antibody Production Against Thymus-Dependent and Thymus-Independent Antigens in Primary and Secondary Immune Responses, J Med Food, 2004; 7:491-494
Butcher SK, Chahal H, Nayak L et al.: Senescence in innate immune responses: reduced neutrophil phagocytic capacity and CD16 expression in elderly humans. J Leukocyte Bio, 2001; 70:881-886
Chepulis L: The effect of honey compared to sucrose, mixed sugars and a sugar free diet on weight gain in young rats. J Food Sci, 2007; 7(3): S224-S229
Chepulis L, Starkey N: The long-term feeding effects of honey versus sucrose and a sugar-free diet on weight gain, lipid profiles and DEXA measurements in rats. J Food Sci, 2007, forthcoming
Chepulis L, Starkey N, Waas J, Molan P: The anxiolytic effects of honey compared with sucrose and a sugar-free diet during long term feeding in rats. Phys Behav, 2007, submitted to Phys Behav
Castle SC: Clinical relevance of age-related immune dysfunction, Clin Infect Dis, 2000; 31:578-585
De La Fuente M, Miquel J, Catalan MP et al: The amount of thiolic antioxidant ingestion needed to improve several immune functions is higher in aged than in adult mice, Free Radic Res, 2002; 36(2):119-26
Kruse HP, Kleesen B, Blaut M: Effects of inulin on faecal bifidobacteria in human subjects 1999; Br J Nutr, 82:375-382
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Rousseau M, Tysset C, Durand C: Microbism and wholesomeness of commercial honey, Apiacta, 1980,15(2): 51-60
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Tonks A, Cooper RA, Jones KP et al.: Honey stimulates inflammatory cytokine production from monocytes. Cytokine, 2003; 21:242-247
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The Long-Term Effects of Feeding Honey Compared with Sucrose and a Sugar-Free Diet on Weight Gain, Lipid Profiles, and DEXA Measurements in Rats
L. CHEPULIS AND N. STARKEY
ABSTRACT: To determine whether honey and sucrose would have differential effects on weight gain during long-term feeding, 45 2-mo-old Sprague Dawley rats were fed a powdered diet that was either sugar-free or contained 7.9% sucrose or 10% honey *ad libitum* for 52 wk (honey is 21% water). Weight gain was assessed every 1 to 2 wk and food intake was measured every 2 mo. At the completion of the study blood samples were removed for measurement of blood sugar (HbA1c) and a fasting lipid profile. DEXA analyses were then performed to determine body composition and bone mineral densities. Overall weight gain and body fat levels were significantly higher in sucrose-fed rats and similar for those fed honey or a sugar-free diet. HbA1c levels were significantly reduced, and HDL-cholesterol significantly increased, in honey-fed compared with rats fed sucrose or a sugar free diet, but no other differences in lipid profiles were found. No differences in bone mineral density were observed between honey- and sucrose-fed rats, although it was significantly increased in honey-fed rats compared with those fed the sugar-free diet.
Keywords: HDL-cholesterol, honey, obesity, sugars, weight gain
Introduction
Several aspects of health are known to deteriorate as a natural part of the aging process. However, many physiological disorders that can occur in later life, including obesity, cardiovascular disease, and diabetes, are influenced both by genetics and by factors that have accumulated over the span of a lifetime. Most age-related disorders have complex etiologies and are not due to a single factor. In particular, dietary choices often have a significant impact on disease development and progression, and recent evidence suggests that diseases such as obesity, diabetes, atherosclerosis, hyperlipidemia, insulin resistance, and cognitive deterioration can be influenced by long-term dietary changes.
Overwhelming research now shows that diets containing substantial amounts of high glycemic index (GI) foods may actually be detrimental to health because of prolonged or elevated postprandial hyperglycemia. Observational studies have suggested that diets with a high glycemic load (GI × carbohydrate content) are associated with increased risks of type 2 diabetes and cardiovascular disease (Brand-Miller 2003). Similarly, the DECODE study, a meta-analysis of more than 20 studies, has shown that increased rates of mortality and morbidity are associated with high blood glucose levels and high GI diets in both diabetic and nondiabetic patients (The DECODE Study Group 1999). In addition, links have been made between a high GI diet and atherosclerosis in nondiabetic subjects (Balkau and others 1998) as well as with colon (Franceschi and others 2001; Michaud and others 2005) and breast (Augustin and others 2001) cancers. Hyperglycemia has also been shown to correlate to the development of hyperinsulinemia (excess levels of circulating insulin in the blood) and insulin resistance (Augustin and others 2002).
Low GI foods are now being suggested as a replacement for high GI foods as they induce a lower glycemic response, and this is thought to equate to a lower insulin demand, better long-term blood glucose control, and a reduction in blood lipids (Brand-Miller 2003). Epidemiological evidence suggests that low GI diets may also decrease the risk of cardiovascular disease (Liu and others 2000; Stampher and others 2000) as well as promote satiety (because of an increase in fiber content), minimize postprandial insulin secretion, and increase fat oxidation (Liljeberg and others 1999; Augustin and others 2002). Furthermore, recent studies have also shown that dietary carbohydrate content (particularly GI) may have a large impact on weight gain as the number of individuals who are overweight or obese in the United States has increased, despite the fact that fat intake has decreased during the last 20 y (Bell and Sears 2003). It has been suggested that this is likely to be due to the high GI component in the diet, as carbohydrates in the current American diet come primarily from sugars, refined starches, and grains (Bell and Sears 2003).
With the role that postprandial glycemia can have on disease etiology, much research has been undertaken comparing the differential blood sugar response to ingestion of glucose, fructose, and sucrose (Swan and others 1966; MacDonald and others 1978; Bohannon and others 1980; Reiser and others 1986; Shambaugh and others 1990). However, there appears to be little investigation into the use of other sugars as low GI alternatives. Honey is a naturally occurring sweetener that contains a mix of both simple and complex sugars, as well as vitamins, minerals, acids, and enzymes (Molan 1996). Limited clinical studies have demonstrated...
that honey has a lower GI than sucrose (Shambaugh and others 1990), and that honey, sucrose, and fructose do have differential effects on blood glucose levels (Samanta and others 1985; Al-Waili 2003, 2004). In addition, the beneficial effects of consuming honey are well established in the literature. These include improved antioxidant capacity (Taormina and others 2001; Gheldof and others 2003; Schramm and others 2003), enhanced gut motility (Ladas and Raptis 1999), enhanced cytokine production (Tonks and others 2003), and a prebiotic effect (Sanz and others 2005; Ezz El-Arab and others 2006). In addition, short-term feeding in rats has demonstrated that honey leads to less weight gain than sucrose after only 6 wk (Chepulis 2007).
This trial was therefore designed to ascertain what effect honey might have on weight gain, lipid profiles, and bone mineralization levels after long-term feeding, as compared with those fed a sucrose diet. A 3rd treatment group, fed a sugar-free diet, was also included in this trial as a control.
**Materials and Methods**
**Experimental design**
Fifty-five Sprague Dawley rats, aged approximately 8 wk at the start of the trial, were sourced from the small animal research facility at AgResearch, Hamilton, New Zealand. The trial was carried out in the Animal Behaviour Research Facility at Waikato Univ., Hamilton, New Zealand. The research room was maintained at $22 \pm 1$ °C with a 12 h reverse light/dark cycle (lights off 0700 hours). This study was approved by the Waikato Univ. Animal Ethics Committee.
**Experimental diets**
A honeydew honey (HD19) with a high antioxidant content (TEAC = 3.1 mmol/L) was chosen for use in this study. Three experimental diets were prepared to contain no sugar (diet nr 1), 7.9% sucrose (diet nr 2), or 10% honey (diet nr 3). All diets were prepared to contain a minimum of 5% water. An additional 21 mL of water was also added to each kilogram of the nonhoney diets to account for the fact that the honey contained 21% water (measured using a refractometer).
In this study, the diets were prepared such that they approximated the composition of a typical New Zealand diet. Based upon data from the 1997 Natl. Nutrition Survey (New Zealand Ministry of Health 1999), the diets were formulated so that of 100% total energy, 15% to 16% came from protein, 35% came from fat, and 45% to 47% came from carbohydrate (CHO). In addition, skim milk powder (SMP; Fonterra Co-Operative Group Ltd., New Zealand) was added to the diets at a level of 8% of the total daily kilojoule intake. This level of SMP (8%) was chosen as it was equivalent to approximately 350 to 400 mL of milk or dairy in an average person’s daily diet (assuming a total kJ intake of 11000 to 12000 per day). The SMP used in these diets had the following specifications: energy 1520 kJ/100 g, protein 36.1 g/100 g, and fat 0.8 g/100 g. A low-GI starch product (amylose) was used in the sugar-free diet as a replacement for the sucrose/honey rather than standard high-GI starch.
To enhance the possible levels of oxidative damage that may occur in these animals, the diets were prepared using used cooking oil rather than virgin oil as the source of fat. The cooking oil was sourced from various commercial kitchens in Palmerston North, New Zealand, and well mixed prior to inclusion in the diets.
Diets were prepared monthly and were kept in the dark at 4 °C or −15 °C for the duration of the study. Standard rodent vitamin and mineral mixes were prepared as described previously (Chepulis 2007); however, the mineral mix was modified to reflect the amounts of calcium (1.33 g/100 g) and phosphate (1.05 g/100 g) added to the diet from the SMP (cellulose was added instead to make up the final weight). The composition of the diets is given in Table 1.
Subsamples of the 3 diets were analyzed by the Nutrition Laboratory at Massey Univ., Palmerston North, New Zealand, for measurement of energy (bomb calorimetry). The percentage dry matter of these samples was determined monthly during the trial by drying preweighed samples (in triplicate) at 105 °C for 16 h.
**Experimental procedures**
Animals were weighed upon receipt, and the 5 smallest and 5 largest discarded from the trial. The remaining 45 animals were randomly allocated to 1 of 3 experimental diets and housed individually in standard rat cages with plastic bottoms and metal grid tops (final measurements $45 \times 25 \times 30$ cm high). A 10- to 12-cm-long piece of 90-mm PVC tubing was placed into each cage to allow the animals a place to “hide.” Enrichment devices (including small plastic containers, pegs, sticks, and pieces of doweling) were routinely added to the cages. Food jars containing the appropriate diet were placed into the respective cages and new diet added to the jars every 2 d so that food was available *ad libitum*. Water was freely available, and replaced twice weekly.
For assessment of food intake, the animals were removed from their home cages and placed into raised stainless steel cages that had 2 mm² mesh flooring. Numbered blotter papers were placed on shaving-filled trays beneath each cage to catch the spilled diet and feces and absorb the urine. The animals were allowed to acclimatize to the new cages for 4 d (animals had *ad libitum* access to their food and water but intake was not recorded) before beginning the food intake assessment. To assess food intake, food jars containing the appropriate diet were weighed and placed into each cage. New food was weighed and added to each food container daily for 7 d. On day 11, the food pots were removed and weighed. The blotter papers were allowed to dry at 25 °C for 3 to 4 d. Once dry, the spilled diet was scraped off the blotters, separated from the feces/hair and so on by passing through a 2-mm sieve and weighed.
All animals were weighed every 1 to 2 wk, and food intake was assessed every 2 mo (including the start of the trial).
| Ingredient | Sugar-free diet | Sucrose diet | Honey diet |
|-----------------------------|-----------------|--------------|------------|
| Skim milk powdera | 95 | 95 | 95 |
| Caseinb | 120 | 120 | 120 |
| Used oil | 160 | 160 | 160 |
| Amylosec | 79 | — | — |
| Sucrosed | — | 79 | — |
| Honey | — | — | 100 |
| Cellulosee | 50 | 50 | 50 |
| Modified mineral mixf | 50 | 50 | 50 |
| Sugar-free vitamin mixg | 5 | 5 | 5 |
| Starch | 365 | 365 | 365 |
| Water (mL) | 76 | 76 | 55 |
*a* Fonterra Co-Operative Group Ltd., New Zealand.
*b* 80 mesh, New Zealand Milk Products.
*c* Davis Trading Co., Palmerston North, New Zealand.
*d* Sigma Chemical Co.
*e* Michel’s No.2, Commercial Minerals Ltd., Auckland, New Zealand.
*f* A mixture supplying (g/kg diet): Ca 4.96, Cl 7.79, Mg 1.06, P 3.81, K 5.24, Na 1.97; (mg/kg diet) Cr 1.97, Cu 10.7, Fe 424, Mn 78.0, Zn 48.2; (μg/kg diet) Co 29.0, Mo 152, Se 151.
*g* A mixture supplying (mg/kg diet) retinol acetate 5.0, DL-α-tocopherol acetate 200.0, menadione 3.0, thiamin hydrochloride 5.0, riboflavin 7.0, pyridoxine hydrochloride 6.0, D-pantothenic acid 20.0, folic acid 2.0, nicotinic acid 20.0, D-biotin 1.0, cyanocobalamin 20.0, choline chloride 1500; (μg/kg diet) ergocalciferol 25.0, cyanocobalamin 50.0.
Sample analyses
On days 364 and 365 (half of each treatment group on each day), the rats were anaesthetized using CO₂ gas. Each animal underwent a cervical dislocation before approximately 10 mL of blood was removed from the heart via cardiac puncture using 19-gauge needles. Approximately 3 mL of the removed blood was added to an EDTA blood collection tube and the remainder added to a standard vacutainer. These latter blood samples were allowed to clot before centrifuging at 3000 × g for 10 min and removing the serum (for fasting lipid profiles). Both the EDTA-collected blood and the serum were then analyzed at Waikato Hospital (Hamilton, New Zealand) using standard laboratory procedures for measurement of glycated hemoglobin (HbA1c) (HPLC Biomate Affinity column) and fasting lipid profiles (Roche Method using P800 Hitachi). The bodies were then stored at −18 °C for later analysis.
After approximately 3 wk in the freezer, 36 rat bodies (12 from each treatment) were sent to the Dept. of Nutrition and Health at Massey Univ., New Zealand, for DEXA analysis. Bone mineral measurements were taken using a fan beam Hologic QDR Discovery bone densitometer (Bedford, Mass., U.S.A.). A quality control (QC) scan of an anthropomorphic spine phantom was taken to ensure the unit’s precision. The rat whole body was scanned using collimator size 10.24 × 0.10 with point resolution of 0.064 cm and 0.1512 cm line spacing. Regional high-resolution scans of the lumbar spine, right and left femurs were performed using 5.69 × 0.03 collimator. Point resolution and line spacing were 0.0311 cm. Rats were positioned supine with right angles between the spine and femur and between femur and tibia.
For the ex vivo scans the left femurs were stripped of extraneous tissue, leaving about 1 cm of flesh attached. These were submerged in a 1.5-cm-deep dish of PBS. Regional high-resolution scans of the left femurs were performed using 5.69 × 0.03 collimator. Point resolution and line spacing were 0.0311 cm.
Statistical analyses
A 1-way analysis of variance (ANOVA) was performed on all parameters to determine if there were statistical differences between the 3 dietary treatments. Where ANOVA was significant, post hoc tests using a Bonferroni correction were carried out to determine which groups differed. These results are presented below. All analyses were carried out using SPSS version 12 (SPSS, Chicago, Ill., U.S.A.).
Results
For reasons unrelated to diet (2 animals turned out to be female rather than male, and 2 animals died from a fall after escaping from their cages), 4 rats had to be excluded from the study, resulting in final numbers of 13 in the sugar-free group, 14 in the sucrose groups, and 14 in the honey group.
Weight gain and food intake
The results of this study (presented in Table 2) suggest that honey does affect weight gain in adult rats. Mean overall percentage weight gain in honey-fed rats was similar to that observed in rats fed a sugar-free diet, and was significantly reduced by 23.4% compared with those fed sucrose after 52 wk (P = 0.015). Overall percentage
Table 2—Endpoint data (mean ± SD) for rats fed diets that were either sugar-free, or contained 7.9% sucrose or 10% honey (honey is 21% water).
| Result | Unit | Sugar-free (Diet nr 1) | Sucrose (Diet nr 2) | Honey (Diet nr 3) |
|-------------------------|----------|------------------------|---------------------|-------------------|
| Overall weight gain | % | 102.5 ± 19.7† | 130.6 ± 26.7‡ | 107.2 ± 13.8† |
| Overall food intakea,b | g/7 w | 1246.4 ± 85 | 1243.6 ± 111 | 1244.8 ± 89 |
| Overall kilojoule intake| kJ/7 w | 23182 ± 1580 | 23019 ± 2053 | 22730 ± 1620 |
| Fecal outputb | g/7w | 131.4 ± 6.9 | 124.7 ± 12.6 | 133.1 ± 10.9 |
| HbA1c | mmol/L | 4.07 ± 0.17 | 4.19 ± 0.14 | 3.97 ± 0.12† |
| Total cholesterol | mmol/L | 2.79 ± 0.45 | 2.98 ± 0.59 | 3.12 ± 0.37 |
| LDL cholesterol | mmol/L | 0.09 ± 0.09 | 0.10 ± 0.14 | 0.06 ± 0.14 |
| HDL cholesterol | mmol/L | 2.32 ± 0.33 | 2.44 ± 0.51 | 2.82 ± 0.30*† |
| Triglycerides | mmol/L | 0.85 ± 0.24 | 0.96 ± 0.34 | 0.86 ± 0.33 |
*Significant (P < 0.05) compared with sugar-free diet. †Significant (P < 0.05) compared with sucrose diet.
‡Significant (P < 0.05) compared with honey diet.
HbA1c = glycated hemoglobin; HDL = high-density lipoprotein; LDL = low-density lipoprotein.
aFood intake corrected for percentage dry matter (determined by heating duplicate samples for 16 h at 105 °C).
bData collected from the 7 wk of food intake assessment only.
Figure 1—Actual mean weight gain (± SEM) for rats fed diets that were either sugar-free or contained 7.9% sucrose or 10% honey. All diets were formulated to contain equivalent amounts of honey/sugar/amylase and water (the honey was 21% water).
weight gain was also significantly reduced in rats fed the sugar-free diet compared with the sucrose-fed rats ($P = 0.004$). Figure 1 shows the overall percentage weight gain over the duration of the study.
Food intake was assessed during 7-wk-long periods, each measurement period being 2 mo apart. No differences were observed between treatments at any of these endpoints, or in the 7-wk actual or total kilojoule intake.
**Blood sugar (HbA1c) and cholesterol levels**
HbA1c levels were significantly lower in rats fed the honey diet compared with those fed the sucrose diet ($P = 0.001$), but there were no differences observed between the sucrose and sugar-free treatment groups (see Table 2). No differences in total cholesterol, LDL cholesterol, or triglyceride levels were observed after 52 wk of feeding between any of the respective treatments; however, HDL cholesterol was shown to be 16% to 21% higher in honey-fed rats than in those fed the sucrose ($P = 0.044$) or sugar-free ($P = 0.006$) diets.
**DEXA scans**
Full body scans by DEXA revealed a small number of differences in the body composition of the animals in the 3 dietary treatments (see Table 3). Lumbar spine area was greater in both sucrose- and honey-fed rats compared with those given a sugar-free diet (both $P < 0.05$); and whole body area ($P = 0.02$) and bone mineral composition ($P = 0.002$) were higher in rats fed sucrose compared with those given the sugar-free diet. Honey-fed rats exhibited a slight, but significant, increase in mean whole body bone mineral density (BMD) compared with those fed a sugar-free diet ($P = 0.009$).
Mean total percent body fat was higher in sucrose-fed rats (34.7%) than in honey-fed rats after 12 mo (25.5%; $P = 0.025$). No significant differences were observed between sucrose-fed rats and those given a sugar-free diet, although percentage body fat levels were similar for animals given honey and the sugar-free diet (26.5%).
**Discussion**
As the results from this study demonstrate, there do appear to be health benefits associated with consuming honey for a prolonged period of time. Weight gain was substantially reduced in honey-fed rats compared with those given a sucrose-based diet, and this agrees with the earlier work of Chepulis (2007) that showed that honey reduced weight gain compared with sucrose in short-term feeding. Importantly, these comparable data suggest that the weight regulating property of honey is not restricted to only young animals (animals were aged 6 to 12 wk in the earlier study) but instead may occur throughout the lifetime of the animal, regardless of the age of the individuals involved. In the earlier work (Chepulis 2007), however, reduced weight gain occurred in honey-fed rats even though the overall 6-wk food intake was significantly higher in these animals compared with those fed the sugar-free diet. In contrast, food intake in the current study appears to be similar for all treatments groups throughout the duration of the study. Food intake in the current study was assessed during 7-wk-long periods and not for the total duration of the study, as occurred in the earlier study. Due to the need to house the animals individually long term, it was not ethically viable to use food assessment cages for everyday housing. These cages are smaller than those required by the Waikato Univ. Ethics Committee, and as they have a mesh floor, they are unsuitable for long-term use. However, given the standard housing conditions used throughout the 12-mo period, it is unlikely that food intake would have varied between the 3 dietary treatments during the times that food intake was not measured. In the work by Chepulis (2007), food intake (and kilojoule intake) was significantly higher in the sucrose and honey groups compared with the sugar-free animals and it was suggested that this was due to the extra kilojoules provided by the honey or sugars in the diet. In the present study, however, kilojoule intake was the same for all 3 dietary treatments. This suggests that both the sugar-free and honey-based diets in the present study demonstrated a reduced weight gain/kJ compared with the sucrose-fed group.
It must be noted though that the sugar-free diet prepared in the current study was not entirely sugar-free as it contained nearly 10% SMP. SMP contains, on average, 52% lactose; therefore, even the sugar-free diet contained approximately 5% sugars by weight. This may have been sufficient to increase the sweetness of the diet, thereby improving palatability. An increase in palatability may account for why food intake was not reduced in rats fed the sugar-free diet in the current study, whereas it was in the trial presented by Chepulis (2007). However, a higher kilojoule intake should have led to more weight gain and clearly this was not seen in the animals.
**Table 3—Mean DEXA data (mean ± SD) for rats fed diets that were either sugar-free or contained 7.9% sucrose or 10% honey (honey is 21% water).**
| Result | Unit | Sugar-free (Diet nr 1) | Sucrose (Diet nr 2) | Honey (Diet nr 3) |
|-----------------|--------|-----------------------|---------------------|-------------------|
| Left femur | | | | |
| Area | cm² | 1.94 ± 0.07 | 2.04 ± 0.11 | 2.07 ± 0.12* |
| BMC | g | 0.59 ± 0.04 | 0.64 ± 0.07 | 0.65 ± 0.07 |
| BMD | g/cm² | 0.30 ± 0.01 | 0.31 ± 0.02 | 0.31 ± 0.02 |
| Right femur | | | | |
| Area | cm² | 1.98 ± 0.13 | 2.02 ± 0.11 | 2.09 ± 0.07 |
| BMC | g | 0.60 ± 0.05 | 0.64 ± 0.07 | 0.65 ± 0.05 |
| BMD | g/cm² | 0.30 ± 0.01 | 0.32 ± 0.02 | 0.31 ± 0.01 |
| Lumbar spine | | | | |
| Area | cm² | 2.67 ± 0.07 | 2.84 ± 0.14* | 2.83 ± 0.15* |
| BMC | g | 0.65 ± 0.04 | 0.71 ± 0.11 | 0.72 ± 0.07 |
| BMD | g/cm² | 0.24 ± 0.01 | 0.25 ± 0.03 | 0.25 ± 0.02 |
| Whole body | | | | |
| Area | cm² | 82.9 ± 5.3 | 90.1 ± 6.9* | 85.1 ± 3.9 |
| BMC | g | 12.5 ± 0.6 | 14.4 ± 1.6* | 13.7 ± 0.65 |
| BMD | g/cm² | 0.15 ± 0.01 | 0.16 ± 0.01 | 0.16 ± 0.01* |
| Percent fat | % | 26.5 ± 5.4 | 34.7 ± 9.1* | 25.5 ± 6.4* |
*Significant ($P < 0.05$) compared with sugar-free diet; †significant ($P < 0.05$) compared with sucrose diet; ‡significant ($P < 0.05$) compared with honey diet.
BMC = bone mineral composition, BMD = bone mineral density.
fed the sugar-free diet. This suggests that differences in kilojoule intake are not solely responsible for the weight gains (or lack thereof) observed in this study.
Importantly, the 3 diets only differed in the content of the amylose, sucrose, and honey. Given that both amylose and honey are low GI ingredients, whereas sucrose is a high GI ingredient, these findings lend weight to the theory that glycemic index and the resultant blood sugar levels may be responsible for the reduced weight gain. These data are further supported by the finding that blood sugar (HbA1c) levels were indeed reduced in both sugar-free and honey-fed rats compared with sucrose-fed animals, although this difference did not reach significance for the animals fed the sugar-free diet. Glycated hemoglobin (HbA1c) is routinely used as a measure of long-term serum glucose regulation as it is easily quantifiable, with the hemoglobin occurring in large quantities in the blood. However, glycation is a nonenzymic, free-radical process, and the presence of antioxidants can reduce the frequency of this reaction, thereby reducing the amount of HbA1c present. The honey used in this study had a high antioxidant content and it is possible, therefore, that the antioxidant content of the honey, rather than its low GI properties, was responsible for the reduced HbA1c level detected in these animals. HbA1c levels were not reduced in honey-fed rats (nor in any of the other treatment groups) in the trial in Chepulis (2007), and it is difficult to explain why this is so, given that similar honeydew honeys with similar antioxidant contents (TEAC = 2.7 and 3.1) were used. It could be that the earlier trial simply did not run for a long enough period of time to be able to detect a difference (HbA1c is a marker of the level of hemoglobin glycation occurring over the previous 4 to 12 wk), or that other factors (either diet- or age-related) affected the level of glycation that occurred.
Certainly, the aforementioned results agree with the literature that low GI foods can improve weight regulation compared with their higher GI counterparts (Agus and others 2000; Spieth and others 2000; Dumesnil and others 2001; Brand-Miller and others 2002), and the World Health Organization has even issued an extensive report detailing the use of low GI foods as an appropriate way for preventing obesity (Joint FAO/WHO Expert Consultation 1998). However, it must be noted that fructose is metabolized through very different pathways to glucose, and the 2 sugars elicit very different hormonal responses after ingestion (Wylie-Rosett and others 2004). In particular, fructose consumption has been associated with increased lipogenesis and reduced satiety compared with glucose (Teff and others 2004), and it has been suggested that high levels of fructose intake may actually contribute to the obesity epidemic seen in Western populations rather than reduce it. Thus, the idea that honey-fed rats exhibit less weight gain than sucrose-fed rats simply because of differences in GI may not be entirely accurate. Unpublished work in our laboratory has shown that rats fed 60% honey exhibit weight gains that are lower than those fed an equivalent amount of mixed sugars (as in honey) and that weight gains are similar for animals given the sucrose and mixed sugars diets. This suggests that the difference in weight gain between sucrose- and honey-fed rats is not simply due to the different sugars present in the diet, but that other factors may be involved. As discussed in Chepulis (2007), the reduced weight gain seen in honey-fed rats may be due to the insulin-mimetic effects of hydrogen peroxide produced by the honey. No studies have been undertaken to assess whether hydrogen peroxide could reach sufficient levels *in vivo* to elicit such a response, although it warrants further investigation.
Interestingly, cholesterol parameters were also altered in this study, with honey-fed rats exhibiting HDL cholesterol levels that were 15% to 20% higher than those fed the sugar-free and sucrose diets. No other long-term feeding studies have investigated the effects of honey on lipid profiles; however, short-term animal feeding studies have shown no increases in HDL cholesterol levels, either compared with baseline levels or with other dietary treatments (Al-Waili 2004; Chepulis 2007). It is possible that the changes in HDL cholesterol observed in the present study occurred gradually over a prolonged period of time rather than occurring in only a few weeks. Research has shown that there is a strong link between high GI diets and low HDL cholesterol levels (Frost and others 1999; Luscombe and others 1999; Buyken and others 2001; Ford and Liu 2001; Liu and others 2001); thus, it is possible that the low GI of the honey diet may have contributed to the increase in HDL cholesterol levels. However, as HDL cholesterol levels were comparable between the low GI sugar-free diet and the high GI sucrose diet, it is unlikely that dietary GI played a significant role. Several factors have been reported to improve HDL cholesterol levels in humans, including aerobic exercise, weight loss, cessation of smoking, and supplements such as omega 3, monounsaturated fat, and nicotinic acid (Drexel 2006), although it is hard to see how any of these factors may be relevant to the current study, except maybe the weight loss. Van Gaal and others (1997) reported that a weight reduction of as little as 5% to 10% can significantly improve HDL cholesterol levels in overweight individuals. Similarly, several authors have reported specific improvements in HDL cholesterol levels in both men and women after 12 to 18 mo of weight-reducing diets (Wood and others 1991; Williams and others 1994; Wing and Jeffery 1995; Stefanick and others 1998). It is possible, therefore, that the increase in HDL cholesterol levels seen in honey-fed rats was directly related to the reduced levels of body weight compared with animals fed the sucrose diet. However, if the improvement in HDL cholesterol was purely due to reduced body fat levels, then animals fed the sugar-free diet should also have demonstrated increases in HDL cholesterol levels compared with sucrose-fed animals, and this did not occur. Thus, it would seem that there are other factors responsible for the improvement in HDL cholesterol levels observed in honey-fed rats.
It is important to note, though, that rodents are generally not an appropriate model to assess lipoprotein concentrations in blood as plasma lipid levels are only minimally affected by modifications of dietary fat and cholesterol compared with their response in humans (Hegsted 1975). Indeed, it has been suggested that guinea pigs may be a better model for cholesterol and lipoprotein metabolism (Fernandez 2001). However, the data reported in the present study were a part of a larger investigation that assessed the effects of honey, sucrose, and the sugar-free diet on cognition (Chepulis and Starkey 2007), and rats are a well-accepted model for behavioral endpoints (Ingram and others 1994; Benton and others 2003).
The finding that consuming honey increases HDL cholesterol levels is still a significant result though. In clinical trials, there have been strong associations seen between low HDL cholesterol levels and the increased risk of cardiovascular disease (Drexel 2006). Several large studies (Carlson and Rosenhamer 1988; Rubins and others 1999; Canner and others 2003) have also investigated the use of HDL-cholesterol-raising agents as a therapeutic strategy for improving cardiovascular outcomes in high-risk populations, and the findings have been impressive. The risk of death, myocardial infarction, stroke, or revascularization was reduced by up to 90% with only minimal improvements in HDL cholesterol levels. The ability to improve HDL cholesterol through simple dietary means is therefore a valuable tool, particularly in individuals that are high risk for the development of cardiovascular disease.
Few differences between treatments were found in the bone-related DEXA measurements performed in this study, and this agrees with unpublished work from our laboratory that honey does not improve bone calcium levels during normal feeding regimes. Certainly, no differences in any of the DEXA endpoints were observed between rats fed sucrose and honey, suggesting that the type of sugars ingested long term may have little impact on bone density or mineralization levels. No other long-term data are available for the effects of honey on bone density measures, but evidence suggests that long-term feeding of high sucrose diets can alter the calcium balance in humans (Lemann and others 1970; Thom and others 1978; Ericsson and others 1990) and negatively affect bone mineralization levels (Li and others 1990; Saffar and Markis 1992; Salem and others 1992). Such decreases in bone density and mineralization were not seen in sucrose-fed rats in the present study, but it may be that the levels of sugars were not high enough to induce reductions in bone strength and density (sugar levels in the aforementioned studies were up to 65%). In addition, the addition of SMP to the diets in this current study may have aided calcium absorption in all 3 dietary treatments due to the presence of casein and the possible formation of casein phosphopeptides in the gut.
**Conclusions**
Honey appears to have a number of health benefits associated with long-term feeding, including improved weight regulation and reduced blood glucose levels as well as increased HDL-cholesterol levels. These effects may result from differences in GI compared with sucrose and because of its antioxidant content, although other factors may also be involved. Honey may therefore be an effective replacement for sucrose in individuals who suffer from poor glycemic control or who are high risk for CHD.
**Acknowledgments**
This study was funded by Fonterra Brands Ltd. New Zealand as a part of a PhD program. The authors would also like to thank Dr. Peter Molan of Waikato Univ. for his assistance.
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CONCLUSIONS In ACS patients undergoing PCI, normal LVEDP values were associated with a better outcome, with lower 12-month mortality rates. There seems to be a strong trend (p=0.09) toward a higher rate of CIN in patients with elevated LVEDP on presentation.
CRT-100.06
Retroviral-positive Patients (HIV) Presenting With Acute Coronary Syndrome — Dilemma For Coronary Interventions: To Do or Not to Do
H.S. Nattraj Setty, T.R. Raghu, B.C. Srinivas, K.H. Srinivas, R. Rajesh, S. Ramasubramanian Ramalingam, Jayashree Kharge, A. Ashalatha, A.C. Nagamani, K.S. Ravindranath, M.C. Yeiriswamy, C.N. Manjunath
Sri Jayadeva Institute of Cardiovascular Sciences & Research, Bangalore, India
INTRODUCTION The current spectrum of human immunodeficiency virus (HIV) infections dramatically shifted after the advent of effective antiretroviral therapy. Cardiovascular disease, including atherosclerosis and its attendant risk-associated complications, is an increasing cause of morbidity and mortality in HIV patients in the antiretroviral therapy era. The aim of our study was to study the clinical and angiographic profile of HIV-infected patients presenting with acute coronary syndrome (ACS), their in-hospital outcomes, and therapeutic challenges in response to coronary revascularization.
MATERIALS AND METHODS A prospective observational study conducted from January 2013 to September 2017. We studied 109 consecutive patients infected with HIV and presenting with ACS to our acute coronary care unit. The baseline clinical characteristics, response to fibrinolytic therapy, angiographic findings, and results of percutaneous coronary intervention and in-hospital outcomes were studied.
RESULTS The mean age of patients was 46 years, which is lower than HIV-uninfected patients. Most patients presented with Acute Anterior Wall ST-Elevation Myocardial Infarction (n=58). Thrombolysis was required in 16 patients (23%) and failed in 13 (21.67%) patients. Four patients underwent rescue angioplasty, and primary PCI was done in 3 patients. Coronary angiography was done in all the patients, revealing significant residual stenosis in 51 patients. Three-vessel coronary artery disease (CAD) was seen in 10 patients (2.7%), and two-vessel CAD was seen in 16 patients (14.7%). Sixty-nine patients (61.6%) had significant single-vessel lesions. All patients with significant residual lesions (n=51) underwent PCI with drug-eluting stents. Only 1 patient died due to cardiogenic shock. All 109 patients were followed up for 3 years, and they are receiving adjuvant highly active antiretroviral therapy (HAART).
CONCLUSIONS HIV-associated atherosclerosis and its complications are a significant human health burden for which the pathogenesis remains elusive. The distinct pathological features of HIV-induced atherosclerosis are non-calcified and inflammatory plaques that are more vulnerable to rupture, resulting in ACS. HIV-infected patients hospitalized for an ACS are relatively younger. Anterior wall STEMI is the most common presentation; hence, the left anterior descending artery is the most common culprit vessel. HIV status and HAART didn’t interfere with revascularization approach or clinical outcome.
CRT-100.07
Clinical Outcomes Among Patients Requiring Acute Mechanical Circulatory Support for Cardiogenic Shock Supported by Impella or VA-ECMO
Kevin Morine,1 Michele Esposito,1 Shiva Annamalai,1 Robert Pedicini,1 Lena Jorde,1 Kyle Göbel,1 Jamie Hernandez-Montfort,1 Navin Kapur1
Tufts Medical Center, Boston, MA;2 Baystate Medical Center, Springfield, MA
BACKGROUND Clinical trials for acute mechanical circulatory support (AMCS) for cardiogenic shock (CS) have exclusively focused on patients with acute coronary syndrome (ACS). Outcomes for patients supported with AMCS for other indications have not been well-described.
METHODS We retrospectively analyzed all patients (n=140) between 2012-2016 receiving veno-arterial extra corporeal membrane oxygenation (VA-ECMO) (n=59) or Impella (n=81) for CS at two institutions.
RESULTS The indications for AMCS were acute ACS (46%; STEMI 30% and NSTEMI 70%), acute decompensated heart failure (ADHF) (39%), myocarditis (10%), and post-cardiotomy (7%). Compared to VA-ECMO, Impella patients were older (59±14 vs. 54±12 years, all comparisons p<0.01) and more likely to have hypertension (57% vs. 24%), Impella patients had a lower lactate (3.3±1.7 vs. 7.5±5.8 mEq/L), higher pH (7.33±0.17 vs. 7.24±0.16), and higher MAP (125±15 vs. 114±15 mmHg) compared to VA-ECMO. The median duration of support was longer for VA-ECMO than Impella (7.4 days vs. 4.6 days, p=0.026). In-hospital mortality across indications was lower for Impella than VA-ECMO (40% vs. 59%, p=0.03; Figure). Compared to VA-ECMO, mortality was lower with Impella for ADHF (0% vs. 57%, p=0.027).
CONCLUSION For patients with CS supported by AMCS, mortality is lower for patients supported with Impella, particularly for ADHF, although indices of CS severity are worse among VA-ECMO recipients. Investigation of outcome predictors for AMCS recipients is warranted.
CRT-100.08
Coronary Perfusion Pressure and Left Ventricular Hemodynamics as Predictors of Cardiovascular Collapse following Percutaneous Coronary Intervention
Kyle Buchanan, Deepak Gajanan, Micaela Iantorno, Toby Rogers, Jiaxiang Gai, Rebecca Torgeson, Itzik Ben-Dor, William Suddath, Lowell Satler, Ron Waksman
MedStar Heart and Vascular Institute, Washington, DC
BACKGROUND Percutaneous mechanical circulatory support (MCS) continues to evolve. Appropriate patient selection for MCS following percutaneous coronary intervention (PCI) remains a challenge. There may be a role for MCS prior to the development of shock to help...
unload the ischemic ventricle. The aim of this study is to evaluate the role of coronary perfusion pressure and other left ventricular hemodynamics to predict cardiovascular collapse following PCI.
**METHODS** We retrospectively analyzed all patients who underwent PCI for acute coronary syndrome (ACS) from 2014 to 2016 and excluded those without a documented left ventricular end diastolic pressure (LVEDP) or those with a diagnosis of shock. Coronary perfusion pressure was calculated for each patient and defined as the difference in mean arterial pressure and LVEDP. Logistic regression analysis was performed to determine predictor of composite outcome of in-hospital mortality, myocardial infarction (MI), congestive heart failure (CHF), and cardiogenic shock.
**RESULTS** A total of 921 had PCI with an LVEDP measurement and no diagnosis of shock. The average age was 58 years, 590 (64%) were male, 431 Caucasian, 277 (30%) had hypertension, 333 (36%) had diabetes mellitus, 289 (31%) had a history of coronary artery disease, 86 (10%) had chronic renal insufficiency (CRI), and 239 (26%) had a history of CHF; 227 (25%) presented with ST-elevation MI (STEMI), while 694 (75%) underwent non-STEMI. Mean right atrial pressure was 10±1 mmHg, mean aortic systolic blood pressure was 117±41 mmHg, and perfusion pressure was 72±19 mmHg. The mean LVEDP was significantly higher in the STEMI patients (24±9 vs. 19±8, p<0.001) and perfusion pressure significantly lower (68±4 vs. 74±18, p=0.001) compared to all other patients. Eighty-seven (9.4%) reached the composite outcome, and there was no difference between the two groups. Neither LVEDP nor perfusion pressure was a predictor of the composite outcome following multivariate logistic regression analysis (OR 1.01, 95% CI 0.98-1.04 and 0.99, 95% CI 0.98-1.01, respectively). Increasing age, CRI, CHF, and low left ventricular ejection fraction were predictors of the composite outcome following multivariate analysis.
**CONCLUSION** In hemodynamically stable patients presenting with ACS, neither coronary perfusion pressure are not predictors of in-hospital cardiovascular collapse. Routine measurement of LVEDP following PCI in stable patients may not be helpful to determine who will benefit from MCS.
---
**CRT-100.09**
**Vasoactive Agent Use Prior to Acute Mechanical Circulatory Support for Cardiogenic Shock Is Associated With End Organ Dysfunction and Mortality**
Kevin Morine,¹ Michele Esposito,² Shiva Annamalai,¹ Robert Pedicini,¹ Lena Jordt,³ Kyle Gobeli,³ Jamie Hernandez-Montfort,¹ Navin Kapur¹
¹Tufts Medical Center, Boston, MA; ²Bayside Medical Center, Springfield, MA
**BACKGROUND** Prior to initiating acute mechanical circulatory support (AMCS) for cardiogenic shock (CS), vasoactive agents are used for hemodynamic support to avert multi-system dysfunction or hemometabolic shock. The relationship between vasoactive agent use for CS and clinical outcomes is not well-understood.
**METHODS** We retrospectively analyzed all patients (n=140) between 2012-2016 who received veno-arterial extra corporeal membrane oxygenation (VA-ECMO) or Impella (n=81) for CS at two institutions.
**RESULTS** In-hospital mortality was 49%. Survivors were treated with fewer vasoactive agents (1.3±1.1 vs 2.2±1.3; all comparisons p<0.05; Fig. A). The most common first-line agents were norepinephrine, dobutamine and epinephrine. There was no significant mortality difference among moderate or high doses of pressors or inotropes. Compared to 0-1 agents, use of >2 agents correlated with a higher Cr (2.1±1.3 vs. 1.4±0.6 mg/dl), higher alanine aminotransferase (ALT) (663±1380 vs. 222±653 IU/L), aspartate aminotransferase (AST) (628±1200 vs. 222±653 IU/L), lactate (4.1±2.6 vs. 2.8±1.4 mmol/L) (DNR) (1.9±1 vs. 1.4±0.4). Use of >2 agents correlated with a higher right atrial to pulmonary capillary wedge pressure (RA/PCWP) ratio (0.78±0.25 vs. 0.63±0.25) and lower pulmonary artery pulsatility index (PAPI) (0.72±0.19 vs. 0.99±0.15). Receiver operating characteristic (ROC) analysis revealed a C-statistic of 0.838 for in-hospital mortality with an optimal cutoff of >2 agents (Fig. B).
**CONCLUSION** Vasoactive agents for CS are associated with impaired end-organ function, right heart dysfunction and increased mortality. The number of vasoactive agents may serve as a simple metric of CS severity and identify patients at risk of hemo-metabolic shock who may benefit from early initiation of AMCS.
---
**CRT-100.10**
**Congestive Profiles Correlate with Clinical Outcomes Among Patients Requiring Acute Mechanical Circulatory Support for Cardiogenic Shock**
Kevin Morine,¹ Michele Esposito,² Shiva Annamalai,¹ Robert Pedicini,¹ Lena Jordt,³ Kyle Gobeli,³ Jamie Hernandez-Montfort,¹ Navin Kapur¹
¹Tufts Medical Center, Boston, MA; ²Bayside Medical Center, Springfield, MA
**BACKGROUND** The impact of congestive profile on clinical outcome in patients with cardiogenic shock (CS) supported by acute mechanical circulatory support (AMCS) is not well understood.
**METHODS** We retrospectively analyzed all patients (n=140) between 2012-2016 receiving veno-arterial extra corporeal membrane oxygenation (VA-ECMO) (n=59) or Impella (n=81) for CS at two institutions. Hemodynamic data were available for 106 patients and were used to categorize CS as euvoiclic right atrial pressure (RAP)>14 and pulmonary capillary wedge pressure (PCWP)<16 dominant (PCWP>16 only), RV-dominant (RAP>14 only) or biventricular (BiV) congestion.
**RESULTS** BiV congestion (56%) was more common than LV-dominant (15%), RV-dominant (14%) or euvoiclic right atrial congestion (14%) (Fig. A). Compared to LV-RV-euvoiclic congestion, BiV congestion correlated with higher serum creatinine (1.94±1.12, 1.45±0.59, 1.61±1.15 mg/dL, p<0.01 for all comparisons), aspartate aminotransferase (AST) (1178±3281, 588±1774, 299±257 U/L), alanine aminotransferase (ALT) (941±3410, 338±1619, 161±89 U/L) and lactate (4.1±2.6, 3.4±1.7, 3.2±2.6 mmol/L). Euvoiclic shock was associated with smaller serum creatine, AST, ALT and lactate compared to LV- and RV-dominant congestion. Mortality was similar among patients with BiV congestion matched with left- and right-sided dominance (44%), BiPella (40%), VA-ECMO (40%) and (43%) compared to LV ventilation (46%). Compared to VA-ECMO, in-hospital mortality was lower among patients with LV-dominant congestion receiving Impella (0 vs. 67%; p<0.01; Fig. B).
**CONCLUSION** BiV congestion is common and associated with worse end organ function compared to univentricular dominant congestion among patients with CS supported by AMCS. Mortality was lower for patients with LV-dominant congestion supported by Impella. Improved understanding of hemodynamics in CS may allow for congestive profile-device matching and potentially improve outcomes. |
RESOLUTION NO. 1985-5
RESOLUTION APPROVING A FIFTH SUPPLEMENTAL INDENTURE OF TRUST AND AUTHORIZING THE ISSUANCE OF $208,335,000 AGGREGATE PRINCIPAL AMOUNT OF POWER PROJECT REVENUE BONDS, 1985 REFUNDING SERIES A; AUTHORIZING THE EXECUTION AND DELIVERY OF A PURCHASE CONTRACT AND OFFICIAL STATEMENT IN CONNECTION THEREWITH; APPOINTING PAYING AGENTS; AUTHORIZING CERTAIN RELATED ACTIONS; AND AUTHORIZING THE OFFICERS OF THE AUTHORITY TO DO ALL OTHER THINGS DEEMED NECESSARY OR ADVISABLE
BE IT RESOLVED by the Board of Directors of the Southern California Public Power Authority as follows:
1. The Fifth Supplemental Indenture of Trust, dated as of April 1, 1985, between Southern California Public Power Authority (the "Authority") and First Interstate Bank of California, as trustee (the "Trustee"), in the form presented to this meeting and hereby made a part of this resolution as though set forth in full herein, be and the same hereby is approved. The President or Vice President and the Secretary or Assistant Secretary of the Authority are hereby authorized and directed to execute and deliver said Supplemental Indenture with such changes, insertions and omissions as shall be approved by said President or Vice President (such approval to be conclusively evidenced by his execution and delivery thereof); and said Secretary or Assistant Secretary is hereby authorized and directed to affix the seal of the Authority thereto. The issuance of Two Hundred Eight Million Three Hundred Thirty-five Thousand Dollars ($208,335,000) aggregate principal amount of Power Project Revenue Bonds, 1985 Refunding Series A (the "Bonds"), of the Authority is hereby authorized, subject to the provisions of this resolution and the Indenture of Trust, dated as of July 1, 1981, between the Authority and the Trustee, as heretofore supplemented and amended and as supplemented by said Fifth Supplemental Indenture of Trust (collectively, the "Indenture"). The Bonds shall mature on July 1 in the years and bear interest from April 1, 1985 (payable semiannually on January 1 and July 1, commencing July 1, 1985) at the rates per annum as follows:
| July 1 | Principal Amount | Interest Rate |
|--------|------------------|---------------|
| 1988 | $590,000 | 6.500% |
| 1989 | 625,000 | 7.000 |
| 1990 | 675,000 | 7.500 |
| 1991 | 720,000 | 7.750 |
| 1992 | 775,000 | 8.000 |
| 1993 | 840,000 | 8.200 |
| 1994 | 910,000 | 8.400 |
| 1995 | 985,000 | 8.600 |
| July 1 | Principal Amount | Interest Rate |
|--------|------------------|---------------|
| 1996 | $1,070,000 | 8.800% |
| 1997 | 1,165,000 | 9.000 |
| 1998 | 1,265,000 | 9.100 |
| 1999 | 1,385,000 | 9.200 |
| 2000 | 1,510,000 | 9.250 |
| 2012 | 120,820,000 | 9.375 |
| 2014 | 75,000,000 | 9.250 |
The form of the Bonds and the provisions for signatures, authentication, payment, registration, redemption, denomination, sinking fund, number and other terms thereof shall be as set forth in the Indenture.
2. The Bonds shall be secured by the pledge effected by the Indenture and shall be special, limited obligations of the Authority payable solely from the sources specified in the Indenture. Neither the State of California nor any public agency thereof (other than the Authority) nor any member of the Authority nor any Project Participant shall be obligated to pay the principal or Redemption Price of, or interest on, the Bonds. Neither the faith and credit nor the taxing power of the State of California or any public agency thereof or any member of the Authority or any Project Participant is pledged to the payment of the principal or Redemption Price of, or interest on, the Bonds. The Bonds and interest coupons appurtenant thereto, if any, shall never constitute the debt or indebtedness of the Authority within the meaning of any provision or limitation of the constitution or statutes of the State of California, nor shall they constitute or give rise to a pecuniary liability of the Authority or a charge against its general credit.
3. The Purchase Contract dated April 19, 1985 for the Bonds between the Authority and Salomon Brothers Inc, Bear Stearns & Co., The First Boston Corporation, E. F. Hutton & Company Inc., Merrill Lynch Capital Markets and Sutro & Co., on behalf of themselves and the other several Underwriters listed in Schedule I thereeto (the "Underwriters"), as submitted to this meeting and hereby made a part of this resolution as though set forth in full herein, be and the same hereby is approved.
The Bonds are hereby sold to the Underwriters at a purchase price of $200,853,976.15 plus accrued interest on the Bonds from April 1, 1985 to the date of delivery and payment therefor, on the terms and conditions set forth in the Purchase Contract.
Pursuant to Section 6571 of the Government Code of the State of California, it is hereby found and determined that the sale of the Bonds at less than the par amount thereof will result in more favorable terms for the Bonds and that a negotiated sale of the Bonds is necessary.
The President or Vice President of the Authority is hereby authorized and directed to execute the Purchase Contract and to deliver the same to the Underwriters.
4. The draft Official Statement (the "Official Statement") in the form presented for this meeting, with such changes thereto as are necessary to reflect the actual terms of the Bonds and such other changes as the President or Vice President of the Authority shall approve (such approval to be conclusively evidenced by his execution and delivery thereof), be and the same is hereby approved, and the Board hereby approves the use of the Official Statement by the Underwriters in connection with the offering and sale of the Bonds, and the Board hereby further approves the use by the Underwriters of any supplement or amendment to the Official Statement which is necessary so that the Official Statement does not include any untrue statement of a material fact and does not omit to state a material fact necessary to make the statements therein not misleading. The President or Vice President of the Authority is hereby authorized and directed to execute the Official Statement and any amendment or supplement thereto, in the name and on behalf of the Authority, and thereupon to cause the Official Statement and any such amendment or supplement to be delivered to the Underwriters.
5. First Interstate Bank of California, Los Angeles, California, and Citibank, N.A., New York, New York, are hereby designated Paying Agents for the Bonds under the terms and conditions of the Indenture.
6. The advance refunding of the Refunded Bonds (as defined in the Fifth Supplemental Indenture) as provided for in the Fifth Supplemental Indenture is hereby authorized and directed. The President, Vice President, Secretary or any Assistant Secretary are authorized on behalf of the Authority to purchase U.S. Government obligations in such amounts, maturing at such times and bearing such rates of interest as shall be necessary (taking into account any moneys or other securities deposited in the Escrow Fund at the same time for such purpose) to pay when due the principal of an interest on the Refunded Bond (as defined in the Fifth Supplemental Indenture); and to take such other action as he may deem necessary or appropriate to effectuate the purchase of said securities.
7. The President, Vice President, Secretary or Assistant Secretary and any other officer of the Authority is hereby authorized to apply for and obtain municipal bond insurance for the Bonds maturing on July 1, 2014. The President or Vice President of the Authority is hereby authorized to execute and deliver a contract for municipal bond insurance, said execution being conclusive evidence of such approval; and the Secretary or Assistant Secretary is hereby authorized to affix and attest the seal of the Authority thereto.
8. The President and Vice President be and each of them is hereby authorized to appoint from time to time any fiduciaries, depositaries or agents in connection with the Bonds and to execute and deliver any and all documents and instruments necessary or proper in connection with each such appointment.
9. The appropriate Authority officers and representatives of the Department of Water and Power of The City of Los Angeles are hereby authorized and directed to cause the Trustee to transfer moneys from the Debt Service Account in the Debt Service Fund and from the Construction Fund to the Escrow Fund established pursuant to the Fifth Supplemental Indenture as contemplated by the Fifth Supplemental Indenture.
10. Arthur T. Devine and Peter J. Fehervari, in addition to such other offices or positions with the Authority they may already hold, are each hereby appointed an Assistant Secretary of the Authority solely for the purpose of taking any and all required action in connection with the issuance and delivery of the Bonds, including the manual execution thereof.
11. The President, Vice President, Secretary and any Assistant Secretary, and any other officer of the Authority, be and each of them is hereby authorized and directed to execute and deliver any and all documents and instruments and to do and cause to be done any and all acts and things necessary or proper for carrying out the transactions contemplated by this resolution.
12. This resolution shall become effective immediately.
THE FOREGOING RESOLUTION is approved and adopted by the Authority, this 19th day of April, 1985.
ATTEST:
SECRETARY
Southern California Public Power Authority
PRESIDENT
Southern California Public Power Authority
| Member | Reg. Votes | Absent | Vote | PV Proj Votes | Vote |
|------------|------------|--------|------|---------------|------|
| Anaheim | 1 | | | 1 | X |
| Azusa | 1 | | | 11 | ✓ |
| Banning | 1 | | | 11 | X |
| Burbank | 1 | | | 45 | ✓ |
| Colton | 1 | | | 11 | X |
| Glendale | 1 | | | 45 | ✓ |
| Los Angeles| 1 | | | 671 | ✓ |
| Pasadena | 1 | | | 45 | ✓ |
| Riverside | 1 | | | 55 | ✓ |
| Imperial | 1 | | | 66 | ✓ |
| Vernon | 1 | | | 50 | ✓ |
Passage requires Y vote of majority of those present
Passage requires 80% of votes cast
RESOLUTION NO. 1985-5
RESOLUTION APPROVING A FIFTH SUPPLEMENTAL INDENTURE OF TRUST AND AUTHORIZING THE ISSUANCE OF $208,335,000 AGGREGATE PRINCIPAL AMOUNT OF POWER PROJECT REVENUE BONDS, 1985 REFUNDING SERIES A; AUTHORIZING THE EXECUTION AND DELIVERY OF A PURCHASE CONTRACT AND OFFICIAL STATEMENT IN CONNECTION THEREWITH; APPOINTING PAYING AGENTS; AUTHORIZING CERTAIN RELATED ACTIONS; AND AUTHORIZING THE OFFICERS OF THE AUTHORITY TO DO ALL OTHER THINGS DEEMED NECESSARY OR ADVISABLE.
BE IT RESOLVED by the Board of Directors of the Southern California Public Power Authority as follows:
1. The Fifth Supplemental Indenture of Trust, dated as of April 1, 1985, between Southern California Public Power Authority (the "Authority") and First Interstate Bank of California, as trustee (the "Trustee"), in the form presented to this meeting and hereby made a part of this resolution as though set forth in full herein, be and the same hereby is approved. The President or Vice President and the Secretary or Assistant Secretary of the Authority are hereby authorized and directed to execute and deliver said Supplemental Indenture with such changes, insertions and omissions as shall be approved by said President or Vice President (such approval to be conclusively evidenced by his execution and delivery thereof); and said Secretary or Assistant Secretary is hereby authorized and directed to affix the seal of the Authority thereto. The issuance of Two Hundred Eight Million Three Hundred Thirty-five Thousand Dollars ($208,335,000) aggregate principal amount of Power Project Revenue Bonds, 1985 Refunding Series A (the "Bonds"), of the Authority is hereby authorized, subject to the provisions of this resolution and the Indenture of Trust, dated as of July 1, 1981, between the Authority and the Trustee, as heretofore supplemented and amended and as supplemented by said Fifth Supplemental Indenture of Trust (collectively, the "Indenture"). The Bonds shall mature on July 1 in the years and bear interest from April 1, 1985 (payable semiannually on January 1 and July 1, commencing July 1, 1985) at the rates per annum as follows:
| July 1 | Principal Amount | Interest Rate |
|-------|------------------|---------------|
| 1988 | $590,000 | 6.500% |
| 1989 | 625,000 | 7.000 |
| 1990 | 675,000 | 7.500 |
| 1991 | 720,000 | 7.750 |
| 1992 | 775,000 | 8.000 |
| 1993 | 840,000 | 8.200 |
| 1994 | 910,000 | 8.400 |
| 1995 | 985,000 | 8.600 |
| July 1 | Principal Amount | Interest Rate |
|-------|------------------|---------------|
| 1996 | $1,070,000 | 8.800% |
| 1997 | 1,165,000 | 9.000 |
| 1998 | 1,265,000 | 9.100 |
| 1999 | 1,385,000 | 9.200 |
| 2000 | 1,510,000 | 9.250 |
| 2012 | 120,820,000 | 9.375 |
| 2014 | 75,000,000 | 9.250 |
The form of the Bonds and the provisions for signatures, authentication, payment, registration, redemption, denomination, sinking fund, number and other terms thereof shall be as set forth in the Indenture.
2. The Bonds shall be secured by the pledge effected by the Indenture and shall be special, limited obligations of the Authority payable solely from the sources specified in the Indenture. Neither the State of California nor any public agency thereof (other than the Authority) nor any member of the Authority nor any Project Participant shall be obligated to pay the principal or Redemption Price of, or interest on, the Bonds. Neither the faith and credit nor the taxing power of the State of California or any public agency thereof or any member of the Authority or any Project Participant is pledged to the payment of the principal or Redemption Price of, or interest on, the Bonds. The Bonds and interest coupons appurtenant thereto, if any, shall never constitute the debt or indebtedness of the Authority within the meaning of any provision or limitation of the constitution or statutes of the State of California, nor shall they constitute or give rise to a pecuniary liability of the Authority or a charge against its general credit.
3. The Purchase Contract dated April 19, 1985 for the Bonds between the Authority and Salomon Brothers Inc, Bear Stearns & Co., The First Boston Corporation, E. F. Hutton & Company Inc., Merrill Lynch Capital Markets and Sutro & Co., on behalf of themselves and the other several Underwriters listed in Schedule I thereto (the "Underwriters"), as submitted to this meeting and hereby made a part of this resolution as though set forth in full herein, be and the same hereby is approved.
The Bonds are hereby sold to the Underwriters at a purchase price of $200,853,976.15 plus accrued interest on the Bonds from April 1, 1985 to the date of delivery and payment therefor, on the terms and conditions set forth in the Purchase Contract.
Pursuant to Section 6571 of the Government Code of the State of California, it is hereby found and determined that the sale of the Bonds at less than the par amount thereof will result in more favorable terms for the Bonds and that a negotiated sale of the Bonds is necessary.
The President or Vice President of the Authority is hereby authorized and directed to execute the Purchase Contract and to deliver the same to the Underwriters.
4. The draft Official Statement (the "Official Statement") in the form presented for this meeting, with such changes thereto as are necessary to reflect the actual terms of the Bonds and such other changes as the President or Vice President of the Authority shall approve (such approval to be conclusively evidenced by his execution and delivery thereof), be and the same is hereby approved, and the Board hereby approves the use of the Official Statement by the Underwriters in connection with the offering and sale of the Bonds, and the Board hereby further approves the use by the Underwriters of any supplement or amendment to the Official Statement which is necessary so that the Official Statement does not include any untrue statement of a material fact and does not omit to state a material fact necessary to make the statements therein not misleading. The President or Vice President of the Authority is hereby authorized and directed to execute the Official Statement and any amendment or supplement thereto, in the name and on behalf of the Authority, and thereupon to cause the Official Statement and any such amendment or supplement to be delivered to the Underwriters.
5. First Interstate Bank of California, Los Angeles, California, and Citibank, N.A., New York, New York, are hereby designated Paying Agents for the Bonds under the terms and conditions of the Indenture.
6. The advance refunding of the Refunded Bonds (as defined in the Fifth Supplemental Indenture) as provided for in the Fifth Supplemental Indenture is hereby authorized and directed. The President, Vice President, Secretary or any Assistant Secretary are authorized on behalf of the Authority to purchase U.S. Government obligations in such amounts, maturing at such times and bearing such rates of interest as shall be necessary (taking into account any moneys or other securities deposited in the Escrow Fund at the same time for such purpose) to pay when due the principal of an interest on the Refunded Bond (as defined in the Fifth Supplemental Indenture); and to take such other action as he may deem necessary or appropriate to effectuate the purchase of said securities.
7. The President, Vice President, Secretary or Assistant Secretary and any other officer of the Authority is hereby authorized to apply for and obtain municipal bond insurance for the Bonds maturing on July 1, 2014. The President or Vice President of the Authority is hereby authorized to execute and deliver a contract for municipal bond insurance, said execution being conclusive evidence of such approval; and the Secretary or Assistant Secretary is hereby authorized to affix and attest the seal of the Authority thereto.
8. The President and Vice President be and each of them is hereby authorized to appoint from time to time any fiduciaries, depositaries or agents in connection with the Bonds and to execute and deliver any and all documents and instruments necessary or proper in connection with each such appointment.
9. The appropriate Authority officers and representatives of the Department of Water and Power of The City of Los Angeles are hereby authorized and directed to cause the Trustee to transfer moneys from the Debt Service Account in the Debt Service Fund and from the Construction Fund to the Escrow Fund established pursuant to the Fifth Supplemental Indenture as contemplated by the Fifth Supplemental Indenture.
10. Arthur T. Devine and Peter J. Fehervari, in addition to such other offices or positions with the Authority they may already hold, are each hereby appointed an Assistant Secretary of the Authority solely for the purpose of taking any and all required action in connection with the issuance and delivery of the Bonds, including the manual execution thereof.
11. The President, Vice President, Secretary and any Assistant Secretary, and any other officer of the Authority, be and each of them is hereby authorized and directed to execute and deliver any and all documents and instruments and to do and cause to be done any and all acts and things necessary or proper for carrying out the transactions contemplated by this resolution.
12. This resolution shall become effective immediately.
THE FOREGOING RESOLUTION is approved and adopted by the Authority, this 19th day of April, 1985.
______________________________
PRESIDENT
Southern California Public Power Authority
ATTEST:
______________________________
SECRETARY
Southern California Public Power Authority |
Paracrine Transactivation of the CB₁ Cannabinoid Receptor by AT₁ Angiotensin and Other Gq/11 Protein-coupled Receptors
Gábor Turu¹, Péter Várnai¹, Pál Gyombolai¹, László Szidonya⁴, László Offertaler⁵, György Bagdy¹†, George Kunos⁶, and László Hunyady*†
From the ¹Department of Physiology, Faculty of Medicine, and ⁴Department of Pharmacodynamics, Faculty of Pharmacy, Semmelweis University, Budapest, Hungary, the ²Laboratory of Neurobiochemistry and Molecular Physiology and ³Group of Neuropsychopharmacology, Semmelweis University and Hungarian Academy of Sciences, Budapest, Hungary, and the ⁵Laboratory of Physiologic Studies, National Institute on Alcohol Abuse and Alcoholism, Bethesda, Maryland 20892-9413
Intracellular signaling systems of G protein-coupled receptors are well established, but their role in paracrine regulation of adjacent cells is generally considered as a tissue-specific mechanism. We have shown previously that AT₁ receptor (AT₁R) stimulation leads to diacylglycerol lipidase-mediated transactivation of co-expressed CB₁Rs in Chinese hamster ovary cells. In the present study we detected a paracrine effect of the endocannabinoid release from Chinese hamster ovary, COS7, and HEK293 cells during the stimulation of AT₁ angiotensin receptors by determining CB₁ cannabinoid receptor activity with bioluminescence resonance energy transfer-based sensors of G protein activation expressed in separate cells. The angiotensin II-induced, paracrine activation of CB₁ receptors was visualized by detecting translocation of green fluorescent protein-tagged β-arrestin2. Mass spectrometry analyses have demonstrated angiotensin II-induced stimulation of 2-arachidonoylglycerol production, whereas no increase of anandamide levels was observed. Stimulation of Gq/11-coupled M₁, M₃, M₅ muscarinic, V₁ vasopressin, α₁a adrenergic, B₂ bradykinin receptors, but not Gq/11-coupled M₂ and M₄ muscarinic receptors, also led to paracrine transactivation of CB₁ receptors. These data suggest that, in addition to their retrograde neurotransmitter role, endocannabinoids have much broader paracrine mediator functions during activation of Gq/11-coupled receptors.
Hormones, neurotransmitters, and other chemical mediators acting on G protein-coupled receptors (GPCRs) exert their effects on the target cells by stimulating G protein-dependent and independent intracellular signaling pathways (1–4). Activation of Gq/11 protein-coupled receptors causes phospholipase C activation, which produces inositol-triphosphate and diacylglycerol from phosphatidylinositol (4,5)-bisphosphate, leading to Ca²⁺ signal generation and protein kinase C activation. However, the concerted response of tissues to chemical mediators frequently also involves the activation of cells adjacent to the target cells, due to the release of paracrine mediators. A well known example is NO, which can be released from activated endothelial cells to cause relaxation of adjacent vascular smooth muscle cells. Lipid mediators can also act as intercellular messengers. For example, endocannabinoids released from postsynaptic neurons after depolarization act as retrograde transmitters by binding to and stimulating presynaptic cannabinoid receptors, which leads to inhibition of γ-aminobutyric acid release (an event termed depolarization-induced suppression of inhibition, DSI) (5–7).
Cannabinoid receptors were first identified based on their ability to selectively recognize marijuana analogs. To date, two cannabinoid receptors have been identified by molecular cloning, CB₁ and CB₂ receptors (CB₁R and CB₂R, respectively) (5, 8, 9), although additional GPCRs have also been proposed to function as cannabinoid receptors (10, 11). Cannabinoid receptors also recognize certain lipids present in animal tissues termed endocannabinoids, such as arachidonylthanolamide (anandamide), 2-arachidonoylglycerol (2-AG), and 2-arachidonoylethyl ether (noladin ether) (7, 12–16). In adult and fetal neural tissues, the two major endocannabinoids, anandamide and 2-AG, are produced on demand, usually after depolarization of postsynaptic cells or following stimulation of Gq/11-coupled metabotropic glutamate or muscarinic acetylcholine receptors (7, 12, 17–20). Enzymes responsible for 2-AG production and metabolism in tissues are localized to well defined structures at synapses, near the axon terminals of CB₁R-expressing cells (5, 7). In contrast, in peripheral tissues baseline levels of endocannabinoid production usually manifest as “endocannabinoid tone,” with poorly understood localization of the various components of the endocannabinoid system. 2-AG levels in brain homogenates and in many peripheral tissues are near its Kd for the CB₁R (19), suggesting that function of endocannabinoids may not be limited to localized synaptic signaling.
There is mounting evidence that endocannabinoids play important roles in peripheral cardiovascular, inflammatory,
intestinal, and metabolic regulation (21–24). 2-AG is produced by diacylglycerol-lipase (DAGL) after cleavage of the fatty acid in the sn-1 position of diacylglycerol (DAG) (19, 25). Phospholipase C activation by G_{q/11} protein-coupled receptors produces DAG, which can serve as a substrate for DAGL. Plasma membrane phosphoinositides are enriched in arachidonic acid in the sn-2 position (26), and DAGL is expressed ubiquitously (27), which suggests that phospholipase C-mediated cleavage of polyphosphoinositides may routinely lead to the formation of 2-AG. In accordance with this hypothesis, we have recently shown that angiotensin II- (Ang II)-mediated activation of the G_{q/11}-coupled AT_1 angiotensin receptor (AT_1R) leads to DAGL-dependent activation of CB_1Rs expressed in Chinese hamster ovary (CHO) cells (28).
Here our aim has been to examine the possibility that 2-AG serves as a common paracrine signal generated via activation of G_{q/11} protein-coupled, Ca^{2+}-mobilizing receptors. Accordingly, we co-expressed CB_1Rs and BRET-based sensors of G protein activation in CHO cells, and used these cells to detect endocannabinoid release from adjacent cells that express AT_1R or other Ca^{2+}-mobilizing GPCRs. We have further shown that activation of AT_1R by Ang II increases 2-AG levels in CHO cells. These findings suggest that 2-AG is commonly released following activation of Ca^{2+}-mobilizing GPCRs and serves as a paracrine signal to activate CB_1R in neighboring cells.
EXPERIMENTAL PROCEDURES
Materials—Rat α_c-CFP G protein subunit was kindly provided by Dr. N. Gautam (29). Human V_1 vasopressin, α_1 adrenergic, β_2 bradykinin and M_1 muscarinic acetylcholine receptor, β_1 and γ_1 G protein subunits were obtained from the Missouri S&T cDNA Resource Center (Rolla, MO). The cDNA of the rat vascular CB_1R was provided by Dr. Zsolt Lenkei (CNRS, Paris) (30). β-Arrestin2-EGFP (β-arrest2-GFP) was kindly provided by Dr. Marc G. Caron (Duke University, Durham, NC) (31).
Plasmid Constructs and Transfection—RFP-tagged CB_1R was constructed by subcloning the CB_1R cDNA into an mRFP containing vector (provided by Dr. R. Tsien, University of California, San Diego, CA). EYFP-β_1 was generated by subcloning human β_1 subunit into the mammalian expression vector pEYFP-C1 (Clontech). α_c-Rluc was constructed by replacing the CFP coding region in α_c-CFP with Renilla luciferase. Rat HA-AT_1R receptor and AT_1-EYFP were constructed as described earlier (32). AT_1R-Cerulean was constructed by replacing the cDNA of EYFP with Cerulean coding region (provided by Dr. R. Tsien). CHO cells were transfected with Lipofectamine 2000 according to manufacturer’s suggestions using 2 or 16–24 μg of DNA and 2 or 16 μl of Lipofectamine 2000 in 6-well plates or 100-mm tissue culture plates, respectively. CHO cells were maintained in Ham’s F-12 supplemented with 10% fetal bovine serum, 100 μg/ml streptomycin, and 100 IU/ml penicillin. COS-7 kidney fibroblast cells and HEK293 human embryonic fibroblast cells were grown in complete Dulbecco’s modified Eagle’s medium containing glucose, glutamine, sodium bicarbonate, and supplemented with 10% fetal bovine serum, 100 μg/ml streptomycin, 100 IU/ml penicillin.
Site-directed Mutagenesis—Mutations in the rat CB_1R (D214A and R215A) were performed with the QuikChange® site-directed mutagenesis kit (Stratagene, La Jolla, CA) according to the manufacturer’s suggestions and verified using automated sequencing.
Confocal Laser-scanning Microscopy—CHO cells were grown on glass coverslips and transfected with labeled CB_1R and AT_1R and GFP-labeled β-arrestin2, as described above, 48 h prior to measurement. In transactivation experiments, the cells were detached with Versene 1 day after transfection; the indicated cells were mixed and placed back to coverslips. Cerulean, EGFP, and RFP were excited with the 458 and 488 nm lines of the argon laser and the 543 nm line of the helium/neon laser, respectively; their emitted fluorescence was detected in multi-track mode with 480–520 nm, 500–530 nm band pass and 560 nm long pass filters, respectively. Because GFP caused a weak cross-talk in this setup in the 480–520 nm band pass channel used for Cerulean, the full images showing Cerulean were corrected for the cross-talk of the GFP signals.
BRET Assay of G Protein Activation—Energy transfer between G protein subunits was measured using α_c G protein subunit fused with Renilla luciferase (α_c-Rluc) and β_1 subunit labeled with enhanced yellow fluorescent protein (EYFP-β_1). Medium was changed to fetal bovine serum-supplemented Ham’s F-12 6 h following transfection and incubated overnight. Before the experiments the cells were detached with Versene and centrifuged. Cells were suspended in a modified Krebs-Ringer buffer containing (in mM): 120 NaCl, 4.7 KCl, 1.2 CaCl_2, 0.7 MgSO_4, 10 glucose, 10 sodium Hepes, pH 7.4 (containing 1 g/liter albumin in paracrine transactivation studies) and transferred to white 96-well plates. The cell density was between 100,000 and 200,000 cells/well. Coelenterazine h was added to a final concentration of 5 μM, and readings were collected using a Mithras LB 940 Multilabel Reader (Berthold Technologies, Bad Wildbad, Germany). BRET ratio was defined as (emission at 530 nm)/(emission at 485), and the normalized BRET ratio was calculated as the BRET ratio for the co-expressed EYFP-tagged and Rluc-tagged molecules minus the BRET ratio for the co-expressed non-tagged and Rluc-tagged molecules. Data for G protein activity are shown as the percent changes in normalized BRET ratios compared with the mean of the four control BRET ratio points before the first stimulation (BRET ratio, percent of control).
Measurement of 2-AG and Anandamide Levels—CHO cells transfected with AT_1R were maintained in Ham’s F-12 medium in 10-cm tissue culture plates as described above. Aliquots of 4 × 10^6 cells in 10-cm tissue culture plates containing 3.5 ml of modified Krebs-Ringer buffer were incubated with vehicle or 100 nm angiotensin II for the indicated times, following which the cells plus medium were extracted in 2 volumes of ice-cold chloroform:methanol (2:1, v/v) containing 7 ng of [H_2]-anandamide as internal standard. The chloroform phase was separated and re-extracted twice and finally dried under a stream of nitrogen. The dried residue was reconstructed in 100 μl of chloroform, deproteinated with 2 ml of ice-cold acetone, centrifuged, and the clear supernatant was evaporated to dryness. Samples were resuspended in 50 μl of methanol for analysis of endocannabinoid content by liquid chromatography/in line mass spectrometry, as described (33).
**Paracrine Transactivation of CB₁R by AT₁R**
**FIGURE 1. Effects of AT₁R and CB₁R ligands on Gᵢ protein subunit association measured by BRET.** CHO cells expressing AT₁R were mixed with equal quantities of cells expressing CB₁R and Gᵢ protein subunits and CB₁R activity was measured by BRET. **A**, BRET change is shown in CHO cells treated with vehicle (veh) (empty squares), Ang II (100 nm, open circles) and AM251 (10 μM, empty circles) (n = 3). **B** and **C**, panel A values are shown in higher time resolution in vehicle (**B**) and AM251 pretreated (CI cells; n = 3). **D**, BRET change is shown in vehicle-AM (open squares) and Ang II-WIN55-stimulated (filled circles) cells when cells expressing AT₁R were mixed with cells expressing Gᵢ probe but no CB₁R (**D**) and when cells expressing only CB₁R and Gᵢ probe were stimulated (**E**). **F**, constant numbers of cells expressing CB₁R were mixed with increasing number of cells expressing AT₁R and change in CB₁R activity was expressed as compared with vehicle treated cells. Relative activity was calculated from BRET ratio values compared with those following WIN55 (1 μM) treatment (n = 3). Arrows show the time points for the indicated single (**B** and **C**) or sequential (**A**, **D**, and **E**) treatments.
**Statistical Analysis**—All data are presented as means ± S.E. Differences between groups were analyzed by one- or two-way repeated measures analysis of variance combined with Holm-Sidak test using the software SigmaStat for Windows 3.5 (Systat Software Inc., Richmond, CA). The value of p < 0.05 was considered significant.
**RESULTS**
**Stimulation of AT₁Rs Expressed in CHO, HEK, and COS Cells Leads to Paracrine Transactivation of CB₁Rs**—We have previously shown that CB₁R can be transactivated with Ang II in cells co-expressing CB₁R and AT₁R (28). We therefore postulated that, if the transactivation of CB₁R was caused by a released endocannabinoid, it would also occur if AT₁R and CB₁R were expressed in separate, adjacent cells. To examine this possibility, we monitored the activation of CB₁Rs expressed in CHO cells to detect Ang II-induced endocannabinoid release by other cells mixed to the cells expressing CB₁R. CB₁R activity was quantified by detecting bioluminescence resonance energy transfer (BRET) between Gᵢ protein subunits (*Renilla* luciferase-tagged αᵢ and EYFP-tagged β₁, αᵢ-Rluc, and EYFP-β₁, respectively) as described previously (28). In this experimental setting, activation of CB₁R leads to a decrease of the BRET signal resulting from the dissociation of activated Gᵢ protein subunits, whereas inactivation by an antagonist increases the BRET signal, because it leads to the association of G protein subunits (28, 29). CHO cells were transfected either with expression plasmids of AT₁R, or were co-transfected with plasmids of CB₁R and tagged G protein subunits. Twenty-four hours later, the cells were mixed and CB₁R activity was measured by detecting BRET interaction between G protein subunits, as a way to monitor endocannabinoid release. Stimulation of the cells with Ang II led to a decrease in BRET signal indicating activation of CB₁R (Fig. 1A, filled circles). Administration of the CB₁R inverse agonist AM251 caused an increase in the BRET signal, reflecting the inhibition of the basal activity of the receptor. AM251 also blocked the Ang II-induced transactivation (Fig. 1A, open circles). A slight baseline shift of the BRET signal occurred during treatment, which might have been caused by the small increase in volume; and the kinetics of the response was too fast to analyze its initial phase with manual stimulation. Therefore, an automated injector was used in separate experiments to analyze the initial phase of the Ang II-induced response in higher time-resolution (Fig. 1, B and C). The initial baseline shift occurred promptly both in control and stimulated cells. In Ang II-stimulated cells (filled circles) after a lag time of ~15–20 s the BRET signal decreased rapidly (Fig. 1B), which was not observed in cells treated with medium (control cells, open squares). AM251 fully prevented the effect of Ang II stimulation on the BRET signal (Fig. 1C).
When AT₁R-transfected cells were mixed with cells expressing the Gᵢ sensor, but no CB₁R, Gᵢ protein activation did not occur, which provides additional evidence that it was mediated through CB₁R (Fig. 1D). Similarly, when cells expressing CB₁R, but not AT₁R, were stimulated with Ang II, the BRET signal remained unaffected (Fig. 1E). In other experiments, the original 1:1 ratio of AT₁R or CB₁R-expressing cells was increased to 5:1 or decreased to 0.1:1, keeping the number of CB₁R-expressing cells constant at 100,000 cells/well, which resulted in a corresponding increase or decrease, respectively, in Gᵢ protein activation, approaching a plateau between 1:1 and 5:1 cell ratios (Fig. 1F). These findings suggest that Gᵢ protein activation in CB₁R-expressing cells was mediated by Ang II-induced endocannabinoid release from CHO cells expressing AT₁R. Transactivation of CB₁R was also inhibited by pretreatment of the cells expressing AT₁R with the DAGL inhibitor tetradehydrolipstatin (1 μM) (Fig. 2A, open triangles), suggesting that DAGL plays a role in the process. Statistical analysis of the data is shown in Fig. 2B.
Transactivation of CHO cells expressing CB₁Rs was also detected when these cells were mixed with equal number of HEK293 or COS7 cells expressing AT₁Rs, and stimulated with Ang II. These data demonstrate that the AT₁R-mediated paracrine transactivation of CB₁Rs is not restricted to CHO cells.
and may be a common mechanism in different cell types (Fig. 3). Slightly increased transactivation of CB\textsubscript{1}Rs was observed, when these AT\textsubscript{1}R-expressing cells were added in a 5-fold excess, suggesting that the response was almost maximal under these conditions (\textit{supplemental Fig. S1}).
**AT\textsubscript{1}R Activation Leads to β-Arrestin Translocation to CB\textsubscript{1}R in Adjacent Cells**—To provide additional evidence that Ang II-induced activation of AT\textsubscript{1}R leads to the formation and release of endocannabinoids, β-arrestin translocation to transactivated CB\textsubscript{1}Rs was measured in CHO cells. β-Arrestin coupling to GPCRs has often been used as an indicator of receptor activation (31, 32, 34). When RFP-tagged CB\textsubscript{1}R (CB\textsubscript{1}R-RFP) was co-expressed with GFP-tagged β-arrestin2 (β-arr2-GFP), CB\textsubscript{1}R-RFP localized both to the cell membrane and to intracellular vesicles (Fig. 4A), which is consistent with the previously reported constitutive internalization of this receptor, which may be caused by constitutive receptor activity, endocannabinoid formation, or other mechanisms (28, 30, 35). Following stimulation with the synthetic cannabinoid agonist WIN 55,212-2, β-arr2-GFP translocated to the activated CB\textsubscript{1}Rs at the cell surface, and was detected in punctate structures at the plasma membrane (Fig. 4A). The conserved DRY motif in the second intracellular loop of GPCRs has been previously implicated in β-arrestin binding of some GPCRs (36–38). In other GPCRs, mutations in the conserved DRY region caused enhanced β-arrestin binding (39, 40). The enhanced β-arrestin binding of these receptors may be caused by their reduced G protein coupling (41–43). We have generated mutations in the conserved DRY motif within the second intracellular loop of CB\textsubscript{1}R (D214A and R215A) (CB\textsubscript{1}R[DRY/AAY]). To study the interaction of the mutant CB\textsubscript{1}R with β-arrestin, RFP-tagged CB\textsubscript{1}R[DRY/AAY] (CB\textsubscript{1}R[DRY/AAY]-RFP) was co-expressed with β-arr2-GFP in CHO cells. In non-stimulated cells, β-arr2-GFP was distributed diffusely in the cytoplasm, but basal activity of this mutant CB\textsubscript{1}R caused its appearance in punctate structures at the plasma membrane (Fig. 4B, \textit{left}). Stimulation with WIN55,212-2 caused robust translocation of β-arr2-GFP to the plasma membrane, with only very faint fluorescence remaining in the cytoplasm (Fig. 4B, \textit{middle}). These data demonstrate that co-expression of CB\textsubscript{1}R[DRY/AAY]-RFP with β-arr2-GFP is a sensitive tool for visualization of both basal and agonist-induced CB\textsubscript{1}R activity.
To test if endocannabinoid release could be detected by β-arr2-GFP translocation to CB\textsubscript{1}R, CB\textsubscript{1}R[DRY/AAY]-RFP and β-arr2-GFP were co-expressed in CHO cells, and a separate pool of cells were transfected independently with AT\textsubscript{1}R-Cerulean. Twenty-four hours after transfection, the cells were mixed and placed on coverslips, and another day later they were visualized using confocal microscopy. As shown in Fig. 5, after Ang II-induced stimulation of the mixed CHO cell population expressing CB\textsubscript{1}R[DRY/AAY]-RFP and β-arr2-GFP or AT\textsubscript{1}R-Cerulean, translocation of β-arr2-GFP to the plasma membrane was observed in cells expressing CB\textsubscript{1}R[DRY/AAY]-RFP. This response was observed in 67 ± 7% of cells (\(n = 3, 86\) cells total) with neighboring AT\textsubscript{1}R-Cerulean-expressing cells; whereas in parallel experiments, when cells expressing CB\textsubscript{1}R[DRY/AAY]-RFP and β-arr2-GFP were stimulated with Ang II in the absence of AT\textsubscript{1}R-expressing cells, no translocation of β-arr2-GFP was detected (Fig. 4C). These data provide additional evidence that a paracrine endocannabinoid mediator is released as a result of AT\textsubscript{1}R activation.
**2-AG Formation Is Enhanced by Stimulation of AT\textsubscript{1}Rs**—To verify whether the Ang II-induced decrease in BRET signal detected by confocal microscopy was, in fact, due to endocannabinoid release, we measured 2-AG and anandamide levels in control and Ang II-stimulated AT\textsubscript{1}R-expressing cells. As shown in Fig. 6, stimulation of cells with Ang II caused a statistically significant sustained elevation of 2-AG levels with similar kinetics to that of CB\textsubscript{1}R transactivation measured with BRET (Fig. 1A). Anandamide levels were very low and did not show statistically significant changes in response to Ang II stimulation (\textit{supplemental Fig. S2}). These data are consistent with our hypothesis that G\textsubscript{q/11}-mediated DAG formation serves as a source of endocannabinoid release and suggest that the endocannabinoid involved in Ang II-induced paracrine CB\textsubscript{1}R transactivation is 2-AG.
**CB\textsubscript{1}R Transactivation by AT\textsubscript{1}R Receptor Stimulation Is Not De-**
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**FIGURE 2.** DAG lipase inhibitor (tetrahydrolipstatin) prevents paracrine transactivation of CB\textsubscript{1}R by AT\textsubscript{1}R. A, cells expressing AT\textsubscript{1}R were pretreated with 1 \(μ\)M tetrahydrolipstatin for 15 min before the start of the experiment, mixed with CB\textsubscript{1}R-expressing cells and were immediately moved to plates to start the experiment. Cells were treated sequentially with vehicle and AM251 (10 \(μ\)M, filled squares), or with AngII (100 nM) and WIN55 (1 \(μ\)M, open triangles) (\(n = 3\)). The time of treatments is indicated by arrows. B, quantification of data on panel A on Fig. 1, and presented on Fig. 2: mean values of five time points after first stimulation compared with average levels of five measurements before stimulation (100%) (\(n = 3\); *, \(p < 0.05\)).
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**FIGURE 3.** Paracrine transactivation of CB\textsubscript{1}R by AT\textsubscript{1}R activation in HEK293 and COS7 cells. HEK293 (A) and COS7 (B) cells expressing AT\textsubscript{1}R were mixed with CHO cells expressing CB\textsubscript{1}R and AngII proteins, and CB\textsubscript{1}R activation was measured by BRET. Cells were stimulated with AngII (100 nM) and BRET signal decreased (filled circles) compared with control cells (empty squares). AM251 treatment (10 \(μ\)M) increased the BRET signal and prevented the AngII induced decrease (empty circles). C, quantification of data on panels A and B: mean values of five time points after first stimulation compared with average levels of five measurements before stimulation (100%) (\(n = 3\); *, \(p < 0.01\)). The arrows show the time of the indicated treatments.
dependent on Intracellular Ca$^{2+}$ Signal Generation—2-AG production in neural cells can be stimulated either by the Ca$^{2+}$ signal caused by activation of ionotropic receptors, by stimulation of G$_q$ activating (metabotropic) cholinergic or glutamatergic receptors, or by the coincidence of two signals (44). 2-AG production can be stimulated in cultured cell lines overexpressing DAGLs by inducing a Ca$^{2+}$ signal with ionomycin (27, 44). Therefore we asked if transactivation of CB$_1$R by AT$_1$R is dependent on Ca$^{2+}$. In control cells, G protein activation occurred after Ang II stimulation and a Ca$^{2+}$ signal was detected (Fig. 7, A and D). In cells preincubated with 1,2-bis(2-aminophenoxy)ethane-$N,N,N',N'$-tetraacetic acid tetraakis(acetoxyethyl ester) (BAPTA-AM; 60 μM) and preloaded with FURA-2, Ang II-induced Ca$^{2+}$ elevation was not detected even though transactivation of CB$_1$R still occurred (Fig. 7, B and D). Moreover, administration of ionomycin (1 μM) was not able to fully mimic the effect of AT$_1$R stimulation, although a small, reproducible, but in this set of experiments statistically not significant G$_i$ protein activation was detectable (Fig. 7, C and D). The averaged BRET data are presented in Fig. 7D. Because, under these conditions, ionomycin causes larger elevations of cytoplasmic [Ca$^{2+}$] than those caused by Ang II (Fig. 7, A and C, inset), these results suggest that transactivation was not primarily mediated by intracellular Ca$^{2+}$ elevation.
$G_{q/11}$-coupled GPCRs Cause Paracrine Transactivation of CB$_1$R—It has been demonstrated previously that activation of $G_{q/11}$-coupled muscarinic or metabotropic glutamate receptors induces endocannabinoid release in neurons (17–19). To test if endocannabinoid release common occurs after stimulation of $G_{q/11}$-coupled receptors, we expressed M$_1$, M$_3$, and M$_5$ cholinergic (M$_1$R, M$_3$R, and M$_5$R, respectively), V$_1$ vasopressin (V$_1$R), α$_{1A}$ adrenergic (α$_{1A}$AR), and B$_2$ bradykinin (B$_2$R) receptors in CHO cells, and tested if paracrine transactivation of CB$_1$R occurs. We also tested the effect of stimulation of $G_{i/o}$-coupled M$_2$ and M$_4$ muscarinic cholinergic receptors (M$_2$R and M$_4$R, respectively). $G_{q/11}$- or $G_{i/o}$-activating receptors were expressed in one set of cells, and CB$_1$R and G$_s$ sensor were expressed in separate population of cells. The two populations of cells were mixed and stimulated with the appropriate ligands. As shown in Fig. 8, CB$_1$R was transactivated when $G_{q/11}$ protein-activating M$_1$R, M$_3$R, M$_5$R, α$_{1A}$AR, V$_1$R, or B$_2$R-expressing cells were stimulated with the appropriate ligands, but no transactivation was detected when $G_{i/o}$ protein-coupled M$_2$R or M$_4$R were stimulated. The degree of transactivation in the former groups was similar to that measured with cells expressing AT$_1$R (Fig. 2B). Transactivation did not occur in the absence of either CB$_1$R or the $G_{q/11}$-activating receptor (supplemental Fig. S3). These findings demonstrate that paracrine CB$_1$R transactivation by endocannabinoids is not specific to AT$_1$R and can be also initiated in cells that express other $G_{q/11}$-activating GPCRs.
DISCUSSION
Seven transmembrane GPCRs constitute the largest group of membrane receptors (45). They respond to a large variety of stimuli and transduce various signals across the plasma membrane by coupling to heterotrimeric G proteins (46, 47). There are about 1000 GPCRs in the human genome, and about half of the medications used in current clinical practice modify the biological activity of GPCRs (48, 49). Stimulation of GPCRs leads to activation of heterotrimeric G proteins (50) composed of α, β, and γ subunits, and GPCR activation causes dissociation or conformational rearrangement of the α subunit from the βγ complex (51). This is followed by intracellular responses depending on the composition of the heterotrimer. In the case of $G_{q/11}$-coupled receptors, such as the AT$_1$R, early events include cleavage of phosphatidylinositol 1,4,5-trisphosphate by phospholipase Cβ and formation of second messengers such as inositol 1,4,5-trisphosphate and DAG (2, 3). Inositol 1,4,5-trisphosphate initiates Ca$^{2+}$ release from intracellular stores, whereas DAG activates protein kinase C (52). Because DAG is a common signaling molecule in different cell types and DAGL is found in almost every tissue (27), we hypothesized that 2-AG...
formation can be a common early signaling event in most cells. To detect the formation and release of endocannabinoids as a general consequence of $G_{q/11}$ protein activation, we expressed AT$_1$R in CHO, HEK293, and COS7 cell lines, which do not express cannabinoid receptors constitutively.
CHO cells expressing CB$_1$R and a G$_{i/o}$ BRET sensor were used to monitor endocannabinoid release (28, 29, 51). Mixing these cells with cells expressing other GPCRs allowed us to detect the endocannabinoid release caused by these GPCRs. An advantage of using these sensors is that the signal is less affected by the rapid degradation of endocannabinoids. Our findings clearly indicate that activation of AT$_1$Rs leads to endocannabinoid formation and release, with the subsequent activation of CB$_1$Rs. Our data also indicate that activation of $G_{q/11}$-coupled receptors can cause paracrine activation of adjacent cells, because in our experiments the stimulated $G_{q/11}$-coupled receptors and the CB$_1$R were expressed in different cells. We have also demonstrated that Ang II increased the level of 2-AG in CHO cells expressing AT$_1$R. In control cells, 2-AG was also detected, which is consistent with the possible role of this molecule in the basal activity of CB$_1$R (28). These data support our hypothesis that the Ang II-induced DAGL-dependent transactivation of CB$_1$Rs is mediated by 2-AG. Therefore, 2-AG is the most likely candidate to mediate the observed paracrine effects in our cells. The release of endocannabinoids from cells may occur via unidentified transporter molecules, which is consistent with their proposed paracrine mediator role (53). However, we could not detect transactivation when the supernatant from the stimulated cell population was transferred to cells expressing CB$_1$Rs. It is possible that endocannabinoids, being lipophilic molecules, remain membrane-associated and require direct contact with adjacent CB$_1$R-expressing cells for receptor activation.
We have also tested other $G_{q/11}$-activating GPCRs, including muscarinic acetylcholine receptors, which are known to cause 2-AG release in neural tissues, as well as $\alpha_1$ARs, V$_1$Rs, and B$_2$Rs. Our data suggest that 2-AG release is a common consequence of the activation of various $G_{q/11}$-coupled receptors. Because 2-AG can be released by cells (54), its release can cause paracrine regulation of adjacent cells. Based on our data we propose that activation of $G_{q/11}$-coupled receptors results in a coordinated intracellular (inositol 1,4,5-trisphosphate and DAG) and intercellular (2-AG) signaling, and the phospholipase C-catalyzed hydrolysis of polyphosphoinositides serves as a source of both types of messengers.
Blockade or stimulation of cannabinoid receptors has wide-ranging effects in a number of organ systems, including brain, cardiovascular system, adipose tissue, liver, immune system, and the eye (12, 21, 22). The present results indicate that endocannabinoid activation of CB$_1$R can also be triggered indirectly via $G_{q/11}$-coupled receptors, which means that the primary
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3 G. Turu and L. Hunyady, unpublished observation.
Paracrine Transactivation of CB₁R by AT₁R
**FIGURE 7. Transactivation of CB₁R by coexpressed AT₁R is independent of cytoplasmic Ca²⁺ signal generation.** CB₁R activity was measured by BRET between Gq protein subunits in cells coexpressing CB₁R and AT₁R. **Insets:** to study the cytoplasmic Ca²⁺ signal generation, the cells were loaded with FURA 2 for 45 min and Ca²⁺ was measured in suspended cells by detecting the ratio of fluorescence emissions at 380 and 340 nm on excitation at two wavelengths (380/340 nm). The cells were treated with vehicle (**veh**, **white squares**) or Ang II (**100 nm, filled circles**) at the time indicated by the **first arrow**, and BRET signal was measured in cells expressing CB₁R. At the **second arrow** the Ang II-stimulated cells were also treated with WIN55 (**1 μM**). **B**, cells expressing the same constructs were preloaded with 60 μM BAPTA-AM for 45 min on room temperature, and Gq protein activation was measured. **C**, the effect of ionomycin (**1 μM**) on Gq protein activation in cells expressing the Gq protein sensors. **D**, quantification of data in A–C mean values of five time points after stimulation with vehicle (**white bars**), Ang II or ionomycin (**black bars**) (**n = 3; *p < 0.01**).
**FIGURE 8. Paracrine transactivation of CB₁R by different GPCRs.** M₁, M₂, M₃, M₄, and M₅, AChR, α₁AR, B₂, V₁ receptor-expressing cells were mixed with cells expressing CB₁R and Gq protein subunits as described under “Experimental Procedures,” and CB₁R activity was measured by BRET after simulation with the corresponding agonists (carbachol (**10 μM**), phenylephrine (**100 μM**), acetylcholine (**100 μM**), and ATP (**500 nM**)). Mean values of five time points after stimulation with vehicle or agonists (**black bars**) are presented (**n = 3, *p < 0.01**), p values: 0.002 (M₁/R), 0.604 (M₂/R), below 0.001 (M₃/R), 0.489 (M₄/R), below 0.001 (M₅/R), below 0.001 (α₁-AR), below 0.001 (B₂/R), below 0.001 (V₁/R).
Response to agonists of these receptors can be modulated by endocannabinoids. Furthermore, some of the physiological effects observed following CB₁ receptor blockade may be due to removal of such a modulation of tonically active Gq/11-coupled receptor signaling. Furthermore, these data also suggest that endocannabinoid production is not restricted to small, well defined regions/tissues in the organism, but is a general property of many, if not all, tissues. Although CB₁R is expressed mainly in the central nervous system, it is also found in many peripheral tissues, and stimulation or blocking of these receptors has marked effects on their function (12, 21, 22).
In addition, 2-AG released as a paracrine mediator may activate CB₂R, because it is a full agonist at both CB₁R and CB₂R (19) and may also activate additional receptors (12). We have also tested whether Gq protein activation leads to endocannabinoid release in different types of cell lines. CHO cells are ovarian, whereas HEK293 cells are from the kidney and COS cells are fibroblasts. We detected CB₁R activation after stimulation of Gq protein-activating AT₁R expressed in all three cell lines tested and also following stimulation of other Gq protein-activating receptors transfected into these cells. This strongly suggests that endocannabinoid release is not dependent of cell type or specific Gq/11-coupled receptors and may be a general property of all tissues upon Gq protein activation. Endocannabinoid release triggered by activation of Gq/11-coupled receptors could be inhibited by a DAGL inhibitor, suggesting that the underlying mechanism was an increase in the DAGL-catalyzed hydrolysis of DAG to yield 2-AG. However, we cannot exclude the alternative possibility that the increased cellular levels of 2-AG result, at least in part, from inhibition of its degradation via monoacylglycerol lipase. Thus, the magnitude of the basal
“endocannabinoid tone” and endocannabinoid release may depend on relative activity of these enzymes.
In conclusion, our data show that 2-AG formation and release is a general paracrine signaling mechanism of $G_{q/11}$-coupled GPCRs. Based on these results we propose that, in addition to isotolyl 1,4,5-trisphosphate- and DAG-mediated intracellular signaling, 2-AG formed from the DAG generated during activation of $G_{q/11}$ proteins is released and acts as a paracrine signal for cannabinoid receptors on adjacent cells, which would modulate the primary response to Ca$^{2+}$-mobilizing hormones in a region-specific manner. Because 2-AG has been implicated in a variety of physiological functions and the enzymes responsible for its biosynthesis are present in most tissues, we are proposing that the previously recognized retrograde transmitter role of endocannabinoids is part of a much broader paracrine signaling role of these mediators.
Acknowledgment—The excellent technical assistance of Judit Bakacsiné Raicz is greatly appreciated.
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MEDICAL RECORDS ANALYSIS
# 367 - 67
AUTHORS: H. Dorsey
R. Feurer
V. MacLeod
COMMUNITY SYSTEMS FOUNDATION
July 14, 1967
Mr. Virgil Halbert
Director
Keswick - Home for The Incurables
Of Baltimore City
700 West Fortieth Street
Baltimore, Maryland 21211
Dear Mr. Halbert:
This report represents a study done by the Community Systems Foundation in the Medical Records Department. The proposed recommendations are designed to assist the department in maintaining accurate and comprehensive records using efficient techniques of operation.
It is hoped that the implementation of this study will assure records which not only meet the standards of the Joint Commission on Accreditation of Hospitals, but, just as important, will serve the medical staff and administration of Keswick.
I would like to express my appreciation to Dr. Richardson and Miss Krongard for their cooperation and invaluable assistance during this project. It has been an informative and enjoyable experience to have worked with these extremely competent persons.
Sincerely yours,
Herbert W. Dorsey
Project Director
HWD/rfm
CONTENTS
BACKGROUND
SYNOPSIS
ANALYSIS OF PRESENT SYSTEM
PROPOSALS AND RECOMMENDATIONS
Background
One of the most important aspects in the organization and administration of any hospital is in its medical records. These records reflect not only the care being given by the hospital, but are also the indicators and documentation by which many other aspects of the hospital's organization are judged. One of the first areas of the hospital with which an outside person such as an accreditor or visiting clinical specialist comes in contact is the medical record.
So important is the medical record, in fact, that the Joint Commission on Accreditation of Hospitals (JCAH) lists inadequate or incomplete medical records "as the singularly most important factor in nonaccreditation." It might be added, parenthetically, that the current work being done in revising staff by-laws has its precedent in the emphasis placed on this by the JCAH - which lists "incomplete staff by-laws" as the fifth most common area of deficiency.
A major force in assuring the quality of medical records is the utilization committee. Keswick is fortunate in that its staff is small enough to sit as an entity in this capacity. A recent ruling by JCAH that an effective utilization program must be in operation in a hospital in order to qualify for accreditation is an example of the importance of this committee. In addition, the Medicare Program also requires utilization reviews.\(^1\)
\(^1\) "The Right Amount of Care is the Right Amount of Care for Medicare," Doris Gleasar MRL (Director, Medical Record Research Bureau), *Medical Record News* June 1966, Vol. 37, No. 3, p. 159.
A book outlining the hospital utilization review mechanism has been published by the Hospital Utilization Project of the Allegheny County Medical Society Foundation and the Hospital Council of Western Pennsylvania entitled, "A Method of Hospital Utilization Review." Dr. Richardson has used this book in establishing Keswick Home's utilization review program.
In investigating the vital area of Medical Records, three objectives were established to lend direction to the analysis of this area. The first was that the Medical Records and necessarily the staff which maintains them, fulfill the requirements of the Joint Commission on Accreditation of Hospitals. It was felt that in so doing, many other benefits could be accrued in terms of efficiency of procedures and ease of usage. While the JCAH Supplement on Extended Care Facilities (January 1, 1966) is applicable to this institution, the decision was made by the analyst to utilize the criteria for full time general care hospitals in order to gain a perspective as to the comprehensiveness of the Medical Records. It should be a source of considerable pride to the staff of Keswick that the records will, in fact, with very minor modifications meet these more stringent standards. The section entitled "Analysis of Present System," will cover this in greater detail.
The second objective of this study was to analyze the record for format and content to assure maximum usability for the staff of Keswick. Not only were the needs of the Medical Director and the four physicians of the house staff considered, but also the requirements of visiting specialists and members of ancillary departments at Keswick as well. A more comprehensive chart organization, index system and color coding of specialties are examples of proposals to meet this objective.
The third goal of the project was to insure that any recommendations for procedural changes did not sacrifice efficiency of administrative operations for a minimal increase in clinical information. Also the
methods of performing present tasks were analyzed for ease of operation and accuracy. It is important to note that the proposed modifications in the chart, while rendering it easier to use, will, in fact, require very minimal additional administrative effort.
In summary, it was found that the medical records of Keswick are being maintained in an efficient and professional manner.
Analysis of Present System
Because it affords an excellent vehicle of communication, the format used in Hospital Accreditation References will be used to discuss various aspects of the Medical Records. It is by no means the intent of this section to limit analyses to meeting JCAH standards but rather to use these standards as a topical reference for discussion of all aspects of this department. Unless otherwise noted, standards and survey questions are for full accredited general care hospitals. Standards and other notes annotated by an asterisk (*) are from the JCAH Supplement on Extended Care Facilities.
1. Standards
a. Administrative Responsibilities
*1. There shall be a medical record maintained on every patient admitted for care in the hospital.
This is being done currently.
2. Records shall be kept inviolate and reserved for a period of time not less than that determined by the statute of limitation in the respective state.
Keswick still has the record of its first patient. As long as adequate storage space is available, the practice of keeping all records indefinitely can be maintained. The usual practice, however, is 25 years for legal purposes.
3. Qualified personnel adequate to supervise and conduct the Department shall be provided.
The Commission does not amplify on this statement and does not require a Registered Record Librarian (RRL), usually a graduate of a four year program; or an Accredited Record Technician (ART), usually a graduate of a two year program. Miss Krongard, a highly qualified ART, more than satisfies the standards.
4. A system of identification and filing to insure rapid location of a patient's medical record shall be maintained. The unit number system is preferred.
Because each physician at Keswick has his own "service" or floor, he can very rapidly locate his own records, since they are filed alphabetically at the nursing station for his service. Should he, or a visiting specialist or the Medical Director, want anyone's record, they need only to consult the alphabetical list of patients and room numbers, which is widely distributed, and go to the nursing station which supervises the given room number. The color coding of the patient's folder label according to the attending physician is an excellent identification tool. The unit number system is inapplicable in a situation wherein average patient stay is over 5 years. The present alphabetical system works well for both current and closed records.
5. All clinical information pertaining to a patient shall be centralized in the patient's record.
This provision is being adhered to in almost every case. The problem is not one of policy but of enforcement. Every effort should be made to insure that such ancillary departments as social work, occupational therapy, physical therapy, etc. document their care given and send the original to the medical record. The original of such reports as lab, x-ray, etc. should also be in the medical record. A more comprehensive social history should be possible as that Department's responsibilities are increased. Regularly scheduled treatments need not be written up in full each time, but submitted as to dates given and whenever the treatment is unchanged. The object of this procedure is not to amass a volume of repetitive information but to preserve a clear, accurate and concise report of the type of treatment and its frequency.
6. The Standard Nomenclature shall be used as nomenclature.
A copy of this is in the Medical Director's Office.
7. Records shall be indexed according to disease, operation, and physician and should be kept up to date. For indexing, any recognized system may be used.
As covered in item 4, an index sheet showing all patients alphabetically and their room number is kept. These room numbers are easily identified as to the service physician. In addition, the records themselves are filed alphabetically by physician.
Indexing according to operation is inapplicable in a chronic disease hospital such as Keswick. Indexing according to disease is not presently done by the Medical Records Department. Miss Adamson, an Assistant Director, does keep a running census of each disease, but this is maintained in very detailed categories.
Appendix (A) submits two lists of disease categories for consideration by the medical staff and administration. The first is those categories for which tabulation is requested by the State of Maryland on various health care surveys. The second, more abbreviated list, is merely the six most frequently occurring diseases at Keswick. It is recommended that this index be prepared for all patients now at Keswick.
b. Medical Staff Responsibilities
1. The medical record must contain sufficient information to justify the diagnosis and warrant the treatment and end results.
This standard is enforced in most hospitals by a Medical Records Committee. The standard which applies to the Medical Record Committee states that it shall "supervise the maintenance of Medical Records at the required standard of completeness. On the basis of documented evidence, the Committee shall also review and evaluate the quality of medical care given the patient." This Committee is charged with two separate functions. First, the record as a record -- its content, accuracy, lack of tardy entries, etc. The second function, that which audits compliance with this standard is to evaluate patient care from the documented evidence on the patient's chart.
At Keswick, the functions of the Medical Records Committee are covered during the utilization meetings. These are attended by the Medical Director and the four member closed staff of the hospital. These meetings extensively review all patients on at least a once per year basis. New admissions are reviewed at 20, 60, and 180 days of stay as well. Appendices (D) and (C) illustrate the review forms used.
Prior to each meeting the Medical Records Librarian audits all records and communicates her findings to the Medical Director. Both the Librarian and the Director of Keswick attend these utilization meetings. It is quite important that the medical staff occasionally discuss the records on a general basis in addition
to the specific level with which they deal monthly. The minutes of this utilization meeting should reflect their comments concerning general procedures, format, etc. Time may also appropriately be spent conducting general orientation for the staff in some of the Medical Director's and his staff's role in the record. This is beneficial for vacation coverage, emergencies and when there are personnel changes.
2. Only members of the medical staff and house staff are competent to write or dictate medical histories and physical examinations.
This is being complied with.
3. Current records and those on discharged patients should be completed promptly.
* 24 to 48 hours is the usual allowance for current records while records should be completed after discharge within 5 days. With the closed staff of Keswick this should be easily enforced.
4. Records must be authenticated and signed by a licensed physician.
While this has always been a policy, the enforcement of this is rather mild. Initials are allowable since they readily identify the authorizing physician (this would not be possible in a large hospital, where two or more physicians might have the same initial.) Since all dictated notes are held at the nurses station for authentication by the service physician, prior to insertion in the record, the physicians initials should be requested by the Ward Clerk maintaining the record.
5. Content
The medical records should contain the following information:
1) Identification data
2) Complaint
3) Present illness
4) Past History Medical History
5) Family History
6) Physical Examination
7) Provisional Diagnosis
8) Clinical Laboratory reports
9) X-ray reports
10) Consultations
11) Treatment = Medical & Surgical
12) Tissue report
13) Progress notes
14) Final diagnosis
15) Discharge summary
16) Autopsy findings
*Physician orders
*Medication and treatment record
*Nursing Notes
Of the sixteen items required by JCAH, only items 14 and 15 require attention. Although there are very few discharges, a final diagnosis and brief summary for both discharges and expirations is very important, especially in an extended care institution wherein individual progress notes may be inches thick. Usually, patients sent to Union Memorial Hospital for treatment, operations, etc., are not considered "discharges". This being the case, care should be exercised to assure that the reasons for the transfer at the time of the transfer be accurately documented in the medical record, since part of it will accompany the patient to U.M.H.
With the increasing role of social service officers in patient care, it follows that the social histories may be expanded. Assurance should be exercised that confidential information be allowed to remain under close supervision of those persons who may have access to it. A simple note in the current medical record that this information is elsewhere, with the "elsewhere" being specified, is sufficient. It is anticipated that closed records would be able to have this information re-inserted.
A paragraph or two summarizing the patient's stay is of great value should any reference be later made to the "closed out" record. Every effort should also be made to assure obtaining a copy of any autopsy which might be performed. These summaries and final diagnoses should not be dictated for patients who have already left, but should be started now. Since controls are now in existence to assure that the patient is seen once per month, it is imperative that a progress note be made once per month to comply with the JCAH extended care standards.
2. The Hospitals Survey Report Form
1. Head of the Medical Record Department
Name:
Qualifications:
2. Number of assistants:
| Full Time | Part Time |
|-----------|-----------|
| Registered record librarians (RRL) | |
| Accredited record technicians (ART) | |
| Other | |
3. Check the methods by which the Medical Record Committee controls the quality of records:
a. Spot-check
b. Check all records
c. Check patient records on wards
4. Check method for numbering and filing medical records:
a. Serial number system
b. Unit number system
c. Modified system
d. Other (specify)
5. The records are indexed according to:
a. Disease: Yes No
b. Operation: Yes No
c. Physician: Yes No
6. The indexing is up to date (not over six months):
Yes No
7. The filing is up to date (no unfiled record older than 30 days):
Yes No
8. Check the nomenclature used:
a. Standard
b. Other (specify)
9. Check classification used for disease and operation indexes:
a. Standard
b. International
c. Other (specify)
10. Records cannot be removed from hospital by other than subpoena:
Yes No
11. The medical records contain the following information:
| Current Records | Filed Records |
|-----------------|---------------|
| Identification data | |
| Physician's orders | |
| Complaint | |
| Present illness | |
| Past history | |
| Family history | |
| Physical examination | |
| Consultations | |
| Clinical laboratory reports | |
| X-ray reports | |
| Provisional diagnosis | |
| Tissue report: Gross | |
| Microscopic | |
| Treatment: Medical & Surgical | |
| Progress notes | |
| Nurses' notes | |
| Final diagnosis | |
| Summary | |
| Autopsy findings | |
3. The Surveyor’s Survey Report Form
1. The medical records contain the following information:
| Current Records | Filed Records |
|-----------------|---------------|
| Identification data | |
| Physician's orders | |
| Complaint | |
| Present illness | |
| Past history | |
| Family history | |
| Physical examination | |
| Consultations | |
| Clinical laboratory reports | |
| X-ray reports | |
| Provisional diagnosis | |
| Tissue report: Gross | |
| Microscopic | |
| Treatment: Medical & Surgical | |
| Progress notes | |
| Nurses' Notes | |
| Final Diagnosis | |
| Summary | |
| Autopsy findings | |
2. Only attending doctors or house officers write or dictate medical records:
Yes No
3. Current records are completed promptly insofar as possible (24-48 hours):
Yes No
4. The record is signed by the attending physician:
Yes No
5. The attending physician edits and authenticates the clinical entries of the house officers with notations as to agreement or disagreement:
Yes ___________________________ No ___________________________
6. Records are completed promptly after discharge (10-15 days):
Yes ___________________________ No ___________________________
N.P.F.
4. Interpretation
a. Format
"The specific format used for medical records is left to the management of the facility, as dictated by the requirements of the patients admitted for care. The records shall contain the ten previously mentioned parts (Note: there are eleven asterisked items on page 11, provisional and final diagnosis being considered as one of the JCAH standards). These need not be in ten individual parts. Forms combining two or more of the above are acceptable. However, it is important that essential information be organized in such a way as to provide ready access and be adequate for the purpose of establishing the clinical course and current health status of the patient." For example "Clinical Laboratory Reports and Physician's Progress Notes" are separate categories (see page 11) but are filed chronologically facing each other in the record.
After considerable analysis, it is recommended that the present format be continued, with some modifications. Appendix D, the revised chart organization, replaces the present mimeographed sheet which is taped to the inside front cover. It too, should be attached there. Appendix D presents the recommended chart format in detail. After the advantages and disadvantages of the present chronological format were compared with the more functional or departmental format, the present format was found to present a much more concise picture of present condition, require less maintenance and to be easier to use (i.e. to provide ready access, in the words of JCAH). This format uses color coded strips of progress notes for each functional
area and displays them chronologically as against having a separate section for service physician, "PT", "OT", social work, x-ray, lab, ophthalmology, etc. It is recommended that index tabs be procured to separate the categories in Appendix D, Chart Organization.
The final sentence of the paragraph preceding the last one states in part "establish the clinical course and current health status of the patient." What better method would accomplish this objective than the present one of chronologically inserting each progress note, nurses note and doctors orders? The current health status can be determined by looking at the Activities for Daily Living (psychiatrist) rating form, and the current progress notes and doctors orders. The clinical course is easily followed by reading the progress notes back into the older, "rearward" part of the record. Some other advantages of the present format are that discharges are easier (and the discharge summary will be easier to dictate), utilization review is enhanced, reimbursement claims are more expeditiously processed, and letters in reply to inquires on specific patients are more readily handled.
The functional organization permits greater ease of handling for our specialist, since he has his own section. This is beneficial in a large general care hospital with a large medical staff and many "transient" consultants. Keswick's small staff and color coding both seem to offset these minor advantages.
b. Essential Parts of the Medical Record
1) Identification
The identification (and summary) sheet shall include the patient's name, age, sex, marital status, social security number, home address, religion, and date admitted; names, addresses and telephone numbers of personal physician, dentist, next of kin, or other responsible person; admitting diagnosis; final diagnosis, condition on discharge, disposition, date of discharge, and any other information needed to meet state requirement.
2) Medical Notations
There shall be appropriate entries for the initial medical evaluation including medical history, physical examination, diagnosis, prognosis and estimation of rehabilitation potential; subsequent medical observations, recommendations and progress notes.
The physician's recommendations or orders shall include all medications, diet, treatment and rehabilitation procedures, and special medical procedures required for the safety and well being of the patient. The physician's progress notes shall be written at the time of observation to describe significant changes in the patient's condition. They are also indicated when medication and treatment orders are changed, and periodically when the patient's condition remains stable to indicate a status quo situation. The attending physician shall separately sign the history and physical examination, progress notes, drug and other orders. This is both a legal requirement, and a protection to the individual physician. In all instances, a physician shall sign the clinical entries which he himself makes. It is recommended that at least a monthly progress note be entered.
3) Nursing Notations
The nursing personnel, in accordance with the policies of the nursing service, shall record on appropriate records, medications and treatments given, untoward reactions, if any, and observations of the patient's condition. These areas shall be kept up to date by daily nursing notes. Copies of accident and medication error reports shall also be included. These reports shall give the date, time, extent of accident or incident, circumstances under which it occurred and action taken. All information recorded shall be pertinent, accurate, concise and signed.
Present procedures call for Nursing Service to place incident reports in the "Red Book". This is also used by the doctors such as the dental surgeon, dentist, ENT specialist and podiatrist who prefer to write notes rather than dictate them. These incidents are also reflected in the Nurses Notes for that day. The Medical Records Librarian regularly transcribes all "Red Book" notes into the progress notes of the other doctors in the clinical records irrespective of whether it is a nursing incident report or dental note.
It is recommended that the practice of placing incident reports in the "Red Book" continue but that a separate "Blue Book" be established for doctors who prefer not to dictate, thus the Real Book would still be available as a management control for the Medical Director's use. Since the incident is already also described in the nurses notes, however, there is no need to transcribe these into the progress notes. The Medical Director or service physician may, however, wish to enter this in his own words into the progress notes along with his interpretation of the incident. All notes in the Blue Book, of course, could easily be transcribed by the Medical Records Librarian.
4) Laboratory, X-ray, and Consultation Reports
Reports of all tests, examinations or medical procedures relating to the patient while in residence at the extended care facility shall be a part of the patient's permanent medical record.
5) Completion of Records
Medical records shall be current insofar as possible within 48 hours. After discharge, records shall be completed within fifteen (15) days. A system of identification and filing to insure the rapid location of a patient's medical record shall be maintained.
6) Closed Records
Medical records shall be kept inviolate and preserved for a period of time not less than that determined by the statute of limitations of the respective state. In the absence of a state statute, records should be kept five years.
Proposals and Recommendations
Most of the proposals have been explained in detail in the "Analysis of Present System" section in order that they could be considered in the context of this current function. The proposals are presented in the order with which they might affect a record of a recent admission.
1. The patient's name in the Admission Log Book should be annotated to include the medical history number. This precludes searching the card file for the admission number. This proposal has already been implemented.
2. Add the patient's name to the applicable disease list so that all patients records are indexed by disease. All patients presently at Keswick should be categorized so that the master list may be started.
3. The next meeting of the medical staff sitting in utilization review should consider their comments toward medical records organization and format. The implementation of this report should reflect the opinions of the medical staff.
4. The chart should be organized in accordance with Appendix D and index tabs be procured for insertion. Since the organization deviates very slightly from the present one, the task of implementing this throughout all the records should not take an exceptional amount of time.
5. The Blue Book should be set up as soon as possible and the appropriate doctors so advised. This can be implemented now.
6. Appendix E contains a catalog for some 14 different colored papers from which the Medical Director can select those disciplines for which he wants separate color coding. Tentative plans call for the following codes ("denotes present codes):
- Blue: Ophthalmology
- Canary (yellow): Physical Medicine
- Salmon: Dentistry & Dental Surgery
- Cherry: Social Work
- Green: Occupational Therapy
- Pink: X-ray
- Cream: Program Coordinator (Activities)
- Grey: Orthopedics
- White: Medicine
Other colors available include Buff, Cafe, Goldenrod, Light Green, and Russet. The minimum order quantities is only $20 with one day's delivery, so there should be little to prohibit implementation within a short time.
7. A final diagnosis and "discharge" summary should be dictated on all patients who expire or are discharged following the date this report is approved. It might be feasible to establish July, 1967, as the retroactive date of implementation, as this would encompass very few additional records.
DISEASE CATEGORIES, MARYLAND STATE
Blindness
Speech impairments
Hearing impairments
Orthopedic deformity
Absence of member
Psychosis
Mental retardation
Alcoholism
Drug addict
Other character disorders
Cardiac and circulatory condition
Diabetes
Epilepsy
Respiratory disease
Multiple sclerosis
Parkinson's disease
Rheumatic arthritis
Other
SIX MOST FREQUENT DISEASES AT KESWICK
Arteriosclerosis
Arthritis
Hemiplegia
Cardiovascular
Cerebral palsy
Parkinson's
Other
## Utilization Review Form
**Case No.**
### 20 Day
| Name | Birthdate | Admission Date |
|------|-----------|----------------|
### Referral Diagnosis
### Previous Hospitalization (Within Year)
- **Yes**
- **No**
#### Location
- **Records Obtained**
- **Yes**
- **No**
- **Pre-Admission Evaluation**
- **Yes**
- **No**
- **Social Summary**
- **Yes**
- **No**
- **Admission Evaluation**
- **Yes**
- **No**
- **Complete Patient History**
- **Yes**
- **No**
- **Complete Physical Examination**
- **Yes**
- **No**
#### CBC
- **Yes**
- **No**
#### Sed. Rate
- **Yes**
- **No**
#### STS
- **Yes**
- **No**
#### Cholesterol
- **Yes**
- **No**
#### Urinalysis
- **Yes**
- **No**
#### BUN
- **Yes**
- **No**
#### FBS
- **Yes**
- **No**
#### Stool Guiac
- **Yes**
- **No**
#### Chest x-ray
- **Yes**
- **No**
#### EKG
- **Yes**
- **No**
#### Diagnostic Studies (X-ray, EKG, Lab. Studies, etc.)
- **Date**
#### Consultations
- **Date**
#### Diabetic Routine
- **Yes**
- **No**
#### Routine Studies Incident Thereto:
- **Frequency**
- **Performed**
- **Yes**
- **No**
#### Dental Examination
- **Yes**
- **No**
#### Eye Examination
- **Yes**
- **No**
#### PM&R Evaluation
- **Yes**
- **No**
#### Restorative Treatment Recommended
- **Yes**
- **No**
#### Completed
- **Yes**
- **No**
#### Adaptive Services
- **Yes**
- **No**
#### Acute Illness
- **Date**
#### Occupational Therapy
- **Yes**
- **No**
#### Now Active
- **Yes**
- **No**
#### Rehabilitation Nursing ADL Form Completed
- **Yes**
- **No**
#### Functional Activities Level (1+, 2+, 3+)
- **Bed**
- **Eating**
- **Hygiene**
- **Dressing**
#### Activities Program Evaluation
- **Yes**
- **No**
#### Participation: High Interest
- **Av. Interest**
- **Low Interest**
#### Has Patient Fallen or Had Other Accident
- **Yes**
- **No**
#### Significant Injury
- **Yes**
- **No**
#### Date Last Weighed
#### Monthly Physician Visits
- **Yes**
- **No**
#### Review of Medications
- **Yes**
- **No**
#### Primary Diagnosis
#### Secondary Diagnosis
#### Admission Indicated
- **Yes**
- **No**
#### Alternatives
#### Discharge Recommended
- **Yes**
- **No**
#### Thru Date
#### Cause of Death
#### Reviewer
#### Date
## Appendix C.
**UTILIZATION REVIEW FORM**
ENCIRCLE ONE APPLICABLE
| 6 MONTHS | ANNUAL | DISCHARGE OR DEATH MORE THAN 90 DAYS |
|----------|--------|-------------------------------------|
| | | |
| Name | Birthdate | Admission Date |
|------|-----------|----------------|
| Frequency of Physician Visits (Average) | Date of Last |
|-----------------------------------------|--------------|
| Order Review Yes No | |
| Annual Review Yes No | |
| Acute Illness Yes No | Date |
|----------------------|------|
| What | |
| Transfer to Acute Hospital Yes No | Which |
|-----------------------------------|-------|
| Was Transfer Collaborative Decision Yes No | |
| Hospital Discharge Summary Obtained Yes No | |
**Consultations:**
| Date | Indicated | Yes No |
|------|-----------|--------|
| | | |
**Consultations Indicated Not Performed Yes No**
| What Specialty |
|----------------|
**Diagnostic Studies:**
| Date | Indicated | Yes No |
|------|-----------|--------|
| | | |
**Diabetic Routine Yes No**
**Routine Studies Incident Thereto:**
| Frequency | Performed | Yes No | Date of Last |
|-----------|-----------|--------|--------------|
| | | | |
**Date of Last Chest Xray**
**Date Last Weighed**
**Physical Therapy Yes No Referral Date**
| Now Active | Yes No |
|------------|--------|
| Frequency of Treatment | Barthel Index |
**Adaptive Services Date**
**Occupational Therapy Yes No Referral Date**
| Now Active | Yes No |
|------------|--------|
| Frequency of Treatment | |
**Social Service Yes No Date of Last Note**
**Activities Program Yes No Interest (1+,2+,3+)**
**Date Last Nursing Dept. ADL Form was completed**
**Does Patient Require Total Nursing Care Yes No**
**Can Patient Feed Self Yes No**
**Has Patient Fallen or Had Other Accident Yes No**
| Did Significant Injury Result | Yes No |
|-------------------------------|--------|
| Does Patient Have Leave of Absences: | Yes No |
| Alone Accompanied | |
**Discharge Recommended Yes No**
**Thru Date**
**Cause of Death**
**Reviewer**
**Date:**
CHART ORGANIZATION
The record is maintained in the following order, starting from the front.
Front Sheet - Identification Data
Weight Chart
List of Physician's Visits and Utilization Review (reverse side)
Activity in Daily Living - (ADL) - (Physiatrist rating form)
Physician's Progress Notes including ADL reports are filed chronologically, the most recent being on top. Closed records include a final diagnosis and discharge summary. Lab slips are filed on the facing sheet above dictation so that the dates of lab work and dictation correspond. The following colors designate the noted specialties:
- Blue = Ophthalmology
- Canary = Physical Medicine
- Salmon = Dentistry & Dental Surgery
- Cherry = Social Work
- Green = Occupational Therapy
- Pink = X-ray
- Cream = Program Coordinator (Activities)
- Grey = Orthopedics
- White = Staff Notes and Other Specialties
Physical Examination
Medical History
Initial Evaluation and Diagnosis
Past Records of Hospitals and Doctors
Physician's Orders
Medication and Treatment Record
Nurses' Notes
Each record is indexed according to the Staff Physician:
- Red Label = Dr. Hersperger
- Light Blue Label = Dr. Biehl
- Green Label = Dr. Gundry
- Dark Blue Label = Dr. Wilson
Appendix E.
"The catalog for the color coded paper appears in copy one of this report only." |
Natural borneol is a novel chemosensitizer that enhances temozolomide-induced anticancer efficiency against human glioma by triggering mitochondrial dysfunction and reactive oxide species-mediated oxidative damage
Wen-Jian Liu,1,* Yi-Bo Yin,1,* Jing-Yi Sun,2,* Sai Feng,3 Jin-Kui Ma,4 Xiao-Yan Fu,5 Ya-Jun Hou,5 Ming-Feng Yang,5 Bao-Liang Sun,1,5 Cun-Dong Fan5
1Department of Neurology, Affiliated Hospital of Taishan Medical University, Taian, Shandong, People’s Republic of China; 2Department of Orthopaedics, Wonju Severance Christian Hospital, Yonsei University Wonju College of Medicine, Wonju, Gangwon, Korea; 3Guangzhou New BenFu Technology Co., Ltd, Guangzhou, Guangdong, People’s Republic of China; 4Faculty of Bioresource Sciences, Akita Prefectural University, Shimoshinjo-Nakano, Akita-shi, Akita, Japan; 5Key Lab of Cerebral Microcirculation in Universities of Shandong, Taishan Medical University, Taian, Shandong, People’s Republic of China
*These authors contributed equally to this work
Correspondence: Bao-Liang Sun; Cun-Dong Fan
Department of Neurology, Taishan Medical University, Yingsheng East Road 2, Taian, Shandong 271000, People’s Republic of China
Tel/fax +86 538 623 0030; +86 538 623 0027
Email firstname.lastname@example.org; email@example.com
Background: Temozolomide (TMZ)-based chemotherapy represents an effective way for treating human glioma. However, its clinical application is limited because of its side effects and resistance to standard chemotherapy. Hence, the search for novel chemosensitizers to augment their anticancer efficiency has attracted much attention. Natural borneol (NB) has been identified as a potential chemosensitizer in treating human cancers. However, the synergistic effect and mechanism of NB and TMZ in human glioma have not been investigated yet.
Materials and methods: U251 human glioma cells were cultured, and the cytotoxicity and apoptosis of NB and/or TMZ were examined by MTT assay, flow cytometric analysis and Western blot. Nude mice tumor model was also employed to evaluate the in vivo anticancer effect and mechanism.
Results: The results showed that the combined treatment of NB and TMZ more effectively inhibited human glioma growth via triggering mitochondria-mediated apoptosis in vitro, accompanied by the caspase activation. Combined treatment of NB and TMZ also caused mitochondrial dysfunction through disturbing Bcl-2 family expression. Further investigation revealed that NB enhanced TMZ-induced DNA damage through inducing reactive oxide species (ROS) overproduction. Moreover, glioma tumor xenograft growth in vivo was more effectively inhibited by the combined treatment with NB and TMZ through triggering apoptosis and anti-angiogenesis.
Conclusion: Taken together, our findings validated that the strategy of using NB and TMZ could be a highly efficient way to achieve anticancer synergism.
Keywords: glioma, borneol, temozolomide, DNA damage, apoptosis
Introduction
Glioma is the most common primary malignant tumor in the adult central nervous system.1 The 5-year survival rate is less than 5%.2–4 Because of its high recurrence rate, single surgery, chemotherapy or radiotherapy was not appropriate for the treatment of human glioma.5 Combined therapies have emerged as excellent strategies. Studies have shown that postoperative chemotherapy had achieved great outcome for human glioma.6 However, the existence of blood–brain barrier (BBB) confined the clinical application of chemotherapy.7–9 Hence, the search for novel chemosensitizers...
to promote the BBB permeability and improve the chemotherapy of human glioma is urgently needed.\textsuperscript{10}
Natural borneol (NB), a simple bicyclic monoterpene, was isolated from the resin of \textit{Dryobalanops aromatica} Gaertn F, which showed multiple pharmacological properties. It is reported that NB could improve the oral bioavailability of anti-tumor drugs by regulating the permeability of the BBB.\textsuperscript{10} Increased evidence have confirmed that NB can increase cell membrane mobility and drug solubility, decrease mucus stickiness and elasticity and inhibit drug efflux.\textsuperscript{11,12} Recently, studies showed that NB can act as a chemosensitizer to enhance anticancer drug-induced apoptosis in human cancer cells through triggering DNA damage and regulation of MAPKs and AKT pathways.\textsuperscript{13,14} However, the potential of NB as a chemosensitizer in human glioma has not been elucidated yet.
In this study, U251 human glioma cells and nude mice-bearing glioma xenograft were employed to evaluate the combined effect and mechanism of NB and TMZ against human glioma cell growth in vitro and in vivo. The results indicated that NB had the potential to enhance TMZ-mediated anticancer efficiency against human glioma through triggering mitochondrial dysfunction and reactive oxide species (ROS)-induced DNA damage.
**Materials and methods**
**Chemicals**
NB was obtained from BenFu Technology Co., Ltd. (Guangzhou, China) DMEM, PBS, FBS, 2’-7’-dichlorofluorescin diacetate (DCFH-DA) probe and mitochondria-targeted MitoSOX probe (M36008) were all purchased from Thermo Fisher Scientific (Waltham, MA, USA). Temozolomide (TMZ), MTT and propidium iodide (PI) were obtained from Sigma-Aldrich Co. (St Louis, MO, USA). TUNEL-DAPI kit, MitoSOX probe and BCA assay kit were purchased from Beyotime Institute of Biotechnology (Shanghai, China). All antibodies used in this study were obtained from Cell Signaling Technology (Beverly, MA, USA). All solvents used were of high performance liquid chromatography (HPLC) grade.
**Cell culture, drug treatment and determination of cell viability**
U251 human glioma cells were acquired from American Type Culture Collection (ATCC, Manassas, VA, USA) and were cultured in DMEM with 10% FBS, penicillin (100 U/mL) and streptomycin (100 U/mL) at 37°C in a 5% CO\textsubscript{2} incubator. Cell was seeded in 96-well plates and treated with 10–160 μM TMZ or 5–80 μg/mL of NB for 48 hours. For combined treatment, the cells were treated with TMZ (20 and 40 μM) and NB (40 and 80 μg/mL) for 48 hours. Cell viability of U251 cells was detected by the MTT assay. After treatment, 20 μL/well of MTT solution (5 mg/mL) was added to the cells and incubated for 5 hours at 37°C. The supernatants were aspirated and 150 μL of DMSO was added. Then, the absorbance was measured on a scanning multi-well spectrophotometer. Cell viability was calculated as a percentage of control (as 100%).
**Flow cytometric analysis**
Cell cycle distribution and apoptosis were assessed by flow cytometric analysis as previously used.\textsuperscript{15} The cells treated with NB and/or TMZ were harvested by centrifugation and washed with PBS, and then the cells were fixed with 70% alcohol and stained with PI solution for 2 hours. Labeled cells were washed with PBS and then analyzed by flow cytometry (FCM). The proportions of cells in G0/G1, S and G2/M phases were represented as DNA histograms. Apoptotic cells with hypodiploid DNA contents were measured by quantifying the sub-G1 peak. For each experiment 10,000 events per sample were recorded.
**Detection of early and late apoptoses**
Early and late apoptoses of U251 cells were detected by Annexin V–PI staining and TUNEL-DAPI staining, respectively. Cells cultured in a chamber slide were treated with 3.7% formaldehyde for 10 minutes and permeabilized in PBS with 0.1% Triton X-100. Then, the cells were administered with the Annexin V–PI staining and TUNEL-DAPI staining kits for measuring the early and late apoptoses, respectively. The experiments were conducted according to the manufacturer’s instructions. The images were obtained from a fluorescence microscope.
**Evaluation of mitochondrial dysfunction**
Mitochondrial function was evaluated by the mitochondrial membrane potential ($\Delta \psi_m$) and mitochondrial morphology, which were examined by JC-1 and Mito-Tracker probes, respectively. Briefly, the cells seeded in a 6 cm plate were exposed to NB and/or TMZ. After treatment, the cells were washed and incubated with 10 μM JC-1 or Mito-Tracker for 15 minutes in the dark. Then, the cells were washed and imaged under an inverted fluorescence microscope.
**Measurement of ROS generation and superoxide anion**
The intracellular ROS and superoxide anion were measured by DCFH-DA and MitoSOX probes in live cells, respectively. Briefly, after treatment with NB and/or TMZ, the cells
were incubated with 10 μM DCFH-DA or 0.5 μM MitoSOX. After reaction, the cells were washed and observed by an inverted fluorescence microscope for the detection of ROS (green fluorescence) and superoxide anion (red fluorescence). The images shown here were obtained from three independent experiments.
**Western blot analysis**
Total protein was prepared from the cells treated with NB and/or TMZ and quantified by the BCA kit. SDS-PAGE was performed in 10% tricine gel, and 40 μg/lane total protein was loaded. After electrophoresis, proteins were transferred from the gel onto a nitrocellulose membrane at 110 V for 1 hour. Then, the membrane was blocked with 5% nonfat milk for 1 hour, and the membranes were hatched with primary antibodies at 1:1,000 dilution in 5% nonfat milk over night at 4°C. Finally, the membrane was treated with horseradish peroxidase-coupled secondary antibody at 1:2,000 for 1 hour at room temperature. Protein was imaged under an ImageSystem (Bio-Rad Laboratories Inc., Hercules, CA, USA). β-Actin was used as the equal loading.
**In vivo study**
U251 cell suspension (10⁶ cells) was inoculated in the armpit of 6-week-old Balb/c nude mice. After 1-week growth, the tumor-bearing mice were randomly divided into four groups (10 mice/group). The control group was given the corresponding solvent, and the other groups were given 20 mg/kg/day NB and/or 10 mg/kg/day TMZ every day for 2 weeks. At the end of the experiment, tumor was separated, and the tumor volume and weight were measured, using the formula: volume=lxw²/2, with l being the maximal length and w being the width. Sections of tumors were used for Western blotting and immunohistochemical (IHC) assay. All animal experiments were approved by the Animal Experimentation Ethics Committee of Shandong in China.
**Statistical analysis**
All data and images were done from three independent experiments at least, and all data were indicated as mean±standard error. Statistical analysis was performed by SPSS statistical package (SPSS 13.0 for Windows; SPSS Inc., Chicago, IL, USA). The data of two groups were analyzed by Student’s t-test, and the data of three or more groups were analyzed by one-way analysis of variance multiple comparisons to assess significant differences, and differences with $P<0.05$ or $P<0.01$ were considered statistically significant. Bars with different letters indicate statistical difference at the $P<0.05$ level.
**Ethical statement**
This study was performed in Key Lab of Cerebral Microcirculation in Universities of Shandong, Taishan Medical University. All the in vitro and in vivo experiments were performed in accordance with the relevant guidelines and regulations of Taishan Medical University. The in vivo experiments were approved by the Taishan Medical University Ethics Committee. All surgeries were performed under 10% chloral hydrate, and all efforts were made to minimize suffering.
**Results**
**NB enhances TMZ-induced cytotoxicity in human glioma cells**
In order to optimize the dosages for combined treatment, the cytotoxicity of NB or TMZ alone toward human glioma cells was screened by the MTT assay. As shown in Figure 1A and B, treatment of U251 cells with TMZ (0–40 μM) for 48 hours caused no significant cytotoxicity. Only treatment with 80 and 160 μM TMZ significantly inhibited U251 cell growth. U251 cells exposed to NB (0–80 μM) for 48 hours showed no cytotoxicity. However, combined treatment of NB and TMZ significantly inhibited U251 cell growth (Figure 1C). For instance, the treatment of cells with 80 μM NB or 40 μM TMZ alone showed no significant changes in the U251 cell viability. However, combined treatment of NB (80 μM) and TMZ (40 μM) significantly inhibited the cell viability to 52.8%. Similar cytotoxicity effect of NB and/or TMZ was also detected in U87 human glioma cells and BV-2 mice microglial cells (Figure S1). Combined treatment-induced growth inhibitory effect was further confirmed by the morphological changes in U251 cells. As shown in Figure 1D, the treatment of U251 cells with NB or TMZ alone caused no significant change in cell morphology. However, combined treatment of NB and TMZ dramatically resulted in the cell morphological changes, such as the cell shrinkage, decrease in the cell number and loss of cell-to-cell contact. Taken together, these results indicated that NB had the potential to enhance TMZ-induced cytotoxicity in human glioma cells.
**NB enhances TMZ-induced apoptosis in human glioma cells**
To verify the cell death mechanism, U251 cells after treatment with NB and/or TMZ were analyzed by FCM. As shown in Figure 2A, the treatment of U251 cells with NB or TMZ alone caused no significant apoptosis and no effects on cell cycle distribution. However, enhanced cell apoptosis was dramatically detected after combined treatment of NB and TMZ.
For instance, the combined treatment of NB (40 and 80 μM) and TMZ (20 μM) triggered U251 cell apoptosis to 28.1% and 49.2%, respectively. Annexin V–PI and TUNEL-DAPI staining further confirmed combined treatment-induced early and late apoptoses, respectively (Figure 2B and C). The statistical analysis of early apoptosis further confirmed this conclusion (Figure S2). Moreover, the enhanced cell apoptosis was further confirmed in the protein level. As shown in Figure 2D, enhanced activation of caspase-3, -7 and -9 was detected after combined treatment of NB and TMZ. The activation of caspase-7 and caspase-9 indicated the contribution of mitochondria-mediated apoptosis. Taken together, these results demonstrated that NB had the potential to enhance TMZ-induced apoptosis in human glioma cells.
**NB enhances TMZ-induced mitochondria dysfunction by regulating Bcl-2 family**
Mitochondrion integrates the internal and external apoptotic signals and plays a significant role in deciding cells’ fate. The depletion of mitochondrial membrane potential ($\Delta \psi_m$) will lead to the release of multiple apoptosis factors from the mitochondria into the cytoplasm. Hence, both the $\Delta \psi_m$ and the mitochondrial morphological change were evaluated using JC-1 and Mito-Tracker probes, respectively. As shown...
in Figure 3A, U251 cells exposed to treatment with NB or TMZ alone showed no significant change in the $\Delta \psi_m$ and the mitochondrial morphology. However, the combined treatment of NB and TMZ significantly caused the loss of $\Delta \psi_m$, as reflected by the fluorescence shift from red to green. The statistical analysis of $\Delta \psi_m$ further confirmed this conclusion (Figure S3). Moreover, combined treatment also resulted in the mitochondrial fragmentation. As shown in Figure 3B, the mitochondria in healthy cells and in cells treated with NB or TMZ alone all showed filamentous network with extensive interconnection throughout the cytoplasm. However, combined treatment markedly caused the mitochondrial fragmentation from protonema to punctiform. Bcl-2 family proteins have been depicted as essential regulators of the mitochondrial apoptosis pathway. Therefore, the Bcl-2 family was also identified. As shown in Figure 3C, exposure of cells to NB or TMZ alone caused no obvious effects on the Bcl-2 family expression. Combined treatment of NB and TMZ effectively increased the expression of Bax and Bad, but decreased the expression of Bcl-2 and Bcl-XL. Taken together, these abovementioned results revealed that NB had the potential to enhance TMZ-induced mitochondrial dysfunction through affecting Bcl-2 family balance.
**NB enhances TMZ-induced DNA damage through ROS accumulation**
ROS could enter nucleus to cause DNA damage by which many anticancer agents induce cancer cell apoptosis.\textsuperscript{16}
Therefore, the oxidative status in U251 cells treated with NB and/or TMZ was examined. As shown in Figure 4A, treatment with NB or TMZ alone only caused slight ROS generation. However, the combined treatment of NB and TMZ significantly caused ROS accumulation, as indicated by the enhanced green fluorescence. The statistical analysis of ROS generation further confirmed combined treatment-induced ROS accumulation (Figure S4). Furthermore, the mitochondrial superoxide overproduction was also detected by MitoSOX, a specific mitochondria-targeted probe, and the results suggested that enhanced production of superoxide was vividly observed in U251 cells after combined treatment with NB and TMZ (Figure 4B). ROS generation caused DNA damage, which is effective to combat human cancers. Hence, combined treatment-induced DNA damage was investigated. As shown in Figure 4C, no significant DNA damage was observed after treatment with NB or TMZ alone. As expected, combined treatment of NB and TMZ significantly caused DNA damage, as demonstrated by the enhanced phosphorylation level of histone (Ser139), p53 (Ser15), ATR (Ser428) and ATM (Ser1981), all of which were DNA damage markers.\textsuperscript{17} ROS inhibition by glutathione (GSH) effectively inhibited combined treatment-induced cell death (Figure S5), which further confirmed the significant role of ROS in combined treatment-induced cell growth inhibition against human glioma cells. Taken together, these results suggested that NB had the potential to enhance TMZ-induced DNA damage through ROS overproduction.
**NB enhances TMZ-induced anticancer efficiency in vivo**
To explore the combined treatment-induced anticancer effect in vivo, the immunodeficient nude mice were employed. The results showed that treatment with NB or TMZ alone only slightly inhibited the glioma growth, as indicated by the decreased tumor volume and tumor weight. However, combined treatment of NB and TMZ significantly inhibited tumor volume and tumor weight compared to that in treatment with NB or TMZ alone (Figure 5A and B). Additionally, combined treatment-induced anticancer mechanism was similar to that of the in vitro mechanism. As shown in Figure 5C, after combined treatment of NB and TMZ, enhanced cell apoptosis and DNA damage were significantly observed, as indicated by the increased expression of active caspase-3 and the phosphorylation level...
**Figure 4** NB enhances TMZ-induced DNA damage through ROS accumulation.
**Notes:** NB enhances TMZ-induced ROS (A) and superoxide anion (B) generation. The intracellular superoxide anion and ROS were measured by MitoSOX and DCFH-DA probes, respectively. The experiments were conducted according to the “Materials and methods” section. (C) Detection of DNA damage. Total protein was prepared, and the protein expression was examined by the Western blotting method. Scale bar=20 μm. All data and images were obtained from three independent experiments.
**Abbreviations:** NB, natural borneol; ROS, reactive oxide species; TMZ, temozolomide.
**Figure 5** NB enhances TMZ-induced anticancer efficiency in vivo.
**Notes:** NB enhances TMZ-induced inhibition against tumor volume (A) and tumor weight (B). (C) NB enhances TMZ-induced apoptosis and DNA damage. The protein expression was examined by Western blotting methods. (D) NB enhances TMZ-induced anti-proliferation and anti-angiogenesis. The protein expression was examined by IHC methods. Scale bar=50 μm. Bars with different characters indicate the statistical difference at the P<0.05 level. All data and images were obtained from three independent experiments.
**Abbreviations:** IHC, immunohistochemical; NB, natural borneol; TMZ, temozolomide.
of histone (Ser139) and p53 (Ser15) (Figure 5C). The staining of Ki-67 and active caspase-3 in tumor tissue further confirmed combined treatment-induced anti-proliferation and apoptosis, respectively (Figure 5D). Moreover, combined treatment also abolished the tumor angiogenesis. As shown in Figure 5D, HE staining revealed that combined treatment significantly decreased the number of erythrocyte-containing blood vessels. The staining of CD-31, a marker of vascular endothelial cells, further confirmed the combined treatment-induced anti-angiogenesis. Taken together, these results suggested that NB had the potential to enhance TMZ-induced anticancer efficiency against human glioma in vivo.
**Discussion**
Single agent-based chemotherapy was not appropriate for the treatment of human glioma. Recently, combined treatment of chemosensitizer and chemotherapeutic drugs has been applied in clinic to improve the anti-tumor effect. Novel chemosensitizers can improve the efficiency of existing anticancer drugs and overcome their resistance and side effects, and hence has been accepted as a new strategy in the field of chemistry and pharmacology.\textsuperscript{18} Induction of tumor cell apoptosis and/or cell cycle arrest all contributed to the cytotoxic mechanisms for anti-cancer effect of medicines to kill cancer cells.\textsuperscript{19} Apoptosis plays an important role in the development, homeostasis and prevention of cancer. Mitochondria-mediated (intrinsic) pathway and death receptor-mediated (extrinsic) pathway can be activated in response to apoptotic stimuli by induction of a series of caspase cascades.\textsuperscript{20,21} In this study, combined treatment of NB and TMZ significantly induced U251 cell apoptosis accompanied by caspase activation, indicating that NB had the potential to enhance TMZ-induced apoptosis against human glioma.
Mitochondria as the center for apoptotic cascades converges apoptosis signals from extrinsic and intrinsic apoptotic pathways, which play key role in regulating mitochondria-mediated apoptosis.\textsuperscript{20} Depletion of mitochondrial membrane potential will result in the opening of the mitochondrial permeability transition pore (MPTP), and the release of cytochrome c, apoptosis-inducing factors (AIFs), SMAC/Diablo and endonuclease G, which eventually leads to the caspase activation and apoptotic cascades.\textsuperscript{22} In this study, combined treatment of NB and TMZ significantly caused the mitochondrial dysfunction, as convinced by the loss of mitochondrial membrane potential and mitochondrial fragmentation, indicating that NB had the potential to enhance TMZ-induced mitochondrial dysfunction. Bcl-2 family protein, including pro-apoptotic members (such as Bax, Bid, Bad and Bim) and anti-apoptotic members (such as Bcl-2, Bcl-XL, Mcl-1 and Bcl-w), plays an important role in triggering mitochondrial apoptosis.\textsuperscript{23} Bcl-2 and Bcl-XL can bind the outer membrane of mitochondria and block efflux of cytochrome c.\textsuperscript{24} Overexpression of Bcl-2 and Bcl-XL in many cancer cells is one of the main causes of the resistance toward chemotherapeutic agents and radiotherapy.\textsuperscript{25} Hence, the balance of pro-apoptotic and anti-apoptotic members decides the stability and the integrity of the mitochondrial membrane.\textsuperscript{26} In this study, combined treatment of NB and TMZ significantly caused the imbalance of Bcl-2 family expression, which eventually resulted in mitochondria-mediated apoptosis in human glioma cells.
ROS, such as superoxide anion, hydrogen peroxide and hydroxyl radical, have been determined as potential regulators of apoptosis by modulating the extrinsic and intrinsic pathways of apoptosis.\textsuperscript{27} ROS may assault cell membrane lipids, proteins and DNA, cause oxidative damage and lead to cell apoptosis. Oxidative stress can irritate metabolic activity and cause mitochondrial dysfunction. Excessive production of ROS will lead to the accumulation of oxidized products of DNA, such as DNA strand breaks (DSB).\textsuperscript{28} p53 as a tumor suppressor can be activated in response to DNA damage and plays a key role in regulating cell cycle arrest and/or apoptosis.\textsuperscript{29} Activation of p53 can regulate the p21 expression that inhibits cyclin-dependent kinase activity.\textsuperscript{30} In this study, combined treatment of NB and TMZ significantly caused ROS accumulation, which eventually leads to the DNA damage, as convinced by the activation of DNA damage makers, such as ATM, ATR, p53 and histone. These results come to a conclusion that NB has the potential to enhance TMZ-induced DNA damage through ROS overproduction.
**Conclusion**
Our findings demonstrated that NB has the potential to enhance TMZ-mediated anticancer efficiency against human glioma through triggering mitochondrial dysfunction and ROS-induced DNA damage, which validated that the strategy of using NB and TMZ could be an effective way for therapy of human glioma.
**Acknowledgment**
This study was supported by the National Natural Science Foundation of China No 81501106 to C-DF and No 81471212 to B-LS.
**Author contributions**
All authors contributed toward data analysis, drafting and critically revising the paper and agree to be accountable for all aspects of the work.
Disclosure
The authors report no conflicts of interest in this work.
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Supplementary materials
**Figure S1** Combined treatment-induced cytotoxicity in (A) U87 and (B) BV-2 cells.
*Notes:* U87 or BV-2 cells were treated with 80 μg/mL NB and/or 40 μM TMZ for 48 hours. Cell viability was detected by the MTT assay. All data were obtained from three independent trials. Bars with different letters indicate statistical difference at the $P<0.05$ level.
*Abbreviations:* NB, natural borneol; TMZ, temozolomide.
**Figure S2** Statistic analysis of early apoptosis.
*Notes:* U251 cells after treatment with NB and/or TMZ were stained by Annexin V–PI, and the early apoptotic cells (green fluorescence) were quantified by statistical analysis. All data were expressed as mean±SD. Bars with different letters indicate statistical difference at the $P<0.05$ level.
*Abbreviations:* NB, natural borneol; PI, propidium iodide; TMZ, temozolomide.
**Figure S3** Mitochondrial membrane potential ($\Delta \psi_m$).
*Notes:* U251 cells after treatment with NB and/or TMZ were stained by JC-I probe, and the $\Delta \psi_m$ was quantified by indicating the red fluorescence. All data were expressed as mean±SD. Bars with different letters indicate statistical difference at the $P<0.05$ level.
*Abbreviations:* NB, natural borneol; TMZ, temozolomide.
**Figure S4** Statistic analysis of ROS generation.
**Notes:** U251 cells after treatment with NB and/or TMZ were stained by DCFH-DA probe, and the ROS generation was quantified by indicating the green fluorescence. All data were expressed as mean±SD. Bars with different letters indicate statistical difference at the $P<0.05$ level.
**Abbreviations:** NB, natural borneol; TMZ, temozolomide.
**Figure S5** Effect of ROS inhibition on combined treatment-induced cell death in U251 cells.
**Notes:** U251 cells were pre-treated with 5 mM GSH for 2 hours before combined treatment. Cell viability was detected by the MTT assay. All data were obtained from three independent trials. Bars with different letters indicate statistical difference at the $P<0.05$ level.
**Abbreviations:** GSH, glutathione; NB, natural borneol; TMZ, temozolomide. |
Neural network architecture for artifacts detection in ZTF survey
Timofey Semenikhin\textsuperscript{1,2}
\textsuperscript{1} Lomonosov Moscow State University, Sternberg astronomical institute, Universitetskij pr. 13, Moscow 119234, Russia
\textsuperscript{2} Faculty of Space Research, Lomonosov Moscow State University, Leninsky Gori 1 bld. 52, Moscow 119234, Russia
\textbf{Abstract.} Today, astronomers are faced with the challenge of handling vast volumes of data, as modern instruments are capable of generating terabytes of data in a single night. One such instrument is the Zwicky Transient Facility, an automated sky survey that can detect approximately a million candidate astrophysical objects among the observed regions of the night sky in a single night. However, a significant portion of the detected objects turn out to be artifacts, i.e., phenomena with non-astrophysical origins. Therefore, specialists must invest time in manually classifying these objects, as there is currently no efficient method that can perform this task without human intervention. The goal of this work is the development of an algorithm to predict whether the light curve from the Zwicky Transient Facility data releases has a bogus nature or not based on the sequence of frames. A labeled dataset provided by experts was utilized, comprising 2230 frames series. Due to the substantial size of the frame sequences, the application of a variational autoencoder was deemed necessary for mapping the images into lower-dimensional vectors. For the task of binary classification based on sequences of compressed frame vectors, a recurrent neural network was employed. Several neural network models were considered, and the quality metrics were assessed using k-fold cross-validation. The final performance metrics, including ROC – AUC = 0.869 ± 0.016 and Accuracy = 0.804 ± 0.021, suggest that the model has practical utility. The code implementing the algorithm is available on \texttt{GitHub}.
\textbf{Keywords:} Neural network · Data analysis · Real-bogus classification.
\section{Introduction}
Zwicky Transient Facility (ZTF) [1], [2]) is an automated sky survey. The telescope generates a large amount of data every night. The survey data consists of images capturing specific parts of the sky, which are later used to create data releases (DRs).
The purpose of creating data releases is to investigate any variable sources in the sky. The survey frames are processed using the widely-used algorithm
SExtractor [3], which detects sources and performs photometry on them. Subsequently, all variable sources are assigned a unique object ID (OID), which is added to the so-called ZTF data releases. It is assumed that there should be no non-periodic variable objects (such as supernovae, red dwarf flares, etc.) in the DRs. However, due to the fact that the applied algorithms are not perfect, unusual objects are encountered in this data [8,10,4]. This motivates researchers, even those whose scientific interests are not related to variable stars, to work with DRs.
Unfortunately, among the ZTF data, so-called artifacts are often encountered (see Fig. 1). An artifact is commonly referred to as any phenomenon of non-astrophysical nature. These can be effects related to instrument malfunction (defocusing, saturated columns in the CCD array, etc.) or effects associated with external conditions (atmospheric turbulence, clouds, bright satellites, etc.). Under certain circumstances, these phenomena can be classified as astrophysical objects by machine learning methods, which significantly complicates working with ZTF data.
Classifying astrophysical objects is one of the primary and most challenging tasks when working with DR data because they lack class labels. As a result, instead of directly using a sequence of object images, photometric observations are often employed. Since the observational properties of many astrophysical classes have been sufficiently studied, a set of features can be derived from the light curve (temporal sequence of photometric observations) that allows for their differentiation. Subsequently, classification methods from classical machine learning can
be applied to the constructed feature sets to solve the classification task. However, this approach can lead to situations where astrophysical phenomena and artifacts closely resemble each other in their photometric representation. For example, a passing bright satellite may temporarily illuminate a specific region of the detector, which can be mistaken for a brief flare of a red dwarf, appearing as a short-lived peak in the light curve. Therefore, when tackling such problems, specialists need to spend time validating the obtained results. Artifacts can account for 68% of the total number of objects labeled as astrophysical objects by machine learning methods [8].
This work is dedicated to implementing an algorithm that would avoid the involvement of specialists in classifying artifact/non-artifact objects from DR. Currently, there is no efficient approach that solves this problem.
2 Data
The labeled object dataset was taken from the SNAD Viewer [9] web portal\(^3\). Each object has a unique index, OID, and a set of labels indicating whether it is an artifact or not, along with additional details about the nature of the object (e.g., AGN – active galactic nucleus, variable, etc. Similarly, for artifacts: ghost, defocusing, etc.). For each object, there is a series of telescope images captured at different times. To obtain a list of links to all available images for a given OID, an API service\(^4\) is used.
A telescope frame is an image of size 3072x3080 depicting a portion of the sky. However, for this task, only a small area within this frame, associated with a specific object, is of interest. Thus, images are cropped to a size of 28x28 pixels and normalized.
The dataset contains 2230 objects (image series), including 1150 artifacts and 1080 astrophysical objects, totaling 1,015,177 images.
One of the main challenges of the task is that objects have a large number of observations (see Fig. 2), and it is unknown at which specific time points anomalies were observed. Therefore, an algorithm capable of working with sequences of images rather than individual anomalous images is necessary.
3 Methods
The implemented approach involves two stages. First, a variational autoencoder (VAE) is trained on all images in the dataset to obtain informative compressed representations of frames. Then, a recurrent neural network (RNN) is trained on sequences of these compressed representations to solve the classification task. Combining these two stages into a single recurrent neural network with convolutional layers at the beginning is not feasible due to computational resource limitations. All neural networks are implemented using the Python library PyTorch.
\(^3\) https://ztf.snad.space/
\(^4\) http://finder.fits.ztf.snad.space/api/docs#operation/Get_URLs_for_all_exposures_by_object_ID_api_v1_urls_by_oid_get
3.1 Variational autoencoder
The implemented encoder consists of 5 convolutional layers (with image channel dimensions: 32, 64, 128, 256, 512 respectively) with the LeakyReLU activation function and batch normalization after each layer. Each output convolutional layer returns half the size of the input image, so the encoder output is a vector, whose size is a model parameter. The architecture of the decoder is symmetrical to that described above, except that transposed convolutional layers are used instead of convolutional layers.
The VAE was trained on all images from dataset. When selecting the parameters for the VAE, different levels of image compression were considered. In machine learning literature, the vector obtained at the output of the encoder is commonly referred to as the latent state. In Fig. 3, the blue and green lines represent the loss curves for latent state sizes of 36 and 78, respectively. It can be observed that increasing the latent state size requires more training epochs. In this work, a latent state size of 36 proved to be optimal. Image augmentation through random rotation was also explored (red line in Fig. 3); however, it was found that this significantly increased the number of required training epochs without a visible improvement in the model. Therefore, the final model does not include any augmentations. For model training, the Adam [7] optimizer was used with a learning rate = $5 \cdot 10^{-5}$ for 100 epochs. The core idea of the Adam optimizer is to combine adaptive moment estimation with adaptive learning rates for efficient model optimization in machine learning. The loss function for the
VAE takes the following form:
\[
L = \text{LogCosh}(x, \hat{x}) + \omega_{kld} \cdot KL(N(\mu, \sigma)||N(0, 1)) =
\ln \cosh(x - \hat{x}) + \omega_{kld} \cdot \left( \ln \frac{1}{\sigma} + \frac{\sigma^2 + \mu^2}{2} - \frac{1}{2} \right),
\]
here, \(x, \hat{x}\) represent the original image and its reconstruction by the decoder, respectively; \(\mu, \sigma\) are vectors of means and variances obtained from the encoder’s output; \(\omega_{kld} = 8 \cdot 10^{-5}\) serves as the weight coefficient for the Kullback-Leibler divergence.
By using the compressed representations of the images, it is expected that the compressed representations of anomalous frames are outliers from the overall distribution of normal images. After the VAE was trained, the obtained compressed representations of frames were saved. The next stage of the work involved training a RNN for binary classification.
### 3.2 Recurrent neural network
The fundamental idea behind RNNs is the utilization of hidden states that capture information from previous time steps, allowing them to maintain a form of memory and learn dependencies within sequential data. By using recurrent connections, RNNs can model sequences of arbitrary length, making them powerful tools for tasks involving sequential information. However, traditional RNNs have issues with vanishing and exploding gradients, leading to difficulties in learning long-range dependencies. To address this, various RNN architectures like LSTM (Long Short-Term Memory; [6]) and GRU (Gated Recurrent Unit; [5]) have
been developed, which introduce gating mechanisms to better control the flow of information and mitigate gradient-related problems.
The model takes inputs of size [batch size, sequence length, latent_dim], where latent_dim represents the dimensionality of the compressed representation. Embeddings for object frames, along with their corresponding class labels, are fed into a RNN. The model parameters are optimized using the Adam optimizer with a learning rate = $10^{-4}$ for 500 epochs.
**Table 1.** Model results. The metric values are averaged over 5 test folds, as well as the standard deviation.
| Model name | ROC-AUC | Accuracy | F1-score |
|-----------------------------|-----------|----------|----------|
| GRU | 0.825 ± 0.061 | 0.751 ± 0.073 | 0.775 ± 0.046 |
| bidirectional GRU + $L_2$ | 0.869 ± 0.016 | 0.804 ± 0.021 | 0.809 ± 0.015 |
| GRU + Tversky loss | 0.839 ± 0.027 | 0.776 ± 0.037 | 0.786 ± 0.019 |
| LSTM | 0.725 ± 0.085 | 0.706 ± 0.098 | 0.742 ± 0.035 |
The baseline model considered was a GRU layer with a hidden state size of 128, and the loss function used during training the recurrent neural network was cross-entropy. In addition to the baseline model, the following variations were explored: a bidirectional GRU cell with $L_2$ weight regularization (weight decay = $10^{-5}$); a GRU layer with a modified loss function (the Tversky Index [11]) term was added to the loss function); a LSTM layer with the same parameters as the baseline model.
Bidirectional GRU is different from the regular GRU in that it processes input sequences in both forward and backward directions, which enables it to capture contextual information from past and future time steps. However, when using such an approach in this task, the model experienced overfitting, so $L_2$ weight regularization was added to it. The table 1 shows the main results for the considered models. The best result is achieved with a bidirectional GRU layer with $L_2$ weight regularization.
### 4 Conclusions
Throughout the course of this study, sequences of ZTF object frames from a labeled dataset were downloaded and preprocessed. Using the PyTorch library, a variational autoencoder was implemented and trained, enabling the compression of images into informative lower-dimensional vectors. Several models of recurrent neural networks were considered for the task of binary classification based on sequences of compressed image vectors. The quality metrics of the models were evaluated using k-fold cross-validation, with the best-performing model achieving
an ROC – AUC = 0.869 ± 0.016 and Accuracy = 0.804 ± 0.021. All the code used in the study is available on GitHub\textsuperscript{5}.
Thus, an algorithm has been developed that aims to classify objects from ZTF DR in a manner similar to that of a specialist who annotated the training dataset. This algorithm stands out from others by utilizing sequences of observation frames rather than photometric time series. While computationally more challenging, images contain more information about the object’s radiation than its corresponding photometry.
The next stage of the work will involve: searching for the optimal architecture for both the autoencoder and the recurrent network; selecting the most effective loss function for the classifier in terms of our task; analyzing the dependence of the first and second type errors on the chosen threshold value; conducting computational experiments using different optimizers. This algorithm can be employed within the scope of the SNAD\textsuperscript{6} project, as the obtained quality metrics indicate its practical value. Since the training dataset used in this work was annotated by specialists from the SNAD project, it is expected that the implementation of this algorithm into the general pipeline will reduce the number of artifacts among anomalies. This will enable specialists to detect more new astrophysical objects.
**Acknowledgements** The author thanks the SNAD team for the provided comments and support. The author acknowledges the support of M.V. Lomonosov Moscow State University Program of Development. Supported by Nonprofit Foundation for the Development of Science and Education “Intellect”.
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Dear Editors,
Please, find below our replies to the referee’s comments. Also, all the changes are implemented to the manuscript.
Additionally, we’ve updated the author list and acknowledgements.
SUBMISSION: 71
TITLE: Neural network architecture for artifacts detection in ZTF survey
------------------------ REVIEW 1 ------------------------
---------- Overall evaluation ----------
SCORE: 3 (strong accept)
---- TEXT:
The Zwicky Transient Facility (ZTF) is the largest (at least in terms of the instrument's field of view) photometric survey of the sky.
ZTE provides information about variable celestial objects/phenomena, but also contains a number of artifacts that are not astronomical objects.
The authors of the reviewed paper have developed a methodology for searching for artifacts, which, obviously, will be in demand by researchers dealing with ZTF data.
The authors write that their dataset contains 1,150 artifacts and 1,080 astronomical objects.
Comment 1:
1) It would be useful to indicate how much these numbers correspond to the actual ratio of the number of artifacts to the number of real objects in ZTF.
Reply:
Unfortunately, the actual ratio of artifacts to non-artifacts within the ZTF survey data releases is unknown as they are not labeled. Latest data release of ZTF contains ~4.72 billion light curves. Such a huge amount of information can not be processed manually, this is one of the reasons why the use of machine learning algorithms becomes unavoidable.
------------------------ REVIEW 2 ------------------------
---------- Overall evaluation ----------
SCORE: 1 (weak accept)
---- TEXT:
The paper describes the developed algorithm that predicts whether a sequence of object images from the Zwicky Transient Facility survey is an artifact or not. The proposed method consists of two parts: building a variational autoencoder and implementing a recurrent neural network. Both parts are described. The experiment used a labeled dataset, consisting of 2230 objects, approximately half of which are artifacts. The obtained results are presented in the paper. Some implementations of recurrent neural network (RNN) were considered. It was demonstrated that the best result (ROC – AUC = 0.869 ± 0.016 and Accuracy = 0.804 ± 0.021) was obtained with a bidirectional GRU cell with L2 weight regularization.
The paper describes one concrete algorithm for solving rather specific task.
The paper is clear, decently written and can be accepted as a short message.
----------------- REVIEW 3 -----------------
---------- Overall evaluation ----------
SCORE: 3 (strong accept)
---- TEXT:
Статья написана на актуальную тему использования данных больших обзоров для классификации объектов с помощью сверточных нейронных сетей (СНН). В частности, СНН используется для проверки классификации переменных объектов, уже обнаруженных пакетом SExtracor и полученных фотометрических рядах тем же пакетом.
Конкретная цель статьи – сообщение о процессе разработки алгоритма, предсказывающего, является ли последовательность изображений объектов из исследования Zwicky Transient Facility артефактом или нет.
Основные замечания
Комментарий 1:
1) «Since the methods used in processing ZTF data cannot guarantee absolute accuracy, artifacts can occur.»
Необходимо уточнить, о какой точности идет речь. Более точно, термин точность здесь не применим. Применим термин фатальная ошибка калибровки или фотометрии, или построения кривой блеска. Как правило, артефакты наблюдения (космические лучи, горячие пиксели итп. устраняются калибровкой и пользователи каталогов не подозревают о их существовании. Если же авторы берут для повторной обработки изображения, то эти изображения уже все откалиброваны. Поэтому стоит пояснить что именно является артефактом для авторов
Ответ:
Предложение изменено на: "Unfortunately, among the ZTF data, so-called artifacts are often encountered (see Fig.1)."
Как показывает наш анализ, в каталогах ZTF содержится большое количество артефактов наблюдения, включая космики, пролеты спутников и т.д.: часть из них приведена в каталоге артефактов SNAD (https://snad.space/art/).
В статье добавлен рисунок с примерами встречающихся артефактов.
Комментарий 2:
2) Статья ссылается на методы, и результаты без объяснения деталей. Было бы уместным более детально сказать в нужных местах о смысле метода или алгоритма, если метода или алгоритма не является общепринятым.
Ответ:
В секции 3.1 добавлено пояснение для Adam, а также более подробно описана работа с вариационным энкодером.
В секции 3.2 добавлены пояснения для GRU, LSTM.
Комментарий 3:
3) Абстракт.
«Целью данной работы является разработка алгоритма, предсказывающего, является ли последовательность изображений объектов из исследования Zwicky Transient Facility артефактом или нет.»
Последовательность изображений не может являться артефактом. Необходимо скорректировать это предложение. Видимо, сами объекты на изображениях могут являться артефактами.
Ответ:
Предложение исправлено на "The goal of this work is the development of an algorithm to predict whether the light curve from the Zwicky Transient Facility data releases has a bogus nature or not, based on the sequence of frames"
Комментарий 4:
4) For example, a passing bright satellite may temporarily illuminate a specific region of the detector, which can be mistaken for a brief flare of a red dwarf, appearing as a short-lived peak in the light curve.
При типичной экспозиции ZTF 30-60 сек, прохождение низкоорбитального КА в поле зрения телескопа приводит к появлению полосы на кадре. Не очень понятно как полоса может быть принята за вспышку. Более того, есть методы, которые выделяют и устраняют именно такие полосы на кадрах.
Ответ:
К сожалению, среди данных ZTF встречаются такие артефакты (в статью добавлен рисунок с примерами найденных артефактов – Fig.1). Фотометрические ряды, представленные в ZTF, реальных вспышек и полос могут быть очень похожи друг на друга (см. Рис.1 ниже).
Рис.1 Сверху: вспышка красного карлика. Снизу: артефакт на изображении – трек движущегося объекта.
Комментарий 5:
5) The labeled object dataset was taken from the SNAD Viewer^4 web portal
В сноске 4 приведена ссылка на статью. Необходимо дать прямую ссылку на портал
Ответ:
Исправлено
Комментарий 6:
6) We considered several models based on the standard GRU layer.
Не определена аббревиатура GRU, не написано ничего про алгоритм Adam
Ответ:
В секции 3.2 добавлено пояснение для GRU и LSTM, а также добавлены ссылки на соответствующие статьи. В секции 3.1 добавлено описание для Adam и соответствующая ссылка. |
Antidiabetic Activity of *Zingiber officinale* Roscoe in Streptozotocin-Induced Non-insulin Dependent Diabetic Rats.
S. P. AKHANI, S. L. VISHWAKARMA AND R. K. GOYAL*
Department of Pharmacology, L. M. College of Pharmacy, Ahmedabad-380 009.
The fresh as well as dried rhizome of ginger, *Zingiber officinale* Roscoe is widely used in the traditional system of medicine. We have studied the effect of fresh juice of *Z. officinale* (4 ml/kg) and methanolic extract (0.5 g/kg) administered orally daily for 6 w on streptozotocin induced non-insulin dependent diabetic rats (90 mg/kg, i.p. single dose). Diabetes produced a significant increase in fasting glucose levels that was associated with increase in insulin levels. Treatment with *Z. officinale* produced a significant decrease in fasting glucose and increase in insulin levels levels in non-insulin dependent type diabetes mellitus rats. In oral glucose tolerance test treatment with *Z. officinale* was found to significantly (P<0.05) decrease Area Under the Curve$_{glucose}$ and increase Area Under the Curve$_{insulin}$ values in diabetic rats. Treatment with *Z. officinale* also produced decrease in serum cholesterol, serum triglyceride levels and decrease in blood pressure in diabetic rats. Our data suggest a potential antidiabetic activity of the *Z. officinale* in non-insulin depaendent diabetes mellitus model of diabetic rats.
Indigenous herbs are used as remedies against various diseases in the traditional system of medicine or in ethnomedicinal practices. For the past few decades compounds from natural sources have been gaining importance because of the vast chemical diversity that they offer. This has lead to phenomenal increase in the demand for the herbal medicine in the last two decades. Ginger is one of the commonly used spices in Indian kitchen known by several names like Ardharakam, Adrak, Adu, Ala. Ginger is an underground rhizome of the plant *Zingiber officinale* belonging to family Zingiberaceae. Ginger has been reported to produce variety of pharmacological effects such as antiemetic, antiulcer, antioxidant, anxiolytic, anti-inflammatory and antipyretic$^{1-5}$. Ginger has also reported to reduce cholesterol levels and atherogenesis in rabbits fed with high cholesterol diets$^6$. It also stimulates bile acid biosynthesis from cholesterol$^7$.
Ginger exerts its central anti-emetic effect via 5-HT$_3$ antagonism$^8$. Ginger inhibits the contractile response of isolated guinea pig ileum to serotonin. Galanolactone, a diterpenoid and gingerols a pungent principle isolated from ginger are reported to be competitive antagonists predominantly at 5HT$_3$ receptors$^9$. Srivastava et al.$^{10}$ found that aqueous extract of ginger inhibited platelet aggregation, induced by ADP, epinephrine, collagen and arachidonic acid $in vitro$. These actions can also be correlated to 5-HT receptors which are involved in platelet aggregation. Hastener et al.$^{11}$ showed that anxiolytic activity of ginger involved specific 5-HT receptors. Various studies have shown that 5-HT levels are high in streptozotocin STZ diabetic rats$^{12}$. 5-HT produces hyperglycemia in normoglycemic rats involving specific 5-HT$_{2A}$ and 5-HT$_3$ receptors$^{13}$. It has further been shown that chronic treatment with 5-HT$_3$ antagonist saropogrelate and 5-HT$_3$ antagonist ondansetron produce number of beneficial effects in diabetic rats$^{13}$. Many of the activities of ginger are because of its 5-HT antagonistic activity. Alcoholic extract of ginger produces blood glucose lowering effect in rabbits$^{14}$ and in rats$^{15}$. In the light of these, we have studied the effect of 6-w treatment with ginger on blood glucose and other biochemical parameters in STZ-induced non-insulin dependent diabetic rats.
MATERIALS AND METHODS
The fresh rhizomes of ginger were obtained from local market. These rhizomes were authenticated by the Botany Department, Gujarat University, Ahmedabad. House specimen was deposited at Botany Department, Gujarat University, Ahmedabad.
Preparation of juice:
Fresh rhizomes of *Z. officinale* (1 kg) were collected and cut into small pieces, homogenised in mortar and pestle and then blended in a blender. It was then squeezed into muslin cloth to obtain the juice. Sodium benzoate (0.5 %) was added as a preservative. The juice was stored at a temperature of -15 to -20° in a well closed glass container.
Preparation of methanol extract:
One kilogram of dried rhizomes of *Z. officinale* was obtained from commercial sources. The rhizomes were authenticated by comparing their microscopy with the reference standard of *Zingiber officinale* and extracted with methanol using a soxhlet extractor.
NIDDM rat model and treatment protocol:
Healthy Sprague Dawley rats were kept for breeding under well-controlled conditions of temperature (22±2°), humidity (55±5 %) and 12 h/12 h light-dark cycle. To induce Non-insulin dependent diabetes mellitus, a single dose of injection of STZ (90 mg/kg: i.p., NIDDM Sigma Chemical Co., St. Louis, MO,) was given to the 2 d old pups. Another group of pups received only saline. The animals were weaned at 30 d and after a period of 3 mo, they were checked for fasting glucose levels to confirm the status of NIDDM. The animals showing fasting glucose levels >140 mg/dl were considered as diabetic. The pups that received saline were considered as control animals. The experimental animals were divided in four groups, six animals in each group (1) control, (2) NIDDM control, and (3) NIDDM treated with juice at *Z. officinale*. (4) NIDDM treated with methanol extract of *Z. Officinale*(0.5g kg) Treatment was given daily for 6 w. The control group received an equal volume of the vehicle (4 ml/kg).
Blood sampling and biochemical analysis:
At the end of 6 w treatment, the animals were kept on 12 h fasting and the blood samples were collected from the tail vein into centrifuge tubes and allowed to clot for 30 min at room temperature. Blood samples were centrifuged at 3000 rpm for 20 min. Serum was separated and stored at -20° until analysis was done. Serum samples were analyzed spectrophotometrically for glucose, cholesterol and triglycerides, (Bayer Diagnostics Kit, Vadodara). Serum insulin levels were estimated by radioimmunoassay method using the kit from Bhabha Atomic Research center, Mumbai, India.
Oral glucose tolerance test:
Rats were subjected to an oral glucose tolerance test (OGTT). Glucose (1.5 g /kg) was administered to 12 h fasted rats. Blood samples were collected at 0, 30, 60 and 120 min. Serum was separated immediately and analyzed for glucose and insulin. The results of OGTT were expressed as integrated areas under the curves for glucose (AUC\textsubscript{glucose}).
TABLE 1: EFFECTS OF JUICE AND METHANOLIC EXTRACT OF *Z. OFFICINALE* ON VARIOUS PARAMETERS IN NIDDM RATS
| Parameters | Control | NIDDM control | NIDDM treated with juice | NIDDM treated with methanolic extract |
|-----------------------------|-------------|---------------|--------------------------|---------------------------------------|
| Body weight (g) | 267.3±15.12 | 200.8±7.5* | 190.2±8.1 | 173.5±4.0 |
| Food intake (g/rat/day) | 29±2.32 | 53±6.2* | 31±4.2** | 30±2.3** |
| Water intake (ml/rat/day) | 22±3.53 | 47±4.8* | 38±4.5 | 36±4.1 |
| AUC\textsubscript{glucose} (mg/dl min)\times 10\textsuperscript{3} | 8.9±5.0 | 56.1±4.5* | 29.8±5.2 ** | 38.3±2.0** |
| AUC\textsubscript{insulin} (mU/ml.min)\times 10\textsuperscript{3} | 7.1±1.2 | 11.1±1.3* | 14.8±1.2** | 16.1±1.3** |
| Blood Pressure(mm Hg) | 86.7±5.5 | 165.0±3.6* | 116.6±4.9** | 128.1±2.4** |
| Hear Rate (beats/min) | 361±22.3 | 318±18.9 | 342±12.8 | 330±16.4 |
n=6 (* significantly different from control P < 0.05) (** significantly different from NIDDM control P < 0.05)
and insulin (AUC\textsubscript{insulin}) over a period of 0-120 min.
**Measurement of blood pressure:**
Blood pressure was recorded by the tail-cuff method using the Harvard blood pressure monitor (Kent, UK). The rat was placed into a restrainer and its tail was introduced into the cuff. The initial gain set was established by means of a pulse sensor to get monitor deflection. The pressure was first raised to 200 mm Hg and then slowly released by means of a screw attachment. There was increase in the magnitude of the deflections recorded on the pulse analyzer with the decrease in the pressure. The point at which there was the highest magnitude of deflection was taken as the systolic blood pressure of the rat. At this point the heart rate was measured by increasing chart speed and recording the number of beats per min. Blood pressure recordings were repeated three times to obtain consistent results.
**Statistical analysis:**
The results were analyzed statistically using one way ANOVA followed by Tukey's multiple tests to determine level of significance. Value of $p<0.05$ was considered significant.
**RESULTS**
**Fig 1:** Effect of \textit{Zingiber officinale} treatment on serum glucose and serum insulin in STZ-diabetic rats.
Each bar represents mean±SEM. of 6 animals in each group. R1=control, R2=diabetic control, R3=diabetic treated with juice of \textit{Z. officinale} (4 ml/kg), R4=diabetic treated with methanolic extract of \textit{Z. officinale} (0.5 g/kg).
*Significantly different from non-diabetic control, ** significantly different from diabetic control $p<0.05$.
**Fig. 2:** Effect of \textit{Zingiber officinale} treatment on serum cholesterol and serum triglycerides in STZ-diabetic rats.
Each bar represents mean±SEM. number of animals in each group=6. R1=control, R2=diabetic control, R3=diabetic treated with juice of \textit{Z. officinale} (4 ml/kg), R4=diabetic treated with methanolic extract of \textit{Z. Officinale} (0.5 g/kg). * Significantly different from non-diabetic control, ** significantly different from diabetic control $p<0.05$.
Animals, which received STZ, showed a significant reduction in weight gain, increase in water intake and food intake as compared to control animals (P<0.05, Table 1). 90% of pups administered STZ were found to have glucose level above 140 mg / after three months. During the study there was no mortality in the diabetic rats. STZ was administered by intraperitoneal route. STZ was prepared by weighing accurate weight of STZ and dissolving it in normal saline to get 100 mg/ml of STZ. Animals, which received STZ, showed a significant reduction in weight gain, increase in water intake and food intake as compared to control animals (P<0.05, Table 1). Treatment with juice and methanolic extract of *Z. officinale* did not alter the body weight and water intake. However, both the juice and the extract of ginger produced a significant decrease in food intake (Table 1).
STZ injection produced hyperglycemia and hyperinsulinemia in rats. Treatment with *Z. officinale* significantly decreased fasting blood glucose level and significantly increased insulin level in diabetic rats (fig.1). AUC\textsubscript{glucose} and AUC\textsubscript{insulin} were significantly greater in diabetic rats as compared to control rats during oral glucose tolerance test. Treatment with juice and methanolic extract of *Z. officinale* significantly lowered AUC\textsubscript{glucose} in diabetic rats, but AUC\textsubscript{insulin} was significantly increased (Table 1). STZ produced hypercholesterolemia and hypertriglyceridemia in diabetic animals. *Z. officinale* treatment significantly lowered the total cholesterol as well as triglyceride in diabetic rats (fig. 2). The diabetic animals showed higher blood pressure and heart rate as compared to the control groups. Treatment with *Z. officinale* produced a significant decrease in blood pressure but no significant effect was observed on heart rate in diabetic animals.
**DISCUSSION**
In the present study STZ-treated rats significantly reduced weight gain, increase in water intake and food intake as compared with the control animals. Treatment with juice of *Z. officinale* failed to produce significant change in the body weight or water intake of these animals during the six-w of administration. Treatment with fresh juice and methanolic extract of *Z. officinale* not only decreased the fasting blood glucose levels but also caused an increase in serum insulin levels. This can be explained on the basis involvement of 5-HT receptors and their possible modulators present in *Z. officinale*. Sarogrelate, a 5-HT\textsubscript{2A} antagonist has been reported to produce both decrease in glucose and increase in insulin levels in STZ-diabetic rats\textsuperscript{13}. The presence of galanolactone and gingerol have been reported in *Z. officinale* and both these compounds have been reported to act as competitive antagonist for 5-HT receptors\textsuperscript{8}. 5-HT receptor stimulation causes an inhibitory effect on secretion of insulin (our unpublished data). The AUC\textsubscript{glucose} levels in diabetic treated rats was significantly decreased and AUC\textsubscript{insulin} was increased in rats treated with juice and methanolic extract of *Z. officinale*. Ethanolic extract of *Z. officinale* is reported to have hypoglycemic action in rabbits\textsuperscript{14}.
STZ induced NIDDM rats showed significant increase in serum cholesterol and triglyceride levels. Durrington\textsuperscript{16} reported that insulin resistance or insulin deficiency was associated with hypercholesterolemia and hypertriglyceridemia. *Z. officinale* treatment significantly decreased both, serum cholesterol and triglycerides. *Z. officinale* is reported to decrease LDL-cholesterol, VLDL-cholesterol and triglycerides levels in apolipoprotin-E deficient mice\textsuperscript{17}. Bhandari \textit{et al}\textsuperscript{8} have reported that ethanolic extract of *Z. officinale* prevents hypercholesterolemia and development of atherosclerosis in cholesterol fed rabbits\textsuperscript{8}. It is also reported that (E)-8- beta,17-epoxylabed-12-ene-15,16-dial, a compound isolated from *Z. officinale* interfered with cholesterol biosynthesis in homoginated liver of hyperchoesterolemic mouse\textsuperscript{18}. STZ-induced diabetes is reported to affect serotonergic system. Plasma concentration of 5-HT is high in diabetics than in normal subjects\textsuperscript{19}. 5-HT is reported to have lipolytic action on adipocytes increasing plasma levels of free fatty acids\textsuperscript{19}. In our study, *Z. officinale* treatment showed significant decrease in triglyceride and cholesterol levels. It is possible that the mechanism of reduction of serum lipid levels with *Z. officinale* may be not only through insulin release as mentioned before but also some direct actions of 5-HT on lipids levels.
STZ-diabetic rats showed increase in blood pressure and bradycardia. Treatment with *Z. officinale* lowered blood pressure but did not alter STZ-induced bradycardia. These results can also be explained on the basis of involvement of insulin in blood pressure\textsuperscript{20}. In conclusion, our data suggest that *Z. officinale* possesses significant anti-diabetic activity. Presence of 5-HT modulators in *Z. officinale* may be responsible for this action. However, further studies are required to prove this hypothesis.
**ACKNOWLEDGEMENTS**
Authors acknowledge University Grants Commission, New Delhi for providing financial assistance.
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7. Srinivasan, K. and Sambaiah, K. *Int. J. Vit. Nutr. Res.*, 1991, 61, 364.
8. Lumb, A.B., *Anaesthesia*, 1993, 48, 1118.
9. Huang, Q., Iwamoto, M., Aoki, S., Tanaka, N., Tajima, K. and Yamahara, J., *Chem. Pharm. Bull.*, 1991, 39, 397.
10. Srivastava, K.C., *Biomed. Biochim. Acta.*, 1984, 43, S335.
11. Hasenohrl, R.U., Nichau, C.H., Frisch, C.H., De Souza Silva, M.A., Huston, J.P., Mattern, G.M. and Hacker, R., *Pharmacol. Biochem. Behav.*, 1996, 53, 271.
12. Martin, F.J., Miguez, J.M., Aldegunde, M. and Atienza, G., *Life Sci.*, 1995, 56, 1807.
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20. Weidmann, P., deCourten, M. and Bohlen, L., *J. Hypertens. Suppl.*, 1993, 11, S27. |
The effect of selenium supplementation on sonographic findings of salivary glands in papillary thyroid cancer (PTC) patients treated with radioactive iodine: study protocol for a double-blind, randomized, placebo-controlled clinical trial
Sepide Amini¹, Marjan Golshani², Masoud Moslehi³, Somayeh Hajiahmadi⁴, Gholamreza Askari¹,⁵, Bijan Iraj⁶ and Mohammad Bagherniya¹,⁵*
**Abstract**
**Background** Thyroid cancer is a very damaging disease. The most common treatment for this disease includes thyroidectomy and then using radioactive iodine (RAI). RAI has many side effects, including a decrease in salivary secretions, followed by dry mouth and oral and dental injuries, as well as increased inflammation and oxidative stress. Selenium can be effective in these patients by improving inflammation and oxidative stress and by modulating salivary secretions. So far, only one clinical trial has investigated the effect of selenium on thyroid cancer patients treated with radioiodine therapy (RIT) conducted on 16 patients; considering the importance of this issue, to show the potential efficacy of selenium in these patients, more high-quality trials with a larger sample size are warranted.
**Methods** This is a parallel double-blind randomized controlled clinical trial that includes 60 patients aged 20 to 65 years with papillary thyroid cancer (PTC) treated with RAI and will be conducted in Seyed al-Shohada Center, an academic center for referral of patients to receive iodine, Isfahan, Iran. Thirty patients will receive 200 µg of selenium for 10 days (3 days before to 6 days after RAI treatment) and another 30 patients will receive a placebo for the same period. Sonographic findings of major salivary glands, salivary secretions, and sense of taste will be evaluated before and 6 months after 10-day supplementation.
**Discussion** Due to its anti-inflammatory and antioxidant effects, as well as improving salivary secretions, selenium may improve the symptoms of thyroid cancer treated with radioactive iodine. In past studies, selenium consumption has not reduced the therapeutic effects of radiation therapy, and at a dose of 300 to 500 µg/day, it has not had any significant side effects in many types of cancer under radiation therapy.
**Trial registration** Iranian Registry of Clinical Trials IRCT20201129049534N6. Registered on 16 September 2021.
*Correspondence:
Bijan Iraj
firstname.lastname@example.org
Mohammad Bagherniya
email@example.com
Full list of author information is available at the end of the article
Keywords: Selenium, Thyroid cancer, Radioactive iodine, Salivary glands, Supplementation
Administrative information
Note: the numbers in curly brackets in this protocol refer to the SPIRIT checklist item numbers. The order of the items has been modified to group similar items (see http://www.equator-network.org/reporting-guidelines/spirit-2013-statement-defining-standard-protocol-items-for-clinical-trials/).
| Title {1} | The effect of selenium supplementation on sonographic findings of salivary glands in papillary thyroid cancer (PTC) patients treated with radioactive iodine: study protocol for a double-blind, randomized, placebo-controlled clinical trial |
| --- | --- |
| Trial registration {2a and 2b} | IRCT2020112904953N6; 16 September 2021. |
| Protocol version {3} | Version 2, December 2022 |
| Funding {4} | Isfahan University of medical sciences, Grant number: 240096 |
| Author details {5a} | Sepide Amini\textsuperscript{1}, Marjan Golshani\textsuperscript{2}, Mahdi Moslehi\textsuperscript{3}, Somayeh Hajiahmadi\textsuperscript{4}, Ghulamreza Akkazemi\textsuperscript{5}, Bijan Iraj\textsuperscript{6}, Mohammad Bagherinya\textsuperscript{7,8} |
| Name and contact information for the trial sponsor {5b} | Isfahan University of medical sciences Postal Code: 81746–73461 Tel: (+98)-31–3668-0048 |
| Role of sponsor {5c} | Financial support and supervision |
Introduction
Background and rationale {6a}
Thyroid cancer (TC) is more common than other endocrine malignancies and its incidence is increasing worldwide [1, 2]. TC includes three main tumor types with different histologic and clinical characteristics: differentiated thyroid carcinoma (DTC), anaplastic (undifferentiated or poorly differentiated) thyroid carcinoma (ATC), and medullary thyroid carcinoma (MTC). DTC is the most common type of thyroid cancer and has a better prognosis than others [3, 4].
One of the most important causes of thyroid cancer is environmental factors such as ionizing radiation, toxic chemical compounds, and halogenated pesticides. The amount of consumed iodine is also effective on the probability of contracting it, so both deficiency and excess consumption of iodine can lead to an increase in the probability of contracting thyroid cancer [5, 6]. Some modifiable individual factors, including weight, are also related to the possibility of contracting this type of cancer [7]. Inflammation is also an effective factor in causing and aggravating thyroid cancer. Generally, in thyroid cancer, there is an increase in inflammatory factors such as Nuclear factor kappa light chain enhancer of activated B lymphocytes (NF-\(\kappa\)B) and C-Reactive Protein (CRP), which in turn causes the tumor to progress and worsen the patient’s condition [8–10].
Current treatments for thyroid cancer include thyroidectomy (complete or partial removal of the thyroid gland), tyrosine kinase inhibitors (TKI), and radioactive iodine (RAI). Among these, one of the most common methods includes thyroidectomy followed by the use of radioactive iodine [11–13]. The reason for using radioactive iodine is to drain thyroid remnants and control metastatic conditions [11, 13]. But it also has many side effects. One of the most important complications caused by radioiodine therapy (RIT) is its excessive entry into the salivary glands, which causes swelling and dysfunction of these glands, and as a result, saliva secretion decreases [14–19]. Following the decrease in saliva, dry mouth, and taste problems occur, which greatly affect the patient’s quality of life. Also, the possibility of tooth decay and gingivitis (gum inflammation) increases. If there is a long-term and chronic decrease in saliva, fibrosis of the oral mucous cells may even occur [20–24]. Another side effect of RIT is the creation of oxidative stress, which favors cancer recurrence [25]. It can also cause a disturbance in the modulation of inflammatory factors [26]. According to European guidelines, it is recommended to consume sour candy or chewing gum after RIT for hydration and to reduce the problems caused by decreased salivation [27], but many patients suffer from dry mouth and related problems even despite this practice [28].
Selenium is one of the essential minerals, the largest amount of which per gram of tissue is present in the
thyroid gland and it affects thyroid health through its role in the structure of selenoproteins [29–31]. Selenoproteins play a role in the metabolism of thyroid hormones and the antioxidant system [32]. Selenium can help inhibit thyroid neoplasm, which is a potential effect through induction of apoptosis, stimulation of tumor suppressor genes, and antioxidant and anti-inflammatory function [33–37].
Recently, a clinical trial study investigated the effect of selenium on thyroid cancer patients undergoing RIT therapy, which reported that 300 μg/day of selenium from 3 days before to 6 days after RIT can help maintain salivary gland function [38]. This is the only trial study regarding the effect of selenium supplementation on patients with thyroid cancer under RIT treatment, which has a limited sample size (n=16) [38], so this study will be conducted with a larger sample size to examine this issue.
**Objectives [7]**
We aim to investigate the effects of selenium supplementation on sonographic findings of salivary glands in papillary thyroid cancer (PTC) patients treated with radioactive iodine. If this trial confirms our hypothesis, selenium supplementation may be used to improve the effects of existing treatments.
**Trial design [8]**
A randomized, parallel, two-arm, double-blind, and placebo-controlled superiority clinical trial will be implemented.
**Methods: participants, interventions, and outcomes**
**Study setting [9]**
Our study will be performed at Seyyed al-Shohada Center; an academic center for the referral of patients to receive iodine, affiliated with Isfahan University of Medical Sciences, Isfahan, Iran.
**Eligibility criteria [10]**
**Inclusion criteria**
- Age between 20 and 65 years
- Diagnosis of PTC with pathological findings of thyroid tissue biopsy.
- Treated with radioactive iodine
**Exclusion criteria**
- Suffering from sialadenitis (inflammation of salivary glands)
- Suffering from Sjogren's syndrome
- Subjects with severe side effects after thyroidectomy who were not possible for RIT
- Collagen vascular disease involving the salivary glands.
- Any surgery on the salivary glands
- Pregnancy and breastfeeding
- Lack of patient permission
- Consumption of food supplements in the last 3 months (Consumption of any herbal supplement, for example, curcumin, ginseng, etc., or/and any vitamin or mineral supplement, or/and any other food supplement, including omega-3, etc.).
- Suffering from special diseases such as diseases caused by congenital diseases, immune system defects, etc.
- Report any adverse effects after taking supplements
- If there is a significant change in any of the patient’s treatments during the period of intervention by the relevant doctor
**Reason for eliminating the data**
- Consumption of less than 80% of selenium supplements by the patient.
**Informed consent procedures (26a)**
In this study, after providing written and oral explanations about the objectives and method of conducting the research, written informed consent will be obtained from the patients if they wish to cooperate in the study.
**Additional consent provisions for collection and use of participant data and biological specimens (26b)**
The consent form received from the patients includes their agreement to use the data in related future studies. Of course, patients can only agree to the current study and not accept future studies.
**Interventions**
**Explanation for the choice of comparators (6b)**
While receiving standard treatment, patients will be placed in one of two groups receiving a selenium supplement or placebo. The treatment group will receive one selenium capsule containing 200 μg of selenium per day and the control group will receive one placebo capsule containing 200 μg of maltodextrin per day for 10 days (3 days before to 6 days after radioactive iodine treatment).
The reason for choosing 200 μg is that a dosage of 200 μg/day per extra-dietary supplementation of
selenium is generally considered safe and adequate for an adult of average weight [39]. In addition, the supplements available in the Iranian market have a dose of 200 μg per tablet. Also, Lee et al.'s study [38], which is somewhat similar to our study, used a dose of 300 μg. Therefore, 200 μg is close to this dose.
**Intervention description (11a)**
Both treatment and placebo groups will be treated with radioactive iodine. The treatment group will receive one selenium capsule containing 200 μg of selenium per day for 10 days (3 days before to 6 days after radioactive iodine treatment). The control group will receive a placebo capsule containing 200 μg of maltodextrin per day for 10 days (3 days before to 6 days after radioactive iodine treatment). Selenium capsules are purchased from 21st Century company and the placebo is prepared by the Faculty of Pharmacy of Isfahan University of Medical Sciences. During the intervention, the type and dosage of the drugs used by the patients will not be changed, and the patients will receive all their usual treatments according to the previous routine (under the supervision of a specialist endocrinologist), and receiving selenium or placebo is merely a supplement to the common treatments they receive.
**Criteria for discontinuing or modifying allocated interventions (11b)**
Each participant will be allowed to withdraw from the study at any time. Also, the reasons for each individual's withdrawal from the study will be explained in detail in the study results.
**Strategies to improve adherence to interventions (11c)**
Selenium and placebo tablets will be delivered to the patients by the researcher (M.G) and during ten days of supplementation, the patients will be reminded to take the tablets by phone call. Also, patients will return the empty can of the supplement after ten days.
**Relevant concomitant care permitted or prohibited during the trial (11d)**
The patient will receive all the usual care and treatment under the supervision of a specialist doctor. There will be no change in receiving standard care during the study. Patients only received selenium supplements or a placebo in addition to receiving routine treatments.
**Provisions for post-trial care (30)**
All standard treatments will be continued after the study, but selenium or placebo supplements will only be received for 10 days during the study.
**Outcomes (12)**
In general, the variables evaluated in this study will include demographic variables, assessment of disease severity, and evaluation of changes in sonographic findings of major salivary glands (including echogenicity, size, margin, and contour in sonography).
Demographic variables (including age, gender, marital status, smoking, medical history and medical history, education level, occupation, and use of supplements and drugs) will be collected from all participants by completing a general information questionnaire.
Before and 6 months after the 10-day intervention with selenium or placebo, sonography was taken from parotid and submandibular salivary glands and according to sonography, these salivary glands will be evaluated in terms of echogenicity, size, margin, and contour.
Huang et al.'s study including 446 patients with thyroid carcinoma, reported that the side effect of radioactive iodine on salivary glands occurs after a few months [40]. Also, Lee et al.'s study, which investigated the effect of selenium intake on reducing the side effects of radioactive iodine on salivary glands, examined the findings after 6 months [38]. Therefore, we will examine the changes in salivary gland sonographic findings after 6 months.
The level of taste sensation and secretion of salivary glands will be evaluated by the evaluation questionnaire of the level of sialadenitis [41]. This questionnaire contains 14 questions and each question can have between 1 and 4 scores (score 1, not at all; score 2, a few times; score 3, fairly often; and score 4, almost always.). Therefore, the overall score varies between 14 and 56 [41].
Before and 6 months after the 10-day intervention with selenium or placebo, 10 ml of blood will be taken from the patients and collected in plastic tubes. A centrifuge will be used to separate the serum samples. Then the serum will be poured into 0.5 ml microtubes. The samples will be stored in a freezer at −70 °C. To reduce the error in the measurements, all blood samples will be taken at 8–10 am in the fasting state.
CRP will be evaluated at the beginning and end of the study, and if there will be no budget restrictions, we will also evaluate total antioxidant capacity (TAC) and superoxide dismutase (SOD).
**Participant timeline (13)**
The study flow diagram is according to Table 1 and Figs. 1 and 2.
**Sample size (14)**
Since our study is the first in its kind, we calculate the sample size base on CRP as one the most important parameters of this study. Based on a previous study
Concealment mechanism (16b)
Completely identical packages of selenium and placebo tablets with blinded labels A or B will be provided to the researcher without specifying the type of supplement. Researchers and patients will not know the type of supplement on each label until the end of the statistical analysis.
Implementation (16c)
An independent reviewer will assign the participants to the intervention or control group, and also the generation of the allocation sequence of the patients will be monitored by the second researcher (B.I).
Assignment of interventions: blinding
People who will be blind (17a)
This will be a double-blind study, so the researchers and the subjects will not know which group they will enter. Also, selenium and placebo supplements will be produced in the same way in terms of shape, color, size, and smell, and they will have the same packaging.
Procedure for unblinding if needed (17b)
The disclosure of the label of the supplements will only take place at the end of the study after the completion of the statistical analysis. In case of any unblinding during the study, it will be reported in detail in the Iranian Registry of Clinical Trials and the final results of the study.
Data collection and management
Plans for assessment and collection of outcomes (18a)
Major salivary glands (echogenicity, size, margin, and contour) will be examined by sonography before and 6 months after the 10-day intervention with selenium or placebo.
A questionnaire evaluating the degree of dry mouth and its effects on the daily life of patients will be used
to evaluate the sense of taste and secretion of salivary glands.
**Plans to promote participant retention and complete follow-up (18b)**
To encourage patients to cooperate as much as possible, it will be explained about the possible effects of selenium supplementation on the reduction of complications caused by the treatment of thyroid cancer patients with radioactive iodine.
**Data management (19)**
The data will be carefully recorded and protected by a blind researcher. After completing the data, the result set will be reviewed.
**Confidentiality (27)**
The ethical principles of confidentiality of the names and identification details of the patients will be fully maintained. The researchers will only mention the results of the study without mentioning the names and identification details of the patients, so the patients will not be identifiable under any circumstances.
**Plans for collection, laboratory evaluation, and storage of biological specimens for genetic or molecular analysis in this trial/future use (33)**
After separating the serum from the collected blood samples, they will be immediately placed in a freezer at −70°C until the tests will be performed. If the patient agrees, the blood sample will be stored for future studies. Genetic tests are not related to the present study.
Statistical methods
Statistical methods for primary and secondary outcomes (20a)
In this study, the number of quantitative variables will be reported as mean (standard deviation), and qualitative variables will be reported as number (percentage). The evaluation of the normality of the distribution of quantitative variables will be done using the skewness index and the Q-Q plot diagram. Intra-group analyses will be performed using paired $t$-test and between-group analyses will be performed using independent $t$-test and ANCOVA. The distribution of qualitative variables will be compared between two groups using the chi-square test. SPSS version 22 software will be used to analyze the data with a significance level of $P < 0.05$.
The primary results of this study include the evaluation of CRP and changes in sonographic findings of major salivary glands (including echogenicity, size, margin, and contour in sonography), and the secondary results include the evaluation of the level of taste sensation and secretion of salivary glands by the questionnaire to assess the level of sialadenitis [41].
Interim analyses (21b)
Not applicable.
Methods for additional analyses (e.g., subgroup analyses) (20b)
No subgroup analyses are planned.
Methods in analysis to handle protocol non-adherence and any statistical methods to handle missing data (20c)
The analysis will be done in an intention-to-treat format so that the data from excluded patients are also mentioned in the results. The reason for each patient’s withdrawal, especially the presence of any side effects, will be mentioned in detail. A sensitivity analysis will also be done. Missing data will be checked by multiple imputations.
Plans to give access to the full protocol, participant-level data, and statistical code (31c)
If there will be logical requests for data in the direction of the present protocol, the corresponding author will send the data set. Otherwise, all information will remain confidential.
Oversight and monitoring
Composition of the coordinating center and trial steering committee (5d)
The performance of the researchers and all stages of the study will be under the supervision of the Ethics Committee and the Vice-Chancellor of Isfahan University of Medical Sciences, so that if there is any contradiction with the ethical principles, the preservation of the patient’s health and also the preservation of his human values, the corrections or the termination of this study will be applied.
Composition of the data monitoring committee, its role and reporting structure (21a)
Data monitoring will be done by the academic committee of Isfahan University of Medical Sciences, which includes impartial and continuous monitoring.
Adverse event reporting and harms (22)
Any side effects, whether significant or minor, will be reported in full detail though previous studies have reported no adverse effects of selenium supplementation in several types of cancer treated with radiation therapy [43, 44].
Frequency and plans for auditing trial conduct (23)
The present study will be supervised by the Ethics Committee of Isfahan University of Medical Sciences. Unexpected inspection of the accuracy and correctness of the study and the correct performance of the researchers will be done at least twice during the study.
Plans for communicating important protocol amendments to relevant parties (e.g., trial participants, ethical committees) (25)
If there is a need for any changes in the study protocol, the changes will be made under the supervision and with the approval of the Ethical Committee of Isfahan University of Medical Sciences. All changes will be reported in detail at https://irct.ir/.
Dissemination plans (31a)
Final data and results will be presented in official publications.
Discussion
Thyroid cancer is a common disease worldwide [1, 2]. Inflammation is one of the most important factors causing and worsening thyroid cancer [8–10]. Also, oxidative stress factors are generally high in these patients and are effective in the relapse process [45–48]. The most common treatment solution for these patients is thyroidectomy and then treatment with radioactive iodine to drain thyroid remnants and control metastatic conditions [11–13]. But this solution has many side effects. For example, radioactive iodine, in addition to its beneficial effect on improving cancer, by excessively entering the salivary glands, reduces the secretion of
saliva and the annoying mouth dryness [18, 20, 21, 23, 24]. The current solution to improve the salivary secretion of these patients is to use sour candy or chewing gum. But in many patients, this solution does not bring much improvement [27, 28]. Other side effects of RIT include increased oxidative stress and inflammation [26, 45].
Selenium is an essential mineral that affects the metabolism of thyroid hormones, the antioxidant system, and the inhibition of thyroid neoplasm [29, 32, 34, 36]. Selenium can modulate the growth of thyroid cancer cells by stopping the cell cycle and inhibiting cell growth factors. Also, sufficient amounts of this mineral reduce the possibility of DNA damage [36, 49]. Selenium exerts its anti-inflammatory role by modulating inflammatory factors [50, 51]. Selenium, as one of the most important parts of antioxidant selenoproteins, is effective in improving oxidative stress factors [52–55] (Fig. 3).
Selenium exerts part of its anticancer effects by controlling redox stimuli and thus modulating the redox process [56]. A recent systematic review including 15 articles reported that selenium nanoparticles cause significant cytotoxicity against cancer cells, while normal cells are less affected [57]. Some metabolites derived from selenium, including methyl selenol, can stop the cell cycle in the G1 phase, thus being effective in inhibiting the growth of cancer cells [58].
A review study in 2020 showed that supplementation with 300 to 500 μg/day selenium for a period of 10 days to 6 months without reducing the effectiveness of radiotherapy can reduce the side effects of this therapeutic strategy in several types of cancer treated with radiation therapy. This study did not report any side effects from selenium supplementation [43].
Another review study reported that selenium supplementation reduces ageusia (loss of taste) and dysphagia and diarrhea caused by radiation therapy in various cancers. This supplement did not inhibit the therapeutic effects of radiation therapy and had no side effects [44].
Recently, in a clinical trial study, it was reported that selenium supplementation in thyroid cancer patients treated with radioactive iodine can help maintain salivary gland function. But this study only had 16 patients as a sample size. Also, the effect of selenium on oxidative stress and inflammation has not been investigated [38]. Therefore, the present study will be conducted to investigate the effectiveness of selenium supplementation in patients with PTC treated with radioactive iodine with a larger sample size ($n=60$).
The main limitation of our protocol is that, due to ethical issues, we will not be able to stop the patients’ other medications and study the effect of selenium alone. The solution we have thought of for this limitation is that we will carefully examine all the drugs received by the two groups (selenium receiving group and placebo group) at the beginning and end of the study. Then, if there is a significant difference between the two groups, we will adjust the results.
Another limitation is that due to a lack of funding, it is not possible to consider selenium blood biomarkers to assess adherence to supplements. To control this limitation, the patients will be closely monitored in such a way that the patients will be reminded daily by phone call to take the supplement during the ten days of the
*Fig. 3* The effect of selenium on salivary glands, inflammatory factors, and oxidative stress in thyroid cancer patients treated with radioactive iodine
intervention. Also, patients return the empty can of the supplement after ten days. In addition, the potential benefits of the current research for patients are described in detail so that patients can cooperate better.
If the present study observes the effectiveness of selenium on thyroid cancer, selenium may be used as a safe supplement with a high potential in improving the symptoms of these patients in the near future.
**Trial status**
Version 1, September 2021 Recruitment will be started in February 2023 and approximately will be completed in September 2023.
**Abbreviations**
| Abbreviation | Description |
|--------------|-------------|
| TC | Thyroid cancer |
| DTC | Differentiated thyroid carcinoma |
| ATC | Anaplastic thyroid carcinoma |
| MTC | Medullary thyroid carcinoma |
| CRP | C-reactive protein |
| NF-κB | Nuclear factor kappa light chain enhancer of activated B cells |
| TKI | Tyrosine kinase inhibitors |
| RAI | Radioactive iodine |
| RIT | Radioiodine therapy |
| TAC | Total antioxidant capacity |
| SOD | Superoxide dismutase |
**Supplementary Information**
The online version contains supplementary material available at https://doi.org/10.1186/s13063-023-07470-2.
**Additional file 1.**
**Acknowledgements**
We would like to thank all the patients, staff of Seyyed al-Shohada Center and research assistants, and clinicians who cooperated in the implementation of this study.
**Authors' contributions (31b)**
Study design: SA, MG, BI, GA, MB. Data gathering: MG, MM, SH, BI. Statistical analysis: SA, MM, SH, BI, MB. Drafting the manuscript: SA, MG, MM, SH, GA, MB. All the authors read and approved the final manuscript before submission.
**Funding (4)**
This clinical trial is fully supported by Isfahan University of Medical Sciences with grant number 240096, Isfahan, Iran.
**Availability of data and materials (29)**
If the data request is in the direction of the present protocol, the corresponding author sends the data set. Otherwise, all information will remain confidential.
**Declarations**
**Ethics approval and consent to participate (24)**
Vice-Chancellor in Research Affairs -Medical University of Isfahan (Biomedical Research Ethics Committee) approved this project (approval code: IR.MUI.MED.REC.1400.420 on 1 September 2021). This trial is registered in the Iranian Registry of Clinical Trials (ID: IRCT20201129049534N6, registered on 16 September 2021). At baseline, (M.G) will explain the purpose of the trial to the legal guardian and will obtain their written informed consent upon registration.
**Consent for publication (32)**
This paper does not contain any personal data.
**Competing interests (28)**
The authors declare that they have no competing interests.
**Author details**
Nutrition and Food Security Research Center and Department of Community Nutrition, School of Nutrition and Food Science, Isfahan University of Medical Sciences, Isfahan, Iran. 2Department of Internal Medicine, School of Medicine, Isfahan University of Medical Sciences, Isfahan, Iran. 3Department of Medical Physics, School of Medicine, Isfahan University of Medical Sciences, Isfahan, Iran. 4Department of Endocrinology, Isfahan University of Medical Sciences, Isfahan, Iran. 5Anesthesia and Critical Care Research Center, Isfahan University of Medical Sciences, Isfahan, Iran. 6Isfahan Endocrine and Metabolism Research Center, Isfahan University of Medical Sciences, Isfahan, Iran.
Received: 3 January 2023 Accepted: 21 June 2023
Published online: 07 August 2023
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PULSE
LOYOLA COMMERCE ASSOCIATION'S
BUSINESS NEWSLETTERS
Commerce Today & Tomorrow
Volume - 2
Issue - 3
The Department of Commerce is elated to bring its third issue of the E-Newsletter ‘PULSE’ and I congratulate the Loyola Commerce Association (LCA) for taking this initiative under the guidance of Dr. N. Maria Joseph, LCA President and the Office Bearers of LCA.
For the past three years, the world was in panic due to the prevalence of pandemic that made the sustenance of everyone’s survival in the crossroad. Even the fittest found hard of their existence and the entire industry ought to revisit its strategy to face the unforeseen circumstance.
While history recorded the death of 75 – 200 million due to 1918 Spanish Flu, the current pandemic called as ‘COVID 19’ removed more than 6.25 million lives from the world, in the past three years.
The scientists around the world have debated ‘where in the world the pandemic started’, however, it is sure that, there is some lesson of positivity to be understood in the turbulent time. While hundreds of negatives are there to be listed against the corona virus disease, still there is a positive side which must be taken into consideration.
1. Worldwide, the knowledge of medicine is shared to show that the human is same, despite the distance, language, culture, and creed.
2. World leaders approached the situation with compassion, to support their people and also extend the helping hands to other countries - financially or otherwise.
3. Family relation is revisited during the time of shut down and make them to relate, though by compulsion and understand their feelings.
4. Health conscious is strengthened among the people and each one educated others through social media platforms and provide empathetic support.
5. Non-Governmental Organisations (NGO) pooled their resources to save people from the psychological fear through counselling and medical aid.
6. Pandemic has made the people to stay connected with friends and share their needs, to ensure that, no one is alone in this universe.
7. People were taught to reframe their expectations to ensure that things become normal and there is always a ‘silver line’ in everyone’s life.
8. Along with being health conscious, people learned to keep themselves clean, and hygienic through sanitization and social distancing, which stand as the best medicine.
9. Awareness about day-to-day news and updating themselves about current information have become good practices that have made them get socially strong.
10. Sentiments and religions are given prime focus which makes people understand the power of God and respect other sentiments.
11. Along with being health conscious, people learned to keep themselves clean, and hygienic through sanitization and social distancing, which stand as the best medicine.
12. Awareness about day-to-day news and updating themselves about current information have become a good practices which has made them get socially strong.
13. Sentiments and religions are given prime focus which makes people to understand the power of God and respect other sentiments.
14. The need for taking care of nature is one of the precious education learnt during this time, and now people understood that nature should not be disturbed.
15. In the business front, enterprises realized the new avenues of reaching the people and provide their essentials, despite of sleek logistics, available.
Every question has got its own answer and every challenge provides an inbuilt opportunity. It is true that the world was panic initially and was confused to face the challenges posed by the Covid. However, over the time, the entire world order came together to beat the odd and confirmed its people to ensure that, pandemic is a small pebble that stands before goal to reach, which could always be kept under the feet, as the humanism has to walk miles together.
“Oh” brands, whose names end with letter “O”, have recently begun to exist. Such brands have suddenly proliferated and are seen in many different categories. Zomato, Dunzo, Zepto, Jio, and even Meesho all contain the letter "O," which is pronounced "Oh" and is used to convey emotions like surprise, desire, or a reaction to physical stimuli. It serves as an interjection and is a fair observation. “Oh” was initially used in 13th century, and it was later defined as a noun in 1936. Its origins and history indicate that it is originated from the Middle English word ‘Oh’. Onomatopoeia, a figure of speech, is the process of coming up with a term that phonetically mimics, resembles, or alludes to the sound it depicts. Although the word "onomatopoeia" in English refers to the copying of a sound, the Greek word "onomatopoeia" actually means "making or creating names". It is interesting to note that, nowadays, it's the 'O' (Oh) brands that are creating waves in the marketplace.
Let's take a look at Zomato, a multinational Indian restaurant aggregator and food delivery service that offers information on restaurants, menus, and customer reviews in addition to food delivery alternatives from partner restaurants in a few cities. It is a public limited corporation with almost 12,000 crores in revenue from the previous year. Its revenue this year has risen to more than 14,000 crores. Zomato claims to be India's largest food delivery, dining, and restaurant discovery service. Zomato focuses on leveraging the trends in the market and uniquely connecting them to the brand. So, from sitcoms and sporting events to any other trend in the market, Zomato's marketing team has created content that creates a buzz for all the right reasons.
Another 'O' brand is Dunzo, an Indian company that offers major cities grocery and essential delivery services as well as produce, meat, pet supplies, pharmaceuticals, and products from paan shops. In just 19 minutes, according to Dunzo Daily, you can receive the greatest and freshest fruits and veggies. No minimum order is required. The first three deliveries are free. The company conducts a multi-media campaign proclaiming the demise of refrigerators because you don't need one if you can get the freshest fruits, vegetables, and other items delivered in just 19 minutes. Dunzo is an active 'O' brand. Zepto is the next "O" brand family member to be examined.
What is it doing? Zepto, a start-up instant grocery company created by two youngsters and named after the minuscule unit of time, reached a valuation of $900 million in just nine months after launching 10-minute deliveries in India's quickly expanding quick commerce market. Zepto can fulfil orders more swiftly and effectively, thanks to the dark store. A variety of distribution options are offered by micro and cold warehouses, which also physically deliver groceries closer to a particular market group. This way, Zepto has more control over the market spread and Distribution. Jio is a pioneer brand in the "O" category. A subsidiary of Reliance Industries, Jio is an Indian telecom firm with a 2020–21 revenue of over 190,000 crores.
Jio is a Hindi word that also means "to live well" and can also indicate "a benediction from an elder". It centred on offering India the capacity to benefit from the digital revolution to unite everyone by providing the highest quality of connectivity at the most competitive price.
Reliance has been the centre of attention for the last few years due to its innovative ad campaigns. These campaigns ran across all mass mediums and swayed our interest toward Jio's meteoric rise and cutthroat prices. Reliance Jio has made the greatest impact on bringing about the digital revolution in India. Let's travel to the air from the ground. The 'O' family also includes Indigo, the industry leader in airlines.
The company that owns Indigo is Interglobe Aviation Ltd. With a 54% domestic market share, in terms of fleet size and the number of passengers transported, it is also the biggest individual Asian low-cost carrier. Low prices, on-time arrival, and a trouble-free experience are the three success pillars that Indigo places a great value on. Unlike other airlines, it does not offer a business class on its aircraft, yet due to its outstanding on-time performance, many business travelers still favor Indigo.
It is interesting to note that, in the recent past, many brands, many successful growing brands have got their names ending in 'O'. Oh! Oh! The 'O' brands are really rocking!
Every individual Indian has a yearning towards a developed India. There has been an urge for all the Indian citizens to rename India from “developing country” to a “developed country”. An Indian exemplar also known as a missile man of India Dr. APJ ABDUL KALAM has quoted “a developed India by 2020, or even earlier, is not a dream. It need not be a mere vision in the minds of many Indians. It is a mission we can all take up - and succeed”. The ideology behind this elucidation entails every individual Indian to take up a mission of contributing to the development of India which paves way for a tag “developed India”. A battling between political monopoly capitalism and democratic development of India always exists. An economy like India which is neither socialist or capitalist economy considered as a mixed economy has a slight switch over to Monopoly capitalism wherein private companies lay hold of political influences and charge them up as a monopolistic giant in India. These monopolistic organizations dominate the competitor organizations and abuse their power to increase prices to customers. The major pockmark of politically influenced monopolistic organizations in India has biased information about the influenced political party, drastic depletion in economic growth, price-fixing, low quality products, lack of incentive for innovation and cost-push inflation.
Reliance Industries Ltd. (RIL), owned by Mukesh Ambani, is an Indian company. In every industry where RIL is present, including telecom, energy, petrochemicals, and retail Ambani enjoys a near-monopoly or at the very least the greatest power to influence markets and policy. Many business professionals think Ambani influenced the regulatory structure in his favor by using his political influence. A prime example is Reliance Jio’s remarkable debut into the telecom industry. By permitting Jio to provide around 200 days of free promotional services the Telecom Regulatory Authority of India (TRAI) violated. Jio was in violation of TRAI's directive that promotional offers cannot go beyond the 90-day upper limit, prompting the COAI (Cellular Operators of India Association) to request that the government step in.
Reliance Industries Ltd. (RIL), owned by Mukesh Ambani, is an Indian company. In every industry where RIL is present, including telecom, energy, petrochemicals, and retail Ambani enjoys a near-monopoly or at the very least the greatest power to influence markets and policy. Many business professionals think Ambani influenced the regulatory structure in his favor by using his political influence. A prime example is Reliance Jio's remarkable debut into the telecom industry. By permitting Jio to provide around 200 days of free promotional services the Telecom Regulatory Authority of India (TRAI) violated. Jio was in violation of TRAI's directive that promotional offers cannot go beyond the 90-day upper limit, prompting the COAI (Cellular Operators of India Association) to request that the government step in. The Jio Happy New Year offer "is separate from their prior Welcome offer and cannot be viewed as an extension of the former promotional offer since the incentives under both sets of promotional offers differ," the TRAI declared in a letter to operators. Amazingly, Jio's arrival into the telecom sector had a negative impact on incumbent operators' revenue and EBITDA margin, which decreased by 15–40%. Idea's debt-to-equity ratio has risen to risky proportions. Bsnl, a central public undertaking, is in decline and it is also expected to be loss in this fiscal year by the chairman and managing director PK Purwar for the year 2022. The predatory entry of Jio has caused nearly irreparable, long-term harm to the telecom sector. Airports are natural monopolies. To own one non-public owner controlling eight or a lot of airports can't presumably be nice news for airlines or fliers. Adani cluster is additionally a formidable monopoly in ocean ports and inexperienced energy.
The group is also eyeing to grab a slice of Asian country Railways throughout privatization. Mukesh Ambani has been graded as the richest person in India for the thirteenth consecutive year by Forbes Magazine. As per Forbes India made List 2020, his internet value stands at $88.7 billion, creating him the fourth-richest man within the world. Within the high ten richest list, he's the sole bourgeois from the BRICS countries. A recent find from Forbes displays Adani Group chairman Gautam Adani overtaking Microsoft co-founder Bill Gates to be the 4th richest person in the world late on Wednesday, according to Forbes Real-Time Billionaires list. With a net worth of $116.3 billion, Adani was at the 4th position, while Gates, with a net worth of $105 for the year 2022. The key to Mukesh Ambani's or Adhani's soaring wealth isn't innovation but monopoly and policies that suit their businesses. If the government changes the rules of the game in every sector and puts a serious question mark on the basic focus of regulatory laws, then it's not difficult to pick winners and losers. One can guess the winners, but the real losers are certainly the Indian public and the Indian economy at large, whose fate is being decided by a handful of billionaires. The only way to legally break a legal monopoly is to pressure the government to change the law and remove restrictions in a market through a process called deregulation or to initiate a government organized industry in that domain.
NEUROMARKETING is a marketing strategy that connects to the subconscious and emotional aspect of the customer and it also focuses on a long-lasting relationship with the customer and the product. The most important aspect of neuromarketing is to evaluate the consumer’s cognitive and emotional response to different marketing techniques.
NEUROPRICING (Kai-Markus Muller, 2015) have effectively done a good job in predicting the behavior of the population and it will pave way for a better assessment of evaluating the origin of specific regions and other factors. We often see item prices at the end of .99 instead of even numbers to trick the next generation of smart customers and the highly competitive consumer market. The neuromarketing technique is the newest and updated tool used by marketing researchers to study and understand consumer behavior patterns. Neuromarketing uses cutting-edge techniques in brain scanning to understand the differences behind the psychological decision-making process of the customer. With Neuromarketing, one can positively single out the element of an advertisement that creates an effect of a pleasant feel in the minds and memories of the customer.
COLOR PSYCHOLOGY is the study of how colors affect observations and behaviour. In marketing and branding, color psychology is aimed on how colors affect the consumers’ impressions of a brand and whether they influence consumers to consider specific brands or to make them purchase it. “Color is 85% of why you purchased a specific product”, says Neil Patel (2020) II a digital marketing expert. Many studies have proved that colors do influence the customers during their shopping. The main aim is to find out how a brand can be popularised by choosing the right color for that particular product as their marketing strategy. Not all colors are used everywhere. There is a reason why a particular color is used in a store’s logo, product, packaging, wall painting there is a specific purpose for each color. Each color is associated with the impact on the emotions of the customer. Colors influence perception regarding passage of time. Under a red-light object seem heavier and longer and time seems to pass slowly. On the other side, under a blue light objects seem lighter and smaller and time seems to pass very quickly. Casinos take advantage from this strategy- by using red lighting to excite their customers and make their feeling that they are not wasting more time in casinos.
HOW BRANDS ADOPTED THIS STRATEGY?
For Example, MC DONALDS, logo has striking RED background on the walls of their restaurant and even Ronald McDonalds himself. Red is claimed to be an appetising color because it varies from its ability to increase our heart rate and increases the craving to eat. The color YELLOW is associated with happiness and is the most visible color in daylight.
It succeeded on its color psychology strategy because it seemed to be appealing to everyone right from children who associate bright colors with toys and also who are in a hurry to find something quick and easy to eat. Now, it’s worth is $178.9 billion and it is the world’s 6th most valuable brand.
BLUE is known for royalty and trust which also makes people relaxed and calm, confident and sense of security, so it is used by many financial institutions like PayPal, Visa and Bank of America. Blue color helps people become calm. This color is popular among financial companies. Social media companies like Twitter and Facebook will also include blue color in their branding. Blue is the color of clearness and communication. These prominent examples show that there is a definite future scope of Neuromarketing and Color psychology for the upcoming brands.
SO WHAT ABOUT THE FUTURE Neuromarketing and Color Psychology?
The Global Neuromarketing Market is expected to grow at a CAGR of 8.9% during the period of forecasting and it is beneficial in studying consumer perceptions. As per the Global Neuromarketing Market Trend & Growth forecast (2022-27), North America is one of the most significant regions in the global neuromarketing market, owing to the growing number of US-based market vendors and high investment in neuromarketing. So, North America is expected to hold the Largest Market Share in upcoming years by following the Strategies of Neuromarketing and Color Psychology.
It is found that the Color of the Year 2022 for business is PANTONE 173938 Very Peri, which is the trend end forecasted. The company is best known for its Pantone Matching System (PMS). As described by Pantone, it’s a new Pantone color whose courageous presence encourages personal inventiveness and creativity. This includes art, films, fashion, popular travel spots, new technologies and lifestyles, and even upcoming sporting events.
Money & Women
Naveen Raju
"A financially independent woman doesn't help you spend your money. She always help you to make more money"
In every Indian family, women are responsible for the day-to-day expenses of their family. In the case of the family, both men and women spend money too much. It is like testing the depth of the river with both legs. So, financial knowledge is very much important today, especially for women. So, never depend on son your partner's income. Make investments to create your independent sources of income. Thus, it is helpful for them to know how to make the best use of money. But what is the real investment? A clear understanding of real investment is primary. There were two women. One invested in her. Another one invested in The woman who invested in home appliances, can't generate money from that. because it needs maintenance. The other women who invested are is their al investment. Because she can generate money. Covid-19 taught us many things. Many people got unemployed. And it was then that many people realized the importance of savings and investments. Indian government provided more benefits for women. That is if the property is registered in the name of a woman, most Indian state assesses lower stamp duty. If you take the interest rate on house loans, women do not have to spend as much as males because numerous banks provide house loans at reduced interest rates to women. And tax benefits. So don't wait for the right time to invest. The right time for investing is right now. How soon you start your investing, soon you make higher return by investing.
Warren Buffett once said about spending "If you buy things you don't need, soon you will have to sell things you need".
In the field of the world economy, Countries had total possession and improved their attack to score the utmost percentage of their economic growth and the countries were scoring their goals frequently. Unprecedentedly in the Early 2020s, a strong defender entered the field to stop the goal-scoring and had a huge impact on the field. The defender was none other than Covid-19 and the defender stopped the countries from scoring. Countries started to struggle on the field and lost possession. After a long struggle, the countries started to regain possession and began their attack slowly to score the goal. At this juncture, one more defender has entered the field to stop the attack and the name of the defender is the “Recession”. This defender has started to trouble the attack slowly at present. The trouble started with the Russia-Ukraine Crisis which has a huge impact on crude oil prices and import-export activities. European Countries imposed sanctions on Russia and Russia in turn stopped the supply of gas to European Countries which harmed the economic growth of both Western European countries and Russia. The next trouble is the appreciation of the US dollar. When the US dollar is strengthening more and more, the value of other countries started to decline. While a strong dollar is a good add-on for Americans flying abroad, it becomes a troublemaker for other countries. Countries that are importing from the US have to pay more and it becomes expensive for the countries to import essential goods from the United States and the countries are struggling to find the alternative for import and it forces them to import goods from the United States.
An increase in interest rates to control inflation is another feather in the cap of recession. Central Banks of G7 countries are increasing the interest rates by certain basis points to control inflation. The inflation percentage of the United Kingdom has been the worst among the G7 Economies. Restrictions imposed by China to control Covid 19 affect the world economy and lead to recession. The “Zero Covid Policy” implemented by China affects the production of raw materials and has a ripple effect on the production of consumer goods in other countries due to a reduction in the supply of raw materials. Due to less production of consumer goods, it becomes difficult for companies to cope with consumer needs. Wall Street has entered into a bear market due to an increase in tax rates by Federal Reserve and it indicates that defender recession will have a huge impact on the field of economy. At present, recession and pandemic have joined together and forced the reviving economy to be in the offside position. The coaching staff of the economy i.e; the governments and the central bank has to plan some strategies to avoid this offside trap. Reports state that the Central and SouthEast Asian countries have a good strategy to avoid the offside trap to some extent and let’s hope that European Countries and the United States will soon join the Asian Countries to overcome the defender “Recession” and will score goals like before.
Logistics is a process of transferring goods from point of origin to point of consumption for the purpose of satisfying requirement of either an individual or an organization. Logistics at present is making the transfer of good more effective and efficient.
In India, logistics began in the 1950s and there are numerous issues focused on this area as of now. Because of nationalization and globalization, the importance of logistics in growing gradually. For industries, logistics helps optimize existing production and distribution based on the same resource through management techniques for promoting the efficiency and competitiveness of enterprises.
One of the key elements in a logistics chain is transportation system, which works as a bridge among separate activities. Transportation occupies one-third of the amount in the logistic costs. The transportation system also influences performance of logistics system hugely.
Transportation in India comprises of land, air, rail and marine. Land transportation however is dominant since supporting infrastructures for other means of transportation is weak. India has one of the world’s largest networks however despite having one of the world’s largest rail networks, India’s share of cargo transported by rail has declined steadily from over 85 percent in the 1950s to around 30 percent at present.
Overview of Logistics & Transportation in India
Transportation is a key element in logistics. It is important to have adequate capacity and transport infrastructure and services should be reliable. This contributes towards the ability to compete in the field of international trade and attract foreign direct investment. Adequate policies are important to encourage competitive pricing and coordination among alternative modes to provide an integrated transport system that assures the mobility of goods at maximum efficiency and minimum cost.
Despite being a large country with a landmass of 3.29 million square km, the Indian infrastructure comprising roads, railways, seaports and airports is considered very poor as compared to other developed and developing countries. The poor infrastructure and inefficient transport services result in inefficient movement of freight and delays resulting in enormous amount of time, and therefore money. Ranked 54th among 59 countries in an overall infrastructure development ratings the reason has been inefficient and unreliable transport and logistics systems. The exports are less competitive when there is no effective and reliable logistics system in place. The poor infrastructure and transportation performance in India is due to some underlying institutional problems. Unaccountability and confusion among various government agencies is the reason for inefficient logistics system in India.
India being a very large country area wise and population requires a very extensive infrastructure. Underinvestment in major infrastructures like railways, road, ports, airports, tele communications and electricity generation has led to economic deficit. The infrastructure finance gap is massive, reaching several hundred billion dollars over the coming years. Mobilizing this level of financing will not be easy, but it is achievable. India has a high savings rate and could finance much of its investment needs domestically.
India has much to accomplish from a social and economic perspective, from reducing poverty to bringing sanitation and reliable power to hundreds of millions of people. Much need to be done to make investment in India’s infrastructure an attractive proposition for investors. Many issues, from corruption to bureaucratic barriers, stand in the way of the country’s growth potential.
India has much to accomplish from a social and economic perspective, from reducing poverty to bringing sanitation and reliable power to hundreds of millions of people. Much need to be done to make investment in India’s infrastructure an attractive proposition for investors. Many issues, from corruption to bureaucratic barriers, stand in the way of the country’s growth potential.
**INTERRELATIONSHIP BETWEEN TRANSPORTATION AND LOGISTICS**
If transportation is well developed logistics can bring a lot of advantages. This is because good transportation system in logistics activities means better logistics efficiency which leads to efficient logistics, reduce operation cost and helps in promoting service quality. More effort and participation is necessary from public and private sectors for improvement of transportation system. Logistics when operated properly can increase competitiveness as a whole, i.e. the government and enterprise.
**IN CONCLUSION**
Transportation and Logistics are inseparable. The development of one results in the other. Logistics contributes to the wealth of the country. India, being a large country, both by land and population, it should also concentrate on creating job opportunities to its citizens. Logistics through transportation creates a huge number of job opportunities and that results in the overall development of the country. Logistics is not today but tomorrow. It is everything that contributes major share in the GDP of the country. Improvement of the transportation system in India results in the development of Logistics system in the country and that results in the overall development of the country.
The advent of hybrid work model has also created a space and time for individuals to explore beyond their 9-5 schedules. The increase in non-traditional earning avenues, online or otherwise, has boosted the Gig economy which is majorly powered by moonlighters. Incidentally, the post-covid Great Resignation and Silent Resignation is also fuelled by the rampant adoption of the FIRE movement amongst the Millennial and Gen-Z workforce.
Although the movement empathises with the employees, moonlighting as a means to FIRE is paradoxical when the employee is unproductive in either of the jobs and affects the quality of work of the primary employer. It stands against the provisions of the Factories Act of 1948 which limits working hours to a 48-hour workweek with mandatory intervals for rest and leave. The Act u/s 60 goes on to forbid dual employment as well.
Majority of the employer sentiment considers it unfair to their institution and felt betrayed, especially the IT sector employers: Wipro sacked 300 employees. Some moonlighters are involved in activities which are of sary evil?conflicting interests to their employers. According to an article from the Economic Times, MNCs, IT firms and start-ups are seeking legal help from law firms and Income tax department with redrafting contract terms and checking individuals’ income records to curb moonlighters. On the other side of the table, companies like Fintech, CRED and Swiggy are open to the idea of side hustles and second jobs.
Additionally, the generational gap comes to play when the top management of Baby Boomers and Gen X-ers who ran their households with single incomes decide for Gen Y-ers and Z-ers who can barely cover their expenses with dual incomes. The rising fears of recession, swelling inflation and overall low job security has pushed individuals to create their personal brands through moonlighting activities. Hence begs the question if it is a necessary evil?
A large and growing proportion of global investment flows is channeled through conduit jurisdictions and offshore financial centers, making it difficult to track the real origin and ownership of FDI. Foreign direct investment statistics are key indicators of international production and of countries participation in the global economy. FDI statistics have been criticized as boundaries between “real” and financial investment have become increasingly secured.
One of the most contentious issue is the outsized role of financial centers as the middleman between investors. The trick is to attract quality FDI that links foreign investors into the local host country economy. Quality FDI may be characterized as contributing to the creation of decent end value added jobs, enhancing the skill base of host economies, facilitating transfer of technology, knowledge and know how, boosting competitiveness of domestic firms and enabling their access to markets as well as operating in a socially and environmentally responsible manner.
To achieve this potential host countries the FDI must reach its ultimate investors in the world wide supply chain network the following are some of the systematic way through which the FBI can reach its ultimate investors.
1. Contribute to this setup of investment promotion Agencies IPA
A successful IPO could target suitable foreign investors and could then become the link between them and the domestic economy. On the one side, it should act as a one-step shop for the requirement such investors demand from the host country. On the other side, it should act as a catalyster to the host domestic economy prompting it to provide the top-notch infrastructure and the ready access to skilled workers, technicians, engineers and managers that may be required to attract such investors.
2. Set up a vendor development program
To support the matchmaking process between foreign customer and local supplier. To strengthen the capacity of domestic economy, such program may offer financing opportunities to indigenous suppliers for required investment on the basis of purchase contract from foreign buyers.
3. The establishment of export processing zone (EPZ)a
In a way that they spread head into the domestic economy of the respective developing country. A secondary industrial zone could be set up for local suppliers, be it as a geographical site adjacent to EPZ or beat as a legal status allowing for easy foreign domestic linkages.
4. Improve the functioning of financial markets worldwide
To enable developing countries harness their FDI. For instance, better financial market institutions even in FDI source countries help overcoming deficit financial markets in host countries, thus increasing FDI flows to developing countries.
5. Fund and promote scientific research on efficient policies for the development of less developed countries
Countries should provide their universities and research institutions with sufficient fund to allow for research in the interest of developing countries the interested countries should continuously provide thought-provoking impulses and survey comic literature for innovative studies and new evidence.
To be sure, these are the sum of the systematic approach that can be used by FDI to reach its ultimate investors. This approaches may involve the support of the countries and also the willingness of the investors.
FDA is a responsibility for Indians and an opportunity for the world. My definition of every eye for the people of India is “First Develop India”.
5G - A GAME CHANGER IN THE INDIAN ECONOMY
5G SHALL REVOLUTIONIZE THE ECONOMY IN THE UPCOMING YEARS
Why India is expected to benefit greatly from 5G
By enabling the development of several innovative, disruptive new technologies, the introduction of 5G-enabled technologies is anticipated to alter the telco and other industries. The launch of the fifth generation of cellular technology on October 1 was welcomed as a turning point that will hasten India's digital transformation by information technology (IT) services businesses, who have been testing 5G solutions for some time.
At the India Mobile Congress in New Delhi, Prime Minister Narendra Modi introduced 5G telephony to the nation. Tech companies and telecoms praised it as a significant advancement. One of the most powerful companies in the field of developing technologies, Tech Mahindra, thinks that 5G would result in a quantum jump in network technology.
MAJOR MERITS OF 5G
5G differs from the earlier "G's" in three major ways: enhanced capacity, massive connectivity, and signal speed, or low latency. Let's dive into what exactly those mean.
1. ENHANCED CAPACITY
As we all consume more and more data via our phones, the capacity of our cellular networks needs to expand to carry all that data. As we move to 5G, the twin goals of increased speed and increased density require a huge increase in network capacity – expanding those virtual "pipes." That means more cellular antennas and a much denser optical fiber infrastructure to connect those antennas to where the information is processed -- most likely a data center.
2. MASSIVE CONNECTIVITY
5G connectivity involves so much more than your phone – it will also connect the emerging Internet of Things, which is everything from your smart fridge to self-driving cars, and even robotic equipment on the factory floor. 5G utilizes new protocols for data transmission and massive multiple-input, multiple-output (MIMO) antennas, which can connect to significantly more devices than existing antennas. These network advances enable 5G networks to be efficient as possible.
3. LOW LATENCY
When you type a query into a search engine, you expect the results right away. That requires a network with low latency – the third key characteristic of 5G. Latency is simply the round-trip time between two systems – in this case, your smart phone and the search engine servers. The lower the latency, the faster you get the results from your search.
Sectors to be benefitted:
The majority of IT businesses already work with telecom providers to develop innovative solutions. These programmes will become more popular in the future days. The expected boost that 5G rollout would give startup ecosystems is the most significant factor. The new network will be helpful to entrepreneurs in the fintech, regtech, edtech, healthtech, proptech, e-commerce, robotics, and data analytics fields because all of these businesses rely heavily on technology.
Let's take a quick look at a few industries that will profit the most from the introduction of 5G.
Manufacturing:
Due to the domino effect of 5G devices and 5G apps, even the retail industry will experience growth. Additionally, the repair and resale sectors will grow as more products are sold.
Healthcare
The reach of diagnostic services may also be expanded with the aid of remote health monitoring. The smoother operation of video calls will greatly increase telemedicine.
Heavy industries:
Massive automation should also be present in factories, resulting in gains in productivity, efficiency, and control.
Education:
5G connectivity may make it even simpler to access top-notch courses from anywhere.
Lifestyle:
5G will make it easier for AR/VR gadgets to access the much-discussed metaverse. Speeds for downloading and data sharing will rise, as was previously announced.
With the 5G network, the "Digital India" initiative will reach its full potential. The number of internet users in India surpassed 830 million in 2021, increasing by more than 530 million in the six years since 2015, according to the Economic Survey of India. According to the poll, India's average monthly internet data consumption jumped from 1.24 GB in 2018 to 14.1 GB in June 2021. In the upcoming years, this will gain more momentum. India already offers people the most data for the least amount of money. The introduction of 5G will give this an even bigger boost. A game-changing 5G network could help India advance to a higher level in the years to come.
Jobs
The introduction of 5G technology will create new job opportunities in sectors such as network operations and maintenance. The web3, metaverse, and online gaming sectors are predicted to grow rapidly.
HYPERTARGETING: WALKING A FINE LINE BETWEEN SERVING CUSTOMER AND STALKING
- S. AJITH KUMAR
HYPERTARGETING OVERVIEW
Hypertargeting is a marketing strategy that allows marketers to reach customers and deliver extremely customized messages. Hypertargeting begins with identifying and understanding who the target audience precisely. Focusing on particular attributes, such as age, gender and location and attributes that may include hobbies, interests, beliefs and sentiments is an essential factor while talking about hyper-targeting.
Smartphone - A Spy?
Smartphones and other digital equipment have become fundamental extensions of our lives. Whatever you do at work, at play, socializing, shopping—your phone, tablet, laptop, or desktop is almost always a part of the action. These devices go where you go, entertain you, connect you with friends, take you browsing and shopping, feed you news and information, and listen in on even your most intimate voice, text, and e-mail conversations. They know where you live, with whom you interact, what you search for, what you buy, and what you do for fun and more and more. These devices are sharing all that personal information with marketers, who in turn use it to create hypertargeted brand messages and promotions.
New Era of Advertising
Mobiles and apps usage has soared, and as cookie-blocking technologies have improved, marketers have sought new ways to track consumers as they move about digitally. As a result, companies have now developed sophisticated new ways to extract intimate insights about consumers. For example, a string of high-tech mobile advertising service start-ups—with intriguing names such as Drawbridge, Flurry etc.
The mobile advertising companies use different methods to track consumers. Drawbridge creates partnerships with online publishers and advertising exchanges to track online activity. Every time a user visits a Web site or uses a mobile app, the partners send a notification to Drawbridge. In contrast, Flurry works with publishers to embed its software directly into their apps—so far, its software can be found in 350,000 apps on more than 1.2 billion devices. The companies then apply statistical modeling to analyze the mountain of data they collect, assign identifiers to individual users, and ferret out user characteristics and behavior patterns.
By tracking individual digital activity, the services can link several different devices—a smartphone, home computer, work computer, and tablet—to the same person, even if the devices themselves aren’t connected. Every person’s data profile is unique, kind of like a fingerprint. So Drawbridge, Flurry, and the other services can use the profiles to identify individuals no matter what device they are using. Based on your unique pattern of browsing and carousing, one of the data services may well have identified your unique digital fingerprint. Not surprisingly, when you’re signed into Google, Facebook, or Amazon, those companies can track your activities on their sites across devices. But companies like Drawbridge, once they’ve figured you out, they can follow you across all activities and devices even if you aren’t logged in.
Some information seems far too sensitive for use in hypertargeting. For example, targeting based on health, financial, or personal activity profiles could cause consumer embarrassment, discomfort, or damage.
For instance, imagine having a taboo ad pop upon your work computer while your boss is looking over your shoulder, or while you are making a presentation to colleagues or consider that someone targeting customized ads based on your travel plans also knows when your home will likely be unattended. And who’s to protect the privacy of children and other vulnerable groups and shield them from the advances of overzealous marketers? Although most consumers are willing to share some personal information if it means getting better service or deals. Many consumers worry that marketers might go too far.
Thus, with today’s super-sophisticated behavioral targeting tools, marketers walk a fine line between serving consumers and stalking them. Most marketers want to do the right thing with hyper targeting-focusing on the right customers with personalized offers that meet their exacting needs. They want to build trusted relationships with customers by serving them, not harming them. But responsible hypertargeting calls for proactively guarding the rights and sensitivities of those being targeted. Marketers who Cross the line risk the wrath of advocates, legislators, and consumers themselves.
If you're trying to create a company, it's like baking a cake. You have to have all the ingredients in the right proportion.
Elon Musk
A business that makes nothing but money is a poor business.
Henry Ford
If you're competitor-focused, you have to wait until there is a competitor doing something. Being customer-focused allows you to be more pioneering.
Jeff Bezos
Every economic opinion is associated with a set of assumptions.
Gautam Adani
If a founder has passion and innovation, he needs to be supported. I am more intuitive than a numbers person, and I recognise that not all investments are going to be positive. Some may fail, and some may have problems for other reasons. That is life.
Ratan Tata
1. The following brands are owned by which automobile company?
(Citroen, Maserati, Jeep, Dodge, Fiat, and Alfa Romeo)
A) BMW
B) Stellantis
C) Volkswagen
D) GM motores
ANSWER: B) Stellantis
2. Full form of EBITA?
A) Earnings before interest, tax, and document
B) Warnings of business in inter-taxation and amortization
C) Earnings of business an international and treated amount
D) Earnings before interest, taxes, and amortization
ANSWER: D) Earnings before interest, taxes, and amortization
3. Wealthiest woman in india?
A) Savitri Jindal
B) Roshni Nadar
C) Falguni Nayar
D) Vineeta Singh
ANSWER: B) Roshni Nadar
4. What business does Adani Wilmar indulge in?
A) Edible oil
B) Green energy
C) Wealthier production
D) Gas and natural gas
ANSWER: A) Edible oil
5) Who is the renowned entrepreneur who backed Elon Musk in buying out Twitter?
A) Jeff Bezos
B) Larry Ellison
C) Sergey Brin
D) Brian Chesky
**ANSWER:** B) Larry Ellison
6) Most indebted country in the world?
A) The USA
B) Republic of Congo
C) Uganda
D) Bolivia
**ANSWER:** A) the USA
7) Who was another co-founder of Apple alongside Steve Jobs and Steve Wozniak?
A) Tim Cook
B) Ronald Wayne
C) Vincent Richard
D) Eric Paul
**ANSWER:** B) Ronald Wayne
8) Which company has returned a 20% average annual return for more than 60 years to stakeholders?
A) Tata Steel
B) Berkshire Hathaway
C) Microsoft
D) Tencent
**ANSWER:** B) Berkshire Hathaway
9) Which Non-American company has reached a total market capitalization above $2 trillion?
A) TSMC
B) Unilever
C) Saudi Aramco
D) Alibaba
**ANSWER:** C) saudi aramco
10) Which is the most valuable private company in the world when considering market capitalization?
A) Zoho
B) Bytedance
C) Instacart
D) byjus
**ANSWER:** B) Bytedance
COMMERCE CROSSWORD
Crossword
Across:
1. Rate an efficiency of work
4. Ask the bank to advance money
6. Money paid for a loan
10. Wealth of person or business
12. Promise to repair or replace
13. Amalgamation of two companies
14. Legal agreement
16. Total sales of a company
17. Share of profits paid to shareholders
Down:
2. Proof of payment
3. Put money into a company or business
5. Money paid to the owner of the copyright or patent
7. Part of the capital of a company
8. Where shares are bought and sold
9. Money lent
11. Amount of money spent
14. Neither check nor credit card
15. Money returned
Answers
1. Productivity
2. Receipt
3. Invest
4. Borrow
5. Royalty
6. Interest
7. Share
8. Stock Exchange
9. Loan
10. Capital
11. Expenditure
12. Guarantee
13. Merger
14. Contract
15. Refund
16. Turnover
17. Dividend
Chronology
ODD SEMESTER
2022 - 2023
Time has a wonderful way of showing us what really matters
1. Fresher's Day 18.08.22
2. Teacher's Day 05.09.22
3. LCA Inauguration 06.09.22
4. PTA Meeting 28.09.22
5. Ovations overall 30.09.22
6. 2nd PG Educational tour 02.10.22
| Event | Date |
|--------------------------------------------|------------|
| 2nd PG Rural Camp | 12.10.22 |
| Commerce Research & library room inauguration | 21.10.22 |
| Inauguration of the finance lab | 03.12.22 |
| 3rd UG Educational tour | 30.10.22 |
| 2nd UG pichavaram | 06.09.22 |
| Awareness lecture by the income tax department | 03.11.22 |
MEET THE TEAM
PATRON
Dr. A. Marcus
Head of the Department
CHIEF EDITOR
Dr. N. Maria Joseph
President, LCA
DESIGN TEAM
Amal Raj P
Christopher A
Morish Immanuvel D
Harin C
Harish Babu B
2022
CONTENT TEAM
Harshini J
Viviliaa F
Rakshana Shannikha B
Joanarc R
Naveen Raj
Jebin Nicksteve Roger S
2022
CONTENT TEAM
Amal Raj P
Aarifa Khan
Vijayadharsheen T
Ajith Kumar S
Arockia Praveen J
2022
The History of Commerce is that of the communication of the people
- Baron de Montesquieu |
Dom Jean Chauvet as Editor of the *Chartae* of the Carthusian General Chapter
John Clark
The work of Dom Jean Chauvet falls within that awakening of interest within the Carthusian Order in its own history which was a feature of the seventeenth century\(^1\) – an awakening of historical awareness matched in other religious Orders. The writings of Dom Clément Bohic, Dom Nicolas Molin, Dom Charles le Couteulx, and Dom Léon le Vasseur have been printed by their confrères;\(^2\) the collections made and transcribed by Dom Jean Chauvet from the Acts of the Carthusian General Chapter are in process of publication within the AC *Chartae* project.\(^3\)
Dom Le Vasseur knew Dom Chauvet, and gives an evocative biography of him in his *Ephemerides*.\(^4\) He tells us that Dom Chauvet was born on August 5\(^{th}\), 1607, in Loudun, of a highly regarded family. As a young man Jean Chauvet studied Classics in France, Philosophy at Cologne, and Theology at Rome. He was expert in Greek as well as in Latin.
Jean Chauvet had an elder brother Auguste who in his youth went on the grand tour; while doing this, he was captured by pirates. Jean went to Malta to pay his ransom, and the two brothers returned to France, landing at Marseilles.
On the way home, Auguste determined to visit the Grande Chartreuse, and Jean accompanied him. Both took the Carthusian habit, but during their novitiate Auguste had a breakdown in health, and with the good will of the Prior, Dom Juste Perrot, both brothers returned to their father's house until Auguste should be fully recovered. Subsequently Auguste and Jean were both re-admitted to the Order. Auguste made his profession on September 8\(^{th}\), the Birthday of our Lady, 1641; Jean made his profession on the same Festival in 1642. On September 21\(^{st}\) 1646 Dom Jean Chauvet was instituted as Scribe of the Grande Chartreuse by the Prior, Dom Leon Tixier,\(^5\) and persevered in this office until his death, which took place on Christmas Day 1667 in the Carthusian nunnery of Mélan. The Prior-General of the day, Dom Jean Pégon (Prior from 1649-1675) had, according to Dom le Vasseur, so high a regard for Dom Jean Chauvet that he designated him as his successor if he should outlive him. Dom Chauvet was an exemplary monk, kind in his bearing towards all, learned, a sharer in the counsels of the Reverend Father and an assistant in his work. He visited many charterhouses, and was highly esteemed by all, in France, Italy and Germany.
---
\(^1\) On Carthusian historians, see James Hogg, 'Carthusian Annals', in *Spiritualität Heute und Gestern*, Band 14, AC 35:14, Salzburg 1991, pp. 199-205.
\(^2\) C. Bohic, *Chronicon Ordinis Cartusiensis*, 4 vols.; Tournaï/Parkminster, 1911-1954; N. Molin, *Historia Cartusiana*, 3 vols., Tournaï 1903-1906; C. le Couteulx, *Annales Ordinis Cartusiensis*, 7 vols. + index vol., Montreuil 1887-1991; L. le Vasseur, *Ephemerides Ordinis Cartusiensis*, 5 vols., Montreuil 1890-1992.
\(^3\) So far published: *The Chartae of the General Chapter of the Urbanist Observance during the Great Schism* (includes also the *chartae* for the Avignon obedience and for the Spanish charterhouses 1411-1418), ed. John Clark, AC 100:25 (4 vols.), Salzburg 1995; *Transumptum ex Chartis Capituli Generalis: ab anno 1250 ad annum 1379*, ed. John Clark, AC 100:29, Salzburg 1998; *The Chartae of the Carthusian General Chapter 1504-1515: A Supplement to Ms. Parkminster B 62*, ed. John Clark, AC 100:30, Salzburg 1998; *The Chartae of the Carthusian General Chapter 1475-1503*, ed. John Clark, AC 100:31, Salzburg 1998. Editions of Dom Chauvet's *chartae*-texts for 1536-1658 are in preparation.
\(^4\) *Ephemerides*, Vol. 4, pp. 568 col. a – 575 col. b.
\(^5\) Ibid., p. 568 col. b.
Dom le Vasseur refers to Dom Chauvet's work on the chartae, which he excerpted (excerpsit) in five volumes; in this work he showed great discernment, accuracy and skill. — summa sagacitas indagandis vestigandisque, summa discernendis peritia, examinandis pensitandisque judicium circum-spectissimum. Dom Chauvet also made a most accurate list of the Priors of the Grande Chartreuse. From various charterhouses in Germany and Italy he collected chartae of the Chapters celebrated during the Great Schism.\(^6\) He was tireless in seeking from other charterhouses chartae of which there were no copies at the Grande Chartreuse, which he transcribed.
Dom le Vasseur had made the acquaintance of Dom Chauvet in 1656 when the latter had been sent by the Prior General to the Visitors of Belgium, Picardy, and Francia, and was passing through the charterhouse of Bourbon-lès-Gaillon, where Dom le Vasseur was Vicar. From that time these two monks, together with Dom Charles le Couteulx also of Bourbon-lès-Gaillon, worked in close collaboration on Carthusian archival matter; it was through Dom Chauvet that the work of le Vasseur and le Couteulx came to be taken under the wing of Dom Pérgon, the Prior-General. Writing in the Ephemerides, Dom le Vasseur says that out of this collaboration grew seventeen volumes of records of the Carthusian Order, besides eleven volumes of chartae in folio transcribed by le Couteulx (ab eodem D. Carolo).\(^7\)
The majority of Dom Chauvet's extant writings, especially his writings on Carthusian matters, are kept at the Grande Chartreuse; there are some letters by him on various subjects at the Bibliothèque Nationale in Paris.\(^8\)
Dom Chauvet's transcripts of the chartae, conserved at the Grande Chartreuse, answer to the account given by Dom le Vasseur. Ms. 1 Cart. 14 consists of four parts in five volumes.\(^9\) The common division of these volumes as they stand is based on multiples of fifty years or thereabouts; this rather mechanical division, however convenient for the reader, tends to obscure the manner in which Dom Chauvet actually compiled his material, since his sources, which he notes where he is copying from a single manuscript, or from a bound volume or register of chartae, do not correspond with these handy divisions. Of the various bound volumes which together constitute Ms. 1 Cart. 14, Tome I contains material for 1250 to 1401; for the years from 1380 to 1401 the material is for Provinces and houses of the Avignon obedience. Tome II contains material from 1402-1500; for 1402 to 1410 the material is again for the Provinces and houses of the Avignon obedience. Tome IIIa runs from 1501-1550, Tome IIIb from 1551-1599; Tome IIII from 1600 to 1658.
Ms. Cart 43 contains the chartae for the Urbanist Obedience from the years 1380-1409 (though not for 1410), and also the chartae for the Spanish houses from 1411-1418; during these years the Spanish houses did not recognise the re-unification of the Order which had been achieved in 1411.\(^{10}\)
The scope of Dom Chauvet's transcripts varies according to the availability of material and what he perceived as the need. In Ms. 1. 1 Cart. 14 Tome I, at any rate for the years prior to the Avignon Schism, he appears to have aimed at as complete a transcript as possible from the available material. The completeness of the chartae varies considerably, and for some years there is nothing. Where obit-lists are included, we may assume that in
---
\(^6\) Ibid., p. 569 col. a.
\(^7\) Ibid., p. 569 col. b.
\(^8\) Paris, Bibliothèque Nationale, Fonds Français, mss. 13042; 20282; Bibliotheque Nationale, Collection Dupuy 790. – James Hogg, Kartäuserhandschriftenbestände in öffentlichen Bibliotheken Frankreichs, AC 165, Salzburg 2000, p. 74.
\(^9\) Described by Dom Luc Fauchon, O. Cart., Archivist of the Grande Chartreuse, in *The Chartae of the ... Urbanist Observance ...*, Vol. 1, pp. xvi-xvii.
\(^{10}\) Described by Dom Luc Fauchon, ibid., pp. xvii-xviii.
this area of his transcripts Dom Chauvet gave all the names that were in his exemplar. In very many cases he used exemplars that are no longer available to us, – giving his texts a particular importance – but a valuable control is provided by the Part-Dieu chartae,\(^{11}\) of which the originals survive for 1359-1362, 1364, 1377-1379, in part at the Grande Chartreuse (Ms. 1 Cart. 51), and in part at the Valsainte (no shelf-mark). These were unknown to Dom Chauvet, but where both his transcripts and the Part-Dieu chartae are running, as in 1359, 1360, 1377, 1378, there is much agreement and overlap, and while at some points, as might be expected, they cover slightly different ground, the material provided by Dom Chauvet is not perceptibly abbreviated by comparison with that in Part-Dieu.
For these years, Dom Chauvet seems to have relied commonly on local chartae belonging to particular houses, analogous to those of Part-Dieu. Marginal notes indicate some at least of his sources.\(^{12}\) As well as chartae belonging to the Grande Chartreuse (now lost), he made use of chartae from Reposoir and Aillon near at hand, and from Casularum and Padula further afield.
He also drew upon an unidentified 'Manuscriptum Florentinum' and a 'Vetus Liber Ordinationem Capituli' for legislative material. The 'Manuscriptum Florentinum' – presumably it is the same manuscript in each case – is also a subsidiary source for the Urbanist chartae assembled in ms. 1 Cart. 43. The 'Vetus Liber ...' is a continuing supplementary source for Dom Chauvet's work on chartae of later years; a legislative extract from apparently the same 'Vetus Liber Ordinationum' is appended to the charta for 1541 in a later volume of ms. 1 Cart. 14.\(^{13}\)
In this early and particularly difficult area of the chartae, the meticulous editorial care to which Dom le Vasseur refers is very apparent. Here and there Dom Chauvet notes that a word is difficult to make out in his exemplar, and gives his own alternative readings. Occasionally, where he has used more than one manuscript, he notes their variant readings.\(^{14}\)
Where appropriate, he supplements the chartae with a reference to another historical authority.\(^{15}\) Where he sees that there is a historical problem to be resolved, a further inquiry to be made, he high-lights this in the text.\(^{16}\) He will continue to do this throughout his excerpts where he feels that this is needed.
The same care and completeness is found especially in his transcripts of the chartae for the Urbanist obedience in ms. 1 Cart. 43.\(^{17}\) Here we can study his editorial method very closely, because the seventeenth-century transcripts for 1386-1409 which he sought out and used as a basis for his text, centred on the province of Alemania Superior, which were brought to the General Chapter of 1648 by Johannes Serpentinus, Prior of Seitz, are extant at the Grande Chartreuse under the self-mark of ms. 1 Cart. 4 – generally known as the
\(^{11}\) *The Part-Dieu Chartae*, ed. John Clark, AC 100:33, Salzburg 1999.
\(^{12}\) *Transumptum ... ab anno 1250 ad annum 1379*, Introduction, pp. vii-xi, esp. pp. vii-x.
\(^{13}\) Ms. 1 Cart. 14, Tome IIIA, pp. 228-9.
\(^{14}\) E.g. *Transumptum*, p. 36, line 3; p. 52, line 3; p. 84, line 4. Examples could be multiplied.
\(^{15}\) E.g. *Transumptum*, p. 64, lines 13-14; a reference to *Gallia Christiana* on the founder of the Abbéville charterhouse.
\(^{16}\) E.g. ibid., p. 133, lines 5-6: Quaerendum, utrum fuerit domnus Clarus qui fuit Prior Cartusiae, et potuit esse.
\(^{17}\) For an assessment of Dom Chauvet's editorial methods in the Urbanist chartae, see John Clark, 'The Chartae of the Urbanist Observance', in *Crises et Temps de Rupture en Chartreuse, XIVe – XXe Siecles: Actes de Colloque International d'Histoire et de Spiritualité Cartusiennes (Chartreuse de Glandier, 15-18 Septembre 1994)*, ed. Alain Girard et Daniel le Blévec, AC (N.S.) 6, Nos. 11-12 (1994), pp. 37-47. The points made below on Dom Chauvet's transcripts of the chartae of this period are developed more fully in this article.
Seitz-Akten.\textsuperscript{18} These transcripts are themselves of interest, because they commonly preserve earlier spellings of personal names and places which Dom Chauvet has standardised. Ms. 1 Cart. 4 is indeed not Dom Chauvet's only source; when he comes to write up ms. 1 Cart. 43, he notes on a number of occasions that a manuscript other than ms. 1 Cart. 4 gives a different reading.\textsuperscript{19} Ms. 1 Cart 4 is the work of various scribes, no doubt working as a team to meet a dead-line, and is of unequal textual quality. Much of it is excellent, but Dom Chauvet himself recognised that the text for 1408-1409 was highly defective, and he has himself made a number of corrections to ms. 1 Cart. 4 here, which in turn are reflected in his own ms. 1 Cart. 43.\textsuperscript{20}
Ms. 1 Cart. 4 contains the \textit{charta} for 1410 – the year of re-union following the Avignon schism in its usual form: necrology, injunctions for prayers for the living, general ordinances, and dispositions for Alemania Superior. Surprisingly, there is no corresponding text in ms. 1 Cart. 43, though ms. 1 Cart. 14, Tome II includes a variant form of the \textit{charta} for 1410 following the series of \textit{chartae} for the Avignon obedience.\textsuperscript{21}
Ms. 1 Cart. 14, Tome II, pp. 1-11 must be a further source behind ms. 1 Cart. 43, although the manuscripts from which this part of 1 Cart. 14 derive are lost. Here particular attention is given to the province of Alemania Inferior; this material, where available, is incorporated into 1 Cart. 43.\textsuperscript{22} Textual and orthographical evidence confirms that this part of 1 Cart. 14\textsuperscript{23} was compiled before 1 Cart. 43.\textsuperscript{24}
For some years in 1 Cart. 43 there is also material for the province of the Rhine, for England, or for the Italian provinces, which again is not matched in either 1 Cart. 4 or in 1 Cart. 14.\textsuperscript{25} The use of the \textit{Manuscriptum Florentinum} in 1 Cart. 43 has already been mentioned; Dom Chauvet also refers in 1 Cart. 43 to a manuscript from Trier.\textsuperscript{26} A note attached to an entry for Alemania Inferior reflects his continuing efforts to acquire more information.\textsuperscript{27}
Dom Chauvet states that copies of the \textit{chartae} of the Spanish General Chapters for 1411-1418 which follow the Urbanist texts in 1 Cart. 43 were sent from Porta Coeli in 1649.\textsuperscript{28}
Of the \textit{chartae} for the Avignon obedience (to which the Grande Chartreuse itself belonged), those for 1380-1401 are in 1 Cart. 14, Tome I, while those for 1402-1409 (with the \textit{charta} of reunion for 1410) are in 1 Cart. 14, Tome II, pp. 12-37. They are preceded in the bound volume by the Urbanist material already mentioned, whose different format shows that it was put together at a different time.
While the \textit{chartae}-material for 1250-1379 in 1 Cart. 14, Tome I seems to be presented as completely as possible, and while the Urbanist \textit{chartae} are certainly intended to be as complete as Dom Chauvet could make them, from 1380 onwards the Avignon material in 1 Cart. 14, in what are now Tomes I and II, gives indications of some selectivity
\begin{footnotesize}
\begin{enumerate}
\item Described by Dom Luc Fauchon, O. Cart., in \textit{The Urbanist Chartae}, Vol. 1, pp. xiv-xvi. See also p. 38 of the edition.
\item 'The Chartae of the Urbanist Observance', pp. 41-42.
\item \textit{The Urbanist Chartae}, Vol. 3, pp. 386-395 (with plate on p. 385); pp. 402-414 (with plate on p. 401).
\item \textit{Ibid.}, Vol. 3, pp. 418-425; Vol. 4, pp. 497-501.
\item 'The Chartae of the Urbanist Observance', p. 43.
\item \textit{The Urbanist Chartae}, Vol. 1, p. 5, lines 13-14.
\item 'The Chartae of the Urbanist Observance', p. 44.
\item \textit{Ibid.}, p. 40.
\item \textit{Ibid.}, p. 45.
\item \textit{The Urbanist Chartae}, Vol. 3, p. 380, line 19, after a single entry for the province of \textit{Alemania Inferior}: Coetera desiderantur \textit{adhuc}. (Italics mine).
\item \textit{Ibid.}, Vol. 4, p. 502, line 8.
\end{enumerate}
\end{footnotesize}
in presenting material, and also the use of reportage rather than of direct reproduction of the text. Thus at the beginning of the charta for 1380:
Hoc anno unus Diffinitorum Capituli Generalis fuit Jonotus Prior Sancti Bartholomaei de Trisulto.
Ponitur obitus Reuerendi domini Philippi de Arbosio Episcopi Tornacensis ...29
While for some years (e.g. 1383, 1384) there is a wide-ranging and presumably full necrology, for 1393 the only death list is in the form of reportage:
Habetur obitus sororis Franciscae Priorissae domus Excubiarum.30
Reference to the Prioress of les Écouges was clearly felt to be of particular interest. For the same year there is reportage of the long-defunct house of Mortemer:
Fit mentio Prioris Mortui Maris in praesenti charta.31
And, in the charta of 1396, of the house of Celle-Roubaud:
Fit mentio Priorissae et Vicarii domus Cellae Robaudi.32
Selectivity in the presentation of material, and the use of reportage or oblique references, will henceforth become a feature of Dom Chauvet's transcripts in 1 Cart. 14; they are, as Dom le Vasseur correctly says, excerpts. This selectivity will progressively apply to the necrologies, - drastically reduced, sometimes omitted altogether - to the references to prayers for the living, and to the dispositions for individual provinces and houses. But comparison with other manuscripts of the chartae shows that however selective Dom Chauvet may have become in later years in excerpting his material, he consistently presented the ordinances for the whole Order in full; this applies right up to the seventeenth century.
Since the Grande Chartreuse itself belonged to the Avignon obedience during the schism, it is likely that Dom Chauvet and his confrères may have had plenty of chartae-material to hand for this period at the Grande Chartreuse itself, and that for that very reason a certain selectivity in reproducing such texts was felt to be in order. It will have been the absence of urbanist material at the Grande Chartreuse that prompted Dom Chauvet to make his particularly full edition of the material that he sent for soon after being appointed Scribe and beginning his historical researches. There is not known to be any original chartae-material for this period at the Grande Chartreuse now, but we know that since the seventeenth century much important Carthusian archive-material has been lost from the mother-house, notably at the French Revolution.33
For most of the years 1411-1436 Dom Chauvet had at his disposal the exemplares of the chartae – the master copies made by the Scribe of the General Chapter,34 headed by the list of Diffinitors, and including the total necrology and the dispositions for every province and charterhouse, and the list of visitors. He provides excerpts from these.35 These particular exemplares are themselves now lost, but we have the transcripts made by Dom Claude Duchesne (d. 1740).36 These cover the years 1411-1414; 1416-1417; 1420; 1427-
---
29 Ibid. Vol. 4, p. 427, lines 6-9.
30 Ibid., Vol. 4, p. 454, line 4.
31 Ibid., Vol. 4, p. 455, line 5.
32 Ibid., Vol. 4, p. 462, line 27.
33 Ms. Grande Chartreuse 1 Cart. 15, Cartae Capituli Generalis 1411-1436, Vol. 1, ed. James Hogg, AC 100:7, Salzburg 1985, p. v.
34 For discussion of the term 'exemplares' conventionally used in the AC editions of the chartae, see The Urbanist Chartae, Vol. 1, p. xi, with fn. 7, referring also to Dr. A.I. Doyle's discussion in AC 100:12:2 (1992), p. 96.
35 Ms. Grande Chartreuse, 1 Cart. 14, Tome II, pp. 38-145.
36 Ms. Grande Chartreuse 1 Cart. 15, Cartae Capituli Generalis 1411-1436, ed. James Hogg (3 vols.), AC 100:7-9, Salzburg 1985-1986.
1429; 1431-1432; 1434-1436. The following years are not represented in the series: 1415; 1418-1419; 1421; 1430; 1433. Nor is there anything for 1437.
Dom Chauvet's chartae-texts for these years are distinctly and deliberately excerpted; the extent of the abbreviation is apparent when comparison is made with the printed editions of Dom Duchesne's transcripts. Those exemplares which are not represented in Dom Duchesne's transcripts for 1411-1436 were already missing in Dom Chauvet's day, and Dom Chauvet had to collect his own materials to fill the gaps. Thus at the head of his text for 1415:
Charta huius anni compilata est ex uariis particularibus et desunt aliquot provinciae.\(^{37}\)
Similar statements are attached to the chartae in 1 Cart. 14 for 1418, 1419, 1421, 1433\(^{38}\) – and for 1437.\(^{39}\)
At the head of the charta for 1431 Dom Chauvet has written:
Deest pars prior, sed habui illam a domo Vallis Sanctae.\(^{40}\)
No Diffinitor is named in this charta, the obit-list is limited, as usual where Dom Chauvet is excerpting, to a very few distinguished persons. Dom Duchesne in his transcript for 1431\(^{41}\) does not give any Diffinitors as he does in the rest of his transcripts – an indication that he did not have the exemplar – but he does give a full obit-list and a full set of ordinations and dispositions for individual provinces and houses.
This evidence comes as some encouragement in view of the fact that at the time of the French Revolution several manuscripts in Dom Duchesne's hand vanished from the Grande Chartreuse.\(^{42}\)
Already at this point Dom Chauvet shows discretion, perhaps excessive discretion, in suppressing in his excerpts the names of monks who were subject to warning or disciplinary action, while still recording the case in question. Thus in the charta for 1436, among a number of such instances:
Et domnus N. ibidem professus (in domo Vallis Bonae, quae est Aquitaniae), ibidem remaneat, cum non sit domus quae magis sibi conueniat quam illa. Et de causis quas asserit pro sua mutatione, ipse est in culpa loquendo et audiendo. Ideo teneat silentium et habebit pacem.\(^{43}\)
From Dom Duchesne we learn that this was Dom Aegidius.\(^{44}\) Dom Chauvet's reticence can become a little tantalising in the case of many of his later excerpts, where we may not have available a second source from which to identify the miscreant.
For 1438-1456 and again for 1457-1474 Dom Chauvet had at his disposal bound volumes of exemplares. Before the excerpts for 1438 he writes:
Ab hoc anno et deinceps chartae Capitulorum habentur ligatae in libris; primus continet ab hoc anno usque ad 1456 inclusiue.\(^{45}\)
The end of this first book is noted correspondingly at the end of the charta for 1456;\(^{46}\) at the end of the excerpts for 1474 we find:
Hactenus charta. Et hic est ultima secundi libri chartarum Capituli quos (sic ms.) habemus.\(^{47}\)
\(^{37}\) Ms. 1 Cart. 14, Tome II, p. 53.
\(^{38}\) Ibid., pp. 65; 67; 74; 131.
\(^{39}\) Ibid., p. 148.
\(^{40}\) Ibid., p. 115.
\(^{41}\) Ms. Grande Chartreuse, 1 Cart. 15 ..., Vol. 3, p. 41.
\(^{42}\) Cf. note 33 above.
\(^{43}\) Ms. 1 Cart. 14, Tome II, p. 143.
\(^{44}\) Ms. Grande Chartreuse 1 Cart. 15 ..., Vol. 3, p. 138, lines 25f.
\(^{45}\) Ms. 1 Cart. 14, Tome II, p. 149.
\(^{46}\) Ibid., p. 231.
These exemplares are extant, as Paris, Bibliothèque Nationale mss. Lat. 10887 and 10888, and have been edited in AC.\textsuperscript{48} Comparison with the exemplares shows the excellent quality of Dom Chauvet's transcription.
For the years 1475-1503 Dom Chauvet's excerpts\textsuperscript{49} assume capital importance, because we lack exemplares. For 1475-1481 there are the Lambeth chartae,\textsuperscript{50} which in the AC editions are designated as originales, copies made by or for the provincial Visitors following the General Chapters.\textsuperscript{51} There are also the originales from the charterhouses of Ferrara, running from 1462 to 1796, and of Pisa, running from 1387 to 1500 and from 1551 to 1599, now conserved at the Grande Chartreuse,\textsuperscript{52} which remain to be examined and edited. The Scribe to the General Chapter from 1438 to 1483 was Dom Aegidius Bobini, who died on May 1\textsuperscript{st} 1484, before the 1484 General Chapter. We do not know who the Scribe was for 1484-1485, but the Scribe from 1486 to 1525 was Dom Joannes Binchois. Dom Chauvet says at the end of his excerpts for 1490 that this is the end of the third book of chartae.\textsuperscript{53} This third book, now lost, must therefore have contained a combination of the work of Dom Auegidius Bobini, of the Scribe or Scribes for 1484-1485, and of Dom Joannes Binchois.
Dom Joannes Binchois was Scribe throughout the years 1491-1503, and Dom Chauvet refers to Dom Binchois' chartae for 1504-1515 as a 'fifth volume'.\textsuperscript{54} But in Dom Chauvet's day, as he himself explains carefully, there was no fourth volume of master-copies at the Grande Chartreuse, so that he was obliged to collect provincial and local copies as far as he could, and make a digest from these;\textsuperscript{55} at the end of the texts for each of these years he has written: 'Hactenus charta collecta', and this will again be his practice for later years where the Grande Chartreuse had no master-copies. For 1491-1503 there were no dispositions available to Dom Chauvet for the provinces of England or Saxony, and he notes certain other occasional gaps.
For 1504-1515 Dom Chauvet's excerpts are again of particular value.\textsuperscript{56} Much of the exemplares are indeed extant in ms. Parkminster B. 62,\textsuperscript{57} but there are a number of losses in the earlier part of the manuscript, and the latter part of the 1513 charta and the whole chartae for 1514-1515 are lost. Ms. 1 Cart. 14 fills some gaps, and in particular provides full transcripts for 1514-1515 regarding the recovery of the Serra San Bruno for the Carthusian Order.
The exemplares for 1516-1525 and again for 1526-1535 are again extant in full in ms. Paris, Bibliothèque Nationale, Lat. 10889 and 10890.\textsuperscript{58} For the latter, the Scribe was
\begin{itemize}
\item \textsuperscript{47} Ibid., p. 312.
\item \textsuperscript{48} For the edition, see note 3 above.
\item \textsuperscript{49} For the edition, see note 3 above.
\item \textsuperscript{50} \textit{The Chartae of the Carthusian General Chapter: London, Lambeth Palace Ms. 413, Part 4 1475-1481, (Ff. 461r-522v)}, ed. John Clark, AC 100:12:2, Salzburg 1992. Corrections in \textit{The Chartae ... 1475-1503}, pp. 105-6.
\item \textsuperscript{51} On the terminology, see note 34 above.
\item \textsuperscript{52} Noted in \textit{The Chartae of the Carthusian General Chapter. Cava Ms. 61. The Louber Manuale from the Charterhouse of Buxheim}, ed. James Hogg and Michael Sargent, AC 100:1, Salzburg 1982, p. 3.
\item \textsuperscript{53} \textit{The Chartae ... 1475-1503}, p. 61.
\item \textsuperscript{54} \textit{The Chartae ... 1504-1515}, p. 78.
\item \textsuperscript{55} \textit{The Chartae ... 1475-1503}, p. 62.
\item \textsuperscript{56} \textit{The Chartae ... 1504-1515}.
\item \textsuperscript{57} \textit{The Chartae of the Carthusian General Chapter. Ms. Parkminster B. 62 (1504-1513)}, ed. John Clark, AC 100:21 (2 vols.), Salzburg 1992.
\item \textsuperscript{58} \textit{The Chartae of the Carthusian General Chapter.Ms. Paris Bibliothèque Nationale, Latin 10889}, ed. John Clark, AC 100:22 (3 vols.), Salzburg 1994-1995. \textit{The Chartae of the Carthusian General Chapter. Ms. Paris Bibliothèque Nationale, Latin 10890}, ed. John Clark, AC 100:23 (3 vols.), Salzburg 1996-1997.
\end{itemize}
Dom Joannes Volonis, subsequently Prior-General of the Order. Dom Chauvet indicates again explicitly that it is from these books that his excerpts are taken.\textsuperscript{59}
For some periods after this date no \textit{exemplares} were available to Dom Chauvet. He explains that this was so for the years 1536-1540.\textsuperscript{60} But for 1541-1552 there was a volume of \textit{chartae} available; a note after the \textit{charta} for 1552 states that this is the last in the present volume, and the last of Dom Joannes Volonis' priorate;\textsuperscript{61} Dom Volonis died on February 12\textsuperscript{th}, 1553.\textsuperscript{62} In these years, as elsewhere in Dom Chauvet's text, the \textit{chartae} are still occasionally supplemented with material from the \textit{Vetus Liber Ordinationum}.
Again for 1553-1556 and for 1558-1559 there was apparently no single master-copy available to Dom Chauvet; but he had access to a master-copy for 1557, and again for 1560-1570 he was able to draw on another volume of complete \textit{chartae}.\textsuperscript{63} This latter master-copy is conserved at the Grande Chartreuse, and will be the subject of future study.\textsuperscript{64}
The Scribe to the General Chapter for much if not all of the period from 1545-1570 was Dom Laurentius Rebolet; he is referred to as such in 1554\textsuperscript{65} and in 1556,\textsuperscript{66} and by a note by Dom Chauvet for 1562.\textsuperscript{67} He died on December 10\textsuperscript{th}, 1577; the charta for the following year refers to him as having been formerly (\textit{olim}) Scribe.\textsuperscript{68} Dom le Vasseur indicates that he was succeeded in 1570 by Dom Hieronymus Marchant,\textsuperscript{69} later to be Prior-General.
In the wake of the Council of Trent, the years 1567 and following were busy ones for Carthusian legislation, well into the 1580's; all of this Dom Chauvet faithfully records. One aspect of this was the on-going activity from 1571-1582 for the preparation of the \textit{Nova Collectio Statutorum}.\textsuperscript{70}
A note by Dom Chauvet at the end of the charta for 1570 says that the \textit{chartae} for the following years from which he made his excerpts were separate, and not bound together.\textsuperscript{71} It would seem that for 1570-1574 he had access to complete copies at the Grande Chartreuse, for at the end of each of these years there is simply 'Hactenus charta'. This is not so for 1575, which is prefaced by: 'Deerat haec charta' and has at the end 'Hactenus charta collecta'.\textsuperscript{72} Apparently Dom Chauvet had access again to complete copies for 1576-
\begin{footnotesize}
\begin{itemize}
\item[59] Ms. 1 Cart. 14, Tome IIIa, p. 94 (for 1516): Incipit uolumen 6\textsuperscript{th} chartarum ...; ibid., p. 148 (for 1525): Hactenus charta. Quae est ultima huius uoluminis, quod habet decem chartas.
\item[60] Ibid., p. 203: Sequentes quinque chartae collectae fuerunt ex uariis chartis particularibus, nam desunt in Cartusia generales.
\item[61] Ms. 1 Cart. 14, Tome IIb, p. 8: Hactenus charta, ultima huius uoluminis et ultima Reuerendi Patris Domni Joannis Volonis.
\item[62] Ibid., p. 9 (\textit{Charta} for 1553).
\item[63] Ibid., p. 40 (for 1560): Incipit nouus liber chartarum undecim, continens chartas usque ad annum 1570\textsuperscript{th} inclusive; p. 108 (for 1570): Hactenus charta. Ultima uoluminis huius. Quae sequuntur chartae sunt separatae, nec iniuicem colligatae.
\item[64] \textit{The Chartae ... Cava Ms. 61. The Louber Manuale ...}, (AC 1000:1), p. 4, lists: 'Cartae generales, Grande Chartreuse (Ms. 598); 1560-1570'. Dom Luc Fauchon, O. Cart., the Archivist of the Grande Chartreuse kindly confirms the identification.
\item[65] Le Vasseur, \textit{Ephemerides}, Vol. 3, p. 149 col. b.
\item[66] Ms. 1 Cart. 14, Tome IIb, p. 23.
\item[67] Ibid., p. 54.
\item[68] Ibid., p. 158.
\item[69] Le Vasseur, op.cit., Vol. 3, p. 365 col. b. (Dom le Vasseur refers to Dom Laurentius Chapusius as being succeeded as scribe in 1570. The inconsistency between Rebolet and Chapusius is discussed in the introduction to the edition of Dom Chauvet's \textit{Chartae}-excerpts for 1536-1570. Molin, \textit{Historia} Vol. 3, p. 149, gives somewhat different information but Le Vasseur is more likely to be right.
\item[70] All this will appear in the forthcoming edition of Dom Chauvet's excerpts for these years.
\item[71] See above, note 63.
\item[72] Ms. 1 Cart. 14, Tome IIb, pp. 139, 143.
\end{itemize}
\end{footnotesize}
1579, but near the head of his text for 1580 is: "Collecta, nam originalis deest", and at the end: Hactenus charta collecta.\textsuperscript{73} Apparently again he had complete exemplars for 1581-1585.
Dom Bernardus Carasse had been Prior General since 1566, but he died on September 8\textsuperscript{th} 1586,\textsuperscript{74} some months after the General Chapter had been held. Again for that year Dom Chauvet has to write at the end of his excerpts: Hactenus charta collecta.\textsuperscript{75} This is the last time that he uses this formula, to show that he did not have access to a set of copies at the Grande Chartreuse. Even so, in future years such sets might be incomplete, as we shall see below.
Dom Bernardus' death set in motion an unusual chain of events regarding the Priorate of the Grande Chartreuse. The chartae-excerpts of Dom Chauvet for 1586 to 1589, when these events and their aftermath were finally unravelled, are supplemented by additional material supplied by Dom Chauvet, including extracts from the Historia Cartusiana of Dom Nicolas Molin, who was a contemporary and in many cases an eyewitness of these events.\textsuperscript{76}
Dom Joannes de Lescluse, Prior of Valenciennes, was canonically elected as the new Prior-General, but was not acceptable to the confirming Priors. After some confusion and uncertainty, Dom Hieronymus Lignanus, Prior of Bologna, was then elected Prior-General. He accepted, but pleaded ill-health and remained in Italy during the General Chapter of 1587, for which he nominated a Vicar and Coadjutor. Dom Lignanus' florid and eloquent letter of apology is prefixed to the charta for 1587, and makes interesting reading.\textsuperscript{77} The Vicar appointed by Dom Lignanus died unexpectedly. Dom Lignanus made the journey from Italy to the Grande Chartreuse to hold the General Chapter for 1588, a sick man, accompanied at great expense by a great following of nobility and commoners. Once at the Grande Chartreuse, he proposed that the mother house of the order should in future be the charterhouse of Pavia, with the monks of the Grande Chartreuse installed there. It is no wonder that he was absolved from his office and sent back to Bologna, with expressions of great dignity and honour by way of compensation; he died on the journey, very shortly after leaving the Grande Chartreuse. In his place Dom Hieronymus Marchant, former Scribe to the General Chapter and Vicar of the Grande Chartreuse, and now Prior of the Lyon charterhouse, was nominated Prior General.
As well as extracts from Dom Molin's Historia, Dom Chauvet supplements his chartae-excerpts for 1588 and 1589 with material from the visitation-chartae – the reports of the Visitors – for two charterhouses, on matters which have a bearing on the personalities and events central to the time for the Carthusian Order. For 1588 there is the assessment by the Priors of Paris and Louvain of events at Valenciennes, exonerating Dom de Lescluse, still Prior of Valenciennes, from blame for having given undue heed to the supposed divine revelations and commands given to a certain nun of Gosnay when she received the Eucharist; Dom de Lescluse had readily admitted his fault, which was due to indiscreet zeal rather than to a bad will.\textsuperscript{78}
Appended to the chartae-material of the General Chapter for 1589 is a report on the visitation to the Paris charterhouse in that year. Here the Prior, Dom Joannes Michel, had been falsely accused by several monks, including the Procurator, of various disciplinary
\textsuperscript{73} Ibid., pp. 173, 176.
\textsuperscript{74} Ibid., p. 219. (Charta for 1587).
\textsuperscript{75} Ibid., p. 211.
\textsuperscript{76} Ibid., pp. 212 (1586); pp. 227-229 (1587); 239-240 (1588). The extracts from Dom Molin's Historia in Dom Chauvet's excerpts have numerous small variations from the text of the printed edition of Dom Molin.
\textsuperscript{77} Ibid., pp. 214-219.
\textsuperscript{78} Ibid., p. 240.
faults. He was amply vindicated in the face of these false accusations, and the offending monks were punished.\textsuperscript{79} Dom Michel – incidentally the author of an important and in its day widely read devotional book\textsuperscript{80} – would succeed Dom Hieronymus Marchant as Prior-General in 1594, and would rule until his own death in 1600.\textsuperscript{81}
Dom Marchant found the office of Prior General a heavy task; appended to the chartae for 1592 is a copy of his letter asking for Dom Joannes Michel from the Paris charterhouse to come to the Grande Chartreuse to be his assistant, with dispositions for the Paris charterhouse in Dom Michel's absence.\textsuperscript{82} There follows an extract from Dom Molin concerning the fire which devastated the Grande Chartreuse that year,\textsuperscript{83} and a copy of a letter from the Prior-General to Visitors and Priors of the Order, appealing for help in repairing the damage.\textsuperscript{84} In 1593 the disputes affecting the Province of Upper Germany were referred by the General Chapter to Dom Franciscus Quintana, the Prior of Seitz and Commissary of the Prior-General and of the General Chapter, for resolution; a copy of the agreement that was made, sealed by the Priors concerned, is appended to the \textit{chartae} for this year.\textsuperscript{85} Not all the \textit{chartae} for the period of Dom Marchant's rule were available to Dom Chauvet; he notes that for 1592 there were no dispositions to hand for Castille, Picardy, Teutonia, or either of the German Provinces,\textsuperscript{86} although the \textit{chartae} for his Priorate were kept together as a group; at the end of charta for 1594 he notes: 'Hactenus charta ultima regiminis Reuverendi Patris Domni Hieronymi Marchant'.\textsuperscript{87} Appended to the charta is a circumstantial extract from Dom Molin's \textit{Historia} describing Dom Marchant's death.\textsuperscript{88}
We have seen that in earlier years some groupings of the \textit{chartae} conserved at the Grande Chartreuse co-incide with the rule of a particular Prior, while others depend on other factors, including a change of Scribe. For the priorates of Dom Hieronymus Marchant and of Dom Joannes Michel, the \textit{chartae} were kept together in distinct groups. Following the account of Dom Marchant's death from Molin's \textit{Historia} appended to the charta for 1594, there is an account of the election of his successor – 'de quo ita in registro chartarum sui temporis statim initio'.\textsuperscript{89} The \textit{charta} for 1599 has at its end: 'Hactenus charta, ultima libri et regiminis Reuverendi Patris Domni Joannis Michel'.\textsuperscript{90}
Appended to the \textit{charta} for 1599 are again materials which illuminate events indicated in the \textit{charta} of the General Chapter. First there is a copy of part of the visitation-\textit{charta} of the charterhouse of Coblence, relating the absolution and subsequent reinstatement of the aged but highly respected Prior, Joannes Wittenius, who at this time had been Prior for thirty-eight years and Co-Visitor and then principal Visitor for the Province of the Rhine for twenty-eight years. Dom Joannes had been absolved by the General Chapter on account of his age, but was re-elected by his own community; this re-election
\textsuperscript{79} Ibid., pp. 251-253.
\textsuperscript{80} Dom Joannes Michel was also known as Jean de Vesly or Michel de Coutances. His \textit{Liber Exercitiorum Spirituallium Triplicis Via} was widely read in its day, and parts of it were recommended by Fr. Augustine Baker, O.S.B., for the English nuns at Cambray. Fr. Baker himself translated extracts into English for the nuns from this very substantial Latin work.
\textsuperscript{81} Ms. 1 Cart. 14, Tome III, p. 1 (\textit{Charta} for 1600).
\textsuperscript{82} Ms. 1 Cart. 14, Tome IIIB, pp. 296-297.
\textsuperscript{83} Ibid., pp. 297-298.
\textsuperscript{84} Ibid., pp. 298-299.
\textsuperscript{85} Ibid., pp. 306-307.
\textsuperscript{86} Ibid., pp. 293, 294.
\textsuperscript{87} Ibid., p. 315.
\textsuperscript{88} Ibid., pp. 315-316.
\textsuperscript{89} Ibid., p. 316.
\textsuperscript{90} Ibid., p. 349.
was subsequently confirmed by the General Chapter, and Dom Joannes remained in office until his death in 1602.\textsuperscript{91}
Secondly, there is a series of letters consequent upon the election – confirmed by the General Chapter – of a French Carthusian as Prior of Naples. There are letters from the King of Spain to Count d'Olivares (in Spanish); from King Henry IV of France to the Pope (in French); and letters from the Prior-General in the name of the General Chapter to the Pope and to the Cardinal Protector of the Order.\textsuperscript{92}
Dom Michel died early in 1600; this section of Dom Chauvet's \textit{chartae} concluded with a note about the election of his successor, Dom Bruno d'Affringues, and a brief statement about him from Dom Molin.\textsuperscript{93}
Dom Chauvet's \textit{chartae}-excerpts for 1600-1658 together form what is now Tome III of ms. Cart. 14, just 162 pages beside the 354 pages of Tome IIIb running from 1551-1559. A new register of \textit{chartae} had begun with the election of Dom Bruno d'Affringues as Prior-General in 1600, and ran until 1613; at the end of the \textit{charta} for 1613 we read: 'Hactenus charta adhuc subscripta a domno Joanne Baptista Porteau Scriba Capituli, insituto in eodem Capitulo Priore domus Borboniensis; et est ultima huius registri primi Reuerendi Patris Domni Brunonis, numero 14'.\textsuperscript{94}
There are again a few supplementary items added to the \textit{chartae} from this register. For 1607 there are a series of ordinances issued by the Prior-General in the name of the Pope;\textsuperscript{95} these are not part of the \textit{charta}, but are likely to have been kept in the register anyway. For 1605 and 1608 there is additional material which Dom Chauvet must himself have searched out. In 1605 an additional note records that the Prior of Rome, Dom Joannes Angelus de Spenis, had been elected Prior of Naples but refused this, and even relinquished his present charge, wishing to retire to his cell; Dom Chauvet gives an extract from the \textit{Life} of Dom de Spenis (by Dom Fransciscus Ganneron), together with a copy of a letter from the Prior-General to the procurator-General at Rome expressing his frustration at this turn of events.\textsuperscript{96} The problem continued for some time. The \textit{chartae} for 1608 says that the disposition for the province of Lombardia Remotior (in which the house of Naples was situated) had been left to the Prior-General by the General Chapter. Dom Chauvet gives this disposition below the \textit{charta}; he gives the Prior-General's disposition for Lombardia Remotior in full, not in excerpts.\textsuperscript{97} He appends also a letter from the Prior-General to the Prior of Rome on a matter arising from this, and a series of letters from the Prior of Rome expressing indignation that, against all the customs of the Order, the Prior of Naples who had been deposed by the Commissaries of the General Chapter had been trying to get himself re-instated.\textsuperscript{98} Finally for 1608 there is a further extract from the \textit{Life} of Dom de Spenis; by now he had been compelled by the Commissaries to leave his cell and assume his charge at Naples.\textsuperscript{99}
Appended to the \textit{chartae}-material for 1622 is a copy of an indult from the Congregation of Rites extending the feast of St. Bruno on October 6\textsuperscript{th} to the Universal Church with effect from the following year;\textsuperscript{100} after the \textit{chartae}-material for 1623 is a Papal
\begin{itemize}
\item \textsuperscript{91} Ibid., pp. 349-350. On Dom Joannes, see Le Vasseur, \textit{Ephemerides}, Vol. 2, pp. 414 col. b-416 col. b.
\item \textsuperscript{92} Ibid., pp. 350-354.
\item \textsuperscript{93} Ibid., p. 354.
\item \textsuperscript{94} Ms. 1 Cart. 14, Tome III, p. 46.
\item \textsuperscript{95} Ibid., pp. 23-26.
\item \textsuperscript{96} Ibid, pp. 16-17.
\item \textsuperscript{97} Ibid., pp. 28-29.
\item \textsuperscript{98} Ibid., pp. 29-30.
\item \textsuperscript{99} Ibid., p. 30.
\item \textsuperscript{100} Ibid., p. 72.
\end{itemize}
brief to the same effect.\textsuperscript{101} Both these are added in Dom Chauvet's hand, but the style shows that in each case they were added after he had made the \textit{chartae}-excerpts.
The \textit{charta} for 1626 is followed by a careful letter from the Prior-General to the Prior of Rome, explaining why, following the death of the Cardinal Protector, it was opportune at this point to request a successor; there were difficulties in the way of selecting the best candidate. In the event, the Order was to be without a Protector for some years.\textsuperscript{102}
The \textit{charta} for 1630 is followed by a copy of a notice signed by several Priors (including, incidentally, Dom Nicolas Molin, the historian, now Prior of Silua Benedicta), witnessing the aged and infirm Prior-General's appointment of Dom Justus Perrot, Scribe to the General Chapter, as his representative in convening the General Chapter and in administering the affairs of the order.\textsuperscript{103} Dom Perrot became Prior-General in 1631; the \textit{charta} for 1631 is followed by an account of his installation as Prior-General, itself taken from the \textit{liber chartarum} for this year.\textsuperscript{104} There is no mention by Dom Chauvet of a fresh register of \textit{chartae} at this point; it is for 1636 that he notes the end of the current register\textsuperscript{105} – in the middle years of Dom Perrot's priorate, which lasted until his death in 1643.
From 1631, the first year of Dom Perrot's rule, up to and including the last \textit{charta} in the series, for 1658, there is a difference in presentation of the excerpts. From this point the \textit{charta} for each year begins with the number of Fathers attending the General Chapter, and the list of Diffinitors.\textsuperscript{106} Where for much earlier years the \textit{exemplares} are running, the Diffinitors (and, in time, other Chapter officials) are always listed at the beginning of each \textit{charta}, and we might expect that this was also done for the \textit{exemplares} that are now lost for the intervening years; but it is only at this point that it is reflected in Dom Chauvet's excerpts.
The register of \textit{chartae} begun in 1637 ended in 1657,\textsuperscript{107} in the course of Dom Joannes Pégon's rule as Prior-General. Dom Chauvet's excerpts end in 1658, with the first year of the new register,\textsuperscript{108} though he lived for another nine years.
Students of the \textit{chartae} owe Dom Chauvet an immense debt for his tireless labour, for his accuracy and editorial and historical acumen. For many periods, especially in the earlier years, we rely on his witness to manuscripts that are now lost. Where his transcripts can be checked against surviving manuscripts, we find him very reliable; this fact gives us confidence where his transcription of lost manuscripts is concerned. It must be a matter of regret that he gives us excerpts and not full transcripts for the period after the Avignon schism, since many of the \textit{exemplares} for this period – especially after 1535 – have disappeared; many, though not all of them, were to hand for Dom Chauvet. But he can hardly have anticipated their loss.
In establishing the text of the \textit{chartae}, the \textit{exemplares}, the master-copies made by the Scribe of the General Chapter, have supreme authority where they are running, although even they are not exempt from error and may on occasions need to be supplemented from other sources. For the period up to the ending of the Avignon schism Dom Chauvet's texts are central, though they may be supplemented by the Part-Dieu \textit{chartae} already mentioned, by the Villeneuve Necrology (Ms. Grande Chartreuse, 1 Cart. 22, running at this point
\begin{footnotesize}
\begin{itemize}
\item[101] Ibid., pp. 75-76.
\item[102] Ibid., p. 84.
\item[103] Ibid., p. 95.
\item[104] Ibid., p. 100.
\item[105] Ibid., p. 116. Hactenus charta; ultima huius registri. Ibid., p. 117 (for 1637) has: Incipit registrum aliud chartarum quod complectitur chartas Capitulorum usque ad annum 1657 inclusivie uiginti et unum.
\item[106] The \textit{charta} for 1631 begins ibid., p. 96.
\item[107] Ibid., p. 160: Hactenus charta, quae est ultima registri ultimi inchoati anno 1637°.
\item[108] Ibid., p. 161: Incipit registrum nouum chartarum.
\end{itemize}
\end{footnotesize}
from 1342-1411),\textsuperscript{109} and by the Paderborn \textit{chartae} (beginning at 1405).\textsuperscript{110} For the years from 1411 to 1437 Dom Chauvet's excerpts from collected materials are a valuable supply for the years where Dom Duchesne (like Dom Chauvet himself) had no \textit{exemplares} available; account needs also here to be taken of the Paderborn \textit{chartae} and of the Brussels \textit{chartae} edited by professor Jan de Grauwe.\textsuperscript{111}
For 1475-1503, Dom Chauvet's texts need to be set beside the Lambeth chartae where these are running, and the \textit{chartae} from Ferrara and Pisa already indicated, as well as (from 1500) the Villeneuve Necrology. For 1500 to 1550 there are \textit{chartae} from Miraflores.\textsuperscript{112} From 1562 the Trisulti provincial \textit{chartae} are also available.\textsuperscript{113}
For the seventeenth century, the provincial \textit{chartae} for the province of Teutonia which Professor Jan de Grauwe has made available\textsuperscript{114} will also be a valuable supplement to Dom Chauvet's material.
For the sixteenth and seventeenth centuries, it is still possible that more \textit{exemplares} may be located!
\textit{Postscript}
The hope that further \textit{exemplares} might be identified was fulfilled after this paper was read at the Aggsbach Congress. Dr. Harald Goder announced that he had already independently identified the \textit{exemplares} for 1560-1570 in Grande Chartreuse, ms. 1 Cart. 19, and furthermore that he had located the \textit{exemplares} for 1557 and for 1571-1575 in Bibliothèque Municipale de Grenoble, ms. 439. Our sincere thanks are given to Dr. Goder for this information. He has generously placed his microfilm of both these mss. at our disposal with a view to a future edition.
\textsuperscript{109} \textit{The Villeneuve Necrology. Ms. Grande Chartreuse 1 Cart. 22. Vol. 1: 1342-1411}, ed. John Clark, AC 100:27, Salzburg 1997. An edition of the rest of the Villeneuve necrology is planned.
\textsuperscript{110} \textit{The Paderborn Chartae}, ed. John Clark, AC 100:26, Salzburg 1997.
\textsuperscript{111} \textit{Capitula Generalia Cartusiae, 1416-1442}. Archives Generales du Royaume, Bruxelles, No 14206/6 (formerly Bibliothèque Royale de Belgique, Bruxelles, Ms. II, 1959), ed. Jan de Grauwe, AC 100:24, Salzburg 1994.
\textsuperscript{112} Now conserved at the Grande Chartreuse. See \textit{The Chartae ... Cava Ms. 61. The Louber Manuale ...}, AC 100:1, p. 4.
\textsuperscript{113} Ibid., p. 4.
\textsuperscript{114} \textit{Chartae Capitulorum Generalium 1655-1682}, ed. Jan de Grauwe, AC 100:13, Salzburg 1985; \textit{Chartae Capitulorum Generalium (1617-1742)}. (Rijksarchief te Brugge), ed. Jan de Grauwe, AC 100:28, Salzburg 1997. |
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SPRING 2020
INTERNATIONAL RIGHTS AND EXPORT CATALOG
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ANDREW CARNEGIE’S MENTAL DYNAMITE
NAPOLEON HILL
Edited and annotated by James Whitaker
Author of The Secret to Success Legacy
Foreword by Don Soden
Executive Director, The Napoleon Hill Foundation
THE MICRO-WORKOUT PLAN
Get the Body You Want without the Gym in 15 Minutes or Less a Day
TOM HOLLAND
Foreword by Denise Austin
HIGH-OCTANE BRAIN
A Science-Based Plan to Improve Memory and Reduce the Risk of Alzheimer’s
Dr. Michelle Braun, PhD
Foreword by Dr. Karen Pohl, Neurologist and Neuropsychologist
EAT WELL BE WELL
PLANT-BASED REFINED SUGAR-FREE
JANA CRISTOBAL
PLANT-BASED KITCHEN
THE OAT MILK COOKBOOK
More than 100 Delicious, Dairy-Free Vegan Recipes
A LILY T.
PROFILES IN CRIME
HOW TO CATCH A KILLER
HUNTING AND CAPTURING THE WORLD’S MOST NOTORIOUS SERIAL KILLERS
KATHLEEN RUMELAND, PHD
CHARLES MANSON
CONVERSATIONS WITH A KILLER
MANSON’S LIFE BEHIND BARS
EDWARD GEORGE WITH DARY MATERA
HUBBLE LEGACY
30 YEARS OF DISCOVERIES AND IMAGES
JIM BELL
Foreword by Alexander “Sandy” Deustchel, Ph.D.
COLLECTIBLE EDITIONS
Decorative, collectible, and classic—find the treasures of world literature in this gorgeously produced collection. Each volume, from pocket-size editions to oversized illustrated treasuries, features an authoritative text in an exquisitely designed binding, with gilt edging and a ribbon bookmark.
Chinese Myths and Folk Tales
Chinese culture is rich with marvelous folklore, and this exquisitely designed collection draws on that magnificent historical repository. It features more than 200 fables and tales chosen from *Strange Stories from a Chinese Studio* and other classic compendiums. Here are legends of ancient demons, strange ghosts, magic swords, evil sorcerers, diabolical transformations, flying ogres, fairy foxes, powerful gods, and more. They include: “The Painted Wall,” “The Flower Nymphs,” “The Boatmen of Lao-lung,” “The King of the Nine Mountains,” “The Disowned Princess,” and dozens more.
ISBN 9781435169852 • $35.00
Hardcover • 704 pages • 6 × 9 ⅛
Territory: W • Barnes & Noble
FEBRUARY 2020
NEW IN 2019
ALL TITLES ARE: $35.00 • HARDCOVER • 6 × 9 ⅛ • TERRITORY: W
Anna Karenina
ISBN 9781435139626
War and Peace
ISBN 9781435169876
Middlemarch
ISBN 9781435169579
| Title | ISBN | Price | Format | Dimensions | Territory |
|--------------------------------------------|--------------------|--------|-----------------|--------------|-----------|
| Classic Supernatural Stories | 9781435169418 | $35.00 | Hardcover | 6 x 9 ½ | W |
| The Nutcracker | 9781435154520 | $14.95 | Hardcover | 4 x 7 | W |
| The Wonderful Wizard of Oz / The Marvelous Land of Oz | 9781435169432 | $35.00 | Hardcover | 7 ¾ x 10 | W |
| Heart of Darkness and Other Stories | 9781435168480 | $20.00 | Flexibound | 5 ½ x 8 ¼ | W |
| Sherlock Holmes: Classic Stories | 9781435169593 | $20.00 | Flexibound | 5 ½ x 8 ¼ | W |
| Pocket Book of Romantic Poetry | 9781435169333 | $14.95 | Flexibound | 4 x 7 | W |
| Shakespeare’s Sonnets | 9781435169357 | $14.95 | Flexibound | 4 x 7 | W |
| The Prophet | 9781435167391 | $14.95 | Flexibound | 4 x 7 | WENG |
| A Christmas Carol | 9781435170087 | $14.95 | Flexibound | 4 x 7 | W |
SELF-HELP
In 1908, Napoleon Hill met industrialist Andrew Carnegie for what he believed would be a short interview for an article. Instead, Carnegie spent hours detailing his principles of success to the young magazine reporter—and challenged Hill to devote 20 years to expanding that philosophy. Hill accepted the challenge, which resulted in his bestselling book, *Think and Grow Rich*, as well as a series of pamphlets he called *Mental Dynamite*. Now, the Napoleon Hill Foundation has retrieved those long-forgotten booklets and selected three major principles for elaboration: Self-Discipline, which includes a 13-point psychological formula to use as a daily mantra and to overcome past difficulties, both personal and professional; Learning from Defeat, which helps you find happiness with others, become self-determining, and turn stumbling blocks into stepping stones; and the Golden Rule, for developing a strong character and leading a selfless life. Each chapter draws upon Carnegie’s words and advice as inspiration, with annotations by author James Whittaker explaining why they are essential—not just helpful—for reaching your goals and prospering.
**James Whittaker** is the bestselling author of *Think and Grow Rich: The Legacy*, the official companion to the multimillion-dollar film based on Napoleon Hill’s timeless classic. James is also a co-executive producer of that film. His first book, *The Beginner’s Guide to Wealth*, was named book of the month by *Money Magazine*. He has been interviewed extensively for television, print, and digital media around the world, including *The Today Show, Success Magazine*, and *The Sydney Morning Herald*. James lives in LA.
**Napoleon Hill** was an American author and entrepreneur best known for *Think and Grow Rich*, published in 1937, which has become one of the bestselling books of all time. His teachings have gone on to influence entire generations of success seekers, setting the standard for the foundations of today’s motivational thinking.
Based on a series of booklets written by bestselling motivational writer Napoleon Hill, Andrew Carnegie’s Mental Dynamite outlines the importance of three essential principles of success: self-discipline, learning from defeat, and the Golden Rule.
Marketing & Publicity
- National print and online publicity campaign
- Targeted outreach to business publications
- Author appearances and talks to coincide with speaker’s schedule
- 40-city Radio Satellite Tour
- NPR radio outreach
- National and local TV show outreach
- Podcasts and blogger outreach
- Blogger outreach to secure features/Q&A’s with author
- Trade and social media advertising
- Support on the author’s digital platforms
Website: jameswhitt.com and Twitter: @JamesWhitt
Key Selling Points
- Napoleon Hill is one of the most popular authors of the last 100 years; his Think and Grow Rich is one of the ten bestselling self-help books of all time
- Hill’s Outwitting the Devil sold 175,000 copies in its most current edition, which is the paperback, and 27,000 e-books
- This is a new manuscript unpublished since its original release as a series of pamphlets in the early twentieth century
- The Napoleon Hill Foundation will support the book as an official licensor; the Foundation has 525,000 likes on Facebook
- James Whittaker is editing and annotating the text for a contemporary audience
BODY, MIND & SPIRIT
What are you like? What’s in your future?
These fresh, fun horoscope guides give you all the answers!
Accessible, engaging, and definitely not old school, these 12 guides—one for each sign of the zodiac—offer authoritative information in an attractive, gifty format. Written with elegant simplicity by new and contemporary astrologers, they go from Aries to Virgo exploring that particular sign’s nature as a child, an adult, in love, at work, in sex, in school, in the mundane, as parents, in politics, in culture, and finally in the world at large.
All Titles: $12.95 ($17.50 CAN) • HC • (all in 2-color) • 5½ x 6¾ • CQ 48 • World • Sterling Ethos • FEBRUARY 2020
Zodiac Signs Aquarius
by Taylor Moon
ISBN 9781454938897
128 PP
Zodiac Signs Aries
by Jeff Hinshaw
ISBN 9781454938903
144 PP
Zodiac Signs Cancer
by Alice Sparkly Kat
ISBN 9781454938910
144 PP
Zodiac Signs Capricorn
by Kelsey Branca
ISBN 9781454938927
144 PP
Zodiac Signs Gemini
by Colin Bedell
ISBN 9781454938934
128 PP
Zodiac Signs Leo
by Bess Matassa
ISBN 9781454938941
144 PP
Zodiac Signs Libra
by Gabrielle Moritz
ISBN 9781454938958
128 PP
Zodiac Signs Pisces
by Shakirah Tabourn
ISBN 9781454938965
128 PP
Zodiac Signs Sagittarius
by Nathaniel Craddock
ISBN 9781454938972
144 PP
Zodiac Signs Scorpio
by Danny Larkin
ISBN 9781454938989
128 PP
Zodiac Signs Taurus
by Courtney O’Reilly
ISBN 9781454938996
128 PP
Zodiac Signs Virgo
by Bess Matassa
ISBN 9781454939009
144 PP
KEY SELLING POINTS
* The popularity of astrology is on the rise—more than half of young adults in the US believe that astrology is a science
* “Astrology is currently enjoying a broad cultural acceptance that hasn’t been seen since the nineteen seventies”
—New Yorker, October 28, 2019
* This series highlights that ethos, with breezy but authoritative text from popular new astrologers with a strong social media presence
* Written by contemporary authors with a strong social media presence
Wiccan Kitchen
A Guide to Magical Cooking & Recipes
by Lisa Chamberlain
Make magic in the kitchen with this unique collection of Wiccan recipes, menus, and ideas for incorporating magical practices into your cooking, from bestselling Wiccan author Lisa Chamberlain.
Cooking and magic have a lot in common: both use various ingredients and natural forces to create something vital, fulfilling, and new. Our first Wiccan cookbook in the wildly successful Modern-Day Witch series tells you everything you need to know to maximize the magical potential of what you cook and eat. Written by one of the most popular Wiccan authors, Lisa Chamberlain, it includes 40 delicious, mystical recipes: from dishes that harness the magical energies of natural foods to help you manifest goals, such as Lucky Money Stir-Fry and Magic Marinara, to festive dishes for the eight Wiccan Sabbats, such as Triple Goddess Sweet Potato, Brussels Sprouts, and Toasted Garlic Soup and Pumpkin Prosperity Pudding Cakes. In addition to complete menus for celebrating special occasions, you’ll also learn how to choose potent ingredients; how to turn your kitchen into a sacred space, and much more.
Features full menus for:
- **Yule** (Winter Solstice): including Long Life Kale Salad with Pears, Walnuts, and Lemon Vinaigrette, and Winter Solstice Quinoa with Herb-Roasted Butternut Squash and Parsnips
- **Ostara** (Spring Equinox): including Wish-Granting Dandelion Salad with Eggs and Bacon, and Eostre’s Herb and Garlic Grilled Chicken and Asparagus with Balsamic Glaze
- **Beltane** (May Day): including Zucchini and Gruyere Healing May Day Gratins, Sexy Spiced Farro with Rainbow Chard and Radishes, and Freyr’s Strawberry-Rhubarb Crumble
- **Litha** (Summer Solstice): Summer Love Chilled Cherry Soup with Fennel and Dill, and Fiery Blackened Shrimp with Toasted Orzo and Summer Corn Pilaf
- **Mabon** (Autumnal Equinox): Roasted Vegetable and Barley Balancing Salad, Autumn Pot Roast with Maple Potato-Butternut Puree, and Fresh Pumpkin Prosperity Pudding Cakes
- And more!
**LISA CHAMBERLAIN** is the successful author of more than 20 books on Wicca and magic, including *Wicca Book of Spells*, *Wicca for Beginners* and *Wicca Herbal Magic*. Her focus is on positive magic that promotes self-empowerment for the good of the whole. You can find out more at wiccaliving.com.
**MARKETING & PUBLICITY**
- National print and online publicity campaign
- Targeted outreach to food publications
- Trade and social media advertising
- Featured title at Expo West 2020
## ALSO AVAILABLE
| Title | ISBN | Price | Format | Size | Availability |
|------------------------------|---------------|-------------|------------|--------------|--------------|
| The Crystal Witch | 9781454934684 | $14.95 ($19.95 CAN) | HC • 5½ x 6½ | World |
| The Good Witch’s Guide | 9781454919520 | $14.95 ($16.95 CAN) | HC • 5½ x 6½ | World |
| The Witch’s Way | 9781454930822 | $14.95 ($19.95 CAN) | HC • 5½ x 6½ | World |
| Wiccapedia | 9781454913740 | $14.95 ($16.95 CAN) | HC • 5½ x 6½ | World |
| Wiccapedia Journal | 9781454932352 | $16.95 ($22.95 CAN) | HC • 5 x 7 | World |
| The Good Witch’s Perpetual Planner | 9781454936602 | $12.95 ($17.50 CAN) | FLEXI • 5 x 7 | World |
Easy-to-use introductions to spiritual wisdom
From angels and auras to meditation and Wicca, every enlightening guide in the successful “Little Bit of” series covers a perennially popular topic. Written by expert authors, they break down complex spiritual subjects into bite-size pieces of accessible, actionable information. Filled with fun illustrations throughout, these colorfully packaged books make wonderful gifts.
A Little Bit of Zen
An Introduction to Zen Buddhism
by Roshi Pat Enkyo O’Hara
This entry in the popular Little Bit of series introduces the ancient practice of Zen Buddhism.
What is Zen? It’s an ancient spiritual system rooted in Buddhism that began in China and spread throughout Asia, finally reaching the West. It encompasses meditation, mindfulness, and calming the mind—exactly what so many of us need and crave in this busy, stressful world. A Little Bit of Zen is the perfect, accessible introduction for newcomers, providing a history, overview, and exercises to use in their own daily practice, and covering everything from Zen literature to the ritual chants and bows.
KEY SELLING POINTS
- Series has sold more than 500,000 copies combined
- Cute and gifty package
MAY 2020
ISBN 9781454940593 • $9.95 ($13.50 CAN) • HC • 128 PP (all in 2-color)
5 x 7 • World • Sterling Ethos
Includes:
4 copies 9781454926894
A Little Bit of Meditation
retail $9.95 ($11.95 CAN) each
4 copies 9781454913016
A Little Bit of Dreams
retail $9.95 ($11.95 CAN) each
4 copies 9781454913047
A Little Bit of Tarot
retail $9.95 ($11.95 CAN) each
4 copies 9781454913030
A Little Bit of Crystals
retail $9.95 ($11.95 CAN) each
Free With an order of a 16-Copy fill
Display Size:
11" h x 9" d x 11.5" w
Retail value:
$159.20 ($191.20 CAN)
A Little Bit of Angels
ISBN 9781454928713
$9.95 ($13.50 CAN)
A Little Bit of Astrology
ISBN 9781454932239
$9.95 ($13.50 CAN)
A Little Bit of Auras
ISBN 9781454928539
$9.95 ($13.50 CAN)
A Little Bit of Ayurveda
ISBN 9781454936411
$9.95 ($13.50 CAN)
A Little Bit of Buddha
ISBN 9781454913023
$9.95 ($11.95 CAN)
A Little Bit of Chakras
ISBN 9781454919681
$9.95 ($11.95 CAN)
A Little Bit of Crystals
ISBN 9781454913030
$9.95 ($11.95 CAN)
A Little Bit of Dreams
ISBN 9781454913016
$9.95 ($11.95 CAN)
A Little Bit of Fairies
ISBN 9781454928720
$9.95 ($13.50 CAN)
A Little Bit of Goddess
ISBN 9781454926701
$9.95 ($13.50 CAN)
A Little Bit of Intuition
ISBN 9781454936763
$9.95 ($13.50 CAN)
A Little Bit of Mantras
ISBN 9781454933731
$9.95 ($13.50 CAN)
A Little Bit of Meditation
ISBN 9781454925894
$9.95 ($11.95 CAN)
A Little Bit of Mindfulness
ISBN 9781454932246
$9.95 ($13.50 CAN)
A Little Bit of Numerology
ISBN 9781454936114
$9.95 ($13.50 CAN)
A Little Bit of Palmistry
ISBN 9781454932253
$9.95 ($13.50 CAN)
A Little Bit of Pendulums
ISBN 9781454933885
$9.95 ($13.50 CAN)
A Little Bit of Reiki
ISBN 9781454933687
$9.95 ($13.50 CAN)
A Little Bit of Runes
ISBN 9781454928645
$9.95 ($13.50 CAN)
A Little Bit of Shamanism
ISBN 9781454933755
$9.95 ($13.50 CAN)
A Little Bit of Symbols
ISBN 9781454919698
$9.95 ($11.95 CAN)
A Little Bit of Tarot
ISBN 9781454913047
$9.95 ($11.95 CAN)
A Little Bit of Wicca
ISBN 9781454927129
$9.95 ($11.95 CAN)
HC • 5 x 7
World
A Little Bit of Yoga
ISBN 9781454932260
$9.95 ($13.50 CAN)
HC • 5 x 7
World
Wicca for Beginners
A Guide to Wiccan Beliefs, Rituals, Magic, and Witchcraft
by Lisa Chamberlain
For anyone seeking to learn more about Wicca and begin practicing it, this introductory guide by bestselling author Lisa Chamberlain is the perfect entry point.
As Wicca grows ever more popular, interested novices wonder: How can I get started? Popular Wiccan author Lisa Chamberlain answers their questions in this concise, yet comprehensive guide that covers all the basics: the history of Wicca, its deities, the core elements of its rituals and holidays, setting up an altar, choosing the right tools, the principles of magic and spellwork, how to begin practicing, and much more. She’s also included a master spell suitable for beginners.
MAY 2020
ISBN 9781454940845 • $13.95 ($18.95 CAN)
HC • 176 PP (ALL IN 2-COLOR) • 5 x 7 • CQ 42
WORLD • STERLING ETHOS
Wicca Book of Spells
A Book of Shadows for Wiccans, Witches, and Other Practitioners of Magic
by Lisa Chamberlain
Bestselling Wiccan author Lisa Chamberlain has created the perfect, concise guide for the novice witch who wants to learn how to cast key Wiccan spells.
With this accessible guide by one of the most popular Wicca authors today, even beginners can perform Wiccan spells to enhance their lives—and the lives of those they love. From thousands of potential spells, 50 of the most important are distilled into three key categories: love and relationships (such as “Spare Key Spell for Spiritual Connection”); prosperity (“Job Interview Success Spell”); and health and well-being (“Anxiety Calming Spell”). A section on divination and spellwork involves essential oils, moon phases, and homemade ingredients.
MAY 2020
ISBN 9781454940821 • $13.95 ($18.95 CAN)
HC • 144 PP (ALL IN 2-COLOR) • 5 x 7 • CQ 42
WORLD • STERLING ETHOS
KEY SELLING POINTS
- Books in the Modern-Day Witch series have sold more than 235,000 copies, and books in the Lisa Chamberlain series have sold nearly 375,000 copies across all formats
- This new Mystic Library series—shorter books targeted to beginners (an area that is relatively underpublished outside of the self-published market)—has huge potential
- Redesigned, refreshed, and updated editions of a bestselling author’s self-published paperback books, which are two of the bestselling books on Wicca on the market
- Beautifully illustrated with a fresh new two-color design
LISA CHAMBERLAIN is the successful author of more than 20 books on Wicca and magic, including *Wicca Book of Spells*, *Wicca for Beginners* and *Wicca Herbal Magic*. Her focus is on positive magic that promotes self-empowerment for the good of the whole. You can find out more at wiccaliving.com.
JOURNALS
Find a little more calm each day as you de-stress, breathe deeply, and center yourself with this beautifully designed journal of 100 exercises. When daily life brings anxiety, these prompts, along with inspiring quotes, invite you to take time for yourself and enjoy a moment of daily serenity. Each exercise takes just 5–10 minutes to complete, and the book includes space to jot down any reflections.
Keep calm… and find your tranquility with this interactive journal featuring 100 daily prompts and simple exercises.
The calming exercises include:
• Tap into the power of movement by dancing, swaying, stepping, or anything you like to your favorite music. When you’re done, lie on your back and simply breathe.
• Take your meditation to outer space by imagining spinning planets and twinkling stars while repeating the mantra: Earth, Sun, Moon, Infinity. Describe how it felt.
• Practice mindfulness by being present in even ordinary moments; for example, if you’re washing dishes, really focus on what you’re touching and how the soap feels, and play with the suds.
• Minimize your stress hormones by trying one of these strategies: spending time in nature, avoiding digital screens, eating a low-glycemic dinner, or adding tulsi tea to your nighttime routine. Did you notice a difference?
• Create a detox bath of Epsom salts, baking soda, and perhaps some essential oils. Did the water help you relax?
Amy Leigh Mercree is a bestselling author of 10 books, including A Little Bit of Chakras, A Little Bit of Meditation, A Little Bit of Mindfulness, Essential Oils Handbook, and The Mood Book: Crystals, Oils, and Rituals to Elevate Your Spirit. She is an international speaker and holistic health expert. She has been featured in Glamour Magazine, Women’s Health, Inc. Magazine, Shape, The Huffington Post, Your Tango, Soul and Spirit Magazine, MindBody Green, CBS, NBC, Hello Giggles, Reader’s Digest, Bustle, Country Living, Oprah.com, and many more. Find her online at @AmyLeighMercree on social media.
Beautiful guided journals based on the bestselling LITTLE BIT OF series!
The Little Bit Of series has sold more than half-a-million copies, and these guided journals give fans a new way to interact with the books’ spiritually enlightening material. Filled with inspirational prompts and exercises, these attractive journals feature rounded corners and an elastic band.
A Little Bit of Auras Guided Journal
Your Personal Path to Energy and Wellness
by Cassandra Eason
Every person, animal, and place has an aura: rainbow-colored energy surrounding us. Whether you’re looking to improve your aura health, learn more about the auras that reveal mood and personality, or interpret the auras of others, this guided journal will show you the way. The activities even include pages where you can color in aura fields.
A Little Bit of Chakras Guided Journal
Your Personal Path to Energy Healing
by Amy Leigh Mercree & Chad Mercree
Explore the mystical world of chakras with this journal to guide you—and record the results on these pages to see how the energy work enhances your physical, emotional, and spiritual well-being. Expert prompts and activities will show you how to locate your chakras, connect with them, and use them to meditate.
A Little Bit of Meditation Guided Journal
Your Personal Path to Mindfulness
by Amy Leigh Mercree
Meditation is a proven method of finding calm and coping with our crazy world—and the guided prompts in this journal help you pinpoint your meditation style. It provides meditations for visualizations and to open heart and mind, as well as ones that focus on “om” (the universal sound) and finding your inner witness.
A Little Bit of Mindfulness Guided Journal
Your Personal Path to Awareness
by Amy Leigh Mercree
Mindfulness can help you be present and peaceful in the moment. Using this journal, you can access a deeper creativity, create a healthier body, and learn techniques for mindful eating and drinking, handling emotions, dealing with relationships, and observing your own thoughts.
KEY SELLING POINTS
- Original series is extremely successful, selling more than half-a-million copies combined
- Cute and gifty package
- Contemporary and accessible voice
- Beautiful guided journals and workbooks
Resiliency Journal
5 Minutes a Day toward Strength, Balance, and Inspiration
by Maria Gamb
Life throws us curveballs—but whatever the challenges, it’s crucial to develop resiliency, so you can face adversity and bounce back. Maria Gamb takes you on a journaling journey to help you harness your inner strength and get in touch with what makes you feel resilient and happy. Informed by nuggets of the latest psychology and neuroscience, her prompts encourage you to build self-confidence; enjoy more and stress less; gain optimism; stay connected; offer thanks; find hope; and much more.
With 366 days of guidance, inspiration and positivity, this 5-minutes-a-day journal is the perfect tool to help you traverse difficult times—and remind you that you do possess an inner strength.
MARIA GAMB is founder and CEO of NMS Communications, which focuses on creating powerful leadership and healthy, resilient organizations. She has contributed to Forbes WomensMedia and been featured in Inc. Magazine, Time, and on Wall Street Radio Network. Maria is the author of Values-Based Leadership for Dummies (Wiley) and a sought-after speaker on the topic of leadership and team-communication dynamics. She lives in Brooklyn, NY.
KEY SELLING POINTS
- Resilience is a timely and relevant topic. It has been covered recently everywhere from the Harvard Business Review and Forbes to The New York Times, on topics ranging from business to mental health
- Author has a good platform and she weaves the latest in psychology and neurology into her work
- Promise of five minutes a day is appealing
Also Available
Our Gilded, Guided Journals have sold more than 200,000 copies!
60-Second Memory Journal
ISBN 9781454917700
$14.95 ($16.95 CAN)
HC • 4 x 6 • World
The Daily Spell Journal
ISBN 9781454933311
$14.95 ($19.95 CAN)
HC • 4 x 6 • World
Five-Year Memory Journal
ISBN 9781454911272
$14.95 ($16.95 CAN)
HC • 4 x 6 • World
The Me Journal
ISBN 9781454919339
$14.95 ($16.95 CAN)
HC • 4 x 6 • World
The Self-Care Journal
366 Prompts to Help Nurture & Recharge Your Body & Soul
by Mary Flannery
Through daily words of wisdom, reflective prompts, advice, and creative exercises, this attractive journal will help you develop mindfulness about your daily habits. Chart the things you can do every day to better love and appreciate yourself—from the simplest, such as embracing movement, repeating an affirmation, or focusing on your breathing, to the more profound, such as making mindful lists of the good things in your life.
With 366 days of inspiring prompts, exercises, and tips on self-care, this beautiful gilded journal can help you focus holistically on your journey to become the best you—body, mind, and soul.
MARY FLANNERY is the pen name for Katherine Furman, co-creator of Tandem Books. Katherine has written a number of books under a variety of pen names, including guided journals on gratitude (The Women’s Gratitude Journal), self-exploration (Express Yourself), and fitness (The 90-Day Fitness Journal). She lives in Atlantic Highlands, NJ.
KEY SELLING POINTS
- Self-care is definitely a trend on the rise, especially among millennials, according to reports from sources as varied as NPR, The New York Times, USA Today, NBC News, and Shape magazine
- Our gilded, guided journals remain popular; the series has sold more than 180,000 copies
Looking to start an emergency fund? Save for a big purchase? Or make a dent in credit card or student loan debt? Let this journal be your guide. It features prompts that will help you reach your biggest personal finance-related goal, plus daily pages for recording your expenses, reflecting on your everyday spending and saving decisions, and tracking your progress. A detailed introduction with fun, user-friendly graphics and charts explains how to set an attainable financial target that suits your lifestyle and use the journal effectively. The attractive package includes a ribbon marker, and lay-flat binding.
Accomplish your personal financial goal in just 100 days, with this hardworking journal that will keep you on track—and help you hold yourself accountable.
Alyssa Davies is a freelance writer, content specialist for a real estate brokerage, and founder of the personal finance blog, Mixed Up Money (mixedupmoney.com). She writes about overcoming personal debts, real estate, and how to get away with affording your expensive latte habit. She lives in Calgary, Alberta, Canada.
KEY SELLING POINTS
- Will include a ribbon marker, and lay-flat binding
- A perfect companion for anyone with a finance-related goal, especially recent college graduates and those living on their own or entering the workforce for the first time
- The author’s friendly, jargon-free approach to the subject makes the journal beginner-friendly—no experience with accounting needed
- *The 100 Day Goal Journal* has sold 11,000 copies
ALSO AVAILABLE
The 100-Day Goal Journal
ISBN 9781454930747
$17.95 ($24.50 CAN)
HC • 5 x 8
World
HEALTH & FITNESS
The Micro-Workout Plan
Get the Body You Want without the Gym in 15 Minutes or Less a Day
by Tom Holland, Bowflex® Fitness Advisor, Foreword by Denise Austin
Does the prospect of spending long hours at the gym deter you from exercising? Tom Holland has a much better approach: “excessive moderation” utilizing manageable micro-workouts that provide maximum, long-term results by engaging your full body, elevating your heart rate, accelerating physical conditioning, and increasing circulation and energy. They’re perfect for the busy people who don’t have time for the gym and want to exercise when, where, and for however long they want. In *The Micro-Workout Plan*, Tom shares the knowledge he’s gained from 30 years in the fitness industry, debunks myths, explains why micro-workouts succeed, and offers a motivating, manageable method for fitness well-being. He provides actionable steps with 30 5-minute mix-and-match micro-workout routines: just two to four 5-minute micro-workouts a day done whenever and wherever you want will target your whole body and help you achieve the daily activity required for optimal health. Plus, there’s a step-by-step photographic section of 80 exercises teaching proper form. With this book in hand, you can ditch the gym and get the same experience at home.
**APRIL 2020**
ISBN 9781454934295 • $22.95 ($30.95 CAN) • PB • 224 PP (all in 2-color)
6½ x 8¾ • CQ 22 • World • Sterling
**TOM HOLLAND** is an author, corporate consultant, exercise physiologist, and elite endurance athlete. As the Bowflex® Fitness Advisor, he creates content, markets new products, and hosts weekly fitness videos online. He has served as a celebrity ambassador for Core Hydration, ElliptiGO, FRS Healthy Energy, PowerBar, FitVine, Sportwater, and other companies. He has hosted numerous bestselling fitness DVDs, which have sold more than one million copies. He has made more than 100 TV appearances, including on *Anderson Cooper, CNN Headline News, Good Morning America,* and *Today.* Holland has hosted two national radio shows and appears frequently as a guest on ESPN, SiriusXM, NBC, and Bloomberg Radio. He also hosts an iHeartRadio podcast, *Fitness Disrupted.* His fitness advice appears regularly in national newspapers and magazines. He lives in Darien, CT.
BOWFLEX® FITNESS ADVISOR TOM HOLLAND INTRODUCES MICRO-WORKOUTS FOR OPTIMAL HEALTH THAT WILL HELP YOU ACHIEVE THE BODY YOU WANT.
KEY SELLING POINTS
- Nautilus—which owns the Bowflex and Schwinn brands—will guarantee an author tour and promote the book *Bowflex Breakfast Club* on Facebook Live, Bowflex newsletter of 700,000 subscribers, original video content to support the book
- The Hoffman Company, the global PR team for Nautilus, will push the author and book across all platforms: television, radio, print, web, and more
- Author kicked off the first-ever fitness podcast on iHeartRadio called *Fitness Disrupted* in July 2019, with Bowflex as a major sponsor. Both iHeart and Bowflex will be heavily promoting the show
- Author’s social media is: 20,000 Twitter followers, 42,900 Facebook followers
- The concept of ditching the gym is gaining in popularity
MARKETING & PUBLICITY
- National print and online publicity campaign
- National and local TV show outreach
- Author appearances and talks to coincide speaker’s schedule
- Cross-promotional opportunities with Nautilus / Bowflex
- Trade and social media advertising
- Coordinate cross-promotional opportunities with Nautilus / Bowflex
Holland provides actionable steps with 30 5-minute mix-and-match micro-workout routines
The Ritual Wellness guides provide authoritative, comprehensive introductions to popular personal wellness trends. They cover self-care rituals and recipes that you can incorporate into your daily practice. Gorgeously packaged, they’re perfect for the GOOP and Well+Good audience, for yourself, or as a gift.
**CBD**
*Self-Care Secrets to Hemp-Derived Wellness*
by Blair Lauren Brown
Cannabidiol (CBD) is a non-intoxicating, non-psychoactive, anti-inflammatory compound of the cannabis plant with enormous therapeutic potential, from relieving stress to alleviating muscular discomfort. Blair Lauren Brown, shares her knowledge of cannabidiol and provides recipes to use in daily practice that can enhance your life. Beautifully illustrated, this authoritative guide suggests ideas for self-care that will enhance body, mind, and spirit.
**BLAIR LAUREN BROWN** is the founder of Verté Essentials, featured in *Forbes* and *Cosmopolitan*. One of the first all-natural beauty and wellness products to feature CBD, Verté maintains a reputation for innovative formulations. Working with a host of diversely qualified partners, Brown has created a process for bringing an ancient plant back into the forefront of our culture. Brown teaches cannabis medicine, Sadhana Yoga, and other practices around the country.
**KEY SELLING POINTS**
- Major merchandisers such as Walgreens and CVS are picking up hemp-derived CBD products in 2,300 stores between the two retailers (*Forbes*)
- Beautiful photographs and recipes make this a practical-yet-gifty take on an increasingly popular subject
**MARKETING & PUBLICITY**
- National and local print and online publicity campaign
- Trade and social media advertising
- Targeted outreach to wellness publications
- Featured title at Expo West 2020
- Wellness focused blogger outreach
**MAY 2020**
ISBN 9781454934639 • $16.95 ($22.95 CAN) • HC • 176 PP (all in color)
5⅝ x 7⅞ • CQ 44 • World • Sterling Ethos
Collagen
Self-Care Secrets to Eat, Drink, and Glow
by Jessica Bippen, MS, RD
Collagen is essential for healthy skin, hair, nails, bones, joints, and digestive systems. Jessica Bippen shares her knowledge of this beneficial compound and how ingestible supplements can help you feel and look your best. She answers common questions on collagen loss, dosages, and supplements, and provides delicious collagen-boosting recipes from smoothies to entrées. Beautifully illustrated throughout.
JESSICA BIPPEN, MS, RD, is a registered dietitian who founded Nourished by Nutrition, a wellness website. She graduated from Saint Louis University with a Bachelor’s Degree in Nutrition and Dietetics, and a Master’s in Nutrition Therapy. Jessica is a member of the Academy of Nutrition and Dietetics and Dietitians in Functional Medicine. Jessica has partnered with Simple Mills, Bob’s Red Mill, Naked Nutrition, Vionic Shoes, and New Chapter on her blog. She lives in St. Louis, MO.
KEY SELLING POINTS
* Beautiful photographs and delicious recipes make this a practical-yet-gifty take on an increasingly popular subject
* The collagen supplement market is projected to grow to reach 4.6 billion by 2023 according to the *Associated Press*
* This is one of the only comprehensive guides about collagen supplements available to consumers
CLASSIC COLLAGEN HUMMUS
MAKES 2 CUPS
This classic hummus is thick and creamy. It’s perfect for dipping, adding to salads, or spreading on sandwiches. If you’re looking for a hummus recipe with nothing ahead, know that you can add or omit most hummus ingredients to suit your tastes. This recipe is made with chickpeas. The nutrition of this recipe is based on the highest in the bush beans, but you can use any legumes. In this case, chickpeas, but you can go green, yellow, white, red, or purple, or beans, lentils, or peas.
INGREDIENTS
| 2 (15-ounce cans) chickpeas, drained and rinsed | 1 lemon, zest and juice |
| ½ cup tahini | ½ teaspoon garlic powder |
| ¼ cup water or juice | 1 teaspoon salt |
DIRECTIONS
* Place all ingredients in a food processor and process until smooth. Stop occasionally and scrape down the sides. This will ensure the ingredients are fully blended. The hummus can be served right away, but it’s best if you wait at least 1 hour so that flavors have time to develop. Store in the fridge for up to a week.
Healing Spices Handbook
by Barbara Brownell Grogan,
Foreword by Deanna Gabriel Vierck CCH, CN
Easy to follow, approachable, and authoritative, this is the essential reference to using spices for maximum health and wellness. It’s packed with practical information, including the benefits of spices, their history as natural remedies, creating spice blends, safety tips, common uses, and delivery systems. An A-Z guide of 40 spices identifies their preventative and curative potential, and each examination of 40 conditions features one or two spice-filled recipes to help you heal.
Spices do more than just flavor food! This illustrated guide shows how spices can maintain optimal health, and offers recipes to treat common ailments. The next book in the Recipe for Natural Living series.
Here’s what healing spices can do for you:
• Muscles, joint pain, and arthritis can be treated with cayenne, ginger, and turmeric.
• Garlic and onion can alleviate seasonal allergies.
• Fenugreek can regulate type 2 diabetes.
• Red pepper can ease a hangover.
• Juniper berries can help with a UTI.
• Sumac can treat skin conditions such as eczema, psoriasis, sunburn, acne, and allergic reactions.
BARBARA BROWNELL Grogan, principal for Rivanna Publishing Ventures, is former editor-in-chief of National Geographic Books and a certified health coach through New York’s Institute for Integrative Nutrition. She is coauthor of 500 Time-Tested Home Remedies and the Science Behind Them and editor of USDA’s Guide to Infant Nutrition, 2018. Barbara cowrites a monthly column, “The Remedy Chicks,” at everydayhealth.com. She lives in Charlottesville, VA.
DEANNA GABRIEL VIERCK, CCH CN, is a certified clinical herbalist and holds a BS in Biology, Public Relations, and Earth Science from Central Missouri State University. Deanna received her clinical training at the North American Institute of Medical Herbalism. She lives in Boulder, CO.
KEY SELLING POINTS
* Perfect fit for series: Research shows that spices—even more than herbs, fruits, and vegetables—are rich in antioxidants and other uniquely health-beneficial ingredients. Studies of dietary patterns around the world confirm that spice-consuming populations have the lowest incidence of such life-threatening illnesses as heart disease, cancer, diabetes, and Alzheimer’s.
* Spices are easy to find in many groceries and health food stores today
MAY 2020
ISBN 9781454938729 • $14.95 ($19.95 CAN) • PB
256 PP (all in color) • 6 x 9 • CQ 24 • World • Sterling
ALSO AVAILABLE
Apple Cider Vinegar Handbook
ISBN 9781454928973
$14.95 ($19.95 CAN)
PB • 6 x 9 • World
CBD Handbook
ISBN 9781454934653
$14.95 ($19.95 CAN)
PB • 6 x 9 • World
Collagen Handbook
ISBN 9781454936619
$14.95 ($19.95 CAN)
PB • 6 x 9 • World
Essential Oils Handbook
ISBN 9781454928980
$14.95 ($19.95 CAN)
PB • 6 x 9 • World
Healing Herbs Handbook
ISBN 9781454928997
$14.95 ($19.95 CAN)
PB • 6 x 9 • World
From a board-certified neuropsychologist and a national leader in the field of brain health, a science-backed program to prevent Alzheimer’s that offers five strategies to avert cognitive decline.
High-Octane Brain
5 Science-Based Steps to Sharpen Your Memory and Reduce Your Risk of Alzheimer’s
by Michelle Braun, PhD, ABPP-CN,
Foreword by Dr. Karen Postal, Clinical Instructor in Psychology, Harvard Medical School
American adults fear Alzheimer’s more than any other disease (including cancer), and because many people do not realize there is no direct genetic cause for 95 percent of Alzheimer’s cases, they do not take the necessary steps to change lifestyle factors shown to significantly protect against the disease. In her debut book, Harvard- and Yale-trained, board-certified neuropsychologist Dr. Michelle Braun inspires readers to make lasting improvements by understanding the truth about brain health. After dispelling the myths and misunderstandings, Braun offers proven strategies to implement the five features of the High-Octane Brain: improved nutrition, regular exercise, sufficient sleep, reduced stress, and increased engagement. Then readers can evaluate where they stand on the High-Octane Brain spectrum with a Memory and Brain Health Assessment quiz, and develop a personalized program for optimal brain health. Braun offers a tracking system to provide a visual depiction of your progress. Packed with valuable tips that you can implement immediately to minimize common “brain blips,” memory exercises to grow neuronal connections, and personal accounts from Super Agers or High-Octane Brain role models, this groundbreaking book will finally put the future of your brain in your control.
Know the five features of the High-Octane Brain:
• Improved nutrition
• Regular exercise
• Sufficient sleep
• Reduced stress
• Increased engagement
DR. MICHELLE BRAUN is a Harvard- and Yale-trained, board-certified neuropsychologist and a national leader in the field of brain health and cognitive functioning. She is a former instructor of psychiatry at Harvard Medical School and Assistant Director of Inpatient Mental Health at the Boston Veterans’ Administration Hospital. She has been interviewed as a brain health expert on Fox Morning News, CBS, and iHeart Radio, and her work has been featured in national media outlets such as Family Circle, Medical Daily, HealthNewsDigest.com, and multiple newspapers. In addition, her article “Boosting Brain Functioning” is the one of most popular pieces on the Facebook page of the American Academy of Clinical Neuropsychology. She has a column on brain health in Psychology Today with more than 100,000 readers and has been the invited speaker for the Alzheimer’s Association for the past 13 years.
CULINARY
Eat Well, Be Well
100+ Healthy Re-creations of the Food You Crave
by Jana Cristofano
This 100% plant-based, gluten-free, and refined sugar-free cookbook will help you achieve your wellness goals without sacrificing the foods you love, whether you’re suffering from food allergies or simply want to eat to feel better!
Jana Cristofano founded nutritionicity.com to share how eliminating gluten, animal products, refined sugar, and unhealthy fats helped her body heal from chronic ailments such as intense migraines, arthritis, and high blood sugar. Her followers enjoy the mouthwatering, healthy versions of their favorite foods that are often so hard to find. In Jana’s debut cookbook, Eat Well, Be Well, you’ll discover more than 100 delicious plant-based, gluten-free, and refined sugar-free recipes, from hearty breakfasts, fresh salads, and luscious soups to filling mains and decadent desserts. Each recipe features easy-to-follow instructions, category codes for quick reference (nut-free, oil-free, and more), guidance for allergy-friendly modifications, nutrition notes, and a photo of the finished dish.
Recipes include:
Double Chocolate Chip Pancakes * Strawberry Banana Overnight Chia Oats * Quinoa Leek Bisque * Brazilian “Cheese” Bread * Broccoli with Olive & Fig Tapenade * Vegan Mac and Cheese * Black Beans and Cauliflower Rice * Classic Sloppy Joes * Thai Basil Alfredo * Chocolate Chickpea Bark * Pure Piña Colada Bars
JANA CRISTOFANO holds a certificate in Plant-based Nutrition from Cornell University’s T. Colin Campbell Center for Nutrition Studies. Her recipes have appeared in numerous web and print publications, including BuzzFeed, Closer, Country Living, Healthline, Huffington Post, MSN, MyFitnessPal, and Redbook. She is the writer and photographer of nutritionicity.com, a popular plant-based/gluten-free blog. Jana is also a wellness advocate and consultant, based in Warrenton, VA. Follow her @nutritionicity.
KEY SELLING POINTS
* This cookbook is 100% plant-based, 100% gluten-free, and 100% refined sugar-free
* Nutritionicity.com receives 50,000 unique VPMs
* The recipes offer variations and substitutions for omnivores seeking gluten-free recipes and vice versa, expanding the book’s versatility. Many recipes offer alternatives for people with food-based allergies, such as nuts or grains
MARKETING & PUBLICITY
* National print and online publicity campaign
* Targeted outreach to vegan/vegetarian publications
* Trade and social media advertising
* Local author events in Virginia
* Featured title at Expo West 2020
APRIL 2020
ISBN 9781454933779 • $24.95 ($33.95 CAN) • HC • 256 PP (all in color)
7¾ x 9¼ • CQ 14 • World • Sterling Epicure
“An absolutely lovely array of plant-based recipes that happen to be allergy-friendly, too . . . there is a lot of deliciousness to be found in these pages.”
—JULIEANNA HEVER, MS RD CPT,
nutrition director of Efferos and author of The Healthspan Solution and Plant-Based Nutrition (Idiot’s Guide)
“Jana has nailed it! This is the ultimate yummy, gluten-free, and healthy vegan cookbook.”
—CHLOE COSCARELLI,
Vegan chef and cookbook author
“Eat Well, Be Well is a comprehensive cookbook providing plant-based versions of your favorite classic meals—from fudgy chocolate cake to zucchini lasagna!”
—NEAL BARNARD, M.D.;
Adjunct Associate Professor of Medicine at the George Washington University School of Medicine, founder of Physicians Committee for Responsible Medicine (PCRM), and New York Times bestselling author of The Vegan Starter Kit and many others
The 5-Ingredient Keto Cookbook
100 Easy Ketogenic Recipes
by Stephanie Pedersen, author of Keto Lunches and The Keto Kit
Keto eating is a great way to lose weight, lessen bloat, boost energy and mental acuity, and improve your sleep and mood. However, the diet can be complicated, with many details to keep track of and foods that must have just the right combinations of fat, protein, and carbs. But in *The 5-Ingredient Keto Cookbook*, author Stephanie Pedersen simplifies the process for newcomers to the diet with 100 high-fat, low-carb recipes anyone can make. These gourmet dishes—including breakfasts, lunches, dinners, snacks, fat bombs, and drinks, as well as plenty of big-batch and slow-cooker options—are designed with the macros you need to stay true to your plan. Plus, Pedersen gives you smart how-tos, sneaky keto tricks, and more! Nutritional counts are included with each recipe.
*Finally—keto made simple! With just five ingredients each, these recipes are easy to prepare...and delicious, too. Perfect for those new to Keto.*
*A day’s keto menu may include:* Baked Avocado, Breakfast Tacos, Keto Hash, or Rich Coconut Porridge for breakfast • Yummy snacks like Crispy Cheese Squares, Salami Chips, Sweet Snow Balls, and Nut Butter Fudge • Keto Sliders, Creamy Keto Bisque, Deli Wrap, or a Burrito Bowl for lunch • Dinner options such as Lamb Shanks with Green Mash, Eggplant Roll-Ups, Shrimp Scampi, Pasta Bolognese, and Salmon Steak Over Shredded Zucchini • Sips and slurps, including a Coffee Smoothie, Keto Chai and a Citrus Cooler • Also, soups, salads, and staples like Make-As-Much-As-You-Like Slow-Cooker Chicken, Make-Ahead Bacon, and Stay-Fresh Guacamole
**STEPHANIE PEDERSEN**, MS, CHHC, AADP, is a nutrition educator, certified holistic health counselor, and author of more than 20 books, including *7-Day Superfood Cleanse* and *Kale: The Complete Guide to the World’s Most Powerful Superfood*. In addition to hosting her weekly podcast (*The Cozy Show* at americancozy.com), she is a busy speaker, blogger, and mom. To learn more about her, visit StephaniePedersen.com.
Oat milk, as a vegan alternative to cow’s milk, is gaining widespread popularity due to its delicious flavor and impressive nutrient profile as an excellent source of calcium, Vitamin D, and heart-healthy fiber. Plus, it’s naturally free of lactose, soy, and nuts, making it ideal for anyone with dietary restrictions, allergies, digestive distress, and other gut troubles. These 100 recipes will make oat milk an everyday ingredient in all the foods you crave—without compromising flavor! You’ll find a wide array of mouthwatering, easy-to-make dishes, including rich desserts (even ice cream), snacks, smoothies, and of course main meals.
*Oat milk is the latest trend in healthy gut food, and this easy-to-use cookbook—and the first to market helps you enjoy its benefits with more than 100 delicious recipes that are all naturally free of dairy, lactose, soy, and nuts.*
**Recipes include:**
• Delicious breakfasts, such as Strawberry Almond Overnight Oats, Vegan French Toast, and Spinach-Artichoke Strata
• Lunches and dinners, including Black Bean Cakes, Spicy Eggplant and Brown Rice with Oat Milk, Mediterranean Stew with Creamy Polenta, and even Nachos
• Soups, salads, and sides, from Butternut Squash Soup and Curry Chickpea Salad to Green Bean Casserole and Creamed Spinach
• Dips, sauces, and spreads—Red Lentil Dip, Chipotle Spread, Vegan Date Caramel Sauce, and Chocolate Hazelnut Butter
• Yummy desserts, including Oatmeal Chocolate Chip Cookies, Peach Blueberry Cobbler, and Vanilla Cake with Chocolate Frosting
• Plus a special “Oat Milk Coffeehouse” section with recipes for fantastic lattes, and another section with baked goods to accompany the coffees
**KIM LUTZ** is the author of several cookbooks, including *Welcoming Kitchen, Super Seeds, and Ancient Grains*. She is the creator of the allergy-friendly website Kim’s Welcoming Kitchen, and writes the column “Help! There’s a Vegan in My House!” in *Gluten Free & More* magazine. Kim Lutz lives in Chicago.
Cooking with Cannabis
More than 100 Delicious Edibles
by Pat Crocker
This cookbook makes it easy to master the art of cooking and baking with cannabis! More than 100 recipes feature a spectrum of single-serve dishes, from healthy to decadent, all of which include raw or decarboxylated cannabis (a heating process that converts THCA into psychoactive THC). Plenty of practical information covers key issues such as extracting the maximum benefit from cannabis, dosing, and infusing with cannabis, as well as tips for first-time users who wish to safely make delicious cannabis edibles. Every serving delivers 5mg THC, just the right amount to experience both the recreational and gustatory pleasures of cannabis. There are so many delicious choices for every meal—Canna-Pancakes or a Mini Quiche with Arugula & Smoked Salmon for breakfast, for example, or a Black Bean Burger or Asparagus-Stuffed Mushrooms for later in the day. You’ll also find innovative riffs on popular snacks, like hummus and tostadas, along with a stellar list of desserts, including Grilled Bananas with Canna-Honey, Savory Pears, and Chocolate Truffles.
Food to make you feel good! In 100+ recipes, Pat Crocker demonstrates how easy, safe, and delicious it is to cook with cannabis—especially with the help of her unique, foolproof dosing chart.
Teacher, photographer, and author, PAT CROCKER is a culinary herbalist with more than 1.25 million books in print. She was honored twice by the International Herb Association’s Professional Award for outstanding contributions to the Herb Industry, and also received the 2009 Gertrude H. Foster award from the Herb Society of America for Excellence in Herbal Literature. Her books, The Juicing Bible and The Vegan Cook’s Bible, have won “Best in the World” awards from the International Gourmand Culinary Guild. Crocker is the author of The Herbalist’s Kitchen. She lives in Neustadt, Ontario, Canada. To learn more about her, visit patcrocker.com.
MARKETING & PUBLICITY
- National and local print and online publicity campaign
- Trade and social media advertising
- Targeted outreach to wellness publications
- Featured title at Expo West 2020
JUNE 2020
ISBN 9781454940753 • $22.95 ($30.95 CAN) • PB • 224 PP (all in color)
8 x 9 • CQ 14 • WENG • Sterling Epicure
ART AND CRAFTS
Anyone can learn to knit—and who better to explain the essentials than the trusted authorities at Vogue Knitting? Here is the magazine’s definitive guide to learning all about yarn, needles, patterns, and, of course, those two basic stitches: knitting and purling. Follow along with beautiful step-by-step photographs that teach how to cast on, bind off, and knit up a collection of stitches ranging from basic stockinette to basket weave, bobbles, cables, and more. Links to video instruction are included for a complete how-to experience. Aspiring knitters can apply their new skills to more than 20 accessible, stylish patterns taken from the pages of Vogue Knitting. Ranging from staples like scarves and hats to impressive sweaters, the easy first projects include a detailed breakdown construction.
From the world’s most-recognized knitting magazine, and a leader in the industry, comes the ultimate guide to learning how to knit for absolute beginners—a book that follows in the tradition of the popular mega-bestseller Stitch ‘n Bitch.
Originally founded by Condé Nast in 1932, VOGUE KNITTING magazine, now published by Soho Publishing, is the most respected and recognizable fashion knitting magazine in the world. The Vogue Knitting brand encompasses the magazine, knitting resource and pattern books, Vogue Knitting LIVE!, a series of consumer shows that attract more than 15,000 knitters annually, destination trips and cruises, and much more.
Drawing Animals 101
How to Draw with a Veterinarian’s Eye
by Mari Suzuki
This extensive, step-by-step guide to drawing animals, created by artist and veterinarian Mari Suzuki, offers a unique viewpoint on the animal form.
With her unique perspective as both an artist and a veterinarian, Mari Suzuki provides meticulous instruction on how to draw a host of animals. Exploring everything from a corgi’s expressions to a lion pouncing, Drawing Animals 101 teaches the basics in a way even beginners can grasp: the different proportions of various creatures, simple skeletal forms, how muscles attach, and other physical fundamentals. While an array of animals is included—from pandas and penguins to kangaroos and elephants—dogs and cats provide the template, because we can easily observe them and their wide range of movements. Each step-by-step project is done in pencil, giving the work a genuine figure-drawing feel for the winged and four-footed.
Mari Suzuki is a veterinarian and an artist who lives in Japan.
KEY SELLING POINTS
- As a veterinarian, author Mari Suzuki has a unique perspective on the physicality of animals that helps to demystify the process of drawing them
- While this book offers a large number of dogs and cats to represent artists’ favorite pets, users will also find instruction for birds, farm animals, and wildlife from around the world
- The drawing style throughout is realistic, allowing aspiring artists to work from actual photo references to create art that is true to life
Begin to Draw People
Simple Techniques for Drawing the Head and Body
by Christopher Hart
In *Begin to Draw People*, bestselling author Christopher Hart taps into his vast experience to prove that anyone can depict the human body. Chris has carefully designed his step-by-step instructions so they’re accessible to absolute beginners, especially kids 12 and up. His simplified yet detailed guidance covers drawing the head and body for men, women, and children in a wide variety of facial features, expressions, styles, and poses. Learn to capture the many personalities and activities of people in everyday life, from firefighters, doctors, soldiers, and students to swimmers, skateboarders, gymnasts, and even daydreamers. A quick look through this book will make it clear to any aspiring artist: you can learn to draw, quickly and easily—and love every step along the way!
*From Chris Hart, the bestselling art instruction author of all time, the first in a brand-new series—and the perfect go-to guide for anyone ages 12 and up interested in beginner-level figure drawing.*
With more than seven million copies of his books in print, **CHRISTOPHER HART** is the world’s leading author of art instruction books. His titles frequently appear on the Bookscan Top 50 Art list. They also have a huge international audience, having been translated into more than 20 languages. In his more than 50 titles, he offers artists accessible, generously illustrated, and clearly written step-by-step instruction on a wide variety of how-to-draw subjects, including manga, figure drawing, cartooning, comics, fashion, and animals. He lives in Westport, CT.
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**KEY SELLING POINTS**
* The first in a brand-new series that is especially geared to young people—although it is useful for beginners of all ages
* Christopher Hart has taught millions of people to draw with his clear and friendly step-by-step approach to art instruction. His previous books on more traditional figure drawing have a strong sales history with more than a quarter million copies sold
* This book stands out for its accessibility to beginning artists, even kids. The teaching style is straightforward, with an appeal to drawing relatable people from everyday life
* Both parents and children can engage in an entire book’s worth of drawing activities together—no screens required. A useful drawing guide for the whole family!
Watercolor Botanicals
Learn to Paint Your Favorite Plants and Florals
by Eunice Sun
Filled with lessons and daily exercises, this fun introduction to watercolor teaches beginner artists how to create their own botanical-inspired paintings. It covers everything from selecting paper, paint, and brushes to choosing a palette, blending colors, and adding dimension and detail. Once you’ve mastered the essential techniques, you’ll learn to paint cacti, popular houseplants, and individual flowers, and see how to combine these components into more complex compositions, including frames, wreaths, and colorful bouquets. Step-by-step tutorials, along with artist Eunice Sun’s expressive artwork, provides all the guidance and inspiration you’ll need to render small motifs, decorate a card, paint a charming still life, and more.
Learn to paint gorgeous watercolor flowers, houseplants, and arrangements with this inspiring guide that includes 30 step-by-step tutorials.
EUNICE SUN is the artist behind Electric Eunice Lettering and Designs. Along with creating custom pieces for weddings, events, gifts, and collaborations, she teaches watercolor illustration and lettering workshops. She has been featured on several wedding blogs, the Starbucks 2016 Holiday Red Cup commercial, and Bored Panda. Eunice is based in Irvine, CA.
WEBSITE: electriceunice.com
INSTAGRAM: @electriceunice
KEY SELLING POINTS
* Watercolor is one of the most accessible forms of painting and is oftentimes used alongside other popular creative hobbies, such as hand lettering and journaling
* Flowers are favorite subjects for beginner painters and watercolor flowers are a perennially popular design motif
* This beginner-friendly guide offers approachable and hardworking tutorials that are designed with watercolor novices in mind
APRIL 2020
ISBN 9781454711049 • $19.95 ($26.95 CAN) • PB • 144 PP (all in color)
8½ x 10 • CQ 30 • World • Lark Crafts
Nature Odyssey
A Wild Coloring Journey
by Chris Garver
A follow-up to Chris Garver’s popular *Color Odyssey* and *Animal Odyssey*, *Nature Odyssey* contains nearly 85 gorgeously detailed drawings—from intimate close-ups of flowers and butterflies, to majestic portraits of animals, to bold landscapes. Printed on both sides of high-quality wood-free paper, the hand-drawn images provide hours of detailed coloring pleasure and inspiration. Fans of tattoo art and of Chris’s work, as well as coloring enthusiasts who seek out beautiful images of flora and fauna, will cherish this volume.
*The latest coloring book from bestselling author and former star of TV’s Miami Ink, Chris Garver, is a gorgeous collection of nature drawings, featuring wild animals, glorious flowers and foliage, and stunning landscapes.*
Well known and respected throughout the tattoo community, **CHRIS GARVER** garnered mainstream attention after appearing as a regular on the reality-TV show *Miami Ink*. A native of Pittsburgh, PA, he attended the Pittsburgh Creative and Performing Arts High School and, later, New York’s School of Visual Arts. Chris currently resides in New York City with his daughter, where he owns a tattoo shop called Five Points Tattoo.
Follow him on Instagram @chrisgarver.
**KEY SELLING POINTS**
- Chris Garver is a TV personality, bestselling author of several coloring books, and a social media star with over 300K followers on Instagram
- Garver’s titles have sold a total of more than 210,000 copies
- Wide appeal: Fans of tattoo art and of nature coloring will embrace this lush collection of beautiful drawings
- This is a high-quality book, with nearly 85 hand-drawn images printed on both sides of heavyweight, wood-free coloring paper
**MAY 2020**
ISBN 9781684620036 • $14.95 ($19.95 CAN) • PB • 96 PP (b/w illus throughout)
9½ x 9½ • CQ 20 • World • Get Creative 6
**ALSO AVAILABLE BY CHRIS GARVER**
| Title | ISBN | Price | Format | Pages | Size | Category |
|----------------|------------|-----------|--------|-------|--------|----------|
| Animal Odyssey | 9781942021568 | $14.95 ($16.95 CAN) | PB | 96 | 9½ x 9½ | World |
| Color Odyssey | 9781942021971 | $14.95 ($16.95 CAN) | PB | 96 | 9½ x 9½ | World |
| Flash | 9781942021520 | $14.95 ($16.95 CAN) | PB | 8½ x 9¼ | World |
Internationally known illustrator and bestselling author Jane Davenport takes artists on a journey through the mysterious world of mermaids, explaining everything from accurately drawing the figure to creating convincing habitats with mixed-media techniques.
Make a magical mermaid splash! Following her bestselling *I [Heart] Drawing: Fabulous Figures*, Jane Davenport dives deep into the ocean to explore the wondrous world of mermaids. She shows how to draw and paint these sensuous sirens, with their perfectly proportioned figures, shimmering scales, and all. Jane’s evocative instruction touches on every aspect of this fantasy realm:
- **Oceans of Color**: Paint beautiful backgrounds in which your mermaids can dwell.
- **Go with the Flow**: Convincingly draw these sinuous creatures in undulating poses.
- **Mermaid Hair Don’t Care**: Paint the flowing tresses that are every mermaid’s trademark.
- **Keep Urchin Up**: Depict mesmerizing facial features.
Jane also provides unique suggestions for making an “upscale” mermaid art journal, gives a month’s worth of creative prompts for Mer-May (or any day), and offers ideas for stunning collages.
**JANE DAVENPORT** is an internationally known artist and bestselling author. She is the creative director for Jane Davenport Mixed Media art supplies, and through her bustling online art school, she expands on the techniques in her books and empowers women to be creative.
Hello, Watercolor! offers a fresh approach to painting watercolors with concise and accessible information. Aspiring artists and journalers will immediately be able to apply the techniques they learn on these pages—including brush lettering—to more than 15 exciting step-by-step projects, from painting origami animals, sparkling glass shards, and beautiful alphabets to producing luscious florals and fanciful unicorns. Among the features that make this handbook both a valuable learning tool and source of inspiration:
- Projects include a list of techniques with cross-references
- Each project includes watercolors used with swatches so readers can make substitutions easily
- Popular color palettes and color “recipes” for foolproof mixing
- 12 monthly challenges with daily or weekly prompts to inspire painting all year long
- Templates to trace and paint for some projects
- Ideas to share work and connect with others (e.g., Instagram)
Jeannie Dickson is a creative entrepreneur, freelance artist, and digital content creator. On her popular Instagram account @jeanniedicksondesigns—with 276,000 followers—she’s become known for her modern watercolor techniques and unique lettering style. In February 2019, Silver Brush Limited, a manufacturer of high-quality artist’s brushes, chose Jeannie as the Artist of the Month.
The Master Guide to Drawing Anime: Romance
How to Draw the Popular Characters of Japanese Cartoons
by Christopher Hart
The newest addition to Christopher Hart’s bestselling *Master Guide to Drawing Anime* series takes on one of the most popular styles in Japanese cartoons: Romance. It provides an overview of romance subgenres and teaches every aspect of drawing anime romance, from common male and female character types to the dramatic—and funny—situations they find themselves in. Hart covers the complete arc of romantic anime stories—bliss, arguing, breaking up, and getting back together—and explains how to draw the anime head and body, match poses to the characters’ personalities, craft emotional expressions, design standout features, draw couples that click, and create a romantic setting. Fans will welcome this deep dive into the genre, and newcomers will be drawn in by the dynamic artwork that is a hallmark of Christopher Hart’s anime and manga titles.
*From young love to heartbreak, the fourth book in Christopher Hart’s bestselling *Master Guide to Drawing Anime* series focuses on the hugely popular Romance genre.*
With more than seven million copies of his books in print, **CHRISTOPHER HART** is the world’s leading author of art instruction books. His titles frequently appear on the Bookscan Top 50 Art list. They also have a huge international audience, having been translated into more than 20 languages. In his more than 50 titles, he offers artists accessible, generously illustrated, and clearly written step-by-step instruction on a wide variety of how-to-draw subjects, including manga, figure drawing, cartooning, comics, fashion, and animals. He lives in Westport, CT.
**ALSO AVAILABLE**
| Title | ISBN | Price | Pages | Size | Format |
|-------------------------------|---------------|-------------|-------|--------|--------|
| The Master Guide to Drawing Anime | 9781684620012 | $19.95 ($26.95 CAN) | 144 PP | 9 x 10 | PB/F |
| The Master Guide to Drawing Anime: Amazing Girls | 9781684620218 | $19.95 ($27.95 CAN) | 144 PP | 9 x 10 | PB/F |
| The Master Guide to Drawing Anime: Tips & Tricks | 9781684620233 | $19.95 ($26.95 CAN) | 144 PP | 9 x 10 | PB/F |
FAMILY, LIFESTYLE & FASHION
Have you ever asked your son about his day and received only a one-word response? Wondered what he’s thinking while he’s sitting quietly in the car? This beautiful journal gives you a chance to find out. Each page is filled with activities and questions for both mother and son to complete. It opens up a loving discussion about mom’s experiences as a kid, your son’s most treasured memories, your favorite foods and movies, and much more. You’ll also find suggestions for fun outings and activities, giving you more opportunities to spend time together. With ideas for establishing a journal-writing routine and tips for making this journal your own, *Just You & Me* will quickly become a special way to stay connected.
*A sweet keepsake journal with fun and thoughtful prompts that will spark conversations and strengthen the bond between moms and their young sons.*
**MICAH LEWIS** is a part-time pilot who also runs an online sticker shop to help others create spreads for their journals. She lives near Salt Lake City with her family. Find her online at myblueskydesign.com and @my_blue_sky_design.
---
**KEY SELLING POINTS**
- Prompts and activities will appeal to boys who are ages 9–14
- The gifty journal includes a lay-flat binding, rounded corners, and two ribbon markers, one each for mom and son
- A perfect gift for Mother’s Day, birthdays, and holidays
- Will appeal to any parent interested in improving their child’s writing skills and fostering their emotional development
---
**HOW TO USE THIS BOOK**
1. **Do you even pass?** This book is intended to be conducted as a conversation between you and your son. While you’re spending time together, working but having a writing time with your son may not be the best use of your time. If you have a lot of time or if having pressure to finish within a certain amount of time, then you can do this activity. Otherwise, you can just spend before passing the journal to the other person.
2. **Take it from...** Seven pages are full of engaging prompts to connect with your son. You can choose to read them aloud or ask your son to read all of the time. You can certainly skip it or select some. Simply pick up where you left off.
3. **Pick a color-up-your-ride.** You can use your answers inside by coloring in the boxes on the pages. You can also use the prompts to write your answers. You’ll be able to immediately see what has been written and colored. You can also use the prompts to write a list of purple questions below throughout the journal. These questions can be answered in the journal or on a separate piece of paper. It might be okay to answer a few books for the point that you want to get started. You can also use the prompts to color your journal for a spin on the Pen. The Page (page 68) to you. Please keep it well polished.
4. **Establish rules for the journey.** It’s important to let this journal be a safe place where there are no wrong answers without copies of this book falling into the wrong hands. If you choose to keep this journal, consider making a copy for yourself so that you don’t accidentally damage the journal or erase your entry.
5. **Find your hero.** This journal is designed to represent mothers or it includes who will be answering the questions on each page. If you are a father, you can use this journal to connect with your son. You can also use this journal to connect with your daughter.
6. **Join forces.** As said earlier, this journal is designed to keep you busy together or keeping with the theme of that particular chapter. You can also use this journal to connect with your son. You can also use this journal to connect with your daughter.
7. **If you are a mom, then you should read this book.**
- If you are a mom, then you should read this book.
- If you are a mom, then you should read this book.
- If you are a mom, then you should read this book.
8. **If you are a dad, then you should read this book.**
- If you are a dad, then you should read this book.
- If you are a dad, then you should read this book.
- If you are a dad, then you should read this book.
9. **If you are a son, then you should read this book.**
- If you are a son, then you should read this book.
- If you are a son, then you should read this book.
- If you are a son, then you should read this book.
10. **If you are a daughter, then you should read this book.**
- If you are a daughter, then you should read this book.
- If you are a daughter, then you should read this book.
- If you are a daughter, then you should read this book.
Internet Password Keeper
Introduction by Eric Butow
These days we have so much data to remember, we need one handy place to keep track of it all—and this easy-to-use logbook with tabbed A to Z pages is the perfect solution. It includes space to list usernames, passwords, security answers, web addresses, and extra notes, and features an introduction from internet technology and security expert Eric Butow on how to create the strongest passwords, keep your online data safe, and more. In addition, it has a removable, horizontal, wrap-around belly band with the title; when you take the belly band off, the book case itself is unprinted, making it discreet. A section in the back includes space to track other important information, including e-mail addresses and passwords, and modem and router model and serial numbers.
Keep all your passwords, user IDs, and more all together in this one perfect logbook, which also features important tips from an internet security expert on keeping your data safe.
Introduction by internet technology and security expert ERIC BUTOW, the owner of Butow Communications Group (BCG) in Jackson, CA. BCG provides web development, online marketing, and technical writing for businesses of all sizes. Eric has authored or coauthored 33 technology books since 2000. His latest titles include Pro iOS Security and Forensics (Apress), Instagram for Dummies (Wiley, coauthored with Jenn Herman and Corey Walker), and Programming Interviews for Dummies (Wiley, coauthored with Erik D. Jones).
Ten Rules for Keeping Your Data Safe
To summarize the most important things you should take away, here are ten rules for keeping your data safe:
1. Use an overall security strategy that incorporates your website passwords, software security applications, and knowledge about the types of websites that help protect your data.
2. Change your website passwords often.
3. Use two-factor authentication and/or password reset challenge questions if a website offers one or both protection methods.
4. Don’t use words or phrases in your password that hackers can find from your personal information and/or social media websites.
5. Don’t use any word or phrase from the dictionary as a password.
6. Use longer passwords.
7. Use a combination of different characters in your password.
8. Don’t use the same password on more than one website.
9. Don’t tell anyone else your website user IDs and passwords.
10. Keep your passwords, especially this logbook, in a safe place.
Today we all need to have some level of cybersecurity expertise to protect ourselves, and by using the Internet Password Keeper in combination with the strategies listed in this introduction, you stand a better chance of frustrating the hackers who are trying to profit from your data.
POP CULTURE
Cosplay—a portmanteau combining “costume” and “play”—has become one of the hottest trends in fandom…and Yaya Han is its shining superstar. In this guide to cosplaying, Han narrates her 20-year journey from newbie fan to entrepreneur with a household name in geekdom, revealing her self-taught methods for embodying a character and her experiences in the community. Each chapter is information-packed as she covers everything from the history of cosplay, to using nontraditional materials for costumes, to transforming your hobby into a career—all enhanced with expert advice. Illustrated throughout and easy to use, this practical manual also delights with fascinating stories from the past decades’ global cosplay boom. It’s the perfect gift for anyone interested in learning (or improving their skills in) the art of cosplay.
The authoritative guide to cosplay written by a legend in the community, and packed with step-by-step advice and fascinating investigations into every aspect of the art.
YAYA HAN is a cosplayer, costume designer, and entrepreneur. Widely regarded as the most inspirational figure in the world of cosplay, Han was featured on the first Network TV show about cosplay, Syfy channel’s Heroes of Cosplay, and as a guest judge on the TBS competition show King of the Nerds multiple times. Today, she has made close to 400 costumes in the genres of anime/manga, comic books, video games, sci-fi, and her own original designs. She has built a successful business in the cosplay community, including becoming the first cosplayer to design cosplay-focused products for global in-store mass retail. She has more than two million Facebook followers and 500,000 Instagram followers. She lives in Atlanta, GA. Find her online at yayahan.com.
MARKETING & PUBLICITY
- National print and online publicity campaign
- Targeted outreach to pop culture publications
- Trade and social media advertising
- Author events at New York Comic Con and San Diego Comic-Con
- Author appearances and talks to coincide with travel schedule
MAY 2020
ISBN 9781454932659 • $24.95 ($33.95 CAN) • PB • 256 PP (all in color)
7 x 9 • CQ 20 • World • Sterling
TRUE CRIME
From serial killers to deadly cults, this brand-new series investigates the most compelling true-crime stories.
**How to Catch a Killer**
Hunting and Capturing the World’s Most Notorious Serial Killers
by Katherine Ramsland, PhD
No two stories about the capture of a serial killer are the same. Sometimes, the killers make crucial mistakes; other times, investigators get lucky. And the process of profiling, hunting, and apprehending these predators has changed radically over time, particularly in the field of criminal forensics, which has exploded in the last twenty to 30 years. Laser ablation, video spectral analysis, cyber-sleuthing, and even DNA-based genetic genealogy are now crucial tools in solving murders, including the recent capture of the so-called Golden State Killer. This first book in the new Profiles in Crime series tells the history of forensics through the “capture stories” of some of the most notorious serial killers, going back almost a century.
There are two parts to every crime story: how they did it and why they got caught. This book is about the second part, and how it changes the way we catch serial killers.
The killers include:
- **Rodney Alcala**, a serial rapist and murderer sometimes called “Dating Game killer” for his appearance on that TV show. No one knows the exact number of his victims.
- **Takahiro Shiraishi**, the suicide killer from Zama, Japan, who dismembered nine victims and stored their bodies in his refrigerator.
- **Aileen Wuornos**, one of the rare female serial killers. She shot seven men in Florida and was turned in by an accomplice.
- **Jeffrey Dahmer**, the “Milwaukee Cannibal,” and Bobby Joe Long, both identified by survivors.
- **Ted Bundy** and **David Berkowitz (“Son of Sam”)**, who both made mistakes.
- **Ludwig Tessnow**, who killed several children in Germany, and was caught through new methods in forensic investigation that could distinguish human from animal blood.
**KATHERINE RAMSLAND, PHD,** is a professor of forensic psychology and criminal justice at DeSales University. She has published more than 1,000 articles and 60 books, most focusing on serial killers, and speaks internationally on the subject. She was a regular contributor to Court TV’s Crime Library, and is a regular guest on *The Today Show*, 20/20, NPR, and *E! True Hollywood*.
Serial Killers of the ‘70s
Stories Behind a Notorious Decade of Death
by Jane Fritsch
The Zodiac Killer, Son of Sam, Hillside Strangler, and Dating Game Killer—in many ways, terrifying serial killers helped define the 1970s. These fascinating profiles present notorious as well as lesser-known murderers of that decade. Beyond Ted Bundy and David Berkowitz, it includes such perpetrators as Carl Eugene Watts, “The Sunday Morning Slasher,” who killed 80 women; Richard Chase, the “Vampire of Sacramento”; and Rodney Alcala, believed to have killed as many as 130 people.
From Ted Bundy to David Berkowitz, the 1970s were a time of serial killers. Find out more about them, along with some you may never have heard of.
JANE FRITSCH is a former *New York Times* reporter who was a Pulitzer finalist with Dean Baquet, currently the *Times’* executive editor, and was part of the team that won a Pulitzer for the paper’s 9/11 coverage. She also covered the trial of serial killer John Wayne Gacy for the *Chicago Tribune*. Fritsch has taught journalism at Columbia University and Iowa State and worked as a researcher and consultant for the Investigation Discovery channel documentary *Deadly Legacy*, about John Wayne Gacy.
KEY SELLING POINTS
- The second entry in the new Profiles in Crime series, which launches with three titles
- The true crime genre—in books, podcasts, TV, and movies—is growing fast in popularity
- Many serial killers who committed murders in the 1970s—Bundy, Gacy, Berkowitz—remain the most recognizable and culturally prominent today
- Podcasts like *My Favorite Murder*, *Sword & Scale*, and *Serial*, are hugely popular, with growing audiences—as are Netflix’s true-crime shows like *Making a Murderer*, *The Staircase*, *American Crime Story*, and *Conversations with a Killer*
Killer Cults
Stories of Charisma, Deceit, and Death
by Stephen Singular
Some cults, led by leaders like Charlie Manson, Jim Jones, and David Koresh, are notorious. But others are less well known, such as Shoko Asahara and his doomsday cult, Aum Shinrikyo, who orchestrated the sarin gas attack on the Tokyo subway. How do these leaders get such often-unfathomable power over their adherents? Across a series of profiles, Killer Cults reveals the jaw-dropping truth behind some of the most mystifying and deadly cults and their leaders, all of whom led their followers down a dark, murderous path.
What’s scarier than a murderer? Someone with the charisma to compel others to kill for them . . . or to kill themselves. Meet these cult leaders—and get an inside look at their beliefs and how they controlled others.
Stephen Singular is a veteran crime journalist and the bestselling author of numerous books, including Unholy Messenger: The Life & Crimes of The BTK Serial Killer and When Men Become Gods, about jailed Mormon polygamist Warren Jeffs. His first book, Talked to Death: The Life & Murder of Alan Berg, was nominated for an Edgar Award and served as the basis for the Oliver Stone film, Talk Radio. Singular has appeared on CNN’s Anderson Cooper 360, MSNBC’s Hardball, and The Rachel Maddow Show, as well as serving as a commentator for legal cases on TruTV.
KEY SELLING POINTS
- From NXIVM to the “Manson family,” violent cults have collectively mesmerized and horrified people around the world
- Like serial killers, certain cult leaders (see: Charlie Manson) continue to capture cultural imagination
- Beyond the few well-known cult leaders, there are scores of profiles that have been sparsely told and are primed to capture public attention
- Quentin Tarantino’s Once Upon a Time . . . in Hollywood, based on the Tate murders perpetrated by Charlie Manson’s followers, shows the continuing cultural popularity of cults
Charles Manson died in prison in 2017 at the age of 83, his reputation as an unhinged cult leader largely intact. But to those who studied and “knew” Manson, there were always two sides to him: the wild-eyed leader of his eponymous “Family” who was convicted of directing a series of brutal and shocking murders, and the more controlled and rational person he became when no one was recording him. In *Charles Manson: Conversations with a Killer*, Edward George, Manson’s longtime prison counselor, recounts his many behind-the-scenes conversations with Manson throughout his years at both San Quentin State Prison and the California Medical Facility. Originally published in 1998 under the title *Taming the Beast: Charles Manson’s Life Behind Bars*, this revised edition includes a new foreword by the original authors that details all that has transpired—including Manson’s death—since the initial publication of the book.
*This is the story of the real Charles Manson and who he was during his life behind bars, as told by his prison counselor.*
**EDWARD GEORGE** worked for the California Department of Corrections as a counselor and ward supervisor for nearly 20 years. He oversaw Charlie Manson’s detention at both San Quentin and the California Medical Facility.
**DARY MATERA** is the author of 14 books, including *Are You Lonesome Tonight?* and *John Dillinger: America’s First Celebrity Criminal*.
SCIENCE, NATURE & TECHNOLOGY
Hubble Legacy
30 Years of Discoveries and Images
by Jim Bell,
Foreword by Astronaut John M. Grunsfeld, Ph.D.
Looking deep into space, by definition, means looking back in time—and the Hubble Space Telescope can look very far back, including at stars, nebulae, and galaxies that are millions, even billions, of years old. If there is a single legacy of Hubble as it turns 30 years old and nears the end of its useful life, it is this: It has done more to chronicle the origin and evolution of the known universe than any other instrument ever created. Hubble has also captured an astounding collection of ultraviolet images that include geysers of solar light, Mars’ famous dust storms, exploding stars, solar flares, globular clusters, and actual galaxies colliding. As for scientific milestones, Hubble has helped us learn that the universe is 13.8 billion years old, that just about every large galaxy features a black hole at its center, and that it’s possible to create 3-D maps of dark matter. *Hubble Legacy* will not only feature the most stunning imagery captured by the telescope, but also explain how Hubble has advanced our understanding of the universe and our very creation.
*This is the definitive book on the Hubble Space Telescope, written by noted astronomer Jim Bell.*
Hubble Telescope user **DR. JIM BELL** is a professor in the School of Earth and Space Exploration at Arizona State University, an adjunct professor in astronomy at Cornell University, and a visiting scientist at NASA’s Jet Propulsion Laboratory. He has been heavily involved in many NASA robotic space exploration missions, including the Near Earth Asteroid Rendezvous (NEAR), Mars Pathfinder, Mars Rovers (*Spirit*, *Opportunity*, *Curiosity*, and *Mars 2020*), Mars Odyssey Orbiter, Mars Reconnaissance Orbiter, Lunar Reconnaissance Orbiter, and the Psyche asteroid orbiter. Bell is the president of the Planetary Society, and received the 2011 Carl Sagan Medal from the American Astronomical Society. He has appeared on *The Today Show*, CNN, PBS, *Discover*, National Geographic, and History Channel.
GRAPHIC NOVELS & STUDY AIDS
Why fear Shakespeare? By placing the words of the original play next to line-by-line translations in plain English, these popular guides make Shakespeare accessible to everyone. And now they feature expanded literature guide sections that help students study smarter, along with links to bonus content on the Sparknotes.com website.
**All Titles:** $9.95 ($13.50 CAN) • PB • 5¼ × 7½ • Ages 14 and UP • World • SparkNotes June 2020
---
**Hamlet: No Fear Shakespeare Deluxe Student Edition**
ISBN 9781411479647 • 368 PP
**Julius Caesar: No Fear Shakespeare Deluxe Student Edition**
ISBN 9781411479654 • 272 PP
**Macbeth: No Fear Shakespeare Deluxe Student Edition**
ISBN 9781411479678 • 256 PP
**Midsummer Night’s Dream: No Fear Shakespeare Deluxe Student Edition**
ISBN 9781411479692 • 208 PP
**Romeo and Juliet: No Fear Shakespeare Deluxe Student Edition**
ISBN 9781411479715 • 320 PP
---
**The Expanded Content Includes:**
**Five Key Questions:** Five frequently asked questions about major moments and characters in the play.
**What Does the Ending Mean?:** Is the ending sad, celebratory, ironic . . . or ambivalent?
**Plot Analysis:** What is the play about? How is the story told, and what are the main themes? Why do the characters behave as they do?
**Study Questions:** Questions that guide students as they study for a test or write a paper.
**Quotes by Theme:** Quotes organized by Shakespeare’s main themes, such as love, death, tyranny, honor, and fate.
**Quotes by Character:** Quotes organized by the play’s main characters, along with interpretations of their meaning.
---
**Key Selling Points**
- Series has sold more than half-a-million copies
- Now features expanded content to enhance understanding
- New versions feature the most-popular and frequently assigned titles
The original bestselling series of Shakespeare plays, made easy-to-read for every student.
All Titles: $7.95 except as noted • PB • 5⅛ x 7⅛ • Ages 14 and up • World • SparkNotes
Antony & Cleopatra (No Fear Shakespeare)
ISBN 9781411499195
As You Like It (No Fear Shakespeare)
ISBN 9781411401044
The Comedy of Errors (No Fear Shakespeare)
ISBN 9781411404373
Coriolanus (No Fear Shakespeare)
ISBN 9781454928034
Hamlet (No Fear Shakespeare)
ISBN 9781586638443
Henry IV Parts One and Two (No Fear Shakespeare)
ISBN 9781411404366
Henry V (No Fear Shakespeare)
ISBN 9781411401037
Julius Caesar (No Fear Shakespeare)
ISBN 9781586638474
King Lear (No Fear Shakespeare)
ISBN 9781586638535
Macbeth (No Fear Shakespeare)
ISBN 9781586638467
Measure for Measure (No Fear Shakespeare)
ISBN 9781454928041
The Merchant of Venice (No Fear Shakespeare)
ISBN 9781586638504
A Midsummer Night’s Dream (No Fear Shakespeare)
ISBN 9781586638481
Much Ado About Nothing (No Fear Shakespeare)
ISBN 9781411401013
Othello (No Fear Shakespeare)
ISBN 9781586638528
Richard II (No Fear Shakespeare)
ISBN 9781454928058
Richard III (No Fear Shakespeare)
ISBN 9781411401020
Romeo and Juliet (No Fear Shakespeare)
ISBN 9781586638450
Romeo and Juliet (No Fear Shakespeare)
ISBN 9781411401006
Sonnets (No Fear Shakespeare)
ISBN 9781411402195
The Taming of the Shrew (No Fear Shakespeare)
ISBN 9781411401006
The Tempest (No Fear Shakespeare)
ISBN 9781586638498
Twelfth Night (No Fear Shakespeare)
ISBN 9781586638511
Two Gentlemen of Verona (No Fear Shakespeare)
ISBN 9781454928072
The Winter’s Tale (No Fear Shakespeare)
ISBN 9781454928065
No Fear Shakespeare: A Companion
ISBN 9781411497467 • $9.95
NO FEAR SHAKESPEARE™ Graphic Novels
Based on the No Fear Shakespeare translations, these dynamic graphic novels—now with color added—are impossible to put down. Each one is illustrated in its own unique style, but they’re all distinctively offbeat, slightly funky, and appealing to teens.
KEY SELLING POINTS
* These three titles have sold more than 205,000 copies in their previous edition
* Graphic novels are extremely popular, especially with reluctant readers
* These plays are among the most frequently assigned in high schools and universities
Hamlet
(No Fear Shakespeare Graphic Novels)
ISBN 9781411479876 • 216 PP
Macbeth
(No Fear Shakespeare Graphic Novels)
ISBN 9781411479883 • 208 PP
Romeo and Juliet
(No Fear Shakespeare Graphic Novels)
ISBN 9781411479890 • 216 PP
ALL TITLES: $12.95 ($17.50 CAN) • PB (all in color) • 6 x 9 • World • SparkNotes • JUNE 2020
REVIEW FOR HAMLET GRAPHIC NOVEL:
... makes the Bard even more accessible.... its clear, black-and-white scenes often shifting into a stark, expressionistic mode that heightens the drama. Along with a nicely digestible version of the play, this will give readers a feel for Shakespeare’s language and wordplay."—Booklist
PUZZLEWRIGHT
Easy as Pie Crosswords: Oh-So-Easy!
Edited by Stanley Newman
Looking for crosswords that are easy AND fun? This collection features 72 fantastic 15-by-15 crosswords created by some of the country’s top puzzlemakers. Each one has a theme that ties the longest answers together in some way, which can really help solvers. Perfect for beginners, *Easy as Pie Crosswords: Oh-So-Easy!* is just right for those who want to think inside the box.
MARCH 2020
ISBN 9781454930969 • $9.95 ($13.50 CAN)
PB/CS • 96 PP • 8 x 10 • CQ 46
World • Puzzlewright
Easy as 1-2-3 Crosswords
by Randall J. Hartman
Sometimes simpler is better—especially when all you want is a gentle challenge to help you wind down after a hard day. This crossword collection is just the ticket; each puzzle has a theme and features common words, phrases, and names so you can build your skills. The clues are on the easy side, too, so you can finish each puzzle with confidence . . . and enjoy every second.
RANDALL J. HARTMAN has been constructing crossword puzzles since 1994. He is the author of *Crosswords Over Easy*, *Cakewalk Crosswords*, *Crosswords Made Easy*, *Rest Easy Crosswords*, and *Easy-to-Please Crosswords*. Hartman is an adjunct professor at a university in Southern California, where he teaches engineering and construction management classes. He lives in Escondido, CA.
APRIL 2020
ISBN 9781454935148 • $9.95 ($13.50 CAN)
PB/CS • 96 PP • 8 x 10 • CQ 46
World • Puzzlewright
That Was Easy Crosswords
by Tony Orbach
Not all puzzles need to break your brain. Sometimes you’re in search of a crossword that’s just fun and easy to solve. This collection gives you exactly what you’re looking for, with 72 themed puzzles that won’t require a trip to the dictionary to search for arcane words. Simpler clues will give you confidence and allow you to finish every single crossword.
TONY ORBACH is a saxophone player and project manager in New York City. He lives in Upper Montclair, NJ; his father was actor Jerry of stage and screen. This is his second book—the first was *Easy as Duck Soup Crosswords*.
APRIL 2020
ISBN 9781454934264 • $9.95 ($13.50 CAN)
PB/CS • 96 PP • 8 x 10 • CQ 46
World • Puzzlewright
Sleepy Sunday Crosswords
Edited by Stanley Newman
If you’ve got a sharp pencil and a sharp mind, you’ll love solving these super Sunday-sized crosswords. Originally appearing in the Long Island newspaper Newsday, they were crafted by an all-star lineup of constructors and edited by puzzle expert Stanley Newman. Each puzzle features a fabulous theme—including Dickens, Frosty the Snowman, the Chinese zodiac, and US presidents—and every clue has been vetted for accuracy. Fun facts in the back of the book shed light on select answers.
Sunday is fun day with these 72 medium-difficulty puzzles, featuring fun facts in the answer section.
STANLEY NEWMAN, crossword editor for the Long Island newspaper Newsday, is syndicated worldwide to more than 200 daily, Sunday, and internet newspapers. His puzzles have appeared regularly in Prevention, People, Sport, and Bloomberg Businessweek magazines. Newman is the author or editor of more than 200 books and has organized and conducted many puzzle and trivia events in the United States, including four seminars at the Smithsonian Institution and, in 2007, the first crossword tournament ever held at Yale University. He splits his time between Amityville, NY, and Boca Raton, FL.
KEY SELLING POINTS
- The Sunday series has sold 400,000 copies
- Sunday puzzles are larger than daily-sized puzzles, so solvers can really dig into the grid for an extended period of time
- Durable paper and a spiral binding means this book will last the entire time it takes to solve it; it won’t be falling apart from a few erasures or a broken spine
- Back of the book contains “fun facts,” which shed a little more light on select answers
## ALSO AVAILABLE
| Title | ISBN | Price | Format | Size | World |
|------------------------------|--------------------|-------------|-----------------|----------|-------|
| All-Star Weekend Crosswords | 9781454921103 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Bed & Breakfast Sunday | 9781402794490 | $10.95 | PB/S | 8½ x 11 | |
| Crosswords | | ($14.95 CAN)| | | |
| Lazy Weekend Crosswords | 9781454916581 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Pajama Weekend Crosswords | 9781454929819 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Rainy Sunday Crosswords | 9781454916574 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Relaxing Sunday Crosswords | 9781454921097 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Sunday Brunch Crosswords | 9781402774683 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Sunday Cookout Crosswords | 9781454916550 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Sunday Hammock Crosswords | 9781454926490 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Sunday Morning Crosswords | 9781454921110 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Sunday Stroll Crosswords | 9781402794506 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Sunny Sunday Crosswords | 9781402774706 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Three-Day Weekend Crosswords | 9781402774713 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Walk in the Park Sunday | 9781402788154 | $10.95 | PB/S | 8½ x 11 | |
| Crosswords | | ($14.95 CAN)| | | |
| Weekend Getaway Crosswords | 9781402774690 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Weekend Picnic Crosswords | 9781454912132 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Weekend Retreat Crosswords | 9781454916567 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
| Weekend Road Trip Crosswords | 9781454921127 | $10.95 | PB/S | 8½ x 11 | |
| | | ($14.95 CAN)| | | |
These two giant crossword collections provide puzzle lovers with hours of fun—at a bargain.
Crossword fans will enjoy solving these entertaining, high-quality puzzles, featuring grids filled with fun vocabulary, and fresh themes to test your skills with tricky trivia and witty wordplay. Plus, these books contain a whopping 300 crosswords each that range from easy to weekend-level challenging. Perforated pages mean easy removal so you can take a few puzzles with you everywhere you go.
**Blockbuster Book of Crosswords 6**
by Puzzlewright Press
**APRIL 2020**
ISBN 9781454935452 • $14.95 ($19.95 CAN) • PB • 320 PP
8½ x 10¾ • CQ 20 • World • Puzzlewright
**Blockbuster Book of Crosswords 7**
by Puzzlewright Press
**APRIL 2020**
ISBN 9781454935469 • $14.95 ($19.95 CAN) • PB • 320 PP
8½ x 10¾ • CQ 20 • World • Puzzlewright
**KEY SELLING POINTS**
- Fun, fresh themes make each puzzle unique and memorable, with plenty of trivia and wordplay to test solvers’ brains
- Perforated pages for easy removal
- Durable paper ensures that solvers won’t rip paper after multiple erasures
- 300 puzzles make this a great bargain for solvers
**ALSO AVAILABLE**
| Title | ISBN | Price | Format | Size | Quantity | Region |
|------------------------|---------------|-----------|--------|------------|----------|----------|
| Blockbuster Book of Crosswords 1 | 9781454929987 | $14.95 | PB | 8½ x 10¾ | World |
| Blockbuster Book of Crosswords 2 | 9781454929994 | $14.95 | PB | 8½ x 10¾ | World |
| Blockbuster Book of Crosswords 3 | 9781454930006 | $14.95 | PB | 8½ x 10¾ | World |
| Blockbuster Book of Crosswords 4 | 9781454930013 | $14.95 | PB | 8½ x 10¾ | World |
| Blockbuster Book of Crosswords 5 | 9781454930020 | $14.95 | PB | 8½ x 10¾ | World |
Blue-Chip Cryptic Crosswords as Published in The Wall Street Journal
by Emily Cox & Henry Rathvon, foreword by Mike Shenk
Dedicated puzzle enthusiasts see it too often: ho-hum clues like “Toledo’s lake” for ERIE. That means they need to spice up their solving with the pure puzzling pleasure of cryptic crosswords, where each clue offers double the dose of wordplay. To find the answer, it’s necessary to do additional deciphering—recognizing a homophone or working out a charade. And the cryptics in this collection have something more: not only does each clue contain the extra wordplay, but every puzzle also includes a theme that can bend the rules. Special instructions help solvers find their way through the trickery.
Once puzzle fans try these cryptic crosswords from The Wall Street Journal, they’ll never return to regular crosswords again!
EMILY COX and HENRY RATHVON are bona-fide puzzle royalty whose acrostics appear in The New York Times every other week. They regularly write standard crosswords for the Boston Globe and cryptic crosswords for The Wall Street Journal (from which these puzzles were taken) as well as a Canadian publication.
KEY SELLING POINTS
* High-quality cryptic crosswords never collected in book form, from the best-known creators in the country
* Foreword by Mike Shenk, the crossword editor of The Wall Street Journal
* Brief introduction explains the rules of cryptic crosswords for those who have never solved them
* Superb quality when it comes to paper and binding; this won’t fall apart halfway through the solving
ALSO AVAILABLE
| Title | ISBN | Price | Format | Size | Country |
|-------------------------------|---------------|-------------|---------|----------|---------|
| The Wall Street Journal Blue-Chip Daily Crosswords | 9781454928676 | $8.95 ($11.95 CAN) | PB/S | 8 x 10 | World |
| The Wall Street Journal Blue-Chip Sunday Crosswords | 9781454928683 | $10.95 ($14.95 CAN) | PB/S | 8½ x 11 | World |
| The Wall Street Journal Premium Daily Crosswords | 9781454929536 | $9.95 ($13.50 CAN) | PB/S | 8 x 10 | World |
| The Wall Street Journal Premium Sunday Crosswords | 9781454929543 | $10.95 ($14.95 CAN) | PB/S | 8½ x 11 | World |
**Artificial Intelligence**
[9781454933595]
“An enjoyable diversion to read cover to cover, follow along common strands, or dip into for random bits.” – *Booklist*
**First On The Moon**
[9781454931973]
“Gift-appropriate . . . and covers the mission from start to finish.” – *Publishers Weekly*
“Looking for an Apollo coffee–table book that’s more than just pretty pictures? Rod Pyle combines the iconic images of the Space Age with facsimiles of historic documents.... Pyle weaves a narrative that takes the Apollo 11 story up to the present, supplemented by moonwalker Buzz Aldrin’s foreword.” – *Geekwire.com*
**How to Houseplant**
[9781454932901]
This fun, gifty guide introduces you to one of today’s hottest retro activities! Heather Rodino offers a colorfully illustrated overview of caring for your indoor garden, profiling 50 popular houseplants, from succulents to tropical foliage. Her accessible advice, tips, and lists will give novices the confidence they need to nurture their own collection.
**Innumerable Insects**
[9781454923237]
“Engel, a University of Kansas biology professor, delves into the American Museum of Natural History’s rare book collection, specifically its ‘thousands of marvelously illustrated books’ about insects, to create a book as aesthetically pleasing as it is informative. Engel covers insect diversity, evolution, ecology, and physiology, among other topics, while including intriguing vignettes about early entomologists. . . . The images, however, are the stars of this work, which will delight every entomophile.” – *Publishers Weekly*
**The Unstoppable Ruth Bader Ginsburg**
[9781454933328]
“Readers will delight in the photos that capture Ginsburg’s presence on the internet (as in the Notorious R.B.G. Tumblr blog), and her visits to the opera with a close friend, the late Antonin Scalia. This is an adoring photo history that wonderfully shows Ginsburg in her private life as well as public.” – *Publishers Weekly*
**Elton John**
[9781454934523]
“Fans will welcome this tribute to a showman of great vision and imagination.” – *Publishers Weekly*
**Rock-and-Roll Woman**
[9781454930624]
“Succinct, but rich biographies highlight the women’s stories . . . These eclectic narratives are crisp, absorbing, and well structured and accompanied by scores of excellent photos—all designed in an eye-catching format. VERDICT A must for rock and roll and women’s studies enthusiasts. It will also appeal to those who wish to become better acquainted with the genre and the women who were a force in its development.” – *Library Journal*
**Joy Of Seafood**
[9781454921981]
“This superb collection conveys Seaver’s experience, enthusiasm, and creativity.” – *Publishers Weekly*
“Seaver follows up his lauded *American Seafood* (2017) with another comprehensive catalog of both finfish and shellfish and how to cook them.” – *Booklist* (Starred review)
**Unicorn Food**
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Unicorn food—brightly hued dishes that make you smile—has taken the world by storm. Food writer and stylist Rachel Johnson celebrates its rainbows, glitter, and happiness with 40 of her most over-the-top creations—from Rainbow Sprinkle Waffle Cake to Glitter Pink Strawberry Marshmallows—curated for maximal magic and presented in swooning full color. It’s an expression of pure sugary joy.
**Good Housekeeping Air Fryer Cookbook**
[9781618372857]
Air frying allows you to roast, bake, and enjoy the taste and crunch of fried foods without as much oil or grease. Who better than *Good Housekeeping* to explain the basics of using this miracle machine? Seventy recipes offer family-pleasing healthy alternatives to your favorite comfort food dishes—including Chicken Caprese, Finger Lickin’ Fish Tacos, and even French fries.
**Gin Austen**
[9781454933120]
“Brimming with enlightening quotes from the novels and Austen’s letters, beautiful photographs, and period design, this intoxicating volume is a must-have for any devoted janeite.” – *Alcademics.com*
“A cocktail recipe book based on novels by Jane Austen for delighting your guests at the next social engagement. You could say it’s a very sensible purchase. Drinks include Brandon Old-Fashioned, Cousin Collins, Fizzy Miss Lizzie, and Gin and Bennet. . . . This is a great book to have for any party or occasion. Some of the drink names are quite clever. Drinks that are unique and out of the ordinary.” – *BuzzFeed*
**Good Housekeeping Simple Organizing Wisdom**
[9781618372789]
The ultimate guide to decluttering! *Good Housekeeping* will help you organize your home, simplify any task, and tidy up faster. Hundreds of tips and tricks explain how to keep a well-ordered fridge, gain counter space, style shelving displays, clear up desks and digital spaces, streamline closets and the garage, and more.
Jerusalem Food (9781454932925)
“A handy roundup of quintessential Mediterranean and Middle Eastern dishes with a few eccentricities thrown in . . . the recipes themselves are certainly enticing.”
—Publishers Weekly
Peached Tortilla (9781454931218)
“ . . . 100 tantalizing recipes that combine the flavors of the American South with those of Asia . . . This is a solid debut from an eclectic chef.” —Publishers Weekly
“It blends a food memoir with exciting recipes—unique takes on everything from gussied-up hot dogs and burgers to cross-cultural noodles, tacos, and cocktails. . . . Silverstein’s unusually well-described and illustrated Asian food glossary is a fantastic resource that will enable anyone to easily negotiate the aisles of their nearest [online] Asian food market. . . . This refreshingly gracious tone, the creative recipes, and the personal introductions combine to make this an outstanding book.” —Foreword Reviews
Anti-Inflammatory Kitchen Cookbook (9781454931386)
If you have a dietary sensitivity to inflammatory compounds, this cookbook can help you manage your symptoms and alleviate your discomfort. Along with more than 100 delicious dishes, from a Cornmeal Scallion Waffle, Egg Sandwich to Maple Shortbread Cookies, you’ll get grocery checklists, kitchen hacks, tips for eating out, a month of sample meal plans, and 15-minute meal ideas. Eating healthy never tasted so good!
The Founding Myth (9781454933274)
“Seidel, a constitutional attorney, provides a fervent takedown of Christian Nationalism in his furious debut... his well-conceived arguments will spark conversations for those willing to listen.”
—Publishers Weekly
“The Founding Myth is an invigorating double-shot espresso that reveals how the original Constitution and the version slathered in religious tomes to serve political purposes are not the same document.”—New York Journal of Books
“No one has written a book quite like this before, because of its sweep, its depth, its viewpoint and its tone. ‘The Founding Myth’ goes far beyond debunking the false history that Christian nationalists advance to a detailed examination of how biblical principles are fundamentally at odds with our constitutional order.”
—Salon.com
The Mood Book (9781454933182)
Change negatives into positives with this ritual-based guide to managing your moods. Divided into five sections based on your frame of mind, it offers suggestions for anxiety-relieving baths, essential oils, and crystals; meditations for finding your Zen; confidence-boosting exercises; aromatherapy to enhance romance, and more ideas for self-care. In addition, there are quizzes and advice on optimizing your life and environment.
Geek Girls Don’t Cry (9781454933397)
“An enjoyable read for anyone interested in pop culture, with particular relevance to those working to overcome struggles.” —Booklist [Starred review]
“Towers’s book is charming, but it’s also important, and it’s nice to see geekdom being used as a force for good when Marvel vs. DC rivalries and angry Star Wars discourse dominate the fan news cycles. Check the book out, and be reminded of the healing power of fiction and female heroes.” —TheMarySue.com
“BUY! Geek Girls Don’t Cry is definitely worth a read. It would also make an excellent book club book because of the conversation it inspires. But don’t take my word for it; grab a copy and see for yourself!” —Comics Beat
He’s Not Lazy (9781454916871)
“Clinical psychologist Price offers one of the most significant books of the year in this new look at an old problem—the underperforming teenage boy. . . . Price’s book brings an important voice to a much needed conversation. VERDICT Highly recommended.”
—Library/Journal [Starred review]
“While the book is filled with well-documented research, it is accessible to general readers. Price helps readers make a paradigm shift in how they view their sons’ behavior, explains the science behind human brain development, provides instructions for creating a plan for success, and most importantly, outlines how parents can change their own attitudes.” —Booklist
“Price’s book will provide inspiration for scores of parents seeking to understand why their sons are floundering, and will encourage greater acceptance for how today’s teenage boys face challenges.”
—Publishers Weekly
“. . . a user-friendly text for parents and patients . . . Although geared towards an understanding of boys, many of these pearls of wisdom are easily applicable to girls given the authors heavy leaning on gender neutral developmental theories and science. . . . the unexpected genius of He’s Not Lazy is the comprehensive yet gentle way Price explores parents’ intergenerational contributions to their son’s difficulties. This makes He’s Not Lazy a worthy purchase for parents and clinicians alike.” —NJ Psychologist
Pride (9781454936558)
“A stirring history of the LGBTQ Pride movement.” —Publishers Weekly
Feminist Cross Stitch (978145470806)
“Nasty women” will find much to cross-stitch in Rohr’s sharp-needled pattern book of designs for “craftivist” feminists... The patterns, “bold and fierce” indeed, will speak to stitchers who share Rohr’s spirit and convictions. —Publishers Weekly
Sterling Publishing Co., Inc.
2017 Gourmand Awards Best Drinks Publisher of the Year
AARP Downsizing the Family Home (9781454916338)
2017 National Mature Media Award Nominee
American Seafood (9781454919407)
2018 Readable Feast Award Honorable Mention Aesthetic Achievement category
IACP 2018 People’s Choice Award winner
2017 Nautilus Silver Award Winner for the Journalism & Investigative Reporting category
Gourmand World Cookbook Award in the U.S. in the Fish and Seafood category for 2018
The Good Fight (9781454927341)
2017 New York City Big Book Award winner
Innumerable Insects (9781454923237)
2018 Nautilus Award Winner. The book won a silver medal in two categories: Animals & Nature and Young Adult Non-Fiction.
Italian Moms: Spreading Their Art to Every Table (9781454927990)
2017 Reader’s Favorite Award winner
Michelle Obama: A Photographic Journey (9781454926368)
2017 Washington Post Bestseller
Obama: The Historic Presidency of Barack Obama 2,920 Days (9781454926399)
2017 Washington Post Bestseller
Paris Picnic Club (9781454920366)
2018 Pacific Book Award Winner Best Cookbook Category
Red Wine (9781454918233)
2017 Gourmand Award Finalist Wine Publisher of the Year category
2017 Gourmand Award Winner Book of the Year category
SugarDetoxMe (9781454923053)
2017 Nautilus Gold Award Winner for the Food, Cooking, Healthy Eating category
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A self-supported optical correlator has a first holder having two opposite ends, one of the opposite ends being provided with anchor points, the other end being provided with a light source. The correlator also has a second holder having two opposite ends, one of which is provided with anchor points, the other being provided with a light receiving element, and a plurality of intermediary holders, each having two opposite ends provided with anchor points, at least one of the intermediary holders being provided with a spatial light modulator for projecting an image and another of the intermediary holders being provided with another spatial light modulator for projecting a filter. Each of the intermediary holders is provided with optical components secured within the holders. The said anchor points are adapted to secure the first, second and intermediary holders together linearly end to end; so that when the intermediary holders are assembled end to end, and the first holder is assembled at one extremity and the other holder is assembled at another extremity, the resulting assembly forms said optical correlator. The optical components are tolerated, and the anchor point serve to assemble a structure which does not require additional adjustments.
10 Claims, 5 Drawing Sheets
OTHER PUBLICATIONS
Weaver et al., “A Technique for Optically Convolving Two Functions”, Applied Optics (1966); 5(7): 1248-1249.
Lugt, A. Vander, “Signal Detection by Complex Spatial Filtering”, IEEE Transactions on Information Theory, pp. 139-145, Apr. 1964.
* cited by examiner
| ITEM | DESCRIPTION |
|------|-------------|
| 1 | ANCHOR PLATE |
| 2 | TOLERANCED OPTICAL ELEMENTS |
| 3 | SEAL |
| 4 | DRYER TUBE AR C: FINAL STING LIFE |
| 5 | O-RING |
| 6 | JAW |
| 7 | TOLERANCED ENCLOSURE |
Fig. 1
Figure 2: Perspective view of the tubular optical correlator
Figure 3: Cut view of the tubular optical correlator module
Figure 4: Example showing a stack of optical correlators
Figure 5: Illustration of the tagging principle
Time 1
- Image 1 → LUT Image polarity 1 → Image SLM
- Filter 1 → LUT Filter polarity 1 → Filter SLM
Time 2
- Image 2 → LUT Image polarity 2 → Image SLM
- Filter 2 → LUT Filter polarity 2 → Filter SLM
Time 3
- Image 3 → LUT Image polarity 1 → Image SLM
- Filter 3 → LUT Filter polarity 1 → Filter SLM
Figure 6: Illustration of the polarity LUT application
Figure 7: Schematic of the optical correlator operation (PRIOR ART).
Optical correlator system illustration.
SELF-SUPPORTED OPTICAL CORRELATOR
FIELD OF THE INVENTION
The present invention relates to an optical correlator, and more specifically to such a correlator which is self-supported, and can be joined to other such optical correlators in a laterally stacked fashion.
BACKGROUND OF THE INVENTION
Various screening tasks require massive computing capabilities. Although computing devices have shown ever increasing processing power, there is still a need for high speed computing, especially when it comes to the screening of images. Optical correlators could eventually fill the gap between the applications and the processing requirements.
An optical correlator takes advantage of the powerful capabilities of light to perform real-time computation. As illustrated in FIG. 7 (Prior Art), a light beam incoming from a laser source is directed through a first set of lenses to expand its diameter. The light passes through a first spatial light modulator on which an image is displayed. Then, the modulated beam will undergo a first Fourier transform by passing through another lens. The Fourier transform is performed simply by the propagation of the light and as such is realised very rapidly.
It is an inherent property of a lens to perform a Fourier transform on an input image that will be observed at the front focal plane of the lens, provided that this image is displayed at the back focal plane of the lens. The optically-computed 2D Fourier transform signal will cross the filter plane. It is on this second spatial light modulator that the reference template corresponding to the searched object (the target) will be displayed. In fact, it is the Fourier transform of the reference template that is recorded. So after travelling through this second spatial light modulator, a multiplication of two Fourier transforms is obtained. In the spatial domain this corresponds to a correlation. In order to achieve the conversion between the frequency and the spatial domains, a second Fourier lens is used and the beam exits the optical system in a parallel way. The camera is the last component of the correlator and detects the intensity all over the correlation plane. Basically, the system processing speed is limited only by the refresh rate of the electro-optic components (spatial light modulator, camera), because the computation itself is performed using the light.
The optical correlator principle has been known since the work of Vander Lugt. Since then, a lot of work has been spent on generating filters to enhance specific recognition performances such as multiple target recognition with composite filters, enhanced discrimination with phase-only filters, or rotation invariant recognition with circular harmonic filters. Various optical correlator types have also been proposed such as a Vander Lugt correlator. In this correlator architecture, similar to the one illustrated in FIG. 7, the image is displayed in the input plane whereas the filter is displayed in the frequency plane. The correlation is acquired at the output plane. The filter was at that time recorded on a spatial carrier. A Joint Transform correlator (JTC) was also proposed. In a JTC, both the image and the reference template are recorded in the input plane. The interference pattern is recorded in the frequency plane and sent back to the input plane to obtain the correlation in the frequency plane, after a second pass through the correlator. Despite extended work on optical correlator filters and architectures, it did not result in solutions which address the critical opto-mechanical structure required to obtain satisfactory optical correlation performances.
Various architecture implementations have been proposed for optical correlators, such as “Coherent Optical Correlator” (U.S. Pat. No. 4,277,137), and the optical correlator principle taught in “Holographic Information Storage and Retrieval” (U.S. Pat. No. 3,608,994). Architectures have also been proposed to make the overall system more compact, such as “Compact 2F Optical Correlator” (U.S. Pat. No. 5,073,006).
These solutions usually result in optical set-ups where each individual optical element is inserted in a holder fixed on an optical table. This results in excessive production cost.
Furthermore, although optical correlator architectures were addressed in these patents, little or no consideration was devoted to the opto-mechanical structure that influences production cost and ease of alignment.
Nowadays, optical correlators are not widely spread either in terms of commercial applications or availability as commercial products. This is mainly due to the high production cost related to the aforementioned opto-mechanical structure and to the difficulty of alignment of the optical correlator.
Lack of market penetration has also left unaddressed other considerations of optical correlation implementation, such as heat dissipation and heat stabilization.
The possibility to achieve multichannel optical correlators has been addressed in U.S. Pat. No. 3,802,762. However, this possibility is limited by the availability of powerful laser sources that can drive multiple correlators simultaneously and by the interference that can be produced between the various channels.
SUMMARY OF THE INVENTION
The present invention is directed to an optical correlator which solves the above-mentioned deficiencies of the prior art.
In accordance with the invention, there is provided a self-supported optical correlator, comprising:
- a first holder having two opposite ends, one of said opposite ends being provided with anchor points, the other of said opposite ends being provided with a light source;
- a second holder having two opposite ends, one of said opposite ends being provided with anchor points, the other of said opposite ends being provided with a light receiving element,
- a plurality of intermediary holders, each having two opposite ends, each of said holders being provided with anchor points at each opposite end, at least one of said intermediary holders being provided with a spatial light modulator for projecting an image and another of said intermediary holders being provided with another spatial light modulator for projecting a filter,
- each of said intermediary holders being provided with optical components, said optical components being secured within said holders,
- said anchor points being adapted to secure said first, second and intermediary holders together linearly end to end;
wherein, when said intermediary holders are assembled end to end, and said first holder is assembled at one extremity and said other holder is assembled at another extremity, said resulting assembly forms said optical correlator.
In accordance with another aspect of the invention, there is provided a self-supported optical correlator, comprising:
- a first holder having two opposite ends, one of said opposite ends being provided with anchor points, the other of said opposite ends being provided with a light source;
a second holder having two opposite ends, one of said opposite ends being provided with anchor points, the other of said opposite ends being provided with a light receiving element,
at least one intermediary holder, each of said at least one intermediary holder having two opposite ends, each of said at least one holder being provided with anchor points at each opposite end, at least one of said at least one intermediary holder being provided with a spatial light modulator for projecting an image and another spatial light modulator for projecting a filter,
each of said at least one intermediary holder being provided with optical components, said optical components being secured within said holders,
said anchor points being adapted to secure said first, second and intermediary holders together linearly end to end;
wherein, when said at least one intermediary holder are assembled, and said first holder is assembled at one extremity and said other holder is assembled at another extremity, said resulting assembly forms said optical correlator.
In accordance with yet another aspect of the invention, there is provided a self-supported optical correlator, comprising a housing for receiving a light source at one extremity and a light receiving element at another extremity, said housing being further adapted to receive optical components therein, said optical components being tolerated and forming an optical correlator, said housing being further adapted to receive therein a display for projecting an image in an optical axis and a display for projecting a filter in said optical axis, said housing being tubular and having an opaque outer surface.
BRIEF DESCRIPTION OF THE DRAWINGS
The present invention will be better understood after having read a description of a preferred embodiment thereof, made in reference to the following drawings in which:
FIG. 1 is a cross-sectional view of an optical correlator according to a preferred embodiment thereof;
FIG. 2 is a perspective view of the correlator of FIG. 1;
FIG. 3 is a partial cross-sectional view of the correlator of FIG. 1;
FIG. 4 is a representation of a plurality of correlators stacked together;
FIG. 5 is a schematic representation of tagging;
FIG. 6 is a schematic representation of a polarity LUT application;
FIG. 7 (Prior art) is a schematic representation of a typical correlator; and
FIG. 8 is a schematic representation of a system using a correlator.
DESCRIPTION OF A PREFERRED EMBODIMENT OF THE INVENTION
The tubular optical correlator optomechanical structure proposes a self-supported tubular architecture illustrated in a preferred embodiment in FIGS. 1 and 2. However, although a combined structure is illustrated in the accompanying Figures, the present invention also concerns an overall structure which may differ.
For example, as will be understood hereinafter, there may be more or less individual holders.
One advantage of the structure of the present invention is that it combines the component holder and the optical structure into a single structure that reduces the overall number of components.
To that effect, the tubular optical correlator optomechanical structure consists in a single tubular assembly structure 10, where the holders of the optical components are used at the same time as building blocks for the tubular optical correlator structure.
More specifically, the tubular optical correlator preferably consists in a first and second holders. The first holder 11 has two opposite ends 111, 113. A first opposite end 111 is provided with anchor points 1 and the other opposite end 113 is provided with a light source 6, preferably a laser.
The second holder 16 has two opposite ends 115, 117. A first opposite end 115 is provided with anchor points 1 and the other opposite end 117 is provided with a light receiving element 5, such as a camera.
The optical correlator 10 further preferably includes a plurality of intermediary holders 12, 13, 14, 15 which are longitudinally assembled together. Each holder 12, 13, 14, 15 has anchor points 1 at each opposite end, and is further provided with optical components 2.
At least one intermediary holder is provided with a display 3 for projecting an image, and another intermediary holder is provided with a display 3 for projecting a filter. In a preferred embodiment of the invention, the displays are of course adapted to the invention, and include spatial light modulators.
Preferably, the holders 11, 12, 13, 14, 15 have an opaque outer surface, and are preferably tubular.
An example of an intermediary optical component holder is illustrated in FIG. 3 where the optical components are inserted in a monoblock tubular structural element. The multiple structural elements are assembled together as illustrated in FIG. 1. Each structural element is attached to the adjacent ones at anchor points. Combined together, all the building blocks generate a single self-supported structure illustrated in FIGS. 1 and 2. No supplementary holding plate or external structure is required to further position and support the component holders.
FIG. 3 illustrates a single structural element or tubular optical correlator module. The optical design of the correlator is tolerated. This means that the optical components may be slightly displaced either laterally or longitudinally, within a mechanical tolerance, without affecting significantly the correlation obtained. The maximum displacement is different for each element of the optical correlator. The optomechanical support must respect fabrication tolerances that are compatible with the maximum displacement permitted for the various optical components. Doing so the optical design prescriptions are respected when using the optomechanical support. The optical components of FIG. 3 are constrained by the housing. Consequently alignment does not require translation or tilt mechanisms reducing the number of components and the time required to align the system.
The use of a tubular architecture provides a rigid self-supported structure that can be further mechanically isolated from the apparatus housing. This will prevent the environmental vibrations to affect the mechanical stability of the optical correlator.
All building blocks are thermally connected, as illustrated in FIG. 1, yielding a short stabilisation period for the tubular optical correlator structure. Moreover, the use a rugged tubular shape minimizes the thickness of the external structure illustrated in FIG. 3 required for a given rigidity when compared to other structures such as cubic or otherwise. With less material, the structure exhibits a smaller thermal inertia reducing consequently the period required to reach the thermal equilibrium of the tubular optical correlator.
The tubular architecture illustrated in FIG. 2 is preferably, as mentioned above, composed of holders exhibiting symmetry of revolution. These modules necessitate mostly turning machining that is cheaper and faster to fabricate than more complex shapes.
The outer walls of the tubular optical correlator optomechanical structure are opaque, as illustrated in FIG. 3, and cover completely the optical path. The light emerging from the optical path is thus confined within the holding structure. Doing so, and taking advantage of the self-supported structure, multiple tubular structures can be laterally stacked along each other (see FIG. 4) without mutually interfering. The tubular optical correlator architecture can thus be easily stackable.
The tubular optical correlator further contains an electronic control unit making use of a digital communication and addressing scheme that introduces onboard image, filter and correlation tagging to uniquely identify source information and corresponding results.
Based on this tubular optical correlator structure, real-life applications require some more specific items related to signal communication and driving electronic components. In a typical correlator the image and the filter are sent together, then after a certain lapse of time the correlation results is acquired. This process is based on a basic clock and is a continuous process. When the main control system send images and filters to the correlator there is an uncertainty about the correlation retrieval identification. Due to potential delays in processing time, in copy time, in transfer time or simply in display time, the correlation retrieved could come from the current image-filter pair sent, from the previous one, or from the ones sent some frames ago.
To obviate this uncertainty, according to a preferred embodiment of the invention, a tag is inserted in the image (Itag) and in the filter (Ftag) as illustrated in FIG. 5. When the optical correlator electronic driver receives the image-filter pair, the tag is extracted and copied on the following correlation (Ctag). When the correlation is sent back to the control system there is no temporal uncertainty between the filter and the image that were correlated and the corresponding result.
Many optical correlators use spatial light modulators that are driven with alternative polarity mode. Among others, this is done with liquid crystal technologies. The image is displayed first in a positive polarity, then in the following frame the image is displayed in inverted polarity. This prevents electrolysis of the liquid crystal display. However, inverting the signal polarity usually implies using the driving electronic components at a slightly different operation point yielding different response curves. Driving the spatial light modulator active medium with this signal can thus yield to a different response curve for the positive and the negative polarity.
To compensate for this effect, the present invention proposes the use of two look-up tables that can be used and applied alternatively to the positive polarity and the negative polarity frame.
FIG. 6 illustrates the temporal sequence of the look-up table implementation. At Time 1, a first set of look-up tables is applied to the image and filter. Then, at Time 2, the set of look-up tables corresponding to the reverse polarity is applied to the image and filter. Following this, at Time 3, the polarity is reversed back to the initial state and the first set of look-up tables is applied again. The look-up tables are applied over time with the same sequence. Once the look-up tables applied, the image and the filter are displayed on their respective spatial light modulator (SLM) destination. This makes the response more uniform and provides better temporal stability to optical correlation.
The tubular optical correlator is further equipped with a digital communication link and addressing scheme. When interfacing with a control system, the use of analog video signal in the correlator requires video resampling that may induce slight jitter in the video signal can translate in slight modification of the image and filter positions or smoothing of the edges of the image and the filter. With a pixel-to-pixel addressing scheme each pixel of the memory is addressed to a single pixel on the spatial light modulator without spatial resampling. This provides more stable image and filter display as well as better conformity between the information to be displayed and the signal actually displayed.
A complete system is illustrated in FIG. 8. A camera 30, or any other external sensor, captures an image such as scene 40. The output of the camera is sent to the input SLM. The driving electronics 21 apply a filter at filter SLM, and are further connected to the camera 5 for collecting the result of the correlation. The driving electronics further control the other aspects of correlation, such as tagging and using look-up tables. Alternately, the external sensor 30 could be connected to the driving electronics 21, which would in turn be connected to the input SLM.
As mentioned previously, the invention has been described made with reference to a preferred embodiment thereof. However, the invention does contemplate a variety of different structures for the holder. For example, one could envisage a holder made of two pieces, each piece being in the shape of a half-pipe. The pieces are machined to form receivers to receive the various components therein, so that when the half-pipes are joined together to form a tube, the components fit within the receivers and align in order to form the optical correlator. Furthermore, although a plurality of intermediate holders have been described, there may be as little as one, provided that the design allows for the insertion of the various components.
Although the present invention has been explained hereinabove by way of a preferred embodiment thereof, it should be pointed out that any modifications to this preferred embodiment within the scope of the appended claims is not deemed to alter or change the nature and scope of the present invention.
The invention claimed is:
1. A self-supported optical correlator, comprising:
a first holder having two opposite ends, one of said opposite ends being provided with anchor points, the other of said opposite ends being provided with a light source;
a second holder having two opposite ends, one of said opposite ends being provided with anchor points, the other of said opposite ends being provided with a light receiving element,
a plurality of intermediary holders, each having two opposite ends, each of said holders being provided with anchor points at each opposite end, at least one of said intermediary holders being provided with a spatial light modulator for projecting an image and another of said intermediary holders being provided with another spatial light modulator for projecting a filter,
each of said intermediary holders being provided with optical components, said optical components being secured within said holders,
said anchor points being adapted to secure said first, second and intermediary holders together linearly end to end; wherein, when said intermediary holders are assembled end to end, and said first holder is assembled at one extremity and said other holder is assembled at another extremity, said resulting assembly forms said optical correlator.
2. A self-supported optical correlator according to claim 1, wherein each of said first, second and intermediary holders
have an opaque outer surface, and a hollow inside, said inside defining a longitudinal optical axis.
3. A self-supported optical correlator according to claim 2, wherein said of said first, second and intermediary holders and said optical components are toleranced.
4. A self-supported optical correlator according to claim 2, wherein said optical correlator is mechanically insulated from environmental vibration.
5. A self-supported optical correlator according to claim 2, wherein connections at said anchor points further include thermal connections.
6. A self-supported optical correlator according to claim 2, wherein said first, second and intermediary holders are tubular.
7. A self-supported optical correlator according to claim 2, wherein said optical correlator is adapted to be laterally stacked.
8. A self-supported optical correlator according to claim 2, further comprising a control unit, said control unit introducing a tag in an image and in a filter, so that when an optical correlator electronic driver receives an image-filter pair, said tag is extracted in order to ensure correlation between said filter and said image.
9. A self-supported optical correlator according to claim 2, wherein said correlator uses two look-up tables applied to an image and a filter, a first look-up table being of normal polarity and a second look-up table being of reversed polarity, said first and second look-up tables being used alternately.
10. A self-supported optical correlator, comprising:
a first holder having two opposite ends, one of said opposite ends being provided with anchor points, the other of said opposite ends being provided with a light source;
a second holder having two opposite ends, one of said opposite ends being provided with anchor points, the other of said opposite ends being provided with a light receiving element,
at least one intermediary holder, each of said at least one intermediary holder having two opposite ends, each of said at least one holder being provided with anchor points at each opposite end, at least one of said at least one intermediary holder being provided with a spatial light modulator for projecting an image and another spatial light modulator for projecting a filter,
each of said at least one intermediary holder being provided with optical components, said optical components being secured within said holders,
said anchor points being adapted to secure said first, second and intermediary holders together linearly end to end; wherein, when said at least one intermediary holder are assembled, and said first holder is assembled at one extremity and said other holder is assembled at another extremity, said resulting assembly forms said optical correlator. |
An Honest Revelation
— An Open Letter
by Ven. Master Hsing Yun, 1927-2023
Dear Dharma protectors, friends, and disciples,
I am taking this opportunity to make an honest revelation to you all.
All my life, many have thought of me as rich, but the truth is, staying poor has always been my motto. I grew up in a poverty-stricken family, yet I never saw myself as poor, because I always felt rich in heart. Till my old age, many have thought of me as wealthy because they believe I own many temples, buildings, cultural enterprises, and even houses, and foundations; however, I never felt that I owned anything because I believe all belong to the public, not to me. Although I have constructed many temples around the world, none of these houses, buildings, or even any of the furniture were intended for me. I own not a single piece of the tiles above my head or a single mound of the dirt beneath my feet. Every object within the Buddhist community belongs to the world, so how can there be such a thing as individual possessions? Nonetheless, in my mind, I can still feel that the entire world is mine.
All my life, I have owned neither a desk nor a cupboard. Even though my disciples have considerably presented them for me, I still never used them. All my life, I have never gone to the markets to shop, nor have I ever kept any savings. Everything that I have belongs to the public, the Fo Guang Shan Order, and the monastery. Likewise, all my disciples should follow the same example in dedicating one’s body and mind to the monastery, and live by following conditions.
All my life, many have thought of me as someone with an innate ability to gather an assembly. The truth is, I have a very lonely heart, devoid of a personal preference or animosity towards anyone. Others may view me as having a vast following of disciples and admirers, but I have never regarded them as mine, for my only wish is for them to find a place of belonging in Buddhism.
I have no personal possessions such as money, land, or memorabilia to divide between you. If you wish for something, just take one of my many books for remembrance; and if you want nothing, then even my words of advice will be of little use. All I have to offer is Humanistic Buddhism for you to learn from, and the temples for you to support.
I am impartial and show no preference to any individual. The Order has established a system and standards for determining rank, but maintaining fairness is a challenging task. Promotions are based on one’s performance in their assigned role, as well as their spiritual growth, study, and accomplishments, which differ from person to person. Success, ranking, and recognition are all connected to our personal merits; therefore, I cannot personally have a say in whether someone will be promoted or not. For this, I am truly sorry to my disciples, as I am unable to make everyone happy by speaking out on their behalf in the pursuit of fairness. But I hope this serves as a lesson in the reality of disappointment and adversity. The authority to approve promotions or demotions lies with the Board of Directors, while the true measure of spiritual cultivation as a monastic will always be weighed through the essence of Dharma. No worldly rules can accurately reflect this.
What concerns me about the future are the job transfers for my disciples. Although Fo Guang Shan is not a government, it nevertheless consists of numerous departments and a job transfer system. The Sangha Affairs Committee shall strive to assign appropriate personnel to each position. Any discrepancies between assigned positions and individual preferences or aspirations must be reconciled. Equality is a complex and challenging concept to define and measure in this world, but our ability to lead a peaceful and contented life depends on our unique interpretations of it.
All my life, many have thought of me as making painstaking efforts in establishing all these undertakings. The truth is, it has been very simple and easy for me, because in collective effort, I am merely a part of the team. I give my best in achieving the goals, and leave the rest to conditions. Many have thought of me as an expert in management; the truth is, the only thing I know is to take no action in government. I think everyone for whom I have made assistance decisions knows, because aside from the precepts and regulations, we do not have the right to discipline others. With everything that happens in this world, there is no need to take joy in seeing them come, or feel regret in seeing them go. Somehow, we all deserve to be free and at perfect ease when going along with the conditions. The ability to be in accord with the Way and to be compatible with the Dharma makes us the wealthiest in the world.
All my life, I have abided by the philosophy of giving. I have always given others my compliments and fulfilled their wishes. Being well aware of its importance, I always bear in mind the importance of developing affinities and spreading the seeds of Dharma everywhere I go. For this very reason, I have always taken the working motto of the monastery members: “give others faith, give others joy, give others hope, and give others convenience.” My desire to establish educational institutions stems from my own lack of formal education, and the realization that education is the key to self-improvement and transformation of character. I have also dedicated myself to writing, as the teachings of Dharma that I inherited from the Buddha must continue to flow from my heart to the rest of the world.
All my life, I have abided by the following principles: “to retreat in order to advance; to regard the world as oneself; to move nothing in order to have something; to take joy in the truth of emptiness.” My monastic disciples should cultivate a mindset of transcendence and escape in worldly pursuits with a detached perspective. Furthermore, they must live a life of simplicity and refrain from accumulating material possessions. The monastic traditions from the Buddha’s era, such as owning only three robes and one bowl, having a total of no more than two and a half catties in personal possessions, and adhering to the eighteen ascetic practices, are excellent traditions that should be preserved and should be deeply considered and remembered. Disciples of Fo Guang Shan must never raise funds, keep savings, construct temples, or establish connections with devotees for private purposes. If these rules are upheld, the glory of the Fo Guang Shan lineage will endure forever. Everyone must abide by the following: “glory goes to the Buddha, success goes to the community, benefit goes to the monastery, and merit goes to the devotees.”
One must know that “the Buddha’s Way fills the vast emptiness; the Truth is omnipresent within the Dharma realm.” Everything in this Dharma realm belongs to me, yet the phenomena of impermanence also tells me that nothing is mine. There is no need to become overly attached to worldly matters. A practitioner of Humanistic Buddhism must remain connected to the world, but like a scarecrow watching over flowers and birds, we must not be overly deliberate or discriminative.
All of my disciples should own nothing but the Dharma. Anything such as money or material goods should be given away whenever possible, because these are objects which belong to the world. All monetary possessions should become our property, because anything we have is provided by the monastery. By doing so, we will avoid conflicts and disputes over material possessions. By fostering a virtuous mindset, we need not worry about our basic needs. I urge my disciples not to dwell on the trivial concerns of daily life, but instead to allow the monastery to use its resources for noble causes. The path to peace and prosperity for Fo Guang Shan lies in renouncing material wealth and focusing on the Dharma.
Asides from daily provisions for the monastery, any surplus money should be dedicated to cultural, educational, or charitable endeavors. Fo Guang Shan receives from all, and thus, shall give back to all. We must provide emergency relief, care for the helpless who have no kith and kin, and give to the poor and needy whenever the circumstances require. Disaster and poverty are all misfortunes of the world; it is a matter of course for us to extend a helping hand.
The lands of Fo Guang Shan, the Buddha Museum, and all branch temples are neither owned by the state nor leased. All of these were purchased with donations made by our devotees. With the only exception being the National Broadcast Network of Taichung, all these properties belong collectively to the monastic and lay assemblies of Fo Guang Shan. None of these properties have a joint partnership or are associated with any other organization. Since the founding of Fo Guang Shan, no money has ever been borrowed.
Branch temples must be well-assisted and renovated to provide better environments for devotees. Shall any of the branches become difficult to maintain, they will be closed down with the consent of the local devotees or concerned on funding for cultural, educational, and charitable endeavors. None should be prohibited for personal use. Monetary exchanges, except for donations, should not ever be made with other Buddhist organizations or individuals. Reimbursements or loans should never be involved to avoid disputes in the future.
I have devoted my entire life to the Buddha, regarding him as my teacher, and taken Buddhism as my path. Therefore, in our future practices, we should revere the Buddha and his ten foremost disciples as role models, and the Buddhist patriarchs as exemplars. In propagating Buddhism, branch temples across the world should strive to localize by assigning local nationals abbacy postings. All my teachings on Humanistic Buddhism should be conveyed in a way that reaches out to families and is accepted by people.
All my life, I have aspired to propagate Humanistic Buddhism. Anything that is taught by the Buddha himself, is needed by human beings, is pure, and is virtuous and beautiful; any teaching that promotes the happiness of humanity is regarded as Humanistic Buddhism. In addition, we should realize suffering as the common enemy that threatens us. While impermanence means nothing is fixed, it can also change our futures to make our lives even better. Emptiness does not mean “nothingness,” but builds upon the idea of existence. Only when there is emptiness, can there be existence. In my life, I have owned nothing; is this not wondrous. Existence arising from emptiness? I firmly believe that the teachings of Humanistic Buddhism will be a guiding ray of light for humanity in the future. Speaking good words is beautiful, doing good deeds is virtuous, and thinking good thoughts is beautiful. We must let truth, virtue, and beauty take root in our society through practicing the Three Acts of Goodness. Wisdom is prajna, benevolence is compassion, and courage is bodhi wisdom. We must strive to achieve them, so that we can develop a mind of morality, concentration, and wisdom, with practicing the bodhisattva path as our spiritual cultivation.
Humanistic Buddhism originates from the Buddha and has now become widespread. However, the insistence on different views since ancient times has resulted in the division into the Shataviravada and Mahasamghika schools in India, and into the eight schools of Chinese Buddhism. Despite the differences in practice and theory, they are understandable, but comparing and competing over who is right and wrong goes against the spirit of Buddhism. For this reason, the development of Fo Guang Shan
and Buddha’s Light International Association (BLIA) will surely define them as trustworthy organizations in the Buddhist community.
If any of you are interested in maintaining the solidarity of Fo Guang Shan’s monastic and lay assemblies, you can follow in the footsteps of ancient sages in establishing a sect. Nonetheless, the introduction of a new sect depends on the efforts and accomplishments of later generations. Should anyone be able to contribute to Buddhism and command public respect and support, it would be beneficial for a contemporary Buddhist school to stand out and become the pivot of Buddhism.
For those who do not see eye to eye with the approaches of Humanistic Buddhism, it is just as the saying goes, “Even after one has already eradicated attachment to the self, it is still difficult to correct one’s attachment to the Dharma.” Should anyone opt to establish their own school, we will have to be open-minded and accept them as a branch of the Fo Guang Dharma lineage. As long as it does not deviate from the core teachings or the lineage, we must strive for tolerance.
Our objectives are not focused on our own accomplishments, but on the transmission of Buddhism regardless of gender or age. On the great path of the Buddha’s Light, the four assemblies of monastics and laity already have established roles. The monastics, the bhikus and bhiksunis of Fo Guang Shan, shall shoulder the responsibilities of propagating Buddhism while the laymen and laywomen of the lai shan share their talents and make full use of their abilities to complement our stream; a common understanding and solidarity will unite everyone in keeping the BLIA on the rise, so that the Buddha’s light will shine universally and the stream of Dharma will flow for eternity. Members of the BLIA should be encouraged to keep a livelihood that is in accord with the Noble Eightfold Path. Let us help one another so that we can progress and develop together.
Although the BLIA is affiliated under the Fo Guang Shan Order, both monastics and laity can live in harmony without disputes or conflicts, just as emptiness and existence are two sides of the same coin. Fo Guang Shan already has a democratic system in effect, therefore the leaders of Fo Guang Shan and BLIA should comply unanimously with the standards established and consider public opinion.
As an advocate of equality, I firmly believe that both men and women, both the rich and the poor, are all equal without discrimination. All living beings have the Buddha nature, whether sentient or insentient, all living beings can also attain Nirvana. Therefore, I hope to thoroughly put into practice the spirit of “equality” and “to live by belief,” through the efforts of “respect for human rights” and “promoting the right to life.” We must cherish every tree and flower at Fo Guang Shan, care for our neighbors, encourage the youths at the children’s home, express our concern to the elders at the senior’s home, and respect the elders of the sangha community.
I hope to leave good causes and conditions for humanity, the sentiments of Dharma for followers, the seeds of faith for myself, and unsurpassed glory for the Buddhist congregation. May the entire world believe in the Law of Causes, Conditions, and Effects. I hope that everyone can practice kindness, compassion, joy, and equanimity, as well as leave their goodwill to the world.
The undertakings to propagate Humanistic Buddhism (such as establishing universities, television stations, newspapers, publishing houses, Cloud and Water Mobile Libraries, senior homes, children’s homes, and services that benefit society) must be offered mutual support. The Water Drop Teachings should be promoted and place an even greater emphasis on the idea of “a gratitude for a drop of water.” If we have the opportunity, we should also pay a visit to the Ancestral Temple of Fo Guang Shan—Dajue Temple in Yixing, China. I have always honored works relating to cultural, educational, and charitable endeavors; therefore I have established the Venerable Master Hsing Yun Public Education Trust Fund, which has raised more than one billion dollars to date. In addition to contributions by a handful of devotees, most of its funding comes from my One-Stroke Calligraphy and the royalties from my books. In the future, endeavors can be supported by the elders of Fo Guang Shan as well as Buddhists in entrusting their inheritances to the trust fund, to allow further expansion in benefiting society and leading a good example for the country.
Awards—such as the Truthful, Virtuous, and Beautiful Media Awards, the Three Acts of Goodness Schools, the Global Chinese Literature Awards, and the Hsing Yun Education Award—can be established as long as there is sufficient funding. Fostering progress in society is the unshakable responsibility of every Buddhist.
In terms of education, the monastery’s largest expenditure is towards the management of several universities and high schools. As long as the right conditions are present, management of the schools can be unconditionally handed over to those with affinities, so long as they are not sold or bought. If the schools are sold, how will we explain ourselves to those who have contributed to the funding? It would not be beneficial for Fo Guang Shan’s reputation and will be criticized by others. Any group that contributes to Fo Guang Shan’s cultural and educational undertakings should be reimbursed, so that those with aspirations can be even more closely united. Constructive comments, or even criticism should not be refused; we need to bear the magnanimity of ‘taking joy in having one’s errors pointed out.’ We must accept everyone’s opinions, so that they will be even more supportive.
Very often, I would see the monastic disciples from the Landscaping Unit weeding and trimming flowers. I would also see fellow practitioners in the Environmental Care Unit sorting out recycling, the Construction Unit doing repair and maintenance work, the Finance and Overseas Executive Council handling their services, as well as the library staff, the shrine attendants, and the heads of the shrines. Their efforts and willingness to undertake responsibility are the true forces behind Fo Guang Shan’s success; it is their dedication and sense of responsibility that inspires me and fills me with gratitude. Without everyone’s resolve, how could there be Fo Guang Shan as it is today? From today onwards, training should be given on receiving guests, caring for devotees, and the participation of volunteers, so that our religious organization can reach even greater heights.
Therefore, it is my lifetime aspiration for the spirit of teamwork to prevail and persevere without complaints and regrets. For no one can exist solely by themselves, everyone must help and respect one another, coexist and thrive together. Only then can one grasp the fundamental essence of the Buddha’s teachings. It is preferable to forgo one’s personal gain, showing forbearance, rather than harming the monastery and society.
One of the predecessors from my hometown, Master Jianzheng of the Tang dynasty, had to go through numerous obstacles to reach Japan to propagate culture. At the old age of seventy-five, aware that there weren’t any prospects of returning to his village, he wrote the following verse: “Across the mountains, streams, and foreign lands; all places under the same sun, moon, and sky. Hope lies in all Buddhist practitioners, to create future affinities together.” The current of life is like a river with no return, but there may still eventually come a day of coming back. The end of one lifetime also marks the beginning of another. No man is an island; to live, we need the services provided by different people such as scholars, farmers, artisans, and merchants, as well as the assisting conditions of earth, water, fire, and wind. Everything in nature, such as the sun, moon, and stars, as well as the mountains, river, and earth, are all part of our lives. Therefore, we should cherish the Earth that we call home, and repay all beings on this planet to repay the kindness, benefits, and assistance they have shown us.
Each one of us came into this world empty-handed, and will leave empty-handed. Reflecting on a lifetime, I cannot tell you what I have brought into this world, but I shall take with me the joy and good affinities of this world. I will never forget the many devotees who have happily given and supported me, as well as the blessings of many fellow practitioners. Nor will I ever forget all the conditions that have assisted me, as they are etched into my heart. All the blessings of the Buddha and the friendships I have formed in this lifetime are truly magnificent; I feel my life in this world has been lived with great value. I vow to devote lifetime after lifetime to the Buddha and to serve all beings, thereby repaying the four types of gratitude.
Now, as I am about to leave with the respect you have given me, with the blessings you have bestowed upon me, the care you have given me, and with the friendship you have given me, I want to repay you with my gratitude. I hope all of you can remember and put into practice what I have said in speeches given throughout my life, such as “Work by collective effort, lead by a system. Do but what is in accord with Buddha, and rely on nothing but the Dharma.” Also, remember the verse spoken during Dharma transmissions: “The bodhi seeds of the Buddha’s light are sown across the mountains, rivers, and oceans; blooming and bearing fruit, the whole universe will be illuminated.” Those who have never seen it say, “Where there is Dharma, there is a way,” should practice compassion, kindness, joy, equanimity, creating affinities, and repaying gratitude. Furthermore, be harmonious, upright, of service, normal, honest, patient, fair, just, willing, and practice the way of the Buddha. With these principles of the Dharma, a path will naturally present itself.
All my life, although I have encountered many ordeals of time, I still feel very fortunate. I have enjoyed hardship, poverty, struggle, and having nothing. I have understood that all Four Elements are existence; I have felt flowers blooming in all four seasons. The Buddha and devotees have given me too much. Although reinforced and destined to sacrifice personal enjoyment, I have actually enjoyed the profound happiness that comes from sacrifice. I feel that the happiness from Chan and the joy from the Dharma found in the Buddha’s teachings are already too much to enjoy.
In regards to the conclusion of this life, there will be no relics, and all unnecessary and over–elaborate formalities are to be completely omitted. A few simple words written or Buddhist songs chosen from the “Sounds of the Human World” may be sung by those who miss me. The most fitting way to honor my memory and my sincere wish is for everyone to bear the teachings of Humanistic Buddhism in mind and always practice Humanistic Buddhism.
The last thing that I am concerned about, other than the happiness and peace of devotees, is everyone in the monastery—in particular, the teachers and students of the Buddhist College. Since they are the future bodhi seeds of Fo Guang Shan, they must be grounded and dedicated, so that Humanistic Buddhism may last as long as heaven and earth, and can remain a part of us always.
The banner of Dharma cannot be toppled. The lamp of wisdom must never be extinguished. I hope everyone is able to continue to progress on the great path of Humanistic Buddhism, to support and uplift each other, and to nurture our own well-being for the sake of Buddhism.
Hsing Yun
Residence of the Founding Master,
Fo Guang Shan
October 4th, 2014
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THIS INDENTURE made between the Calumet Land Company, a Wisconsin corporation, by Clarence J. Allen, Fred Falber, Oscar E. Nell and Frank R. Bacon, Legal administrators on dissolution of said company, for and on its behalf and with due authority therefor, first party, and the Village of Fox Point, a municipal corporation duly organized and existing under and pursuant to the laws of the State of Wisconsin, second party,
WITNESSETH: That the said first party for and in consideration of the sum of one dollar ($1.00) and other good and valuable considerations to it in hand paid by said second party, the receipt whereof is hereby confessed and acknowledged, has given, granted, bargained, sold, remised, released and quitclaimed, and by these presents does give, grant, bargain, sell, remise, release and quit-claim unto the said second party, and to its successors and assigns forever, for public highway purposes, the following described parcels of real estate, situated in the Village of Fox Point, Milwaukee County, Wisconsin, and more particularly described as follows, to-wit:
A parcel of land fifty (50) feet in width presently used as a highway and known as East Daisy Lane (formerly Daisy Field Road), being a part of the Southwest ¼ of Section 16, Town 8 North, Range 22 East, Village of Fox Point, Milwaukee County, Wisconsin, whose center line is described as follows:
Commencing at a point in the East line of North Lake Drive said point being 1228.68 feet N. 89° 57' W. of
and 843.01 feet N. 0° 14' 30" E. of the Southeast corner of the said Southwest ¼ of Section 16; thence N.2° 11' 30" E. 46.59 feet to the point of beginning, said point being in the East line of said North Lake Drive. Thence S. 89° 56' E. 310.68 feet to a point; thence N. 75° 48' E. 484.30 feet to a point in the center line of a 65 foot wide public highway known as North Bridge Lane.
A parcel of land fifty (50) feet in width presently used as a highway and known as East Thorn Lane, being a part of the Southeast ¼ and the Southwest ¼ of Section 16, Town 8 North, Range 22 East, Village of Fox Point, Milwaukee County, Wisconsin, whose center line is described as follows:
Commencing at a point in the center line of a public highway known as North Lake Drive said point being 250.00 feet N. 89° 58' W. and 104.18 feet S. 3° 38' W. of the center of said section 16, thence easterly on a curved line whose radius is 287.55 feet and center to the south (the long chord of which bears S. 75° 16' E. 185.65 feet) 189.58 feet to a point; thence easterly on a curved line whose radius is 280 feet and center to the north (the long chord of which bears S. 71° 02' E. 160.80 feet) 162.73 feet to a point thence easterly on a curved line whose radius is 280.00 feet and center to the north (the long chord of which bears N. 79° 15' E. 135.98 feet) 138.24 feet to a point; thence easterly and southerly on a curved line whose radius is 130 feet and center to the southwest (the long chord of which curve bears S. 43° 40' W. 246.03 feet) 321.80 feet to a point; thence southerly on a curved line whose radius is 499.10 feet and center to the east (the long chord of which bears S. 24° 47' W. 40.00) 40.01 feet to a point; thence southerly on a curved line whose radius in 499.10 feet and center to the east (the long chord of which bears S. 11° 47' W. 185.34 feet) 185.51 feet to a point; thence southerly on a curved line whose radius is 499.10 feet and center to the east (the long chord of which bears S. 10° 14' E. 185.74 feet) 197.30 feet to the northeast corner of the W. Coleman property as described in Volume 601 page 450 of deeds recorded in the Milwaukee County Register of Deeds Office.
A parcel of land thirty (30) feet in width presently used as a highway and known as East Coleman Lane, being a part of the Southeast ¼ and Southwest ¼ of Section 16, Town 8 North, Range 22 East, Village of Fox Point, Milwaukee County, Wisconsin, whose center line is described as follows:
Commencing at a point in the center line of a public highway known as North Lake Drive which point is 526.08 feet S. 0° 42' W. of and 421.93 feet N. 89° 56' W. of the center of said Section 16. Thence easterly on a curved line whose radius is 400.00 feet and center to the North (the long chord of which bears S. 89° 0' E. 143.50 feet) 144.28 feet to a point; thence easterly on a curved line whose radius is 436.87 feet and center to the north (the long chord of which bears No. 88° 53' E. 176.33 feet) 178.45 feet to a point; thence N. 77° 07' E. 25.27 feet to a point; thence easterly on a curved line whose radius is 953.41 feet and center to the south (the long chord of which bears N. 83° 10' E. 201.22 feet) 321.60 feet to a point; thence Easterly on a curved line whose radius is 953.41 feet and center to the south (the long chord of which bears S. 88° 41' E. 136.36 feet) 136.40 feet to a point; thence Southwesterly on a curved line whose radius is 328.13 feet and center to the southwest (the long chord of which bears S. 75° 10' E. 82.66 feet) 83.08 feet to a point in the center line of a highway known as East Thorn Lane.
A parcel of land fifty (50) feet in width presently used as a highway and known as East Hyde Way (formerly Station Road), being a part of the Northeast ¼ of Section 16, Town 8 North, Range 22 East, Village of Fox Point, Milwaukee County, Wisconsin, whose center line is described as follows:
Commencing at a point in the center line of a public highway known as North Lake Drive said point being 1204.56 feet N. 0° 00' W. or and 263.46 feet N. 85° 56' W. of the center of said section 16; thence S. 5° 06' W. along the center line of said North Lake Drive 175.80 feet to the point of beginning. Thence N. 89° 56' W. 828.20 feet to a point; thence N. 44° 50' W. 91.82 feet to a point; thence N. 0° 14' 30" E. 55.00 feet to a point; thence on a full circular curve, whose radius is 55.00 feet and whose center is N.89° 56' W. 345.58 feet to the last mentioned point, including also all of the area within said circular curve.
A parcel of land fifty (50) feet in width presently used as a highway and known as East Wye Lane, being a part of the Southwest ¼ of Section 16, Town 8 North, Range 22 East, Village of Fox Point, Milwaukee County, Wisconsin, whose center line is described as follows:
Commencing at the point of intersection of the center line of said public highway known as East Wye Lane with the west line of the Yates tract, so called, said point being 1075.16 feet S. 0° 42' W. of and 11.70 feet N. 80° 58' W. of the center of said section 16, and also being the Northeast corner of the James property as described in Volume 681 page 307 of deeds recorded in the Milwaukee County Register of Deeds office. Thence westerly along a curved whose radius is 398.20 feet and center to the South (the long chord of which bears N. 76° 41' W. 252.72 feet) 257.24 feet to a point; thence westerly along a curved line whose radius is 700 feet to the north (the long chord of which bears N. 78° 38' W. 401.98 feet) 407.89 feet to a point on the east line of a public highway known as North Lake Drive.
A parcel of land fifty (50) feet in width presently used as a highway and known as East Club Circle (formerly Club Circle), lying in the north half of Section 16, Town 8 North, Range 22 East, Village of Fox Point, Milwaukee County, Wisconsin, described as follows:
Commencing at a point which is 583.77 feet S. 0° 06' 30" E. of the north quarter corner of said section 16; thence S. 80° 48' 50" W. 30.06 feet to a point; thence S. 65° 57' W. 289.98 feet to the point of beginning, of this description, said point being the intersection of said center line of Club Circle with the center line of a public highway known as North Lake Drive; thence N. 65° 57' E. 289.98 feet to a point; thence northeasterly along a curved line whose radius is 400 feet and center to the south (the long chord of which bears N. 69° 48' 50" E. 39.96 feet) 39.96 feet to a point; thence northeasterly along a curved line whose radius is 737.23 feet and center to the south (the long chord of which bears N. 82° 50' 30" E. 260.05 feet) 261.55 feet to a point; thence southeasterly along a curved line whose radius is 200 feet and center to the south (the long chord of which bears S. 83° 53' E. 21.70 feet) 21.71 feet to a point; thence S. 80° 46' 30" E. 76.10 feet to a point; thence southeasterly along a curved line whose radius is 200 feet and center to the south (the long chord of which bears S. 78° 51' E. 13.44 feet) 13.44 feet to a point; thence southeasterly along a curved line whose radius is 1000 feet and center to the south (the long chord of which bears S. 70° 05' 30" E. 237.95 feet) 238.53 feet to a point; thence southeasterly along a curved line whose radius is 100 feet and center to the south (the long chord of which bears S. 60° 05' E. 11.08 feet) 11.08 feet to a point; thence S. 56° 54' 30" E. 473.14 feet to a point; thence southeasterly along a curved line whose radius is 40.61 feet and center to the southwest (the long chord of which bears S. 16° 23' E. 55.84) 57.45 feet to a point; thence S. 24° 08' 30" W. 333.63 feet to a point; thence southwesterly along a curved line whose radius is 62.84 feet and center to the southwest (the long chord of which curve bears S. 56° 01' 40" W. 66.18 feet) 60.71 feet to a point; thence S. 87° 54' 50" W. 97.72 feet to a point; thence southwesterly along a curved
line whose radius is 239 feet and center to the southeast (the long chord of which bears S. 47° 54' 40" W. 307.28 feet) 335.73 feet to a point; thence S. 7° 54' 30" W. 64.85 feet to a point; thence southwesterly along a curved line whose radius is 254.50 feet and center to the northwest (the long chord of which bears S. 13° 12' W. 294.06 feet) 313.52 feet to a point; thence S. 78° 29' 30" W. 153.23 feet to a point; thence westerly along a curved line whose radius is 789.75 feet and center to the north (the long chord of which bears N. 85° 27' W. 436.70 feet) 442.46 feet to a point in the center line of a public highway known as North Lake Drive, the last eighteen described courses being on and along said center line of Club Circle. Also a triangular parcel of land described as follows: Commencing at a point on the south line of said Club Circle 25.00 feet S. 11° 30' 30" E. of the west end of sixteenth course along said center line of Club Circle described above as a curved line 313.52 feet long with a radius of 254.5 feet; thence N. 78° 29' 30" E. 143.49 feet to a point; thence N. 2° 22" W. 44.02 feet to a point; thence southwesterly along a curved line whose radius is 279.50 feet and center to the northwest (the long chord of which bears S. 62° 11' 30" W. 156.90 feet) 159.05 feet to the point of beginning of said triangular parcel.
Also a triangular parcel of land described as follows: Commencing at the point of intersection of the north line of said Club Circle with the south line or a highway known as Lilac Lane, said point being 0.23 feet N. 87° 54' 50" E. of and 25.00 feet N. 2° 05' 10" W. of the southwest end of the thirteenth course along said center line of Club Circle described above as bearing S. 87° 54' 50" W. 97.72 feet; thence N. 56° 29' 30" W. along said south line of Lilac Lane 41.15 feet to a point; thence southerly along a curved line whose radius is 15 feet and center to the southwest (the long chord of which bears S. 11° 20' 10" W. 27.78 feet) 35.51 feet to a point; thence northwesterly along said north line of Club Circle on a curved line whose radius is 284 feet and center to the southeast (the long chord of which bears N. 83° 30' 40" E. 40.02 feet) 40.02 feet to the point of beginning of said triangular parcel.
A parcel of land fifty (50) feet in width presently used as a highway and known as Lilac Lane, lying in the north half of Section 18, Town 8 North., Range 22 East, Village of Fox Point, Milwaukee County, Wisconsin; whose center line is described as follows:
Commencing at a point which is 585.77 feet S. 0° 06' 30" E. of the north quarter corner of said section 18; thence S. 69° 48' 50" W. 39.35 feet to a point; thence S. 66° 57' W. 289.98 feet to a point; thence S. 7° 49' W. 183.71 feet to the point of beginning of this description, said point being the point of intersection of said center line of Lilac Lane with the center line of a public highway known as North Lake Drive; thence N. 62° 32' 30" E. 223.70 feet to a point; thence easterly along a curved line whose radius is 277.95 feet and center to the south (the long chord of which curve bears S. 68° 26' E. 87.20 feet) 87.59 feet to a point; thence southeasterly along a curved line whose radius is 722.50 feet and center to this south (the long chord of which bears S. 68° 14' 30" E. 275.98 feet) 291.55 feet to a point; thence S. 57° 04' 30" E. 109.29 feet to a point; thence S. 56° 29' 30" E. 485.33 feet to a point; thence southwesterly along a curved line whose radius is 62.84 feet and center to the north (the long chord of which bears S. 74° 17' 20" E. 38.30 feet) 38.82 feet to a point on the center line of a highway known as Club Circle, the last six described courses being on and along said center line of Lilac Lane.
WE HAVE AND TO HOLD the same, together with all and singular the appurtenances and privileges thereunto belonging or in any wise thereunto appertaining, and all the estate, right, title, interest and claim whatsoever of the said party of the first part, either in law or equity, either in possession or expectancy of, to the only proper use, benefit and behoof of the said party or the second part, its successors and assigns forever.
IN WITNESS WHEREOF, the said Calumet Land Company has caused these presents to be signed by its legal administrators on dissolution, at Milwaukee, Wisconsin, and its corporate seal to be hereunto affixed.
Dated this 30th day of September A. D. 1930.
Signed and Sealed
In Presence of:
Albert T. Buntrock, Jr.
Elizabeth Regan
As to Clarence J. Allen
Albert T. Buntrock, Jr.
Agnes Hallman
As to Oscar E. Hall
Albert T. Buntrock, Jr.
Agnes Hallman
As to Fred Felber
Elizabeth Regan
David H. Waschler
As to Frank R. Bacon
STATE OF WISCONSIN) SS.
MILWAUKEE COUNTY
Personally came before me this 10th day of October, A. D. 1930, the above named Clarence J. Allen, to me known to be one of the persons who executed the foregoing instrument, and to me known to be such legal administrator of the Calumet Land Company, a Wisconsin corporation, and acknowledged that he executed the foregoing instrument as such legal administrator as the deed of the Calumet Land Company for and on its behalf and by its authority.
Imp. Albert T. Buntrock, Jr., Notary Public
Notary Milwaukee County, Wisconsin.
Seal My commission expires April 22, 1934.
STATE OF WISCONSIN) SS.
MILWAUKEE COUNTY
Personally came before me this 11th day of October, A. D. 1930, the above named Fred Felber, to me known to be one of the persons who executed the foregoing instrument, and to me known to be such legal administrator of the Calumet Land Company, a Wisconsin corporation, and acknowledged that he executed the foregoing instrument as such legal administrator as the deed of the Calumet Land Company for and on its behalf and by its authority.
Imp. Albert T. Buntrock, Jr., Notary Public
Notary Milwaukee County, Wisconsin.
Seal My commission expires April 22, 1934.
STATE OF WISCONSIN)
MILWAUKEE COUNTY: ) SS.
Personally came before me this 13th day of October, A. D. 1930, the above named Oscar H. Hall, to me known to be one of the persons who executed the foregoing instrument, and to me known to be such legal administrator of the Calumet Land Company, a Wisconsin corporation, and acknowledged that he executed the foregoing instrument as such legal administrator as the deed of the Calumet Land Company, for and on its behalf and by its authority.
Imp. Albert T. Buntrock, Jr., Notary Public,
Notary Milwaukee County, Wisconsin.
Seal My commission expires April 22, 1934.
STATE OF WISCONSIN)
MILWAUKEE COUNTY ) SS.
Personally came before me this 10th day of October, A. D. 1930, the above named Frank R. Bacon, to me known to be one of the persons who executed the foregoing instrument, and to me known to be such Legal Administrator of the Calumet Land Company, a Wisconsin corporation, and acknowledged that he executed the foregoing instrument as such legal administrator as the deed of the Calumet Land Company, for and on its behalf and by its authority.
Recorded Oct. 28, 1930) Imp. Elizabeth Regan, Notary Public,
At 3:40 o'clock P.M. ) Notary Milwaukee County, Wisconsin.
Phillip C. Westrahl #1612162 Seal My commission will expire May 24, 1931.
Register |
Scuba Diving Participant Guide
TOYON BAY ❖ CATALINA ISLAND ❖ CALIFORNIA
33.3750° N, 118.3537° W
American Camp Association Accredited
NAUI Worldwide Member
DAN® Divers Alert Network
About Catalina Sea Camp
Catalina Sea Camp has been operated by Guided Discoveries, a 501(c)(3) educational nonprofit organization, since 1980. The mission of Guided Discoveries is to “make a difference in the lives of children through unique opportunities for discovery.”
Catalina Sea Camp offers exceptional ocean adventure and marine science experiences along with social camp activities. Located at the Catalina Island Marine Institute’s Toyon Bay campus, the coed, overnight summer camp boasts an expansive, protected waterfront and a 90 acre footprint. Specialty programming includes sailing, scuba diving, snorkeling, surfing, paddling, and marine ecology. One-week sessions are designed for campers aged 8-13 and three-week sessions are for campers aged 12-17.
About the Dive Program
The dive program at Catalina Sea Camp connects campers with the underwater world through snorkeling, freediving, and scuba diving. The program mission is to create an atmosphere of safety, accountability, and fun while students gain required knowledge, skills and experience exploring the ocean. The dive program is aligned with the National Associate of Underwater Instructors (NAUI) who’s core value of “Dive Safety Through Education” guides our operations.
One-Week and Two-Week Sessions (age 8-15)
All campers rotate through a schedule of various activities with their cabin group. During afternoon elective periods, 10-13 year old campers are able to individually select activities.
**Snorkeling:** Most dive programming during one-week sessions focuses on snorkel instruction and exploration, with an emphasis on fun! The objective of the program is to develop basic snorkel skills while campers gain comfort in the ocean and with their snorkel equipment. Introductory freediving skills are taught to campers who express interest and comfort. Cabin groups will snorkel in Toyon Bay, with the same instructor, two or three times over the course of the week.
**Try Dive:** During our two-week sessions, campers aged 13-15 have the opportunity to participate in an introductory scuba experience. The experience starts with a classroom component followed by gear and skill briefings. Once in the water our camper to instructor ratio is 2:1. Groups will practice skills on the surface and underwater. If all skills are completed they will go on a short underwater ‘tour’ to explore the bay (max depth 20’).
Three-Week Sessions (age 12-17)
Campers select their preferred courses prior to camp. Courses are scheduled in an alternating day block format. Courses run concurrently and meet six times over the three-week session.
Snorkeling/Skin Diving/Freediving: A range of courses are offered for campers with varying levels snorkeling and freediving experience. Introductory, photography, and videography courses allow campers to get in the ocean at multiple dive sites on the island. We offer SSI Freediving I Certification course for campers with freediving experience and comfort.
Scuba Diving: Scuba course offerings include introductory courses like ‘Try Dive’ and NAUI Open Water Certification. For divers holding an open water certification from a recognized agency, we offer a host of continuing education certifications including Rescue Diver, Master Diver, and Scuba Photography. Continuing education courses are only available for campers who are certified at the start of the camp session. Participation in scuba courses requires medical approval and paperwork submission. *A full list of course offerings and prerequisites is available in the ‘Sea Camp Activity Guide’ which can be found on our website or in your camper account.
Our Staff
The Catalina Sea Camp dive staff is composed of NAUI Instructors and Divemasters who undergo rigorous training. NAUI’s ‘loved one concept’ dictates that, “an individual should not be qualified as a NAUI Instructor unless those empowered to qualify the person would allow that person to teach their loved ones to dive.” All have current certifications for Administering Emergency Oxygen, and First Aid/CPR/AED for the Professional Rescuer and many are American Red Cross Lifeguards. Staff participate in an intensive training week focusing on risk mitigation, emergency response, and working with youth. Regular inservice training is conducted through summer.
Dive Program Medical Policies
Campers participating in scuba diving must be in excellent health, good physical condition, and show good judgment. Respiratory and circulatory systems must be in good health. All body air spaces must be normal and healthy. Our medical policies are conservative due to the remote location of our facility and the young divers we serve.
Some scuba agencies and dive operations may allow exceptions to general medical prohibitions based on individual diving fitness evaluations by a medical specialist who is knowledgeable about diving medicine. However, this does not mean that campers will be accepted under Catalina Sea Camp’s policies. Campers, parents, dive supervisors, and physicians with questions or concerns about diving with specific medical conditions should consult the RSTC Guidelines for Recreational Scuba Diver’s Physical Examination. In addition, the Divers Alert Network (DAN) can be contacted for a consultation with medical professionals at 919-684-2948 during normal business hours, or via the contact form at diversalertnetwork.org.
Screening
All campers must complete the World Recreational Scuba Training Council (WRSTC) Diver Medical and be approved by a physician to dive without restriction. Honesty on health forms is required. Various risk factors on the forms may exclude a person from scuba diving, either temporarily or permanently. Risk factors include but are not limited to:
- Ear and sinus problems
- Recent surgery
- History of COVID-19 Infection
- Spontaneous pneumothorax
- Asthma or reactive airway disease (RAD)
- Epilepsy
- Seizure disorders
- History of blackouts or fainting
- Diabetes
- Multiple (more than one) medication for ADD, ADHD, and depression
- Anxiety
- Panic disorders
- Active psychosis
- Narcolepsy
- Being extremely overweight
- Leukemia
- Sickle-cell disorder
Catalina Sea Camp will review the health information of each participant and evaluate risk conditions. Additional tests or physician consultations may be required to confirm fitness for diving. COVID-19 Screening Policies are included at the end of this document. Final approval for participation in scuba diving at Catalina Sea Camp will be made by the Dive Director.
Absolute medical conditions that disqualify individuals from diving at Catalina Sea Camp:
- Asthma induced by exercise, cold air, or emotion (additional asthma info. below)
- Current Epilepsy/Seizures
- Diabetes (under 16 years old)
- Spontaneous pneumothorax
- Narcolepsy
- Blackouts/fainting/sudden loss of consciousness
- Severe Anxiety
NOTE: For additional information, read the detailed descriptions on the following pages. Not every disqualifying medical condition for diving at Catalina Sea Camp is listed. If you require further clarification regarding a listed or unlisted medical condition, contact the Dive Director at email@example.com.
Asthma
Current Symptoms: Campers with current moderate to severe asthma or wheezing induced by exercise, cold air, and/or emotion will not be cleared to scuba dive at Catalina Sea Camp. Current symptoms of exercise or cold-induced asthma include any episode within the past 6 months where the camper required albuterol use or cessation of activity during exercise or after exposure to cold. There are no exceptions, exclusions or waivers to this policy.
Symptoms over five years ago: Campers who have a history of any type of asthma, RAD, wheezing, or respiratory problems, but have been asymptomatic, and have not used medication to control asthma, for more than five years, may be cleared to dive. We require clearance from their treating physician on the ‘Asthma & Diving Health Care Provider Evaluation Form’ (attached). Pulmonary function test and chest X-rays are not required.
Symptoms within the last five years: Campers who do not currently have asthma induced by exercise, cold air, and, or emotion but who have a history of mild asthma, RAD, wheezing, or respiratory problems, and/or have used medication to control asthma within the past five years, may be cleared to dive. To be considered for clearance the instructions below must be followed:
1. Find a physician who is familiar with diving medicine and respiratory health. We recommend contacting the Divers Alert Network at 1-919-684-2948 (option 4) to find the nearest approved diving physician. If there is not an approved diving physician in your area, a pulmonologist may be able to evaluate your camper.
2. In making your appointment, let the physician know you may require the following tests:
- A pulmonary function test (PFT)
- A chest X-ray (CXR)
- Exercise challenge test (*If obtainable. This test is recommended, but not required (unless the health care provider deems otherwise), when the camper has a past history of exercise or cold-induced asthma. However, those with a past history of exercise or cold-induced asthma are strongly advised against diving, especially without evaluation of these test results.)
3. The ‘Asthma & Diving Health Care Provider Evaluation Form’ must be filled out by the evaluating health care provider.
4. Submit the form and copies of the test results to the Dive Director at firstname.lastname@example.org.
5. The Sea Camp WRSTC Diver Medical must also be filled out, signed by a health care provider, and submitted.
6. When the steps above have been completed, the camper will be evaluated by the Diving Director for eligibility for our Diving Program. If you have any questions regarding asthma and SCUBA diving or our policies, contact the Dive Director at email@example.com.
Epilepsy/Seizures
Campers with a history of epilepsy or seizure activity may be cleared to scuba dive if they have been asymptomatic AND medication-free for five years. Evidence from physician must be provided.
Diabetes
Diabetic campers who are under 16 years of age will not be cleared to scuba dive regardless of the type of diabetes, medications used to control it, or level of control. There are no exceptions, exclusions or waivers to this policy.
Psychological and Emotional Conditions
A psychological disorder does not necessarily exclude an individual from participation. Any condition should be well controlled. Any medication to control psychological and emotional conditions should not be stopped immediately prior to participation, and medication should be continued throughout the entire session. Several psychotropic medications are NOT COMPATIBLE with the hyperbaric stresses of scuba diving. All medications MUST be listed on the RSTC Medical Statement. Campers with severe anxiety will not be cleared for scuba diving.
Illness at Camp
While at camp, campers who are ill and suffering from congestion, cold, cough or other ailments, will be restricted from diving. Campers will be sent to the nurse for appropriate care. Diving will not be allowed for 24 hours after a decongestant has been taken. If the camper is in a certification class, reasonable attempts will be made to make up missed dives and skills when/if the camper is well enough to dive again. In the case that missed dives and skills cannot be made up, a referral will be written.
Other Dive Program Policies
The Catalina Sea Camp dive program recognizes scuba industry standards and employs conservative policies to keep our young divers as safe as possible.
Eligibility
Catalina Sea Camp reserves the right to refuse participation in our dive program. Dishonesty in any step of the eligibility process may disqualify a camper from diving in our program.
Age: Campers must be 12 years old to participate in any scuba diving activity or course while at Catalina Sea Camp.
Campers under 15 years of age will be considered junior divers and eligible for most certifications at the junior level. Junior divers will be limited to a depth of 60’ and will be accompanied at all times by a NAUI dive leader, per NAUI standards. Age prerequisites apply to some courses (outlined in the ‘Sea Camp Activity Guide’).
Insurance: Catalina Sea Camp requires all scuba divers to carry insurance that covers scuba diving incidents. While many health insurance companies cover scuba diving accidents, some deem scuba diving an extreme sport and will not cover any costs accrued from an accident.
If your health insurance company does not cover scuba diving accidents, we require that you purchase Dive Accident Insurance from the Divers Alert Network (DAN). To view options and purchase insurance, go to DiversAlertNetwork.org. If purchasing insurance, please use our member referral number (1459079). Proof of coverage is required.
Uncertified campers enrolled in Scuba Diver Certification classes are eligible for DAN’s complimentary Student Insurance program which meets our requirements for scuba diving insurance. For more information, visit https://dan.org/professional-programs/dive-businesses/student-membership-program/.
Certification: Campers must be certified by a nationally recognized scuba training organization or be currently enrolled in a scuba diving training course.
Motivation: Campers must have personal motivation to participate in scuba diving activities. Those diving solely to please someone else will not be allowed to participate.
If a camper chooses not to participate in a scuba class while at camp, they will be moved to another available activity.
**Paperwork:** In addition to the general paperwork required for Catalina Sea Camp, forms specific to the scuba program must be completed and submitted. These include:
- Scuba Medical Form (must be signed by physician)
- Scuba NAUI Waiver (camper and witness signatures required)
- Scuba Questionnaire (online): Includes; Dive History, Insurance Verification, Medical Verification, Safe Diving Practices, Sea Camp Scuba Waiver
- Scuba Documentation Form (if applicable)
- Scuba Asthma Form (if applicable)
- Scuba Equipment Service Record (if applicable)
Campers will not be allowed to scuba dive unless all paperwork has been received and approved by the Dive Director. We suggest starting on the scuba paperwork as soon as possible. Forms can be accessed through your Camper Account at [gdi.campintouch.com](http://gdi.campintouch.com). Detailed instructions for completing required paperwork are included later in this document.
Skills Verification
All campers who arrive as certified divers will have their diving skills evaluated in a confined water environment before participating in open water diving activities. This helps to ensure that campers will be able to handle common problems that arise while diving. The skills evaluation, or “check out dive,” will be done during the first class session for each scuba course. Campers must be able to comfortably complete the following skills:
- Equipment Set Up
- Buddy Check
- Buoyancy Check
- Hello Ocean/Salute the Sea (at the surface, breathe through regulator with face in water without mask)
- Surface Weight Belt Removal and Replacement
- Surface BCD Removal and Replacement
- Descent on Line
- Regulator Clear (Blast/Breath and Purge Button)
- Regulator Removal and Recovery (Sweep and Reach methods)
- Mask Clear
- Mask Removal and Replacement
- Weight Belt Removal and Replacement
- BCD Removal and Replacement
- Alternate Air Share with Octopus as Donor and Receiver
- Free Ascent
If any skill is not able to be completed on the first dive, it may be retried on a subsequent dive. If major skill deficiencies exist, the camper may be moved to a remedial course.
Supervision
All diving activities must be directly or indirectly supervised by a member of the Catalina Sea Camp Dive Staff (NAUI Instructors and Divemasters). No diving will be conducted outside of class time without the express permission of the Dive Director.
Equipment
For all scuba classes (with the exception of Try Dive), we ask that campers provide their own mask, snorkel, fins, and booties. These items must be designed for scuba diving. If campers arrive without gear or with gear not suited for scuba diving, we will outfit them with gear from our dive store and charge the cost to their camper account. One option for purchasing suitable gear is through our online dive store, dive-store.myshopify.com. Orders will be picked up by campers at camp where staff will ensure proper fit and assist with labeling. *We are not able to ship gear orders.
Catalina Sea Camp provides wetsuits, weights, weight belts, timing devices, weight integrated BCDs, and regulators. Regulator consoles are equipped with a submersible pressure gauge, depth gauge, and compass. Some regulator sets have computers, these are assigned by class. Our equipment is serviced annually by a certified technician and inspected by daily by staff.
Campers are welcome and encouraged to bring their own wetsuits, weights, weight belts, timing devices, BCDs, regulators, and computers with them to camp. We ask that campers not bring dive knives to camp. Other cutting devices (shears, line cutters) are acceptable. If personal gear is brought, the following guidelines must be followed:
- Campers must be comfortable with the gear they bring and experienced in its use.
- Regulators and BCDs must have been serviced or purchased new within one year of the end of the camp session, or as instructed by the manufacturer.
- Catalina Sea Camp’s “Service Record Form” must be submitted, with receipts or service records attached, for any BC or regulator brought to camp.
- Gear will be inspected by our gear technician to insure it meets our safety standards.
- Catalina Sea Camp reserves the right to deny use of any gear brought to camp.
- Camper’s personal scuba gear is for their use only, they may not share with other campers or allow others to borrow or use their gear.
- All gear should be labeled with the camper’s name (we find that paint pens or gear marking paint work well– see other tips here: http://dolphindiveathens.com/marking-your-dive-gear/).
- Catalina Sea Camp is not responsible for gear that is lost, damaged, or stolen.
Certification Process
Participation in a scuba certification course does not guarantee certification. Participants must meet all requirements set forth in the NAUI Standards and Policies Manual. These requirements include skills, academics, exams, and a set number of open water dives.
If a camper does not complete their certification, they will be given a referral packet, listing the skills, academics, exams, and dives they have completed and what they still need to accomplish to earn their certification. The referral packet may be taken to a dive shop or dive professional who can continue the course with them.
Campers who are ill and suffering from congestion, cold, cough or other ailments, will be restricted from diving. Campers will be sent to the nurse for appropriate care. Diving will not be allowed for 24 hours after a decongestant has been taken. If the camper is in a certification class, reasonable attempts will be made to make up missed dives and skills when/if the camper is able to dive again. In the case that missed dives and skills cannot be made up, a referral will be written.
Safety and Risk Management
Catalina Sea Camp employs conservative diving policies and standards to limit the risk of injury or harm.
Emergency Equipment Available
Our waterfront area is equipped with multiple first aid kits, a DAN Trauma kit, DAN Emergency Oxygen Units, an Automated External Defibrillator (AED), lifeguarding supplies, backboards, and an underwater diver recall system, and a long range VHF marine radio.
Our dive boat is equipped per U.S. Coast Guard Regulations. Emergency equipment includes a first aid kit, a DAN Trauma kit, DAN Emergency Oxygen Units, an Automated External Defibrillator (AED), lifeguarding supplies, a backboard, rescue board, an underwater diver recall system, fire suppression system, fire extinguishers, and a long range VHF marine radio.
Our camp’s nurses station is equipped with additional emergency equipment, medication, and medical supplies.
Catalina Sea Camp’s Dive Staff is trained in American Red Cross First Aid/CPR/AED for Professional Rescuers and Administering Emergency Oxygen.
A camp nurse and EMT are on site at all times.
Scuba rescues, emergency procedures on land and at sea, and lost diver procedures are thoroughly practiced during staff training-week. Regular rescue and first aid inservice training is conducted periodically through summer.
**Emergency Response**
1. In the event of an injury or emergency, appropriate first aid will be given by Catalina Sea Camp Staff trained in American Red Cross First Aid/CPR/AED for Professional Rescuers and Administering Emergency Oxygen.
2. If the injury or emergency occurs in camp, the camp nurse/EMT will provide care to their level of training.
3. If required, Emergency Medical Services will be alerted and their recommendations followed. Typical emergency response time to Catalina Sea Camp is 20 minutes.
4. If the injury or emergency involves a scuba diving, the Diver’s Alert Network (DAN) will be contacted and their recommendations will be followed.
5. If advised and necessary, the injured person may be transported, by EMS or Catalina Sea Camp Staff, to the Catalina Island Medical Center, the Catalina Island Hyperbaric Chamber, and/or to a medical facility on mainland California.
6. Parents/guardians will be contacted as soon as possible.
Safe Diving Practices
Catalina Sea Camp’s safe diving practices should be reviewed and acknowledged by all campers participating in scuba. Failure to adhere to these practices may result in the suspension of a camper’s scuba diving privileges.
**Depth:** Campers will generally be limited to maximum diving depths of 40 feet (12 meters). Campers enrolled in Advanced Certification and Master Diver Certification courses will participate in one deep dive to 70 to 90 feet (21-27 meters). Junior divers (under 15 years of age) will be limited to 60 feet (18 meters) for deep dives. All deep dives will be directly supervised by a dive leader.
**Time:** Dive times will be limited to 40 minutes or the maximum dive time for a given depth as described in the NAUI Dive Tables. Check out dives and skills training dives may be over 40 minutes if the maximum depth of the dive does not exceed 20 feet (6 meters) and dive times are within NAUI Dive Table limits.
**Buddy System:** Campers must employ the buddy system at all times while in the water. While snorkeling or scuba diving, buddies must remain within arm length distance.
**Reserve Air:** Campers must surface with a minimum of 500 psi unless needed for an emergency.
**Dive Planning:** Dives must be planned with a dive buddy, including communications, procedures for reuniting in case of separations, and emergency procedures. Deepest dives are to be planned first and a minimum surface interval of one hour is to be planned between dives.
**Dive Briefings:** Campers must listen carefully to dive briefings and directions, and respect the advice of those supervising diving activities.
**Health:** Campers must maintain good mental and physical fitness for diving, stay hydrated and healthy, only dive when feeling well and avoid being under the influence of alcohol and dangerous drugs while diving. Campers should give themselves plenty of time to rest between dive, avoid overexertion while in the water, and dive within their limitations.
**Skills:** Campers are to keep proficient in diving skills, striving to develop them through continuing education.
**Ascent Rate:** Campers are to ascent at a rate of no more than 30 feet (9 meters) per minute.
**Safety Stops:** Campers must make a mandatory ‘safety stop’ at 10 to 20 feet (3-6 meters) for three minutes or longer on any dive deeper than 20 feet (6 meters) and include that time in the total dive time.
**Breathing:** Campers should breath normally and continuously while on scuba. Campers should not skip breathe or hold their breath while breathing compressed air. When breath-hold diving, excessive hyperventilation must be avoided.
**Equalization:** Divers must equalize all airspaces early and often while scuba or breath-hold diving. If any airspace is not able to be equalized, the diver should not continue to deeper depths. They should communicate with their dive leader and dive buddy and follow procedures described in their dive briefing.
Maintaining Dive Health
Campers will be allowed to dive when healthy and well rested. The leading cause of campers not earning targeted certifications is illness at camp, which is especially common in the last week of the session. The recommendations listed below may help to maintain diving health in a busy camp setting.
**Ears:** Equalize early and often. Campers should never put anything into their ears (even a Q-Tip). Drain excess water from the ears after immersion by tilting the head to one side, and gently pulling on the earlobe to release confined water.
**Hydration:** Campers should be adequately hydrated prior to diving. We recommend drinking plenty of water and 2-3 cups at the meal prior to their dive class. Campers should bring a full, reusable water bottle with them to every meeting of their dive class.
**Rest:** Campers should take advantage of rest time at camp. Sleeping at least 8 hours per night and relaxing outside of class time is recommended.
**Diet:** A well balanced, healthy diet should be maintained. Campers in our scuba classes exert significant energy in and out of the water and their food intake must support this.
**Cleanliness:** To prevent the spread of germs, campers should wash their hands prior to meals and after using the restroom. They should not share water bottles, chapstick, pillows, or anything else they put near their face, with other campers.
**Sunscreen:** Campers should wear sunscreen during all camp activities and reapply often. Sunscreen is provided at numerous locations throughout camp. We also recommend the use of UPF 30 or greater, long sleeve shirts and rash-guards as well as hats, buffs, and polarized sunglasses.
Wildlife and Toxic Organisms
Wildlife encounters at Catalina Sea Camp are often exciting and beautiful! Campers should avoid touching, harassing, or provoking marine animals. Some wildlife does pose a small threat to humans, below are the species we are often asked about.
**Sharks:** Most of the sharks in Catalina’s waters are small, shy, bottom dwelling species. Larger, open ocean sharks are rarely encountered and pose an extremely low risk to humans. If there is an aggressive shark encounter reported on the island, our waterfront will be closed for 24 hours.
**Rays:** Round Rays and Bat Rays are common near shore on Catalina Island. They often cover themselves in sand in shallow sandy areas. To avoid stepping on rays and being pierced by their barb, we encourage campers to shuffle their feet (also known as the “sting ray shuffle”) when entering and exiting the water.
**Eels:** The California Moray Eel has poor eyesight, spends most of its time in rock crevices and is active mostly at night. To avoid a mistaken bite from their sharp teeth, campers are told to not put their hand in crevices or cracks.
**Scorpionfish:** California Scorpionfish have sharp spines on their top and bottom fins that deliver toxins when touched. They are active at night and camouflage in algae on rocks, and underwater structures during the day. Campers should not touch these fish and should practice good buoyancy to avoid putting their hand down on rocks/structures.
Diving at Catalina Sea Camp
Shore Diving
Most diving at Catalina Sea Camp is done from shore at Toyon Bay. Campers may enter the water doing a shore/surf entry or from our floating dock doing a giant stride entry. Toyon Bay is mostly sandy bottomed, with rocky reef on either end. Pier pilings and reef balls add structure to the middle of the bay.
Our confined water diving area is a buoyed off section adjacent to the pier. It has a sandy bottom with depths to about 20 feet (6 meters) with multiple bottom lines and floated ascent/descent lines.
Boat Diving
Boat diving is done aboard the chartered vessel, the SCUBA Cat operated by Catalina Divers Supply out of Avalon. The boat makes morning and afternoon trips to areas with the best diving conditions on the island. Common destinations include; Twin Rocks, Bird Rock, Ship Rock, the West End Quarry (the Crane), and Ripper’s Cove. All classes are scheduled for a boat dive at least once.
Dive Park Diving
Campers have the opportunity to dive at Casino Point, the oldest protected area on the island. The Dive Park is open to the public and is one of the best dive sites on Catalina. Abundant kelp forests, marine life, and frequent sightings of Black Sea Bass make it a camper favorite. Divers use cement stairs for entries and exits. Campers must stay with their class and be under the supervision of Catalina Sea Camp staff at all times. All classes are scheduled to go to Avalon, at least once.
Limits
Divers are limited to depths of 40 feet (12 meters) and bottom times of 40 minutes. Exceeding these limits will result in suspension of diving privileges at Catalina Sea Camp.
Courses that require a deep dive (Advanced and Master Diver) will exceed these limits under the direct supervision of a NAUI Instructor. Check Out dives and Scuba Diver training dives in confined water may exceed 40 minutes at the discretion of the instructor.
Expectations
Campers are expected to:
• Arrive on time for class. Some classes will meet during evening elective periods or early to go ‘out of the bay’ (on The Discovery or to Avalon) or to catch up on required skills. These classes will be announced at the meal prior to each class. Campers are expected to pay attention to these announcements.
• Set up, break down, and clean their scuba units per Catalina Sea Camp standards. These skills will be taught at the beginning of the session and will be supervised by the dive leaders.
• Log every dive. Dive leaders will assist with logging and issue verification stickers.
• Participate in dive briefings and debriefings.
• Lay scuba cylinders and scuba units down when they are outside of arm’s reach.
• Follow safe diving practices and rules set forth by Catalina Sea Camp Dive staff. These are designed for the safety of each diver and all participants. Failure or unwillingness to follow these rules will result in the suspension of diving privileges at Catalina Sea Camp.
Preparing for Diving at Catalina Sea Camp (Three-Week Sessions)
For campers to get the most out of their Catalina Sea Camp experience, campers must be prepared for the mental and physical demands of scuba diving. We recommend preparing in the following ways.
Water Skills
Campers participating in scuba classes must be fit, competent swimmers and comfortable in the water.
For all divers, we suggest spending time in a pool or in the ocean, refreshing and/or developing swimming and snorkel skills, prior to camp. Most aquatic facilities offer swim lessons and many dive shops will offer intro to snorkeling courses. We expect campers enrolling in the Scuba Diver Certification class to have basic snorkel skills. If they do not, they should plan to take our Try Dive or Skin Diver course. The following skills are required for the Scuba Diver Certification course and are usually done, in the ocean, on the first day:
- Swim horizontally underwater for 50 feet (15 meters) on one breath (no push off or dive in)
- Free dive to a depth of at least 10 feet (3 meters)
- Snorkel non-stop for 450 yards
- Breath through a snorkel with face submerged (without mask)
Scuba Skills
All certified campers will be required to demonstrate the basic scuba skills in a ‘Check Out Dive’ prior to open water diving activities (See the “Skills Verification” section on page 9 for a list of skills). If it has been over a year since the camper’s last scuba dive, we recommend they take a scuba refresher course prior to camp.
Catalina Sea Camp
Scuba Diving Participant Guide
Divers Alert Network (DAN) Resources
DAN offers an online course called the “Prepared Diver Program.” Catalina Sea Camp can enroll campers for free prior to camp. If you would like to be enrolled in the course, email firstname.lastname@example.org with the email address you would like the course link sent to. The course “provides greater insight into the science behind fundamental diving skills and highlights best practices. The course covers common contributing factors that lead to diver injury.”
DAN also offers several free publications and quizzes on diving health and safer diving. Explore their offerings here: https://www.diversalertnetwork.org/health/
DAN’s quarterly publication, ‘Alert Diver,’ about all things diving, can be found online, at www.alertdiver.com.
eLearning
Catalina Sea Camp offers NAUI eLearning, to be completed prior to camp, for the following courses:
• **NAUI Scuba Diver**- Completing eLearning for this course is required. This allows for a shorter lecture period that accounts for camper’s prior knowledge. If eLearning is not completed prior to camp, the camper will be dropped from the course.
• **NAUI Rescue Diver**- Completion of eLearning for this course is required. Campers must complete both the NAUI Rescue Diver eLearning as well as the DAN Basic Life Support eLearning. If eLearning is not completed prior to camp, the camper will be dropped from the course.
• **NAUI Master Diver**- Completion of eLearning for this course is required. If eLearning is not completed prior to camp, the camper will be dropped from the course.
• **NAUI Nitrox Diver**- Completion of eLearning for this course is optional. The Nitrox package is required to be purchased.
eLearning packages can be purchased at the Sea Camp Dive Store (dive-store.myshopify.com). eLearning access codes will be emailed after purchase.
Catalina Dive Sites and Marine Life
Orienting to Catalina’s dive sites and marine life prior to camp can be fun and can make the diving at Catalina Sea Camp more comfortable and enjoyable! The following resources may be helpful.
- Franko Maps, Guide of Santa Catalina Island - Amazon
- Boat, Dive & Fish Catalina Island, by Bruce Wickland - Amazon (a Dive Staff favorite!)
- Catalina Island Dive Buddies by Mike Riwkin – Amazon
- Labeled photos of many marine species divingphotos.smugmug.com/Catalina/
- Video on diving the Channel Islands www.youtube.com/watch?v=BwJyvmBOj7s
- Channel Island’s National Park’s Marine Life Guide www.nps.gov/chis/learn/nature/marine-animals.htm
Selecting Scuba Activities
At Catalina Sea Camp, each camper selects the activities/courses they wish to take on the Activity Preference form ( ). All courses are listed in our ‘Activity Guide’ which can be found on our website and in the ‘Forms and Documents’ section of your camper account. Our courses are arranged in an alternating day block schedule, similar to a college course schedule. Each day has four 90 minute activity periods, scheduled on either a Monday/Wednesday/Friday or Tuesday/Thursday/Saturday rotation. All dive classes are three hours and take up two consecutive periods. Courses meet six times over the three-week session. All courses are offered concurrently, so campers are not able to complete one class and then take another. For example, campers may not do the Scuba Diver course followed by the Advanced Scuba Diver course in the same summer, because they will not finish their Scuba Diver certification until the last day of camp. We recommend campers take a maximum of two dive classes per session.
Sample Session Schedule
| Sun | Mon | Tue | Wed | Thu | Fri | Sat |
|-----|-----|-----|-----|-----|-----|-----|
| | | | | | | |
| 25 | 26 | 27 | 28 | 29 | 30 | 1 |
| Arrival Day! | Orientation Add Drop Beach Party | T/Th/S Class 1 | M/W/F Class 1 | Class 2 T/Th/S | M/W/F Class 2 | Class 3 T/Th/S |
| | | | | | | |
| 9 | 10 | 11 | 12 | 13 | 14 | 15 |
| Olympics Beach Party | Adventure Day | Class 4 T/Th/S | M/W/F Class 3 | Chill Day | M/W/F Class 4 | Class 5 T/Th/S |
| | | | | | | |
| 16 | 17 | 18 | 19 | 20 | 21 | 22 |
| Visitors Day | M/W/F Class 5 | Class 6 T/Th/S | M/W/F Class 6 | Pack Up Beach Party | Departure Day | |
Sample Weekly Schedule
| Time | Monday | Tuesday | Wednesday | Thursday | Friday | Saturday |
|------------|----------------------|-----------------------|----------------------|----------------------|-----------------------|-----------------------|
| 9:00-10:30 | Seafood Cookery | Scuba Diver | Seafood Cookery | Scuba Diver | Seafood Cookery | Scuba Diver |
| 10:45-12:15| Basic Sailing | Scuba Diver | Basic Sailing | Scuba Diver | Basic Sailing | Scuba Diver |
| 2:00-3:30 | Skin Diver | Climb/Kayak | Skin Diver | Climb/Kayak | Skin Diver | Climb/Kayak |
| 3:45-5:15 | Skin Diver | Scuba Lecture | Skin Diver | Scuba Lecture | Skin Diver | Scuba Lecture |
Catalina Sea Camp
Scuba Diving Participant Guide
Sea Camp’s Training Progression
Outlined below are the minimum requirements to enter each course. By following our outlined dive training progression, we believe campers will be set-up for success in their current course and future courses. Full course descriptions can be found in our Activity Guide linked on our website and in the ‘Forms and Documents’ section of your camper account (gdi.campintouch.com).
If a camper is not a certified diver prior to arrival at camp, they will only be able to take our snorkeling/skin diving classes, Try Dive (104) OR Scuba Diver (105). Campers in the Scuba Diver class will not be certified divers until the last day of camp. Please do not select any other scuba classes in the Activity Preferences if Try Dive or Scuba Diver are selected. All campers who list Scuba Diver in their activity preferences are guaranteed to be placed in that class.
If you are uncertain of what course your camper should sign up for, please contact the Dive Director at email@example.com
Core Diving Courses:
SKIN DIVING/SNORKELING
COURSES 100-103
SEA CAMP TRY DIVE
COURSE 104
(Not Required, but encouraged, for 105)
NAUI OPEN WATER SCUBA DIVER
COURSE 105 - 4 Periods
(Completion of eLearning prior to camp, and snorkeling experience and water comfort are required)
NAUI ADVANCED SCUBA DIVER
COURSE 107
(Prerequisite: 10 Open Water Dives)
NAUI ADVANCED SCUBA DIVER PLUS
COURSE 108
(Takes up 4 class periods)
NAUI RESCUE SCUBA DIVER/FIRST AID & CPR
COURSE 109
(Completion of eLearning prior to camp is required)
NAUI MASTER SCUBA DIVER
COURSE 110
(Completion of eLearning prior to camp is required)
SSI Freediving I Certification
COURSE 106
(Prerequisite: 101 Advanced Skin Diving or equivalent experience)
SCUBA SPECIALTIES:
NAUI SCUBA ECOLOGIST
COURSE 111
SEA CAMP CATALINA DIVER
COURSE 112
NAUI NIGHT DIVER
COURSE 113
NAUI GO! SCUBA VIDEO
COURSE 117
NAUI SCUBA PHOTO
COURSE 115
(Prerequisite: 10 Open Water Dives)
SEA CAMP ADVANCED SCUBA PHOTO
COURSE 116
(Completion of 114/115, or equivalent, required)
NAUI NITROX DIVER
COURSE 119
(Prerequisite: 10 Open Water Dives)
Dive Class FAQs
Commonly asked questions are listed below. For more information and full course descriptions reference the Catalina Sea Camp Activity Guide, which is linked on our website and in the ‘Forms and Documents’ section of your camper account (gdi.campintouch.com).
My camper has never been snorkeling or scuba diving before, which classes should they select?
We suggest campers with little to no water experience take introductory snorkel or scuba classes at Sea Camp. We recommend 100 Skin Diver to build a good foundation of skin diving skills and ample opportunities to explore the ocean. 104 Sea Camp Try Dive taken alongside 100 Skin Diver provides a great, slow introduction to scuba diving skills. We do not recommend that campers with no snorkeling or scuba experience take the Open Water Scuba Diver certification course.
My camper has been snorkeling but has never been scuba diving before, what classes should they select?
We offer two great introductory scuba courses, 104 Sea Camp Try Dive is a slower paced, student centered course that allows campers to get some great introductory scuba experience. Completed skills can be transferred to an Open Water Certification class within six months of the course. 105 Open Water Scuba Diver Certification is a course where campers earn their Open Water Scuba Certification. The class is more fast paced and requires that all necessary skills be completed in the allotted time frame. This course meets every day, for 12 total meetings as opposed to the typical 6. This course also requires completion of the NAUI Open Water Scuba Diver eLearning program PRIOR TO CAMP. The package can be purchased at our online dive store at dive-store.myshopify.com.
My camper wants to be a certified diver. What are the requirements of the certification course?
Our certification course follows the standards for NAUI’s Open Water Scuba Diver certification. The course meets 12 times and takes up four of the camper’s 8 activity blocks. Completion of the NAUI Open Water Scuba Diver eLearning, and of all requisite skills and dives is required for certification.
Physical Requirements
• Ability to lift and carry heavy objects (40-50 pounds)
• Comfort in the water
• Snorkeling or scuba experience
• Stamina for water session of up to 2 hours in 65-70° water
• General coordination and awareness of body
• Good health through the course
Mental Requirements
• Personal motivation to earn scuba certification
• Ability/desire to attend to and participate in briefings and lectures
• Dedication to class and maintaining health
• Maturity to handle emergency situations if they arise
Tougher Requisite Skills
• Swim underwater for 50’ on one breath (no push off or dive in)
• Free dive to a depth of at least 10 feet
• Snorkel non-stop for 450 yards
• Breathe through snorkel and regulator with face submerged (without mask)
My camper is a newly certified diver, which classes can they take?
We have many great classes that are available to divers with an open water certification. For campers who have done less than 10 open water dives, we recommend 108 NAUI Advanced Scuba Diver Plus. This course meets 12 times and takes up half of the camper’s schedule, it refreshes many of the buoyancy and diving skills learned in the open water course and builds diver confidence. The course then introduces more advanced dives and skills. Divers earn their
Advanced Certification upon completion of all required dives with a passing score on the exam. If newly certified campers do not wish to dedicate that much of their schedule to diving, we recommend they take 112 Catalina Diver.
For newly certified campers who have done at 10 open water dives, we recommend 107 NAUI Advanced Scuba Diver, 111 NAUI Scuba Ecologist, 112 Catalina Diver, and 118 Go! Scuba Video.
**Can my camper take multiple dive classes at once?**
Campers may take more than one dive class while at camp. We recommend a maximum of 2 scuba courses so that campers do not get too ‘water logged.’ Keep in mind that all classes are run concurrently. Campers must meet the prerequisites for all courses they have selected before arriving at camp. Campers may not build on classes they take within a single camp session, for example, a camper may not arrive at camp and take NAUI Advanced Scuba Diver followed by NAUI Rescue Diver.
Course Descriptions
SKIN DIVING/SNORKELING/FREEDIVING
Skin Diving Equipment: Sea Camp provides all gear for skin divers (mask, snorkel, fins, booties, wetsuit, weight belt). However, a personal mask, snorkel, fins and booties are recommended. If you are interested in purchasing your own gear please be sure to pre-order. See the Sea Camp Dive Store [dive-store.myshopify.com](http://dive-store.myshopify.com).
**Course 100:** Snorkeling/Skin Diver
2 Course Periods
Skin diving has always been considered the first step in dive training. The skills and confidence gained in this course will be important in all future diving activities. The course consists of 6 water sessions where skin diving skills are learned and refined. Explore Toyon and other beautiful dive sites up and down the coast of Catalina.
**Course 101:** Advanced Skin Diver/Free Diving
2 Course Periods
This course helps you to become more comfortable skin diving so you can safely push yourself to deeper depths and longer breath holds (Maximum depth is 60'). This course will allow you to leave Toyon Bay and dive other spectacular dive spots on our gorgeous island.
*Prerequisite(s):* Comfortable swimmer
Skin diving experience mandatory. See Course 100 - Skin Diver
**Course 106:** SSI Freediving I Certification
2 Course Periods
This is a great course for campers to take their Freediving skills, knowledge, and safety to the next level! The SSI Freediving Level 1 program certifies you to freedive with a buddy in open water to a depth of up to 20 meters. The course includes 'pool' sessions for static breath hold and dynamic dives, open water sessions for dives to depth, and classroom sessions.
*Prerequisite(s):* Comfortable skin diving/freediving to 15 feet
Skin diving/Freediving experience. See Course 101- Advanced Skin Diver
Completion of SSI Freediving I eLearning program prior to camp
Completed Freediving Paperwork
*Additional Equipment:* We encourage campers to have their own Freediving Fins, a low volume freediving mask, and a J-snorkel. We recommend Mako's products for their size range and value. [https://makospearguns.com](https://makospearguns.com)
*Materials:* Purchase the 'SSI Freediving I Materials' package at the Sea Camp Dive Store ([dive-store.myshopify.com](http://dive-store.myshopify.com)).
**Course 102:** Snorkeling/Skin Diving Photo
2 Course Periods
You will use digital cameras in underwater housings and take home a portfolio of your shots on a USB external hard drive (thumb drive). As campers gain experience they may get the chance to use strobes and different lenses. Campers will also enter your favorite pictures in the Sea Camp annual photo contest. Winner’s shots will be shown on the final night.
*Prerequisite(s):* Comfortable swimmer
Skin diving experience. See Course 100 - Skin Diver
*Additional Equipment:* A flash drive - Available at the Sea Camp store
Course 103: Snorkeling/Skin Diving Video
This course develops skin diver videography skills! Campers can capture their underwater experiences at dive sites all over the island. Basic of digital video editing will be practiced and a compilation video will be shown on the final night. You will take home a portfolio of your videos on a USB thumb drive.
Prerequisite(s): Comfortable swimmer
Skin diving experience. See Course 100 - Skin Diver
Additional Equipment: A flash drive - Available in camp at the Sea Camp store
Course 99: SSI Basic Freediving Certification
This is an entry level freediving course where campers can learn how to hold their breath with comfort and explore the underwater world in a single breath. The program combines classroom training combined with in-water practice sessions that teach divers to freedive safely with a buddy up to a depth of 5 meters. *This course may not be taken in combination with any Scuba Certification course
Prerequisite(s): Snorkeling/skin diving experience
Completion of SSI Basic Freediving eLearning program prior to camp
Completed Freediving Paperwork
Additional Equipment: We encourage campers to have their own Freediving Fins, a low volume freediving mask, and a j-snorkel. We recommend Mako’s products for their size range and value. https://makospearguns.com
Materials: Purchase the ‘SSI Basic Freediving Materials’ package at the Sea Camp Dive Store (dive-store.myshopify.com).
Course 106: SSI Freediving I Certification
This is a great course for campers to take their Freediving skills, knowledge, and safety to the next level! The SSI Freediving Level 1 program certifies you to freedive with a buddy in open water to a depth of up to 20 meters. The course includes ‘pool’ sessions for static breath hold and dynamic dives, open water sessions for dives to depth, and classroom sessions. *This course may not be taken in combination with any Scuba Certification course
Prerequisite(s): Comfortable skin diving/freediving to 15 feet
Skin diving/Freediving experience. See Course 101- Advanced Skin Diver
Completion of SSI Freediving I eLearning program prior to camp
Completed Freediving Paperwork
Additional Equipment: We encourage campers to have their own Freediving Fins, a low volume freediving mask, and a j-snorkel. We recommend Mako’s products for their size range and value. https://makospearguns.com
Materials: Purchase the ‘SSI Freediving I Materials’ package at the Sea Camp Dive Store (dive-store.myshopify.com).
Catalina Sea Camp
Scuba Diving Participant Guide
LEARN TO DIVE
Course 104: Sea Camp Try Dive 2 Course Periods
This course teaches basic scuba skills and safety rules with the use of scuba equipment. This program is not a certification but an equivalent to a “resort course”. This course consists of 6 water sessions: 2 skin diving and 4 scuba dives and is driven by camper comfort. Compared to the Open Water course, it is slower paced and more student centered. Completed skills can be transferred to an Open Water Certification class within six months of the course. This course is an ideal choice for those that are not yet ready to meet the scuba certification requirements. Ratio: 4 students to 1 instructors max, and to a max depth of 40 feet.
Prerequisite:
- 12 years of age
- Skin diving experience recommended
- Completed scuba paperwork required
Course 105: NAUI Open Water Scuba Diver 4 Course Periods = Water and Lecture
Sea Camp is an ideal environment to earn a scuba certification with patient, thorough instructors and appropriately paced water and classroom instruction. However, this course is not for everyone at all times. If you are questioning your ability to meet the requirements below, 104 Try Dive or 100 Skin Diver may be a better introductory experience.
The 105 courses consists of water sessions and classroom sessions. Content in the classroom sessions builds on material in the NAUI Open Water Scuba Diver eLearning, which is required to be completed prior to camp. This is a skills based class and campers will spend the majority of their time diving in our shallow skills area. A passing score on the final exam and completion of all requisite skills and dives are required for certification. Certification allows the following privileges; rental or purchases of scuba gear, air fills, participation in dives with a certified buddy (for divers under 15, the certified buddy must be 18 years or older, the ability to take continuing education classes.
Physical Requirements
- Ability to lift and carry heavy objects (40-50 pounds)
- Comfort in the water
- Snorkeling or scuba experience
- Stamina for water session of up to 2 hours in 65-70° water
- General coordination and awareness of body
- Good health through the course
Mental Requirements
- Personal motivation to earn scuba certification
- Ability/desire to attend to and participate in briefings and lectures
- Dedication to class and maintaining health
- Maturity to handle emergency situations if they arise
Tougher Requisite Skills
- Swim underwater for 50’ on one breath (no push off or dive in)
- Free dive to a depth of at least 10 feet
- Snorkel non-stop for 450 yards
- Breathe through snorkel and regulator with face submerged (without mask)
Prerequisite:
- Skin diving experience and water comfort is required
- Completed scuba paperwork required
- Completion of NAUI Open Water Scuba Diver eLearning prior to camp
Equipment:
Personal gear required: mask, snorkel, fins, and booties (must be designed for scuba diving). Available at the Sea Camp Dive Store (dive-store.myshopify.com).
Materials:
Purchase the ‘NAUI Open Water Scuba Diver Materials’ package at the Sea Camp Dive Store (dive-store.myshopify.com) prior to camp. eLearning packages contain single use codes and are non-refundable once the code has been activated. Codes will be emailed to the addresses provided at check out.
Course 107: NAUI Advanced Scuba Diver
This course is designed to give divers more experience in a variety of conditions. Divers will make 7 dives: a mandatory Check-Out Skills Refresher, a Deep Dive (60 or 70ft depending on age), Navigation Dive, Night Dive and three Elective Dives. Elective dives may include: Rescue Skills, a Boat Dive, a Kelp/Ecology dive or a computer dive. All 7 dives and a final written exam are required for certification.
Prerequisite: Open Water Scuba Diver Certification
10 Logged Open Water Dives
Completed scuba paperwork required
Equipment: Personal gear required: logbook, mask, snorkel, fins, and booties (must be designed for scuba diving). Available at the Sea Camp Dive Store (dive-store.myshopify.com).
Course 108: NAUI Advanced Scuba Diver Plus
This course is for the diver fresh out of their basic certification. It was a new favorite in 2018! It gives divers a refresher to basic skills (1 dive) and then spends the next dives working on buoyancy and comfort in the water. As students become more comfortable, they will plan and participate in dives required for NAUI Advanced Certification (see description for 107 NAUI Advanced Scuba Diver). Students in this class have the opportunity to log 13-14 dives, in varied locations, throughout the session. Students will grow into very confident Advanced Divers. Final written exam and all "Advanced Dives" are required for certification.
Prerequisite: Open Water Scuba Diver Certification
Completed scuba paperwork required
Equipment: Personal gear required: logbook, mask, snorkel, fins, and booties (must be designed for scuba diving). Available at the Sea Camp Dive Store (dive-store.myshopify.com).
Course 109: NAUI Rescue Scuba Diver
The best dive training we hope you’ll never use. Like all adventure sports, scuba has inherent risks that may result in injury. Being knowledgeable in how potentially dangerous situations can develop may allow you to prevent emergencies. This course will teach you how to identify symptoms of stress and panic that may lead to a rescue. It will also cover solo and assisted rescues, rescues at depth, at the surface as well as shore and boat rescues. It also includes certification in NAUI/DAN Basic Life Support (CPR/First Aid). This course is a prerequisite for any Dive Leadership Training for divers wishing to continue training after they leave Sea Camp. All dives and final written exams are required certification.
Prerequisite: 15 years old (by start of the course)
Advanced Scuba Diver Certification
Completed scuba paperwork required
Completion of NAUI Rescue Diver/First Aid eLearning prior to the start of camp (camper will be dropped from the course if eLearning is not completed prior to arrival at camp)
Equipment: Personal gear required: logbook, mask, snorkel, fins, and booties (must be designed for scuba diving).
Available at the Sea Camp Dive Store (dive-store.myshopify.com).
Textbook/eLearning: Purchase the ‘NAUI Rescue Diver/CPR & First Aid Materials’ package at the Sea Camp Dive Store (dive-store.myshopify.com) prior to camp. eLearning packages contain single use codes and are non-refundable once the code has been activated. Codes will be mailed and emailed to the addresses provided at check out.
Course 110: NAUI Master Scuba Diver
The course is designed for campers who really want to ‘geek out’ on diving and elevate their knowledge and skills to the next level! It is a great course for campers interested in pursuing professional diving and/or dive leadership. Class periods are a mix of dive and lecture (but mostly dives) where campers apply Master Diver level knowledge in a hands on way. Topics that are covered include deep diving, navigation, night diving, search, recovery, and light salvage as well as the physics, physiology and environmental principles concerning diving. All required dives (8+) and a passing score on the final exam are required for certification.
Prerequisite: 15 years old (by the start of the course)
Advanced Scuba Diver and Rescue Scuba Diver Certification
Good buoyancy and experience planning and leading dives
Completed scuba paperwork required
Completion of NAUI Master Diver eLearning prior to the start of camp (camper will be dropped from the course if eLearning is not completed prior to arrival at camp)
Equipment: Personal gear required: logbook, mask, snorkel, fins, and booties (must be designed for scuba diving).
Available at the Sea Camp Dive Store (dive-store.myshopify.com).
Textbook/eLearning: Purchase the ‘NAUI Master Diver Materials’ package at the Sea Camp Dive Store (dive-store.myshopify.com) prior to camp. eLearning packages contain single use codes and are non-refundable once the code has been activated. Codes will be mailed and emailed to the addresses provided at check out.
Course 111: NAUI Specialty - Scuba Ecologist
In this course you will learn the local species of fish, invertebrates and algae as well as compare different underwater habitats. The kelp forest is an extremely dynamic ecosystem, with surprises under every rock and frond. You will expand your diving horizon by going to different dive locations to learn research methods employed by underwater scientists. Upon successful completion of the course (dives and exam) you will receive the NAUI Underwater Naturalist certification.
Prerequisite: Open Water Scuba Diver Certification
Completed scuba paperwork required
Equipment: Personal gear required: logbook, mask, snorkel, fins, and booties (must be designed for scuba diving). Available at the Sea Camp Dive Store (dive-store.myshopify.com).
Course 112: Sea Camp Catalina Diver
You have already taken several dive certification courses at Sea Camp and now you just want to dive! This course is designed to get you to as many different dive spots as possible. Become a better diver by practicing your buoyancy, planning your own dives and exploring new kelp forests. This is NOT a certification Course.
Prerequisite: Open Water Scuba Diver Certification
Completed scuba paperwork required
Equipment: Personal gear required: logbook, mask, snorkel, fins, and booties (must be designed for scuba diving). Available at the Sea Camp Dive Store (dive-store.myshopify.com).
Course 113: NAUI Specialty - Night Diver
Diving at night is an exhilarating experience! Toyon Bay comes alive with bioluminescent plankton and nocturnal marine animals. Become a more confident diver, add two to three night dives to your logbook, and a cool new certification.
Prerequisite: Open Water Scuba Diver Certification
Must be enrolled in another scuba course during camp
Completed scuba paperwork required
Equipment: Personal gear required: logbook, mask, snorkel, fins, and booties (must be designed for scuba diving). Available at the Sea Camp Dive Store (dive-store.myshopify.com).
Course 115: NAUI Specialty - Scuba Photo
This course offers instruction on using underwater digital camera systems. You will learn how to successfully capture underwater images as well as the necessary care and maintenance of photo equipment. At the end of the session you will compile your photo portfolio on a flash drive (not provided) to take home with you. There is also a Sea Camp photo showcase where camper’s favorite will be viewed on the final night slide show.
Prerequisite: Open Water Scuba Diver Certification
Good buoyancy and comfort on scuba
10 Logged Open Water dives
Completed scuba paperwork required
Equipment: A flash drive - Available at the Sea Camp store
Personal gear required: logbook, mask, snorkel, fins, and booties (must be designed for scuba diving). Available at the Sea Camp Dive Store (dive-store.myshopify.com).
Course 116: Sea Camp Advanced Scuba Photo
This course is designed to build upon student’s previous experience on digital underwater photography using more advanced cameras and techniques to produce amazing shots. Students will have the opportunity to use a housed SLR camera. In addition, a night underwater photo dive will be done using lights and strobes. As a final project, the course will produce a short slide show to be viewed on the final night of camp.
Prerequisite: Open Water Scuba Diver Certification
Good buoyancy and comfort on scuba
10 Logged Open Water dives
Completion of 115 Scuba Photo Course or equivalent
Completed scuba paperwork required
Equipment: A flash drive - Available at the Sea Camp store
Personal gear required: logbook, mask, snorkel, fins, and booties (must be designed for scuba diving)
Course 117: NAUI Specialty - GO! Scuba Video
Be A HERO and produce your own underwater GO PRO movie! You will work in teams to capture underwater scenes utilizing state of the art digital equipment. Then add special effects and audio to make a final movie that is shown on the last night of camp. Bring a flash drive loaded with music to add a soundtrack to your movie.
Prerequisite: Open Water Scuba Diver Certification
Good buoyancy and comfort on scuba
Completed scuba paperwork required
Equipment: A flash drive - Available at the Sea Camp store
Personal gear required: logbook, mask, snorkel, fins, and booties (must be designed for scuba diving). Available at the Sea Camp Dive Store (dive-store.myshopify.com).
Stay underwater longer! This specialty course will train you to dive safely with oxygen-enriched air, or Nitrox, which can allow you to extend your time underwater. The course consists of two lectures, four dives and a written exam. NAUI Nitrox certification allows divers to get Nitrox fills and rent Nitrox tanks and gear from scuba shops around the world.
**Prerequisite:** Open Water Scuba Diver Certification
10 Logged Open Water dives
Completed scuba paperwork required
**Equipment:** Personal gear required: logbook, mask, snorkel, fins, and booties (must be designed for scuba diving). Available at the Sea Camp Dive Store ([dive-store.myshopify.com](http://dive-store.myshopify.com)). If you are using your own regulators, they must be compatible to Nitrox 40%.
**Textbook:** Purchase the 'NAUI Nitrox Diver Dive Tables' package at the Sea Camp Dive Store ([dive-](http://dive-))
Catalina Sea Camp
Scuba Diving Participant Guide
Required Paperwork
All forms can be accessed by families of registered campers in your Camper Account at gdi.campintouch.com. Paperwork must be submitted by April 1 to allow sufficient time for review and corrections.
General Paperwork Instructions
Forms marked with the computer symbol can be completed online.
Forms marked with barcodes must be printed and filled out completely. Maintain copies of all forms for your records. Submit forms using one of the following options:
- Upload to your camper account as a PDF. Click the upload arrow (arrow icon) on the right side of the Forms & Documents screen. If the document has multiple pages, make sure they are combined into one PDF. Uploading multiple documents will delete those submitted previously.
- Fax documents to (949) 627-8084. The barcode must be visible at the bottom of each page.
- If you are unable to fax or upload the documents, mail them to the address below.
Guided Discoveries
Attn. Summer Camp Registrar
27282 Calle Arroyo
San Juan Capistrano, CA 92675
Required Scuba Paperwork
In addition to the general paperwork required for Catalina Sea Camp, forms specific to the dive program must be completed and submitted. Campers will not be allowed to scuba dive unless all necessary paperwork has been received and approved by the Dive Director. We suggest starting on the scuba paperwork as soon as possible. Scuba program forms are listed below.
FORMS REQUIRED FOR ALL CAMPERS WISHING TO SCUBA DIVE
- Scuba Medical Form (must be reviewed and signed by physician)
- Scuba NAUI Waiver (camper and witness signatures required)
- Scuba Questionnaire (online): Includes; Dive History, Insurance Verification, Medical Verification, Safe Diving Practices, Sea Camp Scuba Waiver
FORMS REQUIRED IN LISTED SITUATIONS
- Scuba Documentation Form - Required for certified campers and those with DAN Insurance to show proof of certification cards and DAN cards.
- Scuba Asthma Form - Required for campers with a history of Asthma or Reactive Airway Disease (RAD). This form must be filled out by a physician familiar with dive medicine and respiratory health.
- Scuba Equipment Service Record - Required for campers bringing their own BCD and/or Regulator to camp.
NAUI Waiver Instructions
Make sure the camper name is filled in at the top of the page. The NAUI waiver requires signatures from the camper, parent/guardian, and a witness. A witness can be anyone who is 18 years of age or older, including a friend or family member. Witnesses retain no legal responsibility or liability for witnessing your signature. Forms submitted without all signatures will be marked incomplete and will be required to be resubmitted with all lines signed. Contact the Dive Director if you have any questions about the content of the waivers.
Even though a youth is underage, and their signature may not be legally binding, there is information in the documents that they should be made aware of. By signing they are acknowledging that they have at least read the information which will increase their knowledge and make them a safer scuba diver.
WRSTC Diver Medical Instructions
As a member of the National Association of Underwater Instructors (NAUI), Catalina Sea Camp is required to have scuba diving and freediving participants complete the W.R.S.T.C Diver Medical form (attached), a standard form in the recreational diving industry. Instructions for completing the form are as follows:
7. Read all pages thoroughly.
8. Complete the ‘Diver Medical Participant Questionnaire’ on pages one (1) and two (2). Please complete honestly. It will be checked for consistency against your camper’s ‘Health History’ and ‘Medical Evaluation’ form. Inconsistencies will delay processing and may result in campers being rejected from the dive program.
9. Page one (1) must be signed by the camper’s parent/guardian. Each page requires the name and birthdate of the participant.
10. Bring all five pages with you to your health care provider. The form must be signed by a health care provider, regardless of the answers on the first page of the document.
11. Information on how diving can affect certain medical conditions can be found in the ‘Diving Medical Guidance to the Physician’ document in the “Forms and Documents” section of your camper account (gdi.campintouch.com) and at https://www.uhms.org/images/Recreational-Diving-Medical-Screening-System/forms/Diving_Medical_Guidance_EN_English_2021-09-16.pdf. If your camper has any of the conditions listed in the participant questionnaire, ask your healthcare provider to review this information along with your camper’s medical history. It may be helpful to send the ‘Medical Guidance’ document ahead of your appointment.
12. Discuss your camper’s medical history and risks associated with scuba diving and freediving with your healthcare provider.
13. After review, the camper’s healthcare provider should complete page three (3), making a recommendation for or against your camper’s fitness for scuba diving or freediving. They should include relevant remarks, notes, and documents as justification. Make sure they fill out this section completely, including their signature and contact information.
14. Given the technical nature of dive medicine, your healthcare provider may not be comfortable making a recommendation for or against diving at the time of your visit.
- If your healthcare provider requires more information to make an informed decision on your camper’s medical fitness for scuba diving or freediving, they should contact the medical professionals at the Divers Alert Network (DAN) Medical Information Line, for consultation by phone. They can be reached from 8:30 AM-5:00 PM EST, at 1-919-684-2948.
- Diagnostic studies and specialty consultations should be obtained as indicated in the ‘Diving Medical Guidance to the Physician’ and/or at your medical examiner’s discretion.
- If your camper has a history of Asthma, follow the guidelines in Catalina Sea Camp’s ‘Asthma Supplement Packet’.
9. Submit the last three pages, along with any relevant notes or documentation, to your camper account using one of the methods described below. Submit all pages at the same time to avoid pages being lost or overwritten. Retain copies for your records.
- UPLOAD AS A PDF (PREFERRED METHOD) - Log into your account and click the “Forms & Documents” link, then find the appropriate form. You will see an upload arrow on the right side of the section. Click the upload arrow and follow the instructions to correctly upload the documents.
- FAX - There should be a small bar code located in the lower right hand corner of each page of the forms. Ensure that the bar code is visible before faxing. Fax documents to (949) 627-8084.
10. Upon submission, forms will be reviewed by the Dive Director, in consultation with our Medical Director. You will be contacted if there are any questions regarding the camper’s health history. Completion of this form does not guarantee acceptance into Catalina Sea Camp’s Scuba Program.
11. For questions about this form or selecting dive classes, contact the Dive Director (firstname.lastname@example.org).
WRSTC Diver Medical Instructions, Page 1
• Complete this form honestly. It will be checked for consistency against your camper’s ‘Health History’ and ‘Physician Examination’ forms. Inconsistency will delay processing.
• Make sure all lines are completed.
• Ensure the parent/guardian have signed the form and that the camper’s name and birthdate are listed.
• This is page one (1) of a three-page document. All pages must be uploaded to the system. It’s best to scan all pages into one document to upload.
Diver Medical | Participant Questionnaire
Recreational scuba diving and freediving requires good physical and mental health. There are a few medical conditions which can be hazardous while diving, listed below. Those who have, or are predisposed to, any of these conditions, should be evaluated by a physician. This Diver Medical Participant Questionnaire provides a basis to determine if you should seek out that evaluation. If you have any concerns about your health, please not report them on this form. Consult with your physician before you dive. If you have a serious illness, avoid diving. If you think you may have a contagious disease, protect yourself and others by not participating in dive training and/or dive activities. Referring to “diving” on this form does not pass both recreational scuba diving and freediving. This form is principally designed as an initial medical evaluation for new divers, but is also appropriate for divers taking continuing education. For your safety, and that of others who may dive with you, answer all questions honestly.
Directions
Complete this questionnaire as a prerequisite to a recreational scuba diving or freediving course. Note to women: If you are pregnant, or attempting to become pregnant, do not dive:
| Question | Yes ☐ | No ☐ |
|--------------------------------------------------------------------------|-------|------|
| 1. I have had problems with my lungs/breathing, heart, blood, or have been diagnosed with COVID-19. | | |
| 2. I am over 45 years of age. | | |
| 3. I struggle to perform moderate exercise, for example, walk 1.6 kilometer/one mile in 14 minutes or swim 200 meters/200 yards without resting. OR I have been unable to participate in a normal physical activity due to fitness or health reasons within the past 12 months. | | |
| 4. I have had problems with my eyes, ears, or nasal passages/noses. | | |
| 5. I have had surgery within the last 12 months, OR I have ongoing problems related to past surgery. | | |
| 6. I have had continuous persistent migraine headaches; seizures; stroke; high blood pressure; or suffer from psychiatric/psychologic injury or disease. | | |
| 7. I am currently undergoing treatment (or have required treatment within the last five years) for psychological problems, personality disorder, panic attacks, or an addiction to drugs or alcohol; or, I have been diagnosed with a learning disability. | | |
| 8. I have had back problems, hernia, ulcers, or diabetes. | | |
| 9. I have had stomach or intestinal problems, including recent diarrhea. | | |
| 10. I am taking prescription medications (with the exception of birth control or anti-malarial drugs other than mefloquine/Lariam). | | |
Participant Signature
Please read and agree to the participant statement below by signing and dating it.
Participant Statement: I have answered all questions honestly, and understand that I accept responsibility for any consequences resulting from any questions I may have answered inaccurately or for my failure to disclose any existing or past health conditions.
Participant Signature (or, if minor, participant’s parent/guardian signature required)
Participant Name (First)
Catalina Sea Camp/CIMI Dive Staff, Contractors, Volunteers
Instructor Name (Print)
Catalina Sea Camp/CIMI Toyon Bay
Facility Name (Print)
Take all three pages of this form (Participant Questionnaire and the Physician’s Evaluation Form) to your physician for a medical evaluation. Participation in a diving course at Catalina Sea Camp requires your physician’s approval.
* See Camp Policies. All three pages must be completed and submitted to your camp or instructor at the same time, to avoid pages being lost or overwritten. Retain copies for your records. Completion of this form does not guarantee acceptance into Catalina Sea Camp’s scuba/freediving programs.
WRSTC Diver Medical Instructions, Page 2
• Complete this form honestly. It will be checked for consistency against your camper’s ‘Health History’ and ‘Physician Examination’ forms. Inconsistency will delay processing.
• Make sure all lines are completed.
• Ensure the camper’s name and birthdate are listed.
• This is page two (2) of a three-page document. All pages must be uploaded to the system. It’s best to scan all pages into one document to upload.
Participant Name ___________________________ Birthdate ________________ Date (dd/mm/yyyy)
Diver Medical | Participant Questionnaire Continued
Box A – I have/have had:
- Chest surgery, heart surgery, heart valve surgery, stent placement, or a pneumothorax (collapsed lung).
- Asthma, wheezing, severe allergies, hay fever or congested sinuses within the last 12 months that limits my physical activity/exercise.
- A problem or condition in my heart such as: angina, chest pain on exertion, heart failure, immersion pulmonary edema, heart attack or stroke. OR medical treatment for any of these conditions.
- Recurrent bronchitis and/or currently coughing within the past 12 months, OR have been diagnosed with emphysema.
- A diagnosis of COVID-19.
Yes □ No □
Box B – I am over 45 years of age AND:
- I currently smoke or inhale nicotine by other means.
- I have a high cholesterol level.
- I have high blood pressure.
- I have had a close blood relative die suddenly or of cardiac disease or stroke before the age of 50, OR have a family history of heart disease before the age of 50, OR have an abnormal heart rhythm, coronary artery disease or cardiomyopathy.
Yes □ No □
Box C – I have/have had:
- Skin surgeries with the back-up of the dentist.
- Ear disease or ear surgery, hearing loss, or problems with balance.
- Recurring asthma in which I’ve used 12 or more puffs of inhaler.
- Eye surgery within the last 3 months.
Yes □ No □
Box D – I have/have had:
- Head injury with loss of consciousness within the past 5 years.
- Persistent neurologic injury or disease.
- Recurring migraine headaches within the past 12 months, or take medications to prevent them.
- Blackouts or fainting (loss/pulse loss of consciousness) within the last 5 years.
- Epilepsy, seizures, or convulsions, OR take medications to prevent them.
Yes □ No □
Box E – I have/have had:
- Behavioral health, mental or psychological problems requiring medical/psychiatric treatment.
- Major depression, suicidal thoughts, panic attacks, uncontrolled bipolar disorder requiring medication/psychiatric treatment.
- Dementing disorders or mental health problems that require ongoing medical care.
- An addiction to drugs or alcohol requiring treatment within the last 5 years.
Yes □ No □
Box F – I have/have had:
- Recurrent back problems in the last 6 months that limit my everyday activity.
- Back or spine surgery within the last 12 months.
- Diabetes, drug- or diet-controlled, OR gestational diabetes within the last 12 months.
- An uncorrected hernia that limits my physical abilities.
- Active or untreated ulcers, wound wounds, or ulcer surgery within the last 6 months.
Yes □ No □
Box G – I have had:
- Ostomy surgery and/or do not have medical clearance to swim or engage in physical activity.
- Dehydration requiring medical intervention within the last 7 days.
- Active or untreated stomach or intestinal ulcers or ulcer surgery within the last 6 months.
- Frequent heartburn, regurgitation, or gastroesophageal reflux disease (GERD).
- Active or uncontrolled arthritis or Crohn’s disease.
- Bursitis or tendonitis within the last 12 months.
Yes □ No □
*Physician’s medical evaluation required (see page 1)
FOR REFERENCE ONLY
WRSTC Diver Medical Instructions, Pages 3
• This form must be signed by a physician, regardless of the answers on the first two pages of this document.
• Make sure the physician marks the ‘Evaluation Result’ box and signs and dates the form.
• Incomplete forms will be sent back and will delay your processing.
• This is page three (3) of a three-page document. All pages must be uploaded to the system. It’s best to scan all pages into one document to upload.
Diver Medical | Physician’s Evaluation Form
Participant Name ____________________________ Birthdate ________________
The above-named person requests your opinion of his/her medical suitability to participate in recreational scuba diving or freediving training or activity. Please visit ulms.org for medical guidance on medical conditions as they relate to diving. Review the areas relevant to your patient as part of your evaluation.
Evaluation Result
☐ Approved – I find no conditions that I consider incompatible with recreational scuba diving or freediving.
☐ Not approved – I find conditions that I consider incompatible with recreational scuba diving or freediving.
Physician’s Signature ____________________________ Date (dd/mm/yy) ________________
Physician’s Name ____________________________ Specialty ____________________________
Clinic/Hospital ____________________________
Address ____________________________
Phone ____________________________ Email ____________________________
Physician/Clinic Stamp (optional)
Comments/Notes:
Created by the Diver Medical Screen Committee in association with the following bodies: The Undersea & Hyperbaric Medical Society
DAN (US)
DMS Europe
Hyperbaric Medicine Division, University of California, San Diego
1 Doc Camp Exemption: All three pages must be completed and submitted to your camp sponsor at the same time, to avoid pages being lost or overwritten. Retain copies for your records. Completion of this form does not guarantee acceptance into Catalina Sea Camp’s scuba diving program.
Catalina Sea Camp
Scuba Diving Participant Guide
UHMS Diver Medical Guidance
• These pages contain important reference information for your physician. If the participant has any of the conditions listed in the ‘Participant Questionnaire,’ bring them to your appointment for the physician to review.
• It may be helpful to send these pages to your physician ahead of the appointment.
• Pages can be found at uhms.org and in the “Forms and Documents” section of your camper account (gdi.camptouch.com).
FOR REFERENCE ONLY |
Production of Mucopolysaccharides by Normal and Transformed Cells
(hyaluronic acid/transformed cells/hamster-embryo cultures)
C. SATOH, R. DUFF, F. RAPP, AND E. A. DAVIDSON*
Departments of Biological Chemistry and Microbiology, The Milton S. Hershey Medical Center of The Pennsylvania State University, Hershey, Pa. 17033
Communicated by Charles Tanford, October 30, 1972
ABSTRACT The rate of hyaluronic acid and sulfated mucopolysaccharide production was measured for hamster embryo fibroblasts and for general oncogenic lines derived by virus transformation. A striking increase in both the rate of hyaluronic acid synthesis and the amount of cell-associated polymer was observed after transformation by herpes simplex type-2 or SV40 virus. Although no corresponding change was observed for the sulfated polysaccharides, the proportion of heparan sulfate increased significantly after transformation.
Recent reports from several laboratories have described effects on cell coat properties associated with virus transformation (1–3). In general, the morphologic observations have been attributed to changes in the content of those acid polysaccharides identified with the extracellular matrix—hyaluronic acid and a group of sulfated saccharides. Although differences in the rate of synthesis of cell coat have been observed for transformed cells (4), as a rule the polysaccharides involved have not been characterized.
The present study describes the production and characterization of mucopolysaccharides by normal and virus-transformed fibroblasts from hamster embryo under cell culture conditions. An attempt was made to differentiate material adhering to cell surfaces from that released to the culture medium, although only an operational distinction was used. In most of the experiments reported, [3H]glucosamine was used as a radioactive precursor for both nonsulfated (hyaluronic acid) and sulfated (chondroitin sulfates, heparan sulfate, etc.) polysaccharides.
The identification of the polysaccharides was based on elution behavior from cetylpyridinium chloride precipitates (5), high-voltage electrophoresis, enzyme susceptibilities, and characterization of the amino sugar component after acid hydrolysis. Table 1 illustrates the results obtained for several polysaccharides under consideration.
MATERIALS AND METHODS
Syrian hamster-embryo fibroblasts cells (inbred LSH strain, Lakeview Hamster Colony, New Field, N.J.) were prepared by dispersion of 13-day-old embryos with 0.25% trypsin. The dispersed cells were grown in medium 199 supplemented with 10% tryptose phosphate broth, 10% fetal-bovine serum, and 0.075% NaHCO₃. Primary African green monkey kidney cells were also prepared by dispersion with 0.25% trypsin, and grown in Eagle’s medium (BME, Flow Laboratories Inc.) with 10% fetal-calf serum and 0.075% NaHCO₃.
The H-50 cell line was developed from a Syrian hamster tumor that was originally induced by SV40 (6). H-50 cells contain the SV40 T and transplantation-rejection antigens, and induce tumors when reinfected into weanling Syrian hamsters. They do not produce infectious virus. The cells were maintained in the identical manner as primary hamster embryo fibroblasts. The SV40-transformed BSC-1 cells are the results of the transformation of a stable line of African green monkey kidney cells (BSC-1) by SV40 (7). These cells synthesize the SV40-specific tumor antigen, the surface antigen, and the transplantation antigen; however, SV40 capsid antigen is not synthesized (8). BSC-1 (SV40) cells were grown in Eagle’s medium (BME) supplemented as described above.
Hamster-embryo fibroblast cells were transformed (9, 10) by herpes simplex virus type-2. The 333-8-9 T no. 1 cells were maintained in medium 199 with the same supplements as used with normal fibroblast cells. Herpes virus-specific antigens are present in the 333-8-9 T no. 1 cells, which were developed from a tumor induced in a weanling Syrian hamster by the virus-transformed cells.
For polysaccharide analysis, cell cultures were maintained in medium 199 supplemented with 10% fetal-calf serum and 10% tryptose phosphate broth. The cells were passaged at 3- to 4-day intervals. Exposure to isotopically labeled glucosamine ([3H]glucosamine, 10 μCi/ml final concentration, 3 Ci/mmol, New England Nuclear Corp.) was for 24 hr; 10⁴ cells were used in the same medium with dialyzed serum. In a rate study, cells were labeled for 4 hr with 10 μCi/ml of [3H]glucosamine, then the medium was removed and replaced with fresh medium containing an equivalent concentration of unlabeled glucosamine (1.6 pmol/ml). Cell and medium samples were collected at several intervals thereafter.
Medium was decanted from the cells and the cells were removed from the glass substrate by brief exposure to 0.1 mM EDTA or by mechanical means. The cells were collected by centrifugation and washed once with isosmotic phosphate-buffered saline (pH 7.3). The wash was combined with the decanted medium.
After the addition of 2.5 mg (each) of unlabeled hyaluronic acid and chondroitin 4-sulfate as carrier, the mucopolysaccharides were isolated by precipitation with excess cetylpyridinium chloride after 18 hr of digestion with 1 mg/ml of Pronase at pH 6.5 and 37°, 18 hr of exposure to 0.1 N NaOH, and dialysis against H₂O to remove peptides and glycopeptides. The cetylpyridinium-chloride precipitate was washed with 30 mM NaCl, and sequentially extracted with...
### Table 1. Characterization profile of mucopolysaccharides
| Cetylpyridinium chloride elution (M NaCl) | Enzyme susceptibility | Amino sugar |
|------------------------------------------|-----------------------|-------------|
| Haluronic acid | Hyaluronidase | Glucosamine |
| Chondroitin 4- and 6-sulfate* | Hyaluronidase: chondroitinase ABC | Galactosamine |
| Heparan sulfate† | Flavobacterium heparinase | Glucosamine |
| Heparin† | Flavobacterium heparinase | Glucosamine |
* Differentiated by both chemical and enzymatic hydrolysis susceptibility of the sulfate ester grouping.
† Contains N-sulfate as well as O-sulfate.
0.4 M NaCl, 1.2 M NaCl, and, in some preliminary experiments, 2.0 M MgCl₂. The MgCl₂ extracts invariably contained insignificant radioactivity and were not studied further. The NaCl eluates were freed of cetylpyridinium chloride by dialysis before further analyses.
Electrophoresis was performed in pyridine-formic acid, (pH 3.0), on cellulose acetate strips for 30 min at a current of 0.22 mA/cm. Standards for hyaluronic acid and the chondroitin sulfates were prepared in this laboratory. The position of the standards was revealed by staining with Alcian Blue; the experimental strips were sectioned and assayed for radioactivity by scintillation counting. In all cases, the results obtained corresponded to those expected on the basis of the cetylpyridinium chloride elution profile. It should be noted that the sulfated polysaccharides (e.g., chondroitin 4- against 6-sulfate) are not distinguished by this procedure. We are indebted to Dr. Alfred Linker for an authentic sample of heparan sulfate.
Hyaluronidase susceptibility was observed by measurement of dialyzable radioactivity after 24 hr of digestion at pH 5.0 and 37° with 300 turbidity-reducing units of Worthington testicular hyaluronidase. Similar conditions were used for chondroitinase ABC and a flavobacterium heparinase obtained through the courtesy of Dr. Alfred Linker.
The amino sugar composition of the various fractions was measured after 24 hr of hydrolysis in an evacuated tube in 6 N HCl. Samples were resolved on a Beckman 120C aminoacid analyzer; a stream-splitting attachment was used. The radioactivity associated with the glucosamine or galactosamine peaks was determined by counting aliquots in a liquid scintillation counter in a toluene-Triton mixture as solvent and 2,5-diphenyl oxazole(PPO)-1,4-bis-[2-(5-phenyl oxazole)]-benzene POPOP (40:1) as scintillators.
Estimates of molecular size are based on chromatography on porous glass beads with oligo- and polysaccharide samples of known degree of polymerization as standards. The glass beads were obtained from Corning Glass, Inc. The details of this technique will be published elsewhere.
### RESULTS AND DISCUSSION
The effect of virus transformation on mucopolysaccharide production by hamster-embryo fibroblasts is notable in that there is a striking increase in label in the hyaluronic acid fraction without a corresponding effect on the sulfated polysaccharide components. Data are summarized in Table 2. Since incorporation of precursor into product under the conditions of this experiment must represent a composite of both synthesis and degradation, a time-course study was performed in an attempt to better define the nature of the observed effect. The data, shown in Table 3 and Fig. 1, clearly demonstrate an increase in the rate of glucosamine incorporation into hyaluronic acid of about tenfold that persists after 24 hr, and also suggest that greater amounts of the hyaluronic acid remain associated with the cells after viral transformation, although the nature of this association is unknown.
Although the amount of isotope incorporated into the sulfated fraction was not significantly different from that in control cells, and the characterization of this fraction is not complete, several facets are of interest. Examination of the data presented in Fig. 1 suggests a significant effect on the rate of sulfated polysaccharide synthesis during the 4-hr period after a medium change. In addition, there is an indication of some turnover of this fraction at extended time periods, a finding
### Table 2. Mucopolysaccharide production by normal and transformed cells
| Cell line | Hyaluronic acid | Sulfated polysaccharides |
|--------------------|-----------------|--------------------------|
| | Cell | Medium | Cell | Medium |
| Hamster-embryo | | | | |
| fibroblasts | 43,800 | 262,700 | 111,600 | 683,200 |
| 333-8-9 T no. 1 | 463,000 | 8,578,900 | 107,000 | 1,042,000 |
| H-50 | 96,300 | 655,800 | 13,200 | 918,500 |
The radioactivity incorporated into the identified fraction after exposure of 10⁶ cells to 5 μCi/ml of [³H]glucosamine for 48 hr under standard culture conditions. The sulfated-fraction radioactivity is based on high-voltage electrophoresis after elution from cetylpyridinium chloride. Both glucosamine and galactosamine were present, suggesting the presence of heparan sulfate, as well as chondroitin sulfate (see Table 4). 333-8-9 T no. 1: hamster-embryo fibroblasts transformed in vitro by herpes simplex virus type-2, cell line recovered from tumor, carried in culture, 13th passage; H-50: hamster tumor induced by SV40, cell line recovered from tumor, carried in culture, 46th passage. Both transformed lines are oncogenic. The counts identified as hyaluronic acid represent those eluted from the cetylpyridinium chloride precipitate with 0.4 M NaCl. These fractions were completely (>95%) digested by hyaluronidase, and all radioactivity was associated with glucosamine; galactosamine was not present.
### Table 3. Rate of hyaluronic acid synthesis
| | Cell | Medium |
|----------------|------|--------|
| | 0 Hr | 4 Hr | 0 Hr | 4 Hr |
| HEF | 5,300 | 9,000 | 8,100 | 38,900 |
| 333-8-9 T no. 1| 82,400 | 95,600 | 95,600 | 98,300 |
Rate of hyaluronic acid synthesis by normal and transformed fibroblasts. 10⁶ Cells were labeled for 4 hr by exposure to 10 μCi/ml of [³H]glucosamine. At “zero time,” fresh medium containing a comparable concentration of unlabeled glucosamine was added, and the cells were incubated for an additional 4 hr. 333-8-9 T no. 1 cells are herpes-transformed cells (see Table 2).
Fig. 1. Rate of hyaluronic acid and sulfated mucopolysaccharide production by hamster-embryo fibroblasts and a cell line transformed by herpes virus type-2, 333-8-9 T no. 1. O—O, [3H]glucosamine incorporation into total hyaluronic acid by control cells; ▲—▲, [3H]glucosamine incorporation into total hyaluronic acid by transformed line 333-8-9 T no. 1; Δ—Δ, [3H]glucosamine incorporation into total sulfated polysaccharides by control lines; ■—■, [3H]glucosamine incorporation into total sulfated polysaccharides by 333-8-9 T no. 1 cells.
Table 4. Properties of sulfated polysaccharide fraction
| % Low molecular weight | % Heparan sulfate |
|------------------------|-------------------|
| Green monkey kidney | 24 | 2.7 |
| BSC-1 (SV40) | 45.7 | 16.0 |
| Hamster embryo fibroblast | 46 | 4.4 |
| 333-8-9 T no. 1 | 35 | 23.1 |
% Low molecular weight is based on the fraction of radioactively labeled material eluting after standard chondroitin 4-sulfate (molecular weight = 14,500) on a 0.9 × 50 cm column of CPG-240 porous glass beads with 0.5 M CaCl₂ as eluting solvent. If the profile overflows completely, the percentage of low molecular weight material is assumed to be 10. Heparan sulfate content is an estimate based on hyaluronidase-resistant, heparinase-sensitive material remaining after dialysis. BSC-1 (SV40), a stable line of monkey kidney cells (BSC-1) transformed by SV40 virus; 333-8-9 T no. 1 cells are described in Table 2.
that was not observed in several experiments with transformed cell lines. An apparent result of *in vitro* SV40 transformation on a line of monkey kidney cells was to cause a change in the average molecular size of the sulfated polysaccharide fraction and, concomitantly, to cause a marked increase in the proportion of heparan sulfate in this fraction. A similar effect was observed for herpes-transformed hamster-embryo fibroblasts. Data are summarized in Table 4.
Although accurate molecular weights cannot be determined for most of the isolated samples due to material limitations, size estimates were made based on behavior of the polysaccharide samples on columns of porous glass beads. In general, both the hyaluronic acid and the sulfated polysaccharides appeared altered in molecular size after viral transformation. The possibility of a degradative activity associated with untransformed lines cannot be excluded, either by these observations or by the rate studies. In addition, since this study was focused on the saccharide moieties, we have no information regarding effects on covalently associated protein, a normal constituent of at least the sulfated proteoglycans.
Several laboratories have observed alterations in cell-surface polysaccharides coincident with a transforming event. Changes in cell-coat thickness and rates of formation (4) have been reported, although the identification of the associated macromolecule was limited to those able to bind electron-dense stain (ruthenium red) (11) or to purely physical observations (4). Similarly, the presence of heparan sulfate in several tumor cell lines has been reported, but direct comparison with control cells has not been reported (12, 13).
The physiological role of these mucopolysaccharides remains unknown, as does the nature of their association with the cell, but it is suggestive that selective differences in expression are found in the transformed lines. The possible association between the marked change in hyaluronic acid content and phenomena such as contact inhibition needs further study.
This study was supported by Contract no. 70-2024 within the Special Virus Cancer Program of the National Cancer Institute, National Institutes of Health, USPHS and by Grant AM12074 from the National Institute of Arthritis and Metabolic Diseases, USPHS.
1. Erichsen, S., Eng, J. & Morgan, H. R. (1961) *J. Exp. Med.* 114, 435–441.
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3. Moore, E. S. & Temin, H. (1971) *Nature* 231, 117–118; Kapeller, M. & Doljanski, F. (1972) *Nature New Biol.*, 235, 184–185; Culp, L. A. & Black, P. H. (1972) *Biochemistry*, 11, 2170–2172.
4. Mahoney, L., Poste, G. H. & Wells, V. (1972) *Nature New Biol.* 235, 222–223.
5. Scott, J. E. (1962) *Biochem. J.* 84, 270–275.
6. Ashkenazi, A. & Melnick, J. L. (1963) *J. Nat. Cancer Inst.* 30, 1227–1265.
7. Melnick, J. M., Volk-Fuchs, F. & Goldblum, N. (1969) *J. Gen. Virol.* 5, 321–327.
8. Rapp, F. & Trulock, S. C. (1970) *Virology* 40, 961–970.
9. Duff, R. & Rapp, F. (1971) *J. Virol.* 8, 469–477.
10. Duff, R. & Rapp, F. (1971) *Nature New Biol.* 233, 48–50.
11. Martinez-Palomio, A. (1970) *Int. Rev. Cytol.* 29, 29–75.
12. Kraemer, P. M. (1971) *Biochemistry* 10, 1439–1445.
13. Kraemer, P. M. (1971) *Biochemistry* 10, 1445–1451. |
Apparatus and method wherein multiple router interfaces are assigned the same IP network address, creating an IP work group. This enhances host mobility by allowing, in one embodiment, a host to be relocated anywhere in the work group without requiring reconfiguration of the host. As a further enhancement, address ranges may be specified (i.e., locked) to designated interfaces of the work group, to enhance security by restricting the allowed host mobility within the work group. An additional advantage is a reduced consumption of network and subnet addresses, because now a single address is used for several physical networks.
FIG. 1A
(PRIOR ART)
REST OF THE INTERNET
G
ALL TRAFFIC TO 18.104.22.168
NETWORK 22.214.171.124
126.96.36.199 H1 188.8.131.52 H2
NETWORK 184.108.40.206
220.127.116.11 H3 18.104.22.168 H4
FIG. 1B
(PRIOR ART)
INTERNET PART
LOCAL PART
INTERNET PART PHYSICAL NETWORK HOST
FIG. 2
| ID | HOST ADDRESS | SUBNET MASK | SECURITY STATUS | FAST PATH | POW STATUS | OPER STATUS | NUM ACTIVE | INT TOTAL | NUM INT |
|----|--------------|-------------|-----------------|-----------|------------|-------------|------------|-----------|---------|
| 1 | 22.214.171.124 | 255.255.255.0 | LOW | ENABLED | ACTIVE | OK | 1 | 2 | |
| 5 | 126.96.36.199 | 0 | MEDIUM | DISABLED | NOTREADY | DISABLED | 0 | 0 | |
| 45 | 188.8.131.52 | 255.255.0 | HIGH | ENABLED | NOTSERVICE | DISABLED | 0 | 0 | |
| ID | IF INDEX | NUM ACTIVE | HOSTS | NUM UNKNOWN HOSTS | RON STATUS | OPER STATUS |
|----|----------|------------|-------|-------------------|------------|-------------|
| 1 | 1 | 0 | | | NOTIN SERVICE | DISABLED |
| 1 | 3 | 0 | | | ACTIVE | LINKDOWN |
| 1 | 4 | 1 | | | ACTIVE | OK |
| 45 | 6 | 0 | | | ACTIVE | WORKGROUPINVALID |
| 45 | 7 | 0 | | | ACTIVE | WORKGROUPINVALID |
| ID | BEG ADDRESS | END ADDRESS | IF INDEX | RON STATUS | OPER STATUS |
|----|-------------|-------------|----------|------------|-------------|
| 1 | 184.108.40.206| 220.127.116.11| 1 | ACTIVE | INTERFACEINVALID |
| 1 | 18.104.22.168| 22.214.171.124| 3 | ACTIVE | INTERFACEINVALID |
| 1 | 126.96.36.199| 188.8.131.52| 4 | 0:1:2:3:4:5 ACTIVE | OK |
| 43 | 184.108.40.206| 220.127.116.11| 6 | 9:8:7:6:5:4 ACTIVE | WORKGROUPINVALID |
| HOST ADDRESS | IF INDEX | ID PHYSADDR | HOST STATUS |
|--------------|----------|-------------|-------------|
| 18.104.22.168| 4 | 1 | 0:1:2:3:4:5 VALID-ID RANGE |
| 22.214.171.124| 7 | 43 | 9:8:7:6:5:4 INVALID-ID RANGE |
FIG. 7
LEGEND
- = RE-ENTRANT C++ METHOD
- = DATA INSIDE A C++ OBJECT
FIG. 8a
WORK GROUP ROUTER
WG RANGE TABLE 216
WG FAS 214
IP CACHE-1 209
ARP CACHE-1 210
IP FAS-1 205
ARP FAS-1 206
REQUEST
INTERFACE 1 DRIVER 203
ARP REQUEST FOR HOST 202
SOURCE HOST ON INTERFACE 1 201
ARP REQUEST FOR HOST 202
DESTINATION HOST ON INTERFACE 2 202
IP CACHE-2 211
ARP CACHE-2 212
IP FAS-2 207
ARP FAS-2 208
REQUEST
INTERFACE 2 DRIVER 204
INITIATE FLOOD
ARP PRIME
ARP PRIME
CHECK DESTINATION STATUS
FIB 213
WG CACHE/HOST TABLE 215
FIG. 8b
WORK GROUP ROUTER
VALIDATE HOST STATUS
WG RANGE TABLE 216
WG CACHE/HOST TABLE 215
WG FAS 219
VALIDATE HOST INFO
IP CACHE-1 209
ARP CACHE-1 210
IP CACHE-2 211
ARP CACHE-2 212
STORE ADDRESS
IP FAS-1 205
ARP FAS-1 206
IP FAS-2 207
ARP FAS-2 208
REPLY
INTERFACE 1 DRIVER 203
INTERFACE 2 DRIVER 204
ARP REPLY TO ROUTER 11
SOURCE HOST ON INTERFACE 1 201
DESTINATION HOST ON INTERFACE 2 202
FIG. 8c
WORK GROUP ROUTER
FIB 213
WG CACHE / HOST TABLE 215
CHECK DESTINATION STATUS
IP CACHE-1 209
ARP CACHE-1 210
IP FAS-1 205
ARP FAS-1 206
REQUEST
INTERFACE 1 DRIVER 203
ARP REQUEST FOR HOST 202
SOURCE HOST ON INTERFACE 1 201
ARP REPLY
DESTINATION HOST ON INTERFACE 2 202
INTERFACE 2 DRIVER 204
IP CACHE-2 211
ARP CACHE-2 212
IP FAS-2 207
ARP FAS-2 208
FIG. 8d
FIG. 8e
FIG. 8f
WORK GROUP ROUTER
FIB 213
WG CACHE/HOST TABLE 215
WG FAS 214
IP CACHE-1 209
GET NEXT HOP
IP FAS-1 205
ARP CACHE-1 210
ARP FAS-1 206
INTERFACE 1 DRIVER 203
PACKET IN
IP PACKET FOR HOST 202
SOURCE HOST ON INTERFACE 1 201
ARP REQUEST FOR HOST 202
DESTINATION HOST ON INTERFACE 2 202
IP CACHE-2 211
ARP CACHE-2 212
ARP PRIME
IP FAS-2 207
ARP FAS-2 208
INTERFACE 2 DRIVER 204
REQUEST
REQUEST
FIND HOST
DEFER PKT
FORWARD PACKET
ARP PRIME
WG RANGE TABLE 216
FIG. 8g
WORK GROUP ROUTER 11
VALIDATE HOST STATUS
WG RANGE TABLE 216
WG CACHE/HOST TABLE 215
LEARN HOST
IP CACHE-1 209
ARP CACHE-1 210
SEND DEFERRED PACKETS
IP FAS-1 205
ARP FAS-1 206
INTERFACE 1 DRIVER 203
SOURCE HOST ON INTERFACE 1 201
DESTINATION HOST ON INTERFACE 2 202
IP PACKETS FROM HOST 201
ARP REPLY TO ROUTER 11
IP CACHE-2 211
ARP CACHE-2 212
STORE ADDRESS
IP FAS-2 207
SEND
INTERFACE 2 DRIVER 204
ARP FAS-2 208
REPLY
FIG. 9
INTERNET PROTOCOL (IP) WORK GROUP ROUTING
[0001] This application is a Continuation of prior application No. 09/073,557, filed on May 6, 1998, entitled INTERNET PROTOCOL (IP) WORK GROUP ROUTING, now Pending, which will issue on Jun. 19, 2001 as U.S. Pat. No. 6,243,606 B1. This application is also a Continuation of application no. 08/501,324 filed Jul. 12, 1995 entitled INTERNET PROTOCOL (IP) WORK GROUP ROUTING, now issued as U.S. Pat. No. 5,751,971 on May 12, 1998, and is incorporated by reference herein in its entirety.
BACKGROUND OF THE INVENTION
[0002] The present invention relates generally to communications networks and more particularly to a method and apparatus for IP work group routing which provides host mobility, conserves on the assignment of IP subnet addresses, and adds security along with ease of use to network configuration.
[0003] The original IP addressing scheme assigned a unique 32-bit internet address to each physical network and required gateways to keep routing tables proportional to the number of networks in the internet. This scheme is acceptable for an internet with tens of networks and hundreds of hosts, but can not handle today's connected internet with tens of thousands of small networks of personal computers because: (1) immense administrative overhead is required merely to manage network addresses; (2) the routing tables and gateways are extremely large; and (3) the number of IP addresses available for assignment is decreasing. Thus, the problem was how to minimize the number of assigned network addresses without destroying the original addressing scheme. See C. D. Comer, "Internetworking With TCP/IP, Vol. 1, Principals, Protocols and Architecture," Prentice Hall, Englewood Cliffs, N.J., 2nd ed., Chap. 16, pp. 265-280 (1991).
[0004] A prior art technique for allowing a single network address to span multiple physical networks, and now a required part of IP addressing, is "subnet addressing" or "subnetting." This is illustrated by example in FIG. 1A (taken from Comer, p. 270), wherein a site uses a single class B network address 126.96.36.199 for two physical networks. Except for gateway G, all gateways in the internet route as if there were a single physical net. Once a packet reaches G, it must be sent across the correct physical network to its destination. In this case, the manager of the local site has chosen to use the third octet of the address to distinguish between the two physical networks. Thus, G examines the third octet of the destination address and routes datagrams with value 1 to the network labeled 188.8.131.52 and those with value 2 to the network labeled 184.108.40.206.
[0005] Adding subnets only changes the interpretation of IP addresses slightly, as illustrated in FIG. 1B. Instead of dividing the 32-bit IP address into a network prefix and a host suffix, subnetting divides the address into an internet portion and a local portion, where the internet portion identifies a site, and the local portion identifies a physical network and a host on that physical network.
[0006] Another change is that a site using subnet addressing must choose a 32-bit subnet mask for each network. Bits in the subnet mask are set to 1 if the network treats the corresponding bit in the IP address as part of the network address, and 0 if it treats the bit as part of the host identifier. It is recommended that sites use contiguous subnet masks (i.e., setting contiguous bits to 1) and that they use the same mask throughout an entire set of physical networks that share an IP address.
[0007] The standard IP routing algorithm is also modified to work with subnet addresses, known as "subnet routing." The standard algorithm bases its decision on a table of routes, each table entry containing a pair of:
[0008] (network address, next hop address)
[0009] where the network address field specifies the IP address of the destination network, N, and the next hop address field specifies the address of a gateway to which datagrams destined for N should be sent. The standard routing algorithm compares the network portion of a destination address to the network address field of each entry in the routing table until a match is found. Because the next hop address field is constrained to specify a machine that is reachable over a directly connected network, only one table look-up is needed.
[0010] The modified algorithm for subnet routing maintains one additional field in each table entry that specifies the subnet mask for use with that entry:
[0011] (subnet mask, network address, next hop address)
[0012] When choosing routes, the modified algorithm performs a bit-wise Boolean "AND" of the full 32-bit destination IP address and the subnet mask, and then checks to see if the result equals the value in the network address field. If so, the network address is the actual network listed in the next hop address field. If the IP address of the destination network (extracted from the datagram) matches a directly connected network address, the destination IP address from the datagram is resolved to a physical address, the datagram is encapsulated, and the frame sent out on the destination network to the destination host.
[0013] With ever increasing numbers of subnets, it would be desirable if further methods were available to conserve on subnet addresses. One potential method for doing this would be to put a bridge on a single router interface to bridge multiple LAN segments; however, this involves the added cost of a bridge and loses the protection of router "fire walls", which administrators set to filter out packets based on destination addresses. Another potential method would be to increase the granularity of subnets by taking more bits from the host portion of the IP address for the subnet mask; however, this approach is very difficult for the network administrator to maintain as the network configuration evolves. Thus, neither of these potential methods offers a satisfactory solution.
[0014] It is an object of the present invention to accomplish one or more of: increased host mobility; further conserve on the assignment of network addresses; simplify the configuration of subnets; and provide an enhanced level of security.
SUMMARY OF THE INVENTION
[0015] The present invention is a method and apparatus for routing datagrams from a source node to a destination
node in an IP communications network, the network including routers having multiple router interfaces connecting multiple physical networks. The method includes the step of assigning multiple router interfaces to a same IP work group address. This enhances host mobility by allowing, in one embodiment, a host to be relocated anywhere in the work group without requiring reconfiguration of the host. The method further includes the option of specifying (i.e., limiting or locking) host address ranges to designated interfaces of the work group. This step enhances security by restricting the allowed host mobility within the work group. The method further includes the optional step of filtering (i.e., dropping) the datagram if at least one of the source and destination hosts does not reside on the designated interface of the IP work group.
In the prior art, each router interface would have a unique IP address. In the present invention, multiple interfaces are assigned the same IP address. The hosts and physical networks connected to the designated multiple interfaces are referred to as a “work group”. There are several advantages to this arrangement.
First, there is the advantage of host mobility within the work group. A designated host may be valid if physically located on any one of the several interfaces in the work group. Another advantage is a reduced consumption of network and subnet addresses, because now a single address is used for several physical networks. As a result, the administrative burden of servicing physical networks with several addresses is reduced.
Another advantage is that it enables a network administrator to configure a network such that host addresses are allocated in blocks mirroring the physical structure of the network. For example, the administrator might allocate a contiguous block of addresses to each physical network. By providing a block or range of addresses, room is provided for future growth. In addition, one can secure the operational behavior of the network along the same lines as the configuration.
Security is optimally enhanced by only allowing transmission of datagrams to or from hosts with certain addresses. By isolating IP (network layer) and MAC (physical layer) addresses, no one (other than the network administrator) can reconfigure an IP address to another MAC address. As a result, unauthorized computers which connect to a network will not be able to transmit datagrams into or out of the work group.
For example, in one embodiment a level of security is assigned to each IP work group by identifying the hosts within the group as “free”, i.e., permitting forwarding to/from any interface, or “secured”, i.e., permitting forwarding to/from only if the host resides on a designated interface. Hosts may be secured by range or singly; in the latter case the host’s physical address may also be secured.
Another feature of this invention which speeds the forwarding procedure is referred to as “FastPath”. If a datagram’s source and destination addresses are both within the same work group, then header and address validation may be skipped.
These and other benefits and features of the present invention will be more particularly described with respect to the following detailed description and drawings.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1A is a schematic illustration of a gateway G connecting two physical networks to the rest of the internet, and illustrating the prior art IP subnet addressing scheme.
FIG. 1B illustrates, in the top portion, the original IP addressing scheme in which a 32-bit class B IP address is considered to have a 2-octet internet portion and a 2-octet local portion; in the bottom portion, a modified IP subnet addressing scheme is illustrated in which a 2-octet internet part identifies a site, and a 2-octet local part is divided into two parts, one part identifying a physical network (subnet) and a second part identifying a host on that subnet.
FIG. 2 is a schematic illustration of a router, with multiple interfaces connected to different physical networks and another interface connected to the rest of the internet.
FIG. 3 illustrates a Definition table according to one embodiment of the invention.
FIG. 4 illustrates an Interface table according to one embodiment of the invention.
FIG. 5 illustrates a Range table according to one embodiment of the invention.
FIG. 6 illustrates a Host table according to one embodiment of the invention.
FIG. 7 illustrates service and forwarding methods of distributed autonomous forwarding engines.
FIGS. 8a-8g are a series of flow diagrams illustrating the forwarding of data packets in accordance with one embodiment of the invention.
FIG. 9 shows a general purpose computer and memory for implementing the invention.
DETAILED DESCRIPTION
The following definitions are useful in understanding the present invention (taken from D. Comer, pp. 477-511):
ARP: (Address Resolution Protocol) The TCP/IP protocol used to dynamically bind a high level IP address to a low-level physical hardware address. ARP is only across a single physical network and is limited to networks that support hardware broadcast.
directed broadcast address: An IP address that specifies “all hosts” on a specific network. A single copy of a directed broadcast is routed to the specified network where it is broadcast to all machines on that network.
gateway: A special purpose, dedicated computer that attaches to two or more networks and routes packets from one to the other. In particular, an IP gateway routes IP datagrams among the networks to which it connects. Gateways route packets to other gateways until they can be delivered to the final destination directly on one physical network. The term is loosely applied to any machine that transfers information from one network to another, as in mail gateway. Although the original literature used the term gateway, vendors often call them IP routers.
Host: Any (end-user) computer system that connects to a network. Hosts range in size from personal computers to supercomputers. Also see gateway.
ICMP: (Internet Control Message Protocol) An integral part of the Internet Protocol that handles error and control messages. Specifically, gateways and hosts use ICMP to send reports of problems about datagrams back to the original source that sent the datagram. ICMP also includes an echo request/reply used to test whether a destination is reachable and responding.
Internet: Physically, a collection of packet switching networks interconnected by gateways along with protocols that allow them to function logically as a single, large, virtual network. When written in upper case, Internet refers specifically to the connected Internet and the TCP/IP protocols it uses.
Internet: The collection of networks and gateways, including the MILNET and NSFNET, that use the TCP/IP protocol suite and function as a single, cooperative virtual network. The Internet provides universal connectivity and three levels of network services; unreliable, connectionless packet delivery; reliable, full duplex stream delivery; and application level services like electronic mail that build on the first two. The Internet reaches many universities, government research labs, and military installations and over a dozen countries.
IP: (Internet Protocol) The TCP/IP standard protocol that defines the IP datagram as the unit of information passed across an internet and provides the basis for connectionless, best-effort packet delivery service. IP includes the ICMP control and error message protocol as an integral part. The entire protocol suite is often referred to as TCP/IP because TCP and IP are the two most fundamental protocols.
IP address: The 32-bit address assigned to hosts that want to participate in a TCP/IP internet. IP addresses are the abstraction of physical networks. Actually assigned to the interconnection of a host to a physical network, an IP address consists of a network portion and a host portion. The partition makes routing efficient.
IP datagram: The basic unit of information passed across a TCP/IP internet. An IP datagram is to an internet as a hardware packet is to a physical network. It contains a source and destination address along with data.
MIB: (Management Information Base) The set of variables (database) that a gateway running CMOT or SNMP maintains. Managers can fetch or store into these variables. MIB-II refers to an industry-standard extended management database that contains variables common to the configuration of network devices.
packet: The unit of data sent across a packet switching network. The term is used loosely. While some TCP/IP literature uses it to refer specifically to data sent across a physical network, other literature views an entire TCP/IP internet as a packet switching network and describes IP datagrams as packets.
proxy ARP: The technique in which one machine, usually a gateway, answers ARP requests intended for another by supplying its own physical address. By pretending to be another machine, the gateway accepts responsibility for routing packets to it.
route: In general, a route is the path that network traffic takes from its source to its destination. In a TCP/IP internet, each IP datagram is routed separately; the route a datagram follows may include many gateways and many physical networks.
router: Generally, any machine responsible for making decisions about which of several paths network traffic will follow based on a network level address. When used with TCP/IP, the term refers specifically to an IP gateway that routes datagrams using IP destination addresses. In a TCP/IP internet, each IP gateway is a router because it uses IP destination addresses to choose routes.
SNMP: (Simple Network Monitoring Protocol) A standard protocol used to monitor IP gateways and the networks to which they attach. SNMP defines a set of variables that the gateway must keep and specifies that all operations on the gateway are a side-effect of fetching or storing to the data variables. Also see MIB.
subnet address: An extension of the IP addressing scheme that allows a site to use a single IP network address for multiple physical networks. Outside of the site using subnet addressing, routing continues as usual by dividing the destination address into a network portion and local portion. Gateways and hosts inside a site use subnet addressing to interpret the local portion of the address by dividing it into a physical network portion and host portion.
FIG. 2 illustrates a multi-interface router 11 for connecting several physical networks to an IP internet. The router 11 includes multiple interfaces 12A, 12B, each of which connects to a physical network 13A, 13B including one or more hosts 14. The router further includes an interface 15 which connects to the rest of the internet 16.
In the prior art, each of the interfaces 12 would have a unique IP address; in the present invention, both interfaces 12 are assigned the same IP address. The hosts 14 and networks 13 connected to both interfaces 12 are referred to as a “work group”.
Work Group Tables
An IP work group contains the managed objects used to set up and configure the IP router interfaces (ports) into associations known as work groups. Each work group is a subnet with one address and security level shared by the associated interfaces.
In a specific embodiment described herein, the configuration of IP work groups is done through four tables: Definition, Interface, Range, and Host. The first three are configuration tables and the fourth is a read-only status table. Each configuration table’s key begins with “ID”, the work group identifier. These tables are implemented as AVL binary trees; a tree does not have a predefined size and may grow freely. Prior art management routines are used to allow network management to set entries and retrieve them from the tables in serial order in support of the Simple Network Management Protocol (SNMP).
The four tables provide the following functions, described in more detail below:
Definition table 30 (FIG. 3): each entry defines a work group and assigns each work group a Host Address 32 and Subnet Mask 33 and a Security level.
Interface table 40 (FIG. 4): each entry associates an interface (defined by IfIndex 42) to a work group.
Range table 50 (FIG. 5): each entry locks a range of host addresses (BegAddress 52 to EndAddress 53) to an interface of a work group.
Host table 60 (FIG. 6): each entry lists the active (i.e., discovered) hosts (Host Address 61) along with their associated interface and physical address.
Referring to FIG. 3, the Definition table 30 includes an ID field 31 which identifies by an integer a separate work group in each row. For a given row, the work group is assigned a Host Address (field 32) and a Subnet Mask (field 33) which together (logical AND) define the subnet (IP subnet address) for a given work group, e.g., for work group “1”, the subnet is 220.127.116.11.
The Security field 34 sets the level of security for the work group. Security means the filtering of packet forwarding through the Range table 50 (FIG. 5). Hosts may be secured by range or singly. Four levels of security are provided:
- none—all hosts are free and the range table is not consulted in packet forwarding;
- low—host may be free or secured in the range table;
- medium—host must be secured, by range or singly;
- high—host must be secured singly, with physical address also configured.
The FastPath field 35 designates whether this service is enabled or disabled. If enabled, it speeds up the forwarding of packets within a work group (i.e., both source and destination in the same work group) by skipping IP header and address validation. If disabled, IP header and address validation are performed.
The RowStatus field 36 is defined in the context of the SNMPv2 textual convention. The three readable states are:
- active—work group entry is active and usable by the router;
- notInService—entry is fully defined but administratively inactive;
- notReady—entry is not yet fully defined (e.g., workgroup “S” still requires a mask).
A work group not in the Definition table, or in the Definition table but with a RowStatus marked “notReady,” cannot be used as a key in creating entries in the Interface and Range tables.
RowStatus is a status object used to administrate conceptual rows in the work group tables defined above (FIGS. 3-6). It is an integer used here in an SNMPv1 MIB, but intended to have the same semantics as the RowStatus textual convention for SNMPv2.
RowStatus is used to manage the creation and deletion of conceptual rows, and has six defined values:
- active—usable by the managed device;
- notInService—unusable, row information complete;
- notReady—unusable, row information incomplete;
- createAndGo—set to create a row in active status;
- createAndWait—set to create a row in either notReady or notInService status;
- destroy—set to delete existing row.
The first three values are states which may be retrieved by a management protocol get operation. The last three values are actions—they may be written, but not read. All values except “notReady” may be specified in a set operation. For example, to temporarily disable a row, set status to “notInService” and reactivate it later by a set to “active”. The agent will detect the notReady status. If a row was created by a set of “createAndWait” and the agent has enough row information from instances and default values to complete the row, this status will be set to “notInService”, or else to “notReady”.
The OperStatus field 37 defines the operational status of a work group definition entry. The four states are:
- ok—operational work group;
- disabled—row status is not active;
- subnetConflict—conflict with IP address of another interface (existing active entry in this work group definition table);
- internalError—system problem, e.g., out of memory.
The NumActiveInt field 38 records the number of interfaces (ports) in this work group which have an operational status of “OK” in the interface table (FIG. 4).
The NumTotalInt field 39 records the number of interfaces in this work group.
FIG. 4 shows the Interface table 40. An interface must be configured in the Interface table before it can be entered into the work group. An interface entry is keyed by ID and IfIndex.
The ID field 41 identifies the work group, e.g., FIG. 4 shows 2 workgroups: “1” and “43”.
The IfIndex field 42 identifies the router interface by number; these numbers are defined in accordance with the MIB-II interfaces group.
The NumActiveHosts field 43 (read only), identifies the number of hosts recently active on the interface, e.g., averaging over the cache age out interval.
The NumKnownHosts field 44 identifies the number of hosts seen on the interface since the last reboot.
The RowStatus field 45 is defined in accordance with the SNMPv2 textual convention defined above.
The OperStatus field 46 defines the operational status of this interface (port) entry. The seven states are:
ok—entry is operational
disabled—this entry’s row status is not active;
workgroupInvalid—either there is no work group defined for this entry or the operational status of the work group in the definition table is not OK;
addressConflict—there is a conflict of the work group address with an address configured in the IP address table;
resetRequired—no conflict, this entry’s row status has just been activated, and a reset of the router is required to be operationally OK;
linkDown—a physical connections on this interface;
routingDown—routing or forwarding has been administratively disabled
internalError—unspecified internal problems.
FIG. 5 illustrates the Range table. The Range table 50 configures host IP address ranges, assigning them to an existing interface for a designated work group. A range entry is keyed by ID 51, BegAddress 52, EndAddress 53 and IfIndex 54.
Entries in the same work group (ID) may not have overlapping host address ranges, but may have duplicate ranges for different interfaces (e.g., see the first two entries in table 50 with same address range). BegAddress and EndAddress define the beginning and end of the address range, respectively. BegAddress and EndAddress may be the same, so that a range comprises a single host. Single host entries allow for a physical address to be configured in the PhysAddr field 55. In a “high” security work group, such as work group “43”, all entries must be single hosts and must have the physical address configured as well to be valid.
More specifically, the address range must lie within the subnet defined for a given work group and thus the entry acquires the security level of that work group. If security is violated, packets to and from a given host IP address will be filtered out by the router. The source and destination IP packet addresses are checked against ranges in the Range table during packet forwarding and must match as follows:
For a high security workgroup, a host must match a single host range entry—it must reside on the port with the physical address as configured in that entry. For a medium security workgroup, a host must match a range entry in that it resides on that port, but unless a physical address is also specified in that entry, the physical address is not constrained.
For a low security workgroup, a host is free to reside on any port with any physical address as long as its IP address does not lie within the range of any entry in the range table, but if it does fall in a range then it must completely match that entry, or another entry with the duplicate address. If a host completely fails to match the port and, if a physical address is specified, match that as well. The RowStatus field 56 is defined the same as in the Interface table. The OperStatus field 57 defines the operational status of this range table entry.
The following states apply:
ok—entry is operational
disabled—this entry’s row status is not active;
workgroupInvalid—no work group or the operational status for the work group in the Definition table is not OK;
interfaceInvalid—interface is not in the Interface table or operational status of interface entry is not OK;
physAddrRequired—security level of associated work group is high and no physical address has been specified;
internalError—system problem
FIG. 6 illustrates the Host table. The Host table 60 is read only, and is similar to the MIBII Net-to-Media Table, except there are no static entries.
The entries in the Host table are not configured; rather, they are learned and show only hosts active on the network. Each entry is keyed by HostAddress 61 and IfIndex 62, which may be helpful if the network is misconfigured. For example, if two hosts on different interfaces are assigned the same IP address, both entries would show and the problem could then be corrected.
The HostAddress field 62 identifies the IP address of the host. The IfIndex field 63 defines the interface number. The ID field 63 identifies the work group by integer. The PhysAddr field 64 identifies the physical MAC address of the host.
The HostStatus field 65 may have one of the following states:
other, unknown,
or valid—the entry is valid for forwarding; the host may be unknown if ARP has not discovered on which interface it resides;
invalid-multiple—the same host IP address was later found duplicated on another interface;
invalid-physAddr—the host matched an entry in the Range table with respect to range and interface, but did not match that entry for physical address; if the work group is high security, this status would result if no physical address was given in the range entry;
invalid-range—in a high or medium security work group, the host was not in the range of any entry in the Range table, or it was not in the range of an entry with a matching interface;
invalid-interface—the interface was physically down or not in service in the Interface table;
invalid-workgroup—the work group does not exist or is not in service in the Definition table;
invalid-expired—the host became inactive and aged out on the interface on which it was learned.
Forwarding Mechanism
FIG. 7 illustrates a distributed router architecture for forwarding unicast IP packets across router interfaces. It places an IP FAS (forwarding service) agent, on each interface, rather than having a single centralized forwarding agent. The distributed FAS agent architecture utilized in the present embodiment is more fully described in copending and commonly owned U.S. Pat. No. 08/216,541 entitled “Distributed Autonomous Object Network Architecture For Network Layer Routing,” filed Mar. 3, 1994 by Kurt Dobbins et al., which is hereby incorporated by reference in its entirety. The distributed object architecture of that application, which is implemented in an object-oriented programming language such as C++, defines all of the router’s functional aspects in a common protocol-independent framework which is inherited by every protocol-specific object upon instantiation. In object-oriented programming, data and methods are united into objects, each of which represents an instance of some class, and which classes are members of a hierarchy of classes united via inheritance relationships.
As illustrated in FIG. 7, each router interface 111, 114, 117 has a forwarding engine 112, 115, 118 sitting on it, and each forwarding engine knows how to receive and transmit packets on its own interface. Each forwarding engine accesses a common forwarding table (FIB) 120. The host interface 117 is treated as an internal interface with a destination address for “local” delivery into the host CPU.
Each forwarding engine has its own data portion 113, 116, 119 that is specific to itself, e.g., interface and media information, forwarding tables, connection information, etc. However, the method portion 112, 115 and 118 of each engine is common and is shared by all similar engines. The specific goal of each forwarding engine is to provide for the reception, processing and forwarding of network layer packets. At a very high level, all forwarding engines perform the same basic tasks regardless of protocol or media.
The operation of the forwarding engine will now be described with regard to FIG. 7. When an IP packet arrives, physically addressed to router interface-1, it is delivered to that FAS service engine. The service routine validates the IP header and IP addresses, filters against any access list, and then looks up the destination address in the forwarding information base (FIB) to find a route. A route gives: (a) the outgoing interface; (b) the outgoing FAS, and if the destination is not directly connected to that interface; (c) the next hop router. If there is a valid route the service routine passes the packet to the forward routine of the outgoing FAS.
The forward routine of the outgoing FAS filters against an access list, if any, and then tries to resolve the destination IP address or next hop router’s physical address suitable for framing by looking in the ARP (address resolution protocol) cache associated with that interface. If the address is resolved the packet is transmitted to that physical address. Otherwise, the packet is deferred on an ARP entry queue and ARP tries to resolve the address through protocol request. If resolved, the deferred packet is dequeued and transmitted by the FAS.
A cache of packet forwarding history is kept by each FAS, keyed by destination and source IP addresses. Additionally, access control filtering and look-up of next hop check the cache first, and if an entry is found there, the method is quick. If at any stage an error occurs in forwarding, the packet is dropped and an ICMP control message is sent back to the source.
Work group routing in accordance with the present invention extends the previously defined forwarding procedure for unicast packet forwarding and for limited broadcast packet forwarding. The existing procedure is sufficient for subnet broadcast and multicast packets.
First of all, proxy ARP is activated for all work group interfaces. Snooping, if activated in the enterprise MIB, is a function by which the interface will monitor ARP communication on its physical network, in order to determine IP addresses and physical addresses of hosts. With snooping active, the router is able to load the work group active Host table (FIG. 6) more quickly.
If a packet’s source and destination addresses are both within a single work group, and if FastPath is selected in the Definition table for that work group, then header and address validation may be skipped. This speeds up packet forwarding.
FIB lookup is extended when a work group is implicated. All interfaces of a work group are represented in the FIB by a single route. If this is the route chosen when a packet is looked up in the FIB, the packet is delivered to a special work group FAS which consults the Host table. If a valid entry exists for that destination in the Host table, the packet is passed to the interface FAS given by that entry.
There is a work group FAS created for each work group, which performs relay functions. If a packet arrives at the work group FAS for a host address unknown to the Host table, it creates a temporary, hidden entry in the Host table. The packet is deferred on a queue held with that Host table entry. ARP requests are flooded out to each work group interface in the Interface table, in order to locate the physical address of the destination host.
If ARP requests are resolved, a visible entry with the resolved interface number and physical address is put in the Host table, the hidden entry removed, and the deferred packet is dequeued and passed to the forward routine of the respective interface FAS to be transmitted. Future packets with the same source and destination IP addresses are handled by the FAS forwarding history caches on the normal forwarding path.
A more detailed flow chart of the forwarding method is illustrated in FIGS. 8a-8g and will now be described.
Reference FIG. 8a
Interface-1 and interface-2 are both configured as belonging to a valid work group in the Definition table 30 and are operationally active in the Interface table 40. The WG Cache 215 is part of the Host Table 60.
Source host 201 on interface-1 wants to send an IP packet to destination host 202 on interface-2. Both hosts belong to the same work group subnet, but the IP packet cannot be sent directly because host 201 does not know the physical address of host 202. Host 201 therefore initiates an ARP Request attempting to resolve the address of host 202 to a physical address. This request is not received by host 202 because it is on a different physical network link. It is received by router 11 however, because ARP Requests are broadcast on a link.
ARP-FAS-1206 receives the ARP request on interface-1 and checks with WG cache 215 to determine the status of the destination. Since the destination host 202 is
unknown, WG FAS 214 is called to initiate a flood of ARP requests out all interfaces in this work group.
Reference FIG. 8c
The destination host 202, receiving an ARP Request for its physical address, responds with an ARP Reply to the request source, i.e., the router 11. The router receives the Reply from interface driver 204, stores the physical address in the ARP Cache 212, and passes the interface number and physical address to WG Cache 215. The WG Cache validates the information against user-configured entries in the Range table 216 and sets the status (valid or invalid) for the destination host accordingly. This status in the WG Cache entry is visible through the Host table.
Reference FIG. 8d
Since ARP requests are tried multiple times according to the standard implementation of the ARP protocol, the source host 201 sends a second ARP Request for destination 202. This time, when IP FAS-1209 checks with the WG Cache 215 for the destination host, it finds the host is valid on interface-2. ARP-FAS-1 then does a proxy ARP Reply to source host 201 pretending to be destination host 202.
Reference FIG. 8e
Host 201 having received the ARP Reply, sends the IP packet to the physical address of the router. Interface-1 driver 203 gives the packet to IP FAS-1205 which attempts to forward the packet. First it checks IP Cache-1209 for a next hop FAS, but the destination is unknown in this cache so this cache looks with the FIB 213. The FIB holds a route to the WG FAS for the work group subnet; this information is retrieved through the cache IP FAS-1 which forwards the packet to the WG FAS 214.
WG FAS 214 consults the WG Cache 215, finds that the destination host 202 is valid on interface-2 and passes the packet over to IP FAS-2207. It also updates the IP Cache-1209 with the information so that future IP packets from host 201 to host 202 can go directly to IP FAS-2. IP FAS-2207 finally sends the packet out through interface-2 driver 204 to host 202.
Reference FIG. 8f
Eventually the entry in the IP Cache-1209 ages out. Now these packets force IP FAS-1205 to consult the FIB 213 and forward them instead to the WG FAS 214. The WG FAS tries to find the host in the WG Cache 215. In the case of the WG Cache 215 not having any other packets deferred in the WG Cache while the WG FAS again floods out ARP requests on all interfaces in the workgroup. (FIG. 8d previously described the case of the entry still being in the WG Cache.)
Reference FIG. 8g
An ARP Reply is finally received from host 202 and the WG Cache entry is relearned, the WG Cache 215 validates the host status with the Range Table 216, and since the host 202 is valid on interface 2, the WG Cache 215 forwards the deferred packets through IP FAS-2207.
Pseudo code of several routines for implementing this embodiment is set forth below:
SERVICE routine of receiving interface FAS
if (Work Group FAS and FASTPATH):
skip IP header validation; else:
check version, length, check sum and time to live IP header fields;
check for martian addresses;
do Access List Control filter check;
lookup next hop in FAS cache;
returns next IP address and next FAS
FAS cache is loaded from FIB upon cache miss call FORWARD routine of next FAS
this could be in Work Group FAS or an Interface FAS.
FORWARD routine of Work Group FAS
call find host to lookup in Work Group Cache of Host Table;
if (INVALID):
consume IP packet;
if (VALID):
update FAS cache on receiving interface for next hop Interface FAS;
call FORWARD routine of next hop Interface FAS;
if (UNKNOWN):
packet was deferred in host cache
flood ARP requests out all interfaces in this Work Group
(for each interface in this work group) call ARPPRIME.
FORWARD routine of forwarding Interface FAS
do Access List Control filter check;
call ARPRESOLVE to map IP to physical address, pass in packet;
if (NOT DEFERRED):
send out IP packet done.
for Work Group, proxy ARP and snooping enabled;
for non Work Group, proxy and snooping are MIB settable.
SERVICE routine of receiving interface ARP FAS
if (snooping or
packet is addressed to one of the router's IP addresses or proxy is enabled and the PROXY TEST returns OK):
call ARPSET routine to cache source host from packet;
if (REQUEST packet addressed to Router or proxy OK):
send arp REPLY to source address in packet done.
PROXY TEST routine of interface ARP Agent
if (not Work Group interface):
if (FIB has a route with next hop not on subnet of receiving interface):
return proxy OK;
else: return proxy NOTOK;
if (Work Group interface):
call FIND HOST in Work Group Cache;
if (INVALID) or host found on receiving interface):
return proxy NOTOK;
if (VALID on different interface) return proxy OK.
if (UNKNOWN) call ARPPRIME on every interface in this work group and return proxy NOTOK.
ARPSET routine in interface ARP Cache:
lookup entry in arp cache with packet’s source IP;
cache the new physical address from source field in received packet;
if (arp entry was WAITING):
send out deferred IP packets;
if (Work Group Interface):
call LEARN HOST, pass configuration;
will cache source host from the ARP packet return
ARPPRIME routine in interface ARP Cache:
lookup entry in arp cache with packet’s source IP;
if (not found): set as new entry;
if (not already on retry queue):
put on retry queue;
will retry ARP REQUESTs
broadcast out arp REQUEST on interface;
set arp entry status WAITING. return
ARPRESOLVE routine in interface ARP Cache:
ARP cache is loaded by ARP protocol or static management via MIBII Net-to-Media Table.
lookup host IP address in arp cache;
if (not found):
set as new entry with status WAITING;
if (WAITING):
defer packet on arp entry packet queue;
if (not already on retry queue):
put on retry queue;
broadcast out arp REQUEST on interface;
return DEFERRED;
if (RESOLVED):
return OK, and physical address.
FIND HOST routine of Work Group Cache:
Configuration =interface and physical address.
Host entries in cache having Range Status field with values:
VALID—host matches configuration in Range Table or not in Range Table but not High Security Work Group.
INVALID—host violates configuration in Range Table or not in Range Table and High Security Work Group.
NOT SET—host configuration not yet resolved by arp or host aged out on age queue.
lookup host entry in Work Group Cache of Host Table;
if (not found):
set new entry for host IP address in cache;
set entry’s Range Status to NOT SET;
check host entry’s Range Status;
if (INVALID):
tell source (via ICMP) that packet was administratively filtered;
return INVALID;
if (VALID):
return VALID and host interface FAS;
if (NOT SET):
defer IP packet on packet queue of host entry;
return UNKNOWN.
LEARN HOST routine in Work Group Cache:
Configuration, interface and physical address, is passed in lookup host entry in Work Group Cache of Host Table.
if (not in cache):
create new entry;
if (packet configuration not equal to host entry configuration):
set new configuration in entry;
call VALIDATE HOST in Range Table to get Range Status;
if (VALID): send deferred packets to source address;
if (INVALID): flush deferred packets;
set host entry status to Range Status from Range Table;
set host entry age queue status to YOUNG.
Cache entries age with a keepalive attempt,
age out in less than 10 minutes if not active)
return
VALIDATE HOST routine in Range Table
lookup host in Range Table;
if (host not in Range Table):
return INVALID if High Security Work Group, else return VALID;
if (host found in Range Table):
compare range entry configuration to packet configuration;
if (configuration matches): return VALID;
else return INVALID.
The above embodiments may be implemented in a general purpose computer 70 as shown in FIG. 9. This general purpose computer may include a Computer Processing Unit (CPU) 71, memory 72, a processing bus 73 by which the CPU can access the memory, and interface 74 to the rest of the router. Alternatively, the invention may be a memory 72 such as a floppy disk, compact disk, or hard drive, that contains a computer program or data structure, for providing to a general purpose computer instructions and data for carrying out the functions of the previous embodiments.
Having thus described a particular embodiment of the invention, various modifications will readily occur to those skilled in the art which are intended to be within the scope of this invention. Accordingly, the foregoing description is by way of example only, and not intended to be limiting.
1. A method of routing datagrams from a source to a destination in an IP communications network including routers having multiple router interfaces connecting multiple physical networks, wherein the routers forward IP datagrams based upon IP addresses, the method comprising the steps of:
defining an IP work group by assigning multiple router interfaces to a same IP work group address; and
forwarding IP datagrams through the routers based on the IP work group address.
2. The method of claim 1 further comprising:
specifying IP host address ranges for different router interfaces; and
filtering IP datagrams based on the host address ranges.
3. The method of claim 1, wherein if an IP datagram contains source and destination host addresses within the same IP work group, forwarding the datagram without performing header and address validation.
4. The method of claim 1, further including configuring a forwarding information base (FIB) with a route for the IP work group.
5. The method of claim 1, further comprising assigning a security level to the IP work group by identifying hosts within the group as “free” in order to permit forwarding to/from any interface, or “secured” in order to permit forwarding to/from a designated interface.
6. The method of claim 5, wherein four levels of security are provided:
in a “low” security work group, a host with any physical address is free to reside on any interface as long as its IP address does not lie within specified host address ranges, but if it does fall in any one of the ranges then it must reside on a designated interface for that one range;
in a “medium” security work group, a host’s IP address must fall within a specified host address range for a designated interface, but unless a physical address is also specified, the physical address is not constrained;
in a “high” security work group, a host must have a specified host IP address for a designated interface and have a designated physical address; and
in a “none” security work group, all hosts are free.
7. The method of claim 6, wherein a range table is maintained with the specified host address ranges and their designated interfaces.
8. A method of providing security in an IP communications network include routers having multiple router interfaces connecting multiple physical networks, wherein the routers forward IP datagrams based on IP addresses, the method comprising the steps of:
defining an IP work group by specifying IP host address ranges for different router interfaces; and
filtering IP datagrams based on the host address ranges.
9. The method of claim 8, wherein the defining step includes specifying an IP host address range for a single physical address.
10. The method of claim 8, wherein the defining step includes specifying multiple host address ranges which include the same IP host address to different router interfaces.
11. A method of increasing host mobility in an IP communications network including multiple physical networks connected by routers having multiple router interfaces, wherein the routers forward IP datagrams based upon IP addresses, the method comprising the steps of:
defining an IP work group by assigning multiple router interfaces to a same IP work group address and forwarding IP datagrams based on the IP work group address, and wherein a host is attachable to any interface in the IP work group without requiring reconfiguration of the host IP address.
12. The method of claim 11, including maintaining a host table of IP host addresses and their associated interfaces.
13. The method of claim 12, further comprising reviewing the host table for duplicate IP host addresses and associated interfaces.
14. The method of claim 11, further comprising maintaining a count of known interfaces within the work group.
15. The method of claim 11, further comprising monitoring the hosts heard on each interface and maintaining a host table of IP host addresses and associated interfaces on which each host is heard.
16. The method of claim 11, wherein the host table is maintained as a cache memory accessible by each router interface.
17. The method of claim 11, further comprising:
providing a work group forwarding agent for each work group.
18. The method of claim 17, further comprising:
maintaining a host table of IP host addresses and their associated interfaces; and
wherein the work group forwarding agent, prior to forwarding a datagram, accesses the host table for the associated interface.
19. The method of claim 11, wherein:
the work group forwarding agent sends ARP requests to all interfaces in the work group to resolve an unknown host physical address.
20. The method of claim 19, further comprising:
providing an ARP forwarding agent at each interface of the router, which accesses the host table.
21. The method of claim 11, further comprising:
maintaining a range table of host IP addresses and associated interfaces on which the hosts may reside; and
prior to forwarding a datagram, accessing the range table to validate a source or destination host.
22. An IP communications network including multiple physical networks connected by routers having multiple router interfaces, the routers forwarding IP datagrams based upon IP addresses, the network providing increased host mobility and including:
means for defining an IP work group by assigning multiple router interfaces to a same IP work group address; and
means for forwarding IP datagrams based on the IP work group address, wherein a host is attachable to any interface in the IP work group without requiring reconfiguration of the host IP address.
23. An IP communications network including routers having multiple router interfaces connecting multiple physical networks, the routers forwarding IP datagrams based on IP addresses, the network providing enhanced security and including:
means for defining an IP work group by specifying IP host address ranges for different router interfaces; and
means for filtering IP datagrams based on the host address ranges.
24. A router that provides security for preventing unauthorized transmissions comprising:
a first interface connectable to a first network;
means for assigning a range of valid IP host addresses to the first interface; and
means for forwarding only IP datagrams transmitted from a host on the first network having a host IP address within the range of valid host addresses.
25. An apparatus for assigning a plurality of interfaces on an IP communications network to a work group, comprising:
means for defining an IP work group by assigning an IP workgroup address to a plurality of interfaces;
means for configuring interfaces to the IP work group;
means for configuring ranges of IP host addresses to associated interfaces of the IP work group; and
means for filtering IP datagrams based upon the host address ranges. |
College to take part in national video conference
‘Racism on Campus’ is topic
Rhode Island College will be joining 110 colleges and universities throughout the country in a national video conference on racism on campus, Toward an Agenda for Action, on Tuesday, March 29.
The program will be received by satellite at the college from 11:30 a.m. to 3 p.m. with a meal/discussion period in the middle of the day.
Originating live from the Johnson Foundation’s Wingspread Conference Center in Racine, Wis., and from Governors State University in Chicago’s Park Hill, the video conference is designed to actively involve students, faculty and administrators in one of the most important issues facing us today—confronting American society and our nation’s problems,” according to sponsors.
The video conference brings national representatives to Rhode Island College through satellite communications. Because this will be a “live” television event, interaction between the guest speakers at Wingspread and viewers here and at other campuses will be part of the program.
Many of those attending here from Wingspread have had recent experiences in dealing with the issue of racism on campus. In addition to the live portion of the event, a number of case studies and examples of representative diversity programs are being taped on location.
The major segments of the video conference include an historical and contemporary perspective; case studies; and a look at elements of successful approaches or models leading to building an agenda for action, say sponsors.
The video conference is being sponsored locally by the president of Rhode Island College and the Committee on Student Relations. Seating is limited to 50 people “to facilitate opening and active involvement in the program.”
Participating live from Wingspread will be Dr. Mark Cheseb, co-director of the Program on Conflict Management and Mediation at the University of Michigan, Dr. Bailey Jackson, associate dean of the School of Education at the University of Massachusetts at Amherst, and Dr. Reginald Wilson, director of the Office of Minority Concerns for the University of Wisconsin at Madison.
Also participating will be Dr. Raymond McNeal, professor of history at Northern Illinois University and Rafael Martinez, former director and associate scholar of the Tomas Rivera Project at Claremont College in California.
Student representatives include Travey Mathis, undergraduate program coordinator who has been active in the United Coalition Against Racism at the University of Michigan, and Teresa Arenas, doctoral candidate in the Educational Administration in Higher Education program at the University of Wisconsin, Madison.
Being presented by Governors State University and the Johnson Foundation, it is co-sponsored by the American Association of Colleges and Universities, and the American Association of University Administrators.
Associations cooperating in the effort include the American Council on Education, the National Association of State Universities and Land Grant Colleges, the National Association of Independent Colleges and Universities, and the Illinois Commission for Black Colleges and Higher Education.
(continued on page 6)
‘Typical’ R.I. College student chose to come here because of ‘academic reputation, low cost’
The typical Rhode Island College student, as determined by the College’s office of Institutional Research and Planning, is a 20-year-old white female Rhode Islander who chose to attend because of the College’s “good academic reputation” and its “low tuition.”
This composite of the average student in 1986-87 is a fairly reliably tracked 74-year-old “Fact Book 1987” which includes statistics on a broad range of information about the institution probably not found in any other place, according to Dr. Lenore A. Deluca, director of institutional research and planning.
The book contains charts, facts and statistics on College enrollment (by race, finances, alumni), and other data as well such as a brief history of the College.
It represents the result of years of research and statistical compilation by DeLuca, Dr. Richard W. Pruill, assistant director, and Georgia L. Bonannino, intermittent clerk.
Says the last Fact Book was published in October 1986.
DeLuca says it is anticipated that the book now will be published annually.
The two further describe the composite “typical” student here as living at home with parents, as being Roman Catholic, and as a person who is more liberal in political orientation than her native country.
Her reasons for going to college are: “to get a better job” and “to learn more about the world.” Her annual family income is $32,976 and she is the first in her immediate family to attend college.
Rhode Island College was her first choice school.
Other statistics in the student profile show that most percent of the student body are not U.S. citizens, and one-third are male, thus showing little change from the last study.
‘International Scene’ series focuses on Latin America
The focus will be on Latin America as the Rhode Island College International Scene discussion series continues this month.
Non-teaching staff are welcome along with faculty members to participate in the six-week lecture/discussion series from 12:30 to 2 p.m. on March 1, 8, 15, 22, April 5, 12 and 21 and May 2 in Alumni Lounge, Roberts Hall.
The first entry, entitled “Psycho-social Effects of Forced Displacement in Argentina,” will be presented by Dr. Jorge Farfana of the psychology department at the University of Buenos Aires. Translating will be Dr. M. M. S. Nunez of the Rhode Island College Department of Modern Languages.
In conjunction with this topic, a movie, The Official Story, will be shown at 4:15 p.m. in Craig-Lee Hall 102.
“American Perspectives of Latin America” will be the topic of a panel discussion on Monday, March 31. Moderator will be Dr. Norman Pyle of the history department here. Panelists include Maria Althua and Jacques Georges, both students; Terenzia Jessa and Murik Tekoe Davies, both graduate students; and Augustine Joudy of the International Institute in Providence.
(continued on page 6)
Debaters take Wellesley contest
Rhode Island College Debate Council took the Wellesley College Parliamentary Debate Tournament on March 4, taking five preliminary rounds, beating Yale, the University of Maryland, and two Harvard teams.
In the final round, the winning team of seniors Richard Farkas and Christopher Dylan Costa defeated the Harvard “A” team, the third team from the Ivy League just behind before the Rhode Island College debate.
(continued on page 6)
AN ALIEN BEING at Rhode Island College? No, it's groundskeeper Jimmy Modleski properly outfitted for the job of giving the campus a clean sweep for spring. (What's News photo by Gordon E. Rowley)
News in coming freshmen
(The following may be of interest to high school students already accepted to Rhode Island College and who are on the What's News mailing list.)
THREE $1,000 SCHOLARSHIPS are being offered by the Greater Woonsocket Board of Realtors through its annual college scholarship essay contest.
The scholarships will be awarded to the top essayists from the Woonsocket, Lincoln, Ubridge, Blackstone Millville, Cumberland, Mount St. Charles, North Smithfield and Woonsocket high schools.
Interested college-bound students should write a 300-word essay on the theme of "What's Real Estate?"
Essays should be delivered to the Oscar J. Ryan Agency at 132 Main St., Blackstone, Mass., or to Bernice F. Salberg Real Estate Agency at 145 Great Road, North Smithfield, by April 11.
Essays should be typewritten and include an application form which is available on a separate sheet. For more information contact your guidance counselor or Chris Ryan at 863-8411.
Video on public archaeology program slated for March 25th
"It is part of the Anthropology and Geography Luncheon Series this spring," said next in the series is a presentation by Dr. Carolyn Flath-Lobban, professor of anthropology, on "Public Archaeology: A Revolution in Anthropology" on Friday, April 1, also in Gage 207 at noon.
Flath-Lobban's lecture follows Friday, April 15, with a presentation by Dr. Terence E. Hayes "Tobacco in New Guinea: A Study in Cultural Ecology" at 12:15 p.m. in the same site and time.
In light of his extensive research in New Guinea, his presentation concerns the rapid diffusion of tobacco smoking there "despite formidable topographic and linguistic barriers."
Members of the College community are invited to attend all of these presentations, all of which are designed to appeal to a broad audience.
'Education Women' series continues
Single Parents and Homeless Children: Reporting and Research" will be the topic of Judy Maranas of Project SPHERE at the Community College of Rhode Island and Ann Cardarelli of the Rhode Island Humanities Providence, as the series "Educating Women: What?" continues at Rhode Island College.
The discussion is set for Wednesday, March 23 at 2 p.m. in Adams Library 409. It is free and open to the public.
The series, which addresses the rapidly changing roles of women, will conclude on April 13.
Next issue of What's News is Monday, April 4
DEADLINE for copy, photos, etc. is Tuesday, March 29
Research and Grants Administration:
Request for proposals
The Office of Research and Grants Administration will be providing information about requests for proposals (RFPs) on a regular basis in What's News. If you are interested in obtaining further information or applications and guidelines need only circle the number of the RFP below and send it to the office in Roberts 312.
1. Rhode Island Office of Higher Education: Grants to Improve Mathematics and Science Instruction. Funds for the development and management of projects which provide in-service training of elementary and secondary teachers in the fields of math and mathematics. Projects should include retraining of teachers in areas of math and science education, the use of paraprofessionals of underrepresented and underserved groups, and development of special training activities and curriculum materials that will assist teachers to encourage socially and economically disadvantaged students to take and succeed in college preparatory and introductory courses in math and science. All institutions of higher education are eligible to submit proposals and participate in programs within the areas of math and science may apply. Funds will be provided in the form of individual grants which will not exceed $50,000. DEADLINE: April 13.
2. National Research Council: International Research Associate Programs: The National Research Council conducts a semiannual competition to recommend and make awards to outstanding scientists and engineers conducting research at participating laboratories. Objectives of the program are to provide postdoctoral scientists opportunities for research on problems of their own choosing, to strengthen the sponsoring laboratory, and to contribute to the overall efforts of the Federal Research Awards Program. Ph.D., Sc.D., or their equivalent. Training and research experience may be in any appropriate discipline or combination of disciplines related to the research. Annual stipends of $34,000 are awarded for periods ranging from one year past the Ph.D. An appropriately higher stipend will be offered to senior associates. DEADLINE: April 15.
3. MCDONALD Mini-Grants: Small grants to initiate and/or continue volunteer efforts which will develop and enhance community self-reliance. Institutions of higher education using volunteers as an integral part of their service delivery system may apply. Awards are up to $10,000 for local projects and $15,000 for regional or state-wide projects. Federal Register Announcement is expected next by late March. DEADLINE: May 2.
4. National Endowment for the Humanities: Fellowships for Graduate Students and Independent Scholars. Fellowships provide up to $27,500 for college teachers to pursue a full-time program of independent study and research that will enhance their capacities as teachers and scholars. Program is designed for both new and experienced teachers whose chief responsibilities lie in teaching. Preference is given to institutions which do not have Ph.D. programs in the humanities. DEADLINE: June 1.
5. National Endowment for the Humanities: Fellowships on the Foundations of America Series. Support independent student study and research into the events and achievements of the founding period, including the ratification of the Constitution, establishment of the federal government, and the birth of the Bill of Rights. Applications are submitted for summer fellowships for University Teachers and Fellowships for College Teachers programs. DEADLINE: June 1.
6. American Nurses Foundation: Competitive Grants for Nursing Research. Up to 35 awards are made each year for a broad range of research projects in such areas as nursing education, administration, and clinical nursing. Principal investigators must be registered nurses who are beginning researchers; experienced researchers will be considered only if they are investigating new areas. The maximum award is $2,700. DEADLINE: June 1.
7. National Institutes of Health: FIRST (First Independent Research Support and Training) Awards. Newcomers receive five years of support (total direct costs of $350,000) with an single year to exceed $70,000. For newly established biomedical investigators, no more than 5 years' experience of post-doctoral work, to develop their research capabilities, and demonstrate the merit of their research ideas. Investigators must be U.S. citizens, over 30 percent of time and may not previously have been principal investigator on any NIH-supported research project. (See small grants (RO3). DEADLINE: June 1.
8. National Science Foundation: Instructional Materials Development. Supports the development of new or improved instructional materials in science, mathematics, and technology for elementary, middle and/or secondary level students and their teachers. The program encourages the development of materials that fill content gaps in previously developed curricula; the introduction of the study of traditional subjects; the introduction of recent discoveries, or demonstrations of applications of scientific and mathematical knowledge. DEADLINE: June 1.
Please send me information on the following programs: (Circle programs of interest to you.)
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Campus Address:
3/23/88
The Second Front Page
Country-western tale is a hit for college prof
by Denis Bessette
As a boy in Arizona, Thomas Cobb grew up surrounded by the rugged desert landscape.
The dry, warm air was filled with the sounds of country-and-western ballads—songs of love and loss and broken love.
The images evoked by that music were etched deeper into his mind some years later when he read a country-western music magazine.
Channelling the lives and recordings of such greats as Hank Williams, Lefty Frizzell and Kitty Wells gave him a close-up look at how the songs and stories of song mirror those of real life.
Now, not too far from his Arizona home, Cobb, an associate professor of English at Rhode Island College, has authored his own tragic tale and it has proven a commercial success.
Crazy Heart is the story of country-western singer Bud Blake, an alcoholic who has been married and divorced four times. In the course of his turbulent career, Blake has lost contact with his son for a span of 20 years.
The book follows Blake over one month, six months and a year. Once in New Fe, he meets a woman with a little boy.
"Blake sees in this woman a chance to regain the son he lost," he told the author, who explained in a recent interview. "He is a man looking for redemption."
One reviewer described Bud Blake this way:
"He's never been really 'blak' but he's been careless about the things that really count."
Crazy Heart was published last July by Harper & Row with a huge initial printing of 25,000 copies. So far, roughly 20,000 copies have been sold. In England, the book was published just last month and is scheduled to appear in Sweden and Denmark in the coming weeks.
"For the most part, the whole thing has gone terrifically well," Cobb said. "I've made a lot of money and gotten lots of terrific reviews."
The things that made sense well for Cobb and his wife have been less than sensation from the Southwest to New England.
"I grew up in a place with a beautiful landscape and I think that's why I found myself in Houston where it's absolutely flat."
Though much different from his native Arizona, Cobb finds Rhode Island's landscape "just spectacular."
The author asserted that he and his wife found their Coventry home "quite comfortable."
"I'd be happy to stay in Rhode Island," he said.
After acquiring a bachelor's and two master's degrees from the University of Arizona, Cobb moved on to the University of Houston, where he earned a Ph.D. in English. He stayed on at Houston in an administrative post but after awhile was ready to make a change.
"I wanted to get into teaching," he related.
Cobb came to Rhode Island College in February of last year for an interview and took an immediate liking to both the college and the state.
"I liked the spirit of the school in contrast to the big schools which have 40,000 students," he said. He chose to live in Coventry because "I felt a need to move out of the city."
(continued on page 6)
Honorary degree nominations for next year are invited
The president's office has called for nominations of honorary degree candidates for next January and May 1989 "to allow sufficient lead time to solicit and process nominations" and thereby encourage "favorable replies when invitations are extended."
"Beginning this year, we will be working on the process a year in advance," says Virginia B. Lutzenberg, assistant to the president, who asks that nominations be forwarded by April 1.
Nomination forms are available at the reception desk in the president's office and at the information desk in the Student Union.
An Afternoon with the President
DISCUSSING THE PHILOSOPHY OF HIGHER EDUCATION with philosophy students at Rhode Island College is Dr. Carol J. Guarino, president. Paul Caldarella, Philosophy Club president, is at right. A standing-room-only audience attended "An Afternoon with the President" on March 9 in the Philosophy Lounge in Fogarty Life Science Building.
Once again, tuition will increase, but at a slower pace
by Mike O'Keeffe
(CPS)—Tuition rates are going up again next fall, but not quite as steeply as they rose last year, observers say.
Regents and trustees typically set tuitions during their January and February board meetings, while initial reports suggest most students will pay between 10 percent more to go to college in 1988-89.
Last week, for example, Drew University trustees approved a 7.5 percent hike at the Madison, N.J., school, while University of Missouri officials said May announced UNM would cost 10 percent more in August.
It's old news to some observers.
"The rate of increase has been moderating over the last few years," said Meredith Ludwig of the American Association of State Colleges and Universities (AASCU), a Washington, D.C., coalition of public campuses.
"For the 1988-89 academic year, we're predicting increases will still be between 6 and 8 percent at private schools," explained Pat Smith of the American Council on Education. "We're continuing to revise our predictors, and if nothing changes dramatically the rate of increase for public school tuition might even be lower than 6 percent."
Tuition costs skyrocketed between the 1975-76 and 1983-84 academic years, National Brandt of the U.S. Department of Education. During that period, public school tuition increased 10 percent. Private college tuition rose 35 percent.
But Brandt added tuition has been rising more slowly the last 2 years.
Still, national averages are little consolation to students at schools that will be increasing their tuition by hefty percentages next fall.
Michigan State and New Orleans' Loyola University students face 10 percent hikes. Youngstown State students will pay 11 percent more.
Thanks to an 8.5 percent tuition hike, it will cost a student at the University of Florida $700 to go to the University of Southern California next year, while that is the same cost charged at many small private schools.
While the general inflation rate for the year is under 4 percent, Virginia's Mary Baldwin College tuition will be 8 percent, Missouri's Stephens College's 7 percent and New Hampshire's Dartmouth College's 6.4 percent.
Critics like U.S. Secretary of Education William Bennett say colleges have been cheating campuses for pushing tuition up faster than the inflation rate, while educators reply honestly is ignoring how expensive it is to run a college.
"Costs are high, but colleges aren't ripping off either students or taxpayers," he said.
The costs of goods and services colleges buy, such as textbooks, have risen. The National Association of Independent Colleges and Universities (NAICU), have increased faster than consumer prices the government monitors when determining inflation rates.
Utility rates, maintenance and construction costs have risen significantly in recent years. And private colleges have no other choice but to pass those costs on to students as state and federal governments chip in less money than in the past.
(continued on page 6)
UPWARD BOUND
Summer Positions 1988
We invite applications from persons to work in a program designed to generate in academically underprepared, low-income youth the skills and motivation necessary for success in completing high school and in enrolling in institutions of higher education. The program virtually commences June 22; actual terms and hours of engagement will be determined later. Competitive salary arrangements. Positions available, contingent upon final funding, including:
TEACHING: English; Literature and Composition; Mathematics; Preparatory Mathematics; Physical and Biological Sciences; English as a Second Language; Reading; American Literature and Culture; Study and Critical Learning Skills; Oral Communications. Teaching positions require a bachelor's degree or master's degree and 3 current years teaching experience with at least one year in secondary schools.
RESIDENTIAL POSITIONS (including salary, room, and board):
Tutoring Assistants: Graduate students or undergraduate (minimum junior standing) - status in fall 1988 semester with a major or minor in a College degree program in math, English, or biological sciences. Experience in working with youth with similar populations, as tutor in a formal setting and as residential assistant, preferred. Resident Managers: Experience in college or residential hall management; experience required and 3 years post-degree work experience with similar population preferred.
Interested candidates should submit the following:
1. Letter of application which clearly indicates the specific position(s) for which the candidate is applying;
2. Resume;
3. Official College transcript (tutor counselor applicants);
4. Names of three (3) relevant references.
TO BE CONSIDERED, ALL APPLICATION MATERIALS MUST BE RECEIVED BY FRIDAY, APRIL 8, 1988 IN THE:
Upward Bound Office
Rhode Island College
Providence, Rhode Island 02908
Attn: Director of Upward Bound
An Affirmative Action/Equal Opportunity Employer
Applications for Summer Financial Aid
Applications are available in the Center for Financial Aid in Craig-Lee Hall 050.
Deadline for applying is April 1.
Bus trip to NYC
International Society is sponsoring a bus trip to New York City on Saturday, April 9. The bus will leave Roberts Hall at 7 a.m. and return at 11:30 a.m. Deadline for reservations is Friday, March 25.
A limited number of tickets for the Spanish opera Zarzuela are also available. Call 456-8029 for further information.
Sharpen your WRITING SKILLS
visit the WRITING CENTER in Craig-Lee 225
EDUCATION IS FREEDOM
Study: Good Students Are Usually Good Paper Shufflers
(CPS)—It pays to be good at shuffling paper, at least if you are enrolled at a big campus.
The faster and more accurately students at top schools can handle paperwork, the better grades they can get, a new study by a Dallas market research firm has found.
On the other hand, it seems that students who lack paper-shuffling skills should attend smaller colleges, carry a light load, learn to use computers and word processors, tutors, seek assistance from professors and teachers, and be prepared to work harder than other students.
At least those are the conclusions of Deb-Harold Associates Inc., a Measurement Service (AIMS), which tracked the academic performance of its students attending universities with 20,000 or more undergraduates from 1981 until last year. The participants took a series of aptitude tests that gauged their clerical skills.
Students who scored poorly on the AIMS test graduated from college with 2.0 or lower grade point averages. More than half of them had to retake exams based on the clerical tests graduated with 3.0 average or better.
Students with poor clerical skills who were tutored by AIMS counselors, however, received higher grades in school than their peers who did not receive supplemental training.
AIMS suggests students with poor paper-shuffling skills attend a small college instead of a university, since classes tend to be smaller and faculty members more accessible.
Loan defaulters are just poor, not crooks, says gov't study
(CPS)—Students who tend to default on their Guaranteed Student Loans aren't disreputable, they're just poor, a General Accounting Office (GAO) report issued last week claims.
The GAO—which audits federal spending programs—is trying to draw a "profile" of a typical GSL borrower. William Gainer told the House Postsecondary Education Subcommittee yesterday that, so far that dropouts, students who support themselves, and students who are stuck in low-paying jobs make up the bulk of the nation's defaulters.
More than half—56 percent—of the former students in default are low-income, Gainer said.
He added the GAO's "preliminary results"—agreed with the testimony at a January loan default "summit" of student officials from around the country, organized by Rep. Paul E. Hodes (D-Mass.)—that most default situations among defaulters were not deceptions, but people who were simply unable to afford to repay their loans.
The GAO's emerging profile of the typical defaulting student is based on data about forcing needy students to take out loans rather than (go) grants," that don't have to be repaid, said the Education official Charles Saunders said.
In his budget proposal, released last week, the Reagan administration suggested raising the amount of money the government gives out in grants.
She’s animals’ ‘best friend’
by Denis Bessette
A big problem for animal-protection advocates is the public’s lack of knowledge of animal control laws and where to look for a lost pet.
“You’d be amazed at how many people don’t read the paper or don’t know where to look for a lost pet,” Davey said.
Many more dogs than cats are picked up because cats tend to “mind their own business” she observed.
“People worry about protecting their property, children or pets from stray dogs,” she observed.
Although the high percentage of stray pets to domestic animals is alarming, Davey notes that many of the dogs brought in are healthy and ready to die. The method used is called euthanasia, considered by some experts to be the fastest and most humane method.
Sometimes it is just as important to know human nature as it is to be informed about animal control laws.
“Some people will take a cat in, have it long enough to get attached to it, then try to give it away when they want you to take it away,” she said with a wry chuckle.
If a pet owner perceives that their efforts to get rid of the animal, the shelter will take it. The fee is $5 for a young dog or cat, $10 for one that is full grown.
The shelter asks for $10-$15 to adopt a pet. Five dollars of this amount is a donation to V.S.A.
V.S.A. volunteers try to educate the public on such things as the importance of spaying and neutering, and the humane treatment. They also try to assist the police officers who run the various municipal animal shelters by working within the shelters, that is, showing them a little bit of attention, holding them, giving them exercise and the like.
In some cases we can make things better for a dying animal by taking it out, getting it good food, making it comfortable and so forth. The city doesn’t have the money for this, so we do it, Davey said.
“We try to make them easier to work with,” she said.
Other duties include record keeping, answering questions over the phone and assisting visitors interested in adopting a pet.
Unfortunately, Davey noted, V.S.A. volunteers have found it necessary to play a watchdog role in trying to provide care for the animals at a great price. Such is not the case these days at the Providence Animal Shelter, she said.
“The officers here, Bill Temple and Bob Creighton do a fine job,” she announced. “They are very concerned about the animals, everything down with bleach on a regular basis.”
Davey has in the past worked as many as six days per week at the animal shelter. Now she works only Thursdays, unless it is necessary for her to fill in for someone else.
V.S.A. is by no means Davey’s only activity since leaving Rhode Island College. She serves as a member of the Governor’s Advisory Council on Children and Their Families, is secretary of the board of directors of Catholic Charities Rhode Island, and is also active in the American Association of University Women.
There are now four other dogs—three of her own and two “boarders” as she calls them—Maevie, an Irish wolfhound; Mirza, a Dalmatian-shepherd mix; Mickey, a collie-shepherd mix; Marla, a sheepdog mix; and Maurice, a cocker-poodle mix.
Until recently, Davey said her canines used to come to visit the College campus on her jaunts from her Mount Pleasant home. Now, their walks are shorter in deference to the animal laws.
All in all, Davey observed, she is enjoying her return to the college life. And the animals are a big part of the change.
“To play a part in providing for them, finding them good homes, I think that they get the proper care makes it all worthwhile,” she said.
The Providence Animal Shelter is in need of more volunteer workers. If you would like to help, call the shelter at 941-6830.
Country-western tale is a hit for college prof
(continued on page 3)
In addition to the monies brought in from the sales of his book, Cobb stands to reap further rewards from the optioning of the movie rights to the book.
Chase Harris, a writer has acquired the rights, with Robert Downey slated to produce screenplay and direct.
Cobb said he was "a little upset" when he learned that it was Batris, creator of such forgetfully TV fare as "The Gong Show" and "The Love Boat," who bought the rights.
Nevertheless, Cobb sold the rights, taking what he considers a realistic view of the entertainment industry.
"There have been very few good movie treatments of the country-western genre," he commented. "The novel will remain, regardless of what happens in the movies."
Cobb is now working in following up on his initial book writing success.
He has nearly completed work on a novel based on his experiences as a teacher in five Arizona prisons. A third book is in the planning stages.
"It's a little tough balancing teaching and writing," he said. "But I have to write. I want because I want to do it and I like to do it, but I also have to write."
To date, does Cobb feel the publishing world will welcome his forthcoming efforts?
"The only thing that's changed in terms of 'play' in a different ballpark" is that I think I can expect my books to be taken more seriously. I've proved with *Crucy Heart* that I can get good reviews and sell some books."
(Crucy Heart is available in hardcover for $15.95 at the College Hill, Brown University and University Bookstore, as well as at the Rhode Island College Bookstore. The book may also be borrowed from the college library. A paperback edition will be printed in the fall, selling for $6.95.)
SERIES
(continued from page 1)
On Thursday, April 7, Dr. Anani Dridzienios of Brown University's Portuguese and Brazilian studies, will discuss "Brazil: One Hundred Years of Abolitionism."
"U.S. Invaders in Grenada and Nicaragua" will be discussed on Thursday, April 14, by Dr. John W. Hall, director of the Institute of International Relations at the University West Indies, Trinidad.
"Chile: The Road to Democracy from Thence" will be the topic on Thursday, April 21, Dr. M. Brinton Lykes of the Rhode Island College psychology department will be the speaker.
The series continues with its tradition on Monday, May 2, with Dr. Eileen A. Maynard, coordinator of Latin American Studies at the University of California, giving a talk titled "From Rituals to God: Folk Catholicism in Mexico."
The International Series Programs Committee and the International Education Program invite members of the College community and public to attend. There is no charge. Light refreshments will be provided.
The series is sponsored by the College Inter-Lectures Student Office, the College Lectures Committee, the Department of Modern Languages, the Provost's Office, the Inter-American Studies at Rhode Island College, the Latin American Student Organization (LASO) and the Viking International Students Association (VISA).
The series, which began in January with a focus on Canada and Japan, will continue with a focus on Canada and South Asia.
For more information contact program coordinator, Dr. Eileen Maynard, at 456-8109 or submit a request at 456-8660.
(Professors Singh and Flebbe-Lovine invite suggestions for the Fall 1988 series on Canada and South Asia. They also invite suggestions for student faculty and staff members to work on the program committee.)
DEBATORS
(continued from page 1)
While the Farley-Costa duo took top team honors, Farley received a personal trophy as best individual (individual) speaker (top field of 112 speakers).
"This was the best Rhode Island College show we've had," said Dr. Austin P. Olmsted, council advisor. "Although the council finished with a second place trophy at Pomona, a first and sixth place at Cornell, and seventh at Brandeis."
VIDEO
(continued from page 1)
For further information contact John S. Foley, vice president for College Advancement and Support and chair of the Human Relations Committee at Rhode Island College, at 456-8104.
Questionnaire on Racism in the Mail: Respond by April 5
A questionnaire designed to determine attitudes and perceptions regarding racial climate at Rhode Island College campus will be mailed this week, according to John S. Foley, vice president for College Advancement and support.
Foley, who is chair of the College human relations committee, said the questionnaire on racial understanding developed the questionnaire, which is being mailed to a random sample of 1,000 students and faculty.
Subcommittee members are Donald Coulson, associate professor of sociology; Jay Griet, assistant director of minority affairs, Charles Owens, assistant professor of biology, and Susan Skagen, assistant professor of social work.
Foley asks the cooperation of the campus community in promptly responding to the questionnaire. The return deadline is April 5.
TUITION
(continued from page 3)
"State legislatures were willing to let tuition rise to improve or protect the quality of higher education. But they chose not to raise taxes (to provide the money) to help pay for the improvements," ACE's Smith observed.
But unless economic problems in recent years have been "doing better," said Lawford, and as state funding increases, tuition hikes will be inevitable.
Colleges also used the early '80s—a period of low inflation—to reduce faculty salaries. Between 1973 and 1981, faculty members had lost 28 percent of their actual spending power, said Smith, and even after salary increases, few have regained past spending power.
Most schools said Lawford, feel the salary increase lagging behind inflation projections of recent years will be enough to tide them over for a while, and, combined with higher student loads, will make up the shortfall.
Despite a shrinking pool of 18-24-year-olds, college enrollment continues to increase as part-time, women, older and older students enroll in college. But the new students cost more to educate.
"The competition between schools for students has increased dramatically, and schools need to improve their quality and equipment to retain them," said Thrift.
Keeping Score
with Dave Kenny
Martin excels at nationals
Wrestlers take first title ever for College
Junior Scott Martin realized a dream recently while wrestling at the NCAA Division III National Championships.
Martin became the first ever All-American honors, something only one other Rhode Island College wrestler has achieved in the one-year history of the College.
The dream became a reality when Martin defeated Ryan Jones of St. Thomas College of Florida in the first round of the tournament. He then went on to defeat Rob Beck of the State University of New York at Buffalo in the quarterfinals and wound up in the top four in the country.
In the final round of finals, he lost to Joe Dasiel of Keane College of New Jersey II-3 and wound up fourth in the country at the 188 pound weight class.
His fourth place finish is the best in school history. The only other All-American was Jim Seeman in 1986 and he placed eighth at 134 pound weight.
Martin became a legend in his own right at the College. He was Rhode Island's first three-time New England champion and the school's only wrestler with more than one New England title to his credit.
When Scott arrived on campus, he was just a sophomore, was coming out of the best season of anyone in school history, posting a 33-2 record against opponents.
San Juan knocked off Martin in each elimination match before he entered the sub-varsity New England Tournament at 188 pounds. He captured first in that event and has been the state's top wrestler since.
Two years later, he defeated San Juan in the elimination for the varsity New England's, went into the tournament as a favorite and proceeded to come away with the first place medal.
Last season, he was the top man at 188 again, but he lost in the first round of the season and placing first in New England. He went to the national tournament to place, but fell just one match short.
After coming so close a year ago, he knew he could not afford to lose. He started around down to 188 from about 140 pounds, he was having it tough in the early going, but this kid from Rhode Island was not going to back down. He continued to wrestle, striving all along for another chance at the national title. He captured his third New England title and returned to the national tournament.
"Heard that the season he had, his coaches thought he was going to be seeded somewhere around fifth. Scott was coming second in the nation means the coaches felt he was going to miss the medal rounds. But Scott had other ideas.
"In the second round he defeated the eighth seeded wrestler, but lost to the top seeded in the next round. He had to win two wins to make the All-American round. He won his next two matches including the one over Beck, the number one seed, and his goal of becoming an All-American has been realized.
"A lot of hard work and dedication have paid off for Scott," says Head Coach Rusty Carlisle. Indeed, Scott has come a long way with his 33-2 record. He is certain to become, possibly, the best wrestler in Rhode Island College history.
Another Anchorman wrestler also had an outstanding season.
Ryan Allen won the New England title at 128 pounds, becoming only the second freshman to win a New England title. Allen also qualified for nationals as a national qualifier. I'm sure has his sights set on bigger things next year.
Carlisle was named New England Coach of the Year by his peers as the Anchormen won the New England championship for the fifth time in his six years as the helm. He is also the first in school history for the wrestlers.
THE WOMEN'S CENTER
resources / referrals information / programs counseling
Serving the college community
456-8474 |
MEMORANDUM
SUBJECT: Options for Limiting the Potential to Emit (PTE) of a Stationary Source Under Section 112 and Title V of the Clean Air Act (Act)
FROM: John S. Seitz, Director
Office of Air Quality Planning and Standards (MD-10)
Robert I. Van Hauvelen, Director
Office of Regulatory Enforcement (2241)
TO: Director, Air, Pesticides and Toxics Management Division, Regions I and IV
Director, Air and Waste Management Division, Region II
Director, Air, Radiation and Toxics Division, Region III
Director, Air and Radiation Division, Region V
Director, Air, Pesticides and Toxics Division, Region VI
Director, Air and Toxics Division, Regions VII, VIII, IX, and X
Many stationary source requirements of the Act apply only to "major" sources. Major sources are those sources whose emissions of air pollutants exceed threshold emissions levels specified in the Act. For instance, section 112 requirements such as MACT and section 112(g) and title V operating permit requirements largely apply only to sources with emissions that exceed specified levels and are thus major. To determine whether a source is major, the Act focuses not only on a source's actual emissions, but also on its potential emissions. Thus, a source that has maintained actual emissions at levels below the major source threshold could still be subject to major source requirements if it has the potential to emit major amounts of air pollutants. However, in situations where unrestricted operation of a source would result in a potential to emit above major-source levels, such sources may legally avoid program requirements by taking federally-enforceable permit conditions which limit emissions to levels below the applicable major source threshold. Federally-enforceable permit conditions, if violated, are subject to enforcement by the Environmental Protection Agency (EPA) or by
citizens in addition to the State or Local agency.
As the deadlines for complying with MACT standards and title V operating permits approach, industry and State and local air pollution agencies have become increasingly focused on the need to adopt and implement federally-enforceable mechanisms to limit emissions from sources that desire to limit potential emissions to below major source levels. In fact, there are numerous options available which can be tailored by the States to provide such sources with simple and effective ways to qualify as minor sources. Because there appears to be some confusion and questions regarding how potential to emit limits may be established, EPA has decided to: (1) outline the available approaches to establishing potential to emit limitations, (2) describe developments related to the implementation of these various approaches, and (3) implement a transition policy that will allow certain sources to be treated as minor for a period of time sufficient for these sources to obtain a federally-enforceable limit.
Federal enforceability is an essential element of establishing limitations on a source's potential to emit. Federal enforceability ensures the conditions placed on emissions to limit a source's potential to emit are enforceable by EPA and citizens as a legal and practical matter, thereby providing the public with credible assurances that otherwise major sources are not avoiding applicable requirements of the Act. In order to ensure compliance with the Act, any approaches developed to allow sources to avoid the major source requirements must be supported by the Federal authorities granted to citizens and EPA. In addition, Federal enforceability provides source owners and operators with assurances that limitations they have obtained from a State or local agency will be recognized by EPA.
The concept of federal enforceability incorporates two separate fundamental elements that must be present in all limitations on a source's potential to emit. First, EPA must have a direct right to enforce restrictions and limitations imposed on a source to limit its exposure to Act programs. This requirement is based both on EPA's general interest in having the power to enforce "all relevant features of SIP's that are necessary for attainment and maintenance of NAAQS and PSD increments" (see 54 FR 27275, citing 48 FR 38748, August 25, 1983) as well as the specific goal of using national enforcement to ensure that the requirements of the Act are uniformly implemented throughout the nation (see 54 FR 27277). Second, limitations must be enforceable as a practical matter.
It is important to recognize that there are shared responsibilities on the part of EPA, State, and local agencies, and on source owners to create and implement approaches to creating acceptable limitations on potential emissions. The lead
responsibility for developing limitations on potential emissions rests primarily with source owners and State and local agencies. At the same time, EPA must work together with interested parties, including industry and States to ensure that clear guidance is established and that timely Federal input, including Federal approval actions, is provided where appropriate. The guidance in this memorandum is aimed towards continuing and improving this partnership.
Available Approaches for Creating Federally-enforceable Limitations on the Potential to Emit
There is no single "one size fits all" mechanism that would be appropriate for creating federally-enforceable limitations on potential emissions for all sources in all situations. The spectrum of available mechanisms should, however, ensure that State and local agencies can create federally-enforceable limitations without undue administrative burden to sources or the agency. With this in mind, EPA views the following types of programs, if submitted to and approved by EPA, as available to agencies seeking to establish federally-enforceable potential to emit limits:
1. **Federally-enforceable State operating permit programs (FESOPs) (non-title VI).** For complex sources with numerous and varying emission points, case-by-case permitting is generally needed for the establishment of limitations on the source's potential to emit. Such case-by-case permitting is often accomplished through a non-title V federally-enforceable State operating permit program. This type of permit program, and its basic elements, are described in guidance published in the *Federal Register* on June 28, 1989 (54 FR 27274). In short, the program must: (a) be approved into the SIP, (b) impose legal obligations to conform to the permit limitations, (c) provide for limits that are enforceable as a practical matter, (d) be issued in a process that provides for review and an opportunity for comment by the public and by EPA, and (e) ensure that there is no relaxation of otherwise applicable Federal requirements. The EPA believes that these type of programs can be used for both criteria pollutants and hazardous air pollutants, as described in the memorandum, "Approaches to Creating Federally-Enforceable Emissions Limits," November 3, 1993. This memorandum (referred to below as the November 1993 memorandum) is included for your information as Attachment 1. There are a number of important clarifications with respect to hazardous air pollutants subsequent to the November 1993 memorandum which are discussed.
---
1This is not an exhaustive list of considerations affecting potential to emit. Other federally-enforceable limits can be used, for example, source-specific SIP revisions. For brevity, we have included those which have the widest applicability.
below (see section entitled "Limitations on Hazardous Air Pollutants").
2. **Limitations established by rules.** For less complex plant sites, and for source categories involving relatively few operations that are relatively similar in nature, case-by-case permitting may not be the most administratively efficient approach to establishing federally-enforceable restrictions. One approach that has been used is to establish a general rule which creates federally-enforceable restrictions at one time for many sources (these rules have been referred to as "exclusionary" rules and by some permitting agencies as "prohibitory" rules). A specific suggested approach for volatile organic compounds (VOC) limits by rule was described in EPA's memorandum dated October 15, 1993 entitled "Guidance for State Rules for Optional Federally-Enforceable Emissions Limits Based Upon Volatile Organic Compound (VOC) Use." An example of such an exclusionary rule is a model rule developed for use in California. (The California model rule is attached, along with a discussion of its applicability to other situations--see Attachment 2). Exclusionary rules are included in a State's SIP and generally become effective upon approval by EPA.
3. **General permits.** A concept similar to the exclusionary rule is the establishment of a general permit for a given source type. A general permit is a single permit that establishes terms and conditions that must be complied with by all sources subject to that permit. The establishment of a general permit provides for conditions limiting potential to emit in a one-time permitting process, and thus avoids the need to issue separate permits for each source within the covered source type or category. Although this concept is generally thought of as an element of a title V permit program, there is no reason that a State or local agency could not submit a general permit program as a SIP submittal aimed at creating potential to emit limits for groups of sources. Additionally, general permits can be issued under the auspices of a SIP-approved FESOP. The advantage of a general permit, when compared to an exclusionary rule, is that upon approval by EPA of the State's permit program, a general permit could be written for one or more additional source types without triggering the need for the formal SIP revision process.
4. **Construction permits.** Another type of case-by-case permit is a construction permit. These permits generally cover new and modified sources, and States have developed such permit programs as an element of their SIP's. As described in the November 1993 memorandum, these State major and minor new source review (NSR) construction permits can provide for federally-enforceable limitations on a source's potential to emit. Further discussion of the use of minor source NSR programs is contained in EPA's letter to Jason Grumet, NESCAUM, dated November 2, 1994,
which is contained in Attachment 3. As noted in this letter, the usefulness of minor NSR programs for the creation of potential to emit limitations can vary from State to State, and is somewhat dependent on the scope of a State's program.
5. **Title V permits.** Operating permits issued under the Federal title V operating permits program can, in some cases, provide a convenient and readily available mechanism to create federally-enforceable limits. Although the applicability date for part 70 permit programs is generally the driving force for most of the current concerns with respect to potential to emit, there are other programs, such as the section 112 air toxics program, for which title V permits may themselves be a useful mechanism for creating potential to emit limits. For example, many sources will be considered to be major by virtue of combustion emissions of nitrogen oxides or sulfur dioxide, and will be required to obtain part 70 permits. Such permits could be used to establish federally-enforceable limitations that could ensure that the source is not considered a major source of hazardous air pollutants.
**Practicable Enforceability**
If limitations--whether imposed by SIP rules or through individual or general permits--are incomplete or vague or unsupported by appropriate compliance records, enforcement by the States, citizens and EPA would not be effective. Consequently, in all cases, limitations and restrictions must be of sufficient quality and quantity to ensure accountability (see 54 FR 27283).
The EPA has issued several guidance documents explaining the requirements of practicable enforceability (e.g., "Guidance on Limiting Potential to Emit in New Source Permitting," June 13, 1989; memorandum from John Rasnic entitled "Policy Determination on Limiting Potential to Emit for Koch Refining Company's Clean Fuels Project," March 13, 1992). In general, practicable enforceability for a source-specific permit means that the permit's provisions must specify: (1) A technically-accurate limitation and the portions of the source subject to the limitation; (2) the time period for the limitation (hourly, daily, monthly, and annual limits such as rolling annual limits); and (3) the method to determine compliance including appropriate monitoring, recordkeeping, and reporting. For rules and general permits that apply to categories of sources, practicable enforceability additionally requires that the provisions: (1) identify the types or categories of sources that are covered by the rule; (2) where coverage is optional, provide for notice to the permitting authority of the source's election to be covered by the rule; and (3) specify the enforcement consequences relevant to the rule. More specific guidance on these enforceability principles as they apply to rules and general permits is provided in Attachment 4.
Limitations on Hazardous Air Pollutants (HAP)
There are a number of important points to recognize with respect to the ability of existing State and local programs to create limitations for the 189 HAP listed in (or pursuant to) section 112(b) of the Act, consistent with the definitions of "potential to emit" and "federally-enforceable" in 40 CFR 63.2 (promulgated March 16, 1994, 59 FR 12408 in the part 63 General Provisions). The EPA believes that most State and local programs should have broad capabilities to handle the great majority of situations for which a potential to emit limitation on HAP is needed.
First, it is useful to note that the definition of potential to emit for the Federal air toxics program (see the subpart A "general provisions," section 63.2) considers, for purposes of controlling HAP emissions, federally-enforceable limitations on criteria pollutant emissions if "the effect such limitations would have on "[hazardous air pollutant] . . . emissions" is federally-enforceable (emphasis added). There are many examples of such criteria pollutant emission limits that are present in federally-enforceable State and local permits and rules. Examples would include a limitation constraining an operation to one (time limit specified) shift per day or limitations that effectively limit operations to 2000 hours per year. Other examples would include limitations on the amount of material used, for example a permit limitation constraining an operation to using no more than 100 gallons of paint per month. Additionally, federally-enforceable permit terms that, for example, required an incinerator to be operated and maintained at no less than 1600 degrees would have an obvious "effect" on the HAP present in the inlet stream.
Another federally-enforceable way criteria pollutant limitations affect HAP can be described as a "nested" HAP limit within a permit containing conditions limiting criteria pollutants. For example, the particular VOC's within a given operation may include toluene and xylene, which are also HAP. If the VOC-limiting permit has established limitations on the amount of toluene and xylene used as the means to reduce VOC, those limitations would have an obvious "effect" on HAP as well.
In cases as described above, the "effect" of criteria pollutant limits will be straightforward. In other cases, information may be needed on the nature of the HAP stream present. For example, a limit on VOC that ensured total VOC's of 20 tons per year may not ensure that each HAP present is less than 10 tons per year without further investigation. While the EPA intends to develop further technical guidance on situations for which additional permit terms and conditions may be needed to ensure that the "effect" is enforceable as a practical matter, the EPA intends to rely on State and local agencies to employ
care in drafting enforceable requirements which recognize obvious environmental and health concerns.
There are, of course, a few important pollutants which are HAP but are not criteria pollutants. Example of these would include methylene chloride and other pollutants which are considered nonreactive and therefore exempt from coverage as VOC's. Especially in cases where such pollutants are the only pollutants present, criteria pollutant emission limitations may not be sufficient to limit HAP. For such cases, the State or local agency will need to seek program approval under section 112(1) of the Act.
Section 112(1) provides a clear mechanism for approval of State and local air toxics programs for purposes of establishing HAP-specific PTE limits. The EPA intends, where appropriate, that in approving permitting programs into the SIP, to add appropriate language citing approval pursuant to section 112(1) as well. An example illustrating section 112(1) approval is the approval of the State of Ohio's program for limiting potential to emit (see 59 FR 53587, October 25, 1994). In this notice, EPA granted approval under section 112(1) for hazardous air pollutants aspects of a State program for limiting potential to emit. Such language can be added to any federally-enforceable State operating permit program, exclusionary rule, or NSR program update SIP approval notice so long as the State or local program has the authority to regulate HAP and meets other section 112(1) approval criteria. Transition issues related to such section 112(1) approvals are discussed below.
**Determination of Maximum Capacity**
While EPA and States have been calculating potential to emit for a number of years, EPA believes that it is important at this time to provide some clarification on what is meant in the definition of potential to emit by the "maximum capacity of a stationary source to emit under its physical and operational design." Clearly, there are sources for which inherent physical limitations for the operation restrict the potential emissions of individual emission units. Where such inherent limitations can be documented by a source and confirmed by the permitting agency, EPA believes that States have the authority to make such judgements and factor them into estimates of a stationary source's potential to emit.
The EPA believes that the most straightforward examples of such inherent limitations is for single-emission unit type operations. For example, EPA does not believe that the "maximum capacity" language requires that owner of a paint spray booth at a small auto body shop must assume that (even if the source could be in operation year-round) spray equipment is operated 8760 hours per year in cases where there are inherent physical
limitations on the number of cars that can be painted within any given period of time. For larger sources involving multiple emissions units and complex operations, EPA believes it can be more problematic to identify the inherent limitations that may exist.
The EPA intends, within its resource constraints, to issue technical assistance in this area by providing information on the type of operational limits that may be considered acceptable to limit the potential to emit for certain individual small source categories.
**Transition Guidance for Section 112 and Title V Applicability**
Most, if not all, States have recognized the need to develop options for limiting the potential emissions of sources and are moving forward with one or more of the strategies described in the preceding sections in conjunction with the submission and implementation of their part 70 permit programs. However, EPA is aware of the concern of States and sources that title V or section 112 implementation will move ahead of the development and implementation of these options, leaving sources with actual emissions clearly below the major source thresholds potentially subject to part 70 and other major source requirements. Gaps could theoretically occur during the time period it takes for a State program to be designed and administratively adopted by the State, approved into the SIP by EPA, and implemented as needed to cover individual sources.
The EPA is committed to aiding all States in developing and implementing adequate, streamlined, and cost-effective vehicles for creating federally-enforceable limits on a source's potential emissions by the time that section 112 or title V requirements become effective. To help bridge any gaps, EPA will expedite its reviews of State exclusionary rules and operating permit rules by, among other things, coordinating the approval of these rules with the approval of the State's part 70 program and by using expeditious approval approaches such as "direct final" Federal Register notices to ensure that approval of these programs does not lag behind approval of the part 70 program.
In addition, in such approval notices EPA will affirm any limits established under the State's program since its adoption by the State but prior to Federal approval if such limits were established in accordance with the procedures and requirements of the approved program. An example of language affirming such limits was recently used in approving an Illinois SIP revision (see 57 FR 59931, included as Attachment 5).
The EPA remains concerned that even with expedited approvals and other strategies, sources may face gaps in the ability to acquire federally-enforceable potential to emit limits due to
delays in State adoption or EPA approval of programs or in their implementation. In order to ensure that such gaps do not create adverse consequences for States or for sources, EPA is announcing a transition policy for a period up to two years from the date of this memorandum. The EPA intends to make this transition policy available at the discretion of the State or local agency to the extent there are sources which the State believes can benefit from such a transition policy. The transition period will extend from now until the gaps in program implementation are filled, but no later than January 1997. Today's guidance, which EPA intends to codify through a notice and comment rulemaking, provides States discretion to use the following options for satisfying potential to emit requirements during this transition period.
1. **Sources maintaining emissions below 50 percent of all applicable major source requirements.** For sources that typically and consistently maintain emissions significantly below major source levels, relatively few benefits would be gained by making such sources subject to major source requirements under the Act. For this reason, many States are developing exclusionary rules and general permits to create simple, streamlined means to ensure that these sources are not considered major sources. To ease the burden on States' implementation of title V, and to ensure that delays in EPA's approval of these types of programs will not cause an administrative burden on the States, EPA is providing a 2-year transition period for sources that maintain their actual emissions, for every consecutive 12-month period (beginning with the 12 months immediately preceding the date of this memorandum), at levels that do not exceed 50 percent of any and all of the major stationary source thresholds applicable to that source. A source that exceeds the 50 percent threshold, without complying with major source requirements of the Act (or without otherwise limiting its potential to emit), could be subject to enforcement. For this 2-year period, such sources would not be treated as major sources and would not be required to obtain a permit that limits their potential to emit. To qualify under this transition policy, sources must maintain adequate records on site to demonstrate that emissions are maintained below these thresholds for the entire as major sources and would not be required to obtain a permit that limits their potential to emit that would be considered to be adequate during this transition period. Consistent with the California approach, EPA believes it is appropriate for the amount of recordkeeping to vary according to the level of emissions (see paragraphs 1.2 and 4.2 of the attached rule).
2. **Larger sources with State limits.** For the 2-year transition period, restrictions contained in State permits issued to sources above the 50 percent threshold would be treated by EPA as acceptable limits on potential to emit, provided: (a) the permit is enforceable as a practical matter; (b) the source owner submits a written certification to EPA that it will comply with
the limits as a restriction on its potential to emit; and (c) the source owner, in the certification, accepts Federal and citizen enforcement of the limits (this is appropriate given that the limits are being taken to avoid otherwise applicable Federal requirements). Such limits will be valid for purposes of limiting potential to emit from the date the certification is received by EPA until the end of the transition period. States interested in making use of this portion of the transition policy should work with their Regional Office to develop an appropriate certification process.
3. Limits for noncriteria HAP. For noncriteria HAP for which no existing federally-approved program is available for the creation of federally-enforceable limits, the 2-year transition period provides for sufficient time to gain approval pursuant to section 112(1). For the 2-year transition period, State restrictions on such noncriteria pollutants issued to sources with emissions above the 50 percent threshold would be treated by EPA as "limiting a source's potential to emit, provided that: (a) the restrictions are enforceable as a practical matter; (b) the source owner submits a written certification to EPA that it will comply with the limits as a restriction on its potential to emit; and (c) the source owner, in the certification, accepts Federal and citizen enforcement of the limits. Such limits will be valid for purposes of limiting potential to emit from the date the certification is received by EPA until the end of the transition period.
The Regional Offices should send this memorandum, including the attachments, to States within their jurisdiction. Questions concerning specific issues and cases should be directed to the appropriate Regional Office. Regional Office staff may contact Timothy Smith of the Integrated Implementation Group at 919-541-4718, or Clara Poffenberger with the Air Enforcement Division at 202-564-8709.
Attachments
cc: Air Branch Chief, Region I-X
Regional Counsels
MEMORANDUM
SUBJECT: Approaches to Creating Federally-Enforceable Emissions Limits
FROM: John S. Seitz, Director
Office of Air Quality Planning and Standards (MD-10)
TO: Director, Air, Pesticides and Toxics Management Division, Regions I and IV
Director, Air and Waste Management Division, Region II
Director, Air, Radiation and Toxics Division, Region III
Director, Air and Radiation Division, Region V
Director, Air, Pesticides and Toxics Division, Region VI
Director, Air and Toxics Division, Regions VII, VIII, IX, and X
The new operating permits program under title V of the Clean Air Act (Act), combined with the additional and lower thresholds for "major" sources also provided by the 1990 Amendments to the Act, has led to greatly increased interest by State and local air pollution control agencies, as well as sources, in obtaining federally-enforceable limits on source potential to emit air pollutants. Such limits entitle sources to be considered "minor" for the purposes of title V permitting and various other requirements of the Act. Numerous parties have identified this as a high priority concern potentially involving thousands of sources in each of the larger States.
The issue of creating federally-enforceable emissions limits has broad implications throughout air programs. Although many of the issues mentioned above have arisen in the context of the title V permits program, the same issues exist for other programs, including those under section 112 of the Act. As discussed below, traditional approaches to creating federally-enforceable emissions limits may be unnecessarily burdensome and time-consuming for certain types and sizes of sources. In addition, they have been of limited usefulness with respect to creating such limits for emissions of hazardous air pollutants (HAP's).
The purpose of this memorandum is to respond to these needs by announcing the availability of two further approaches to creating federally-enforceable emissions limits: the extension of existing criteria pollutant program mechanisms for HAP program
purposes, and the creation of certain classes of standardized emissions limits by rule. We believe that these options are responsive to emerging air program implementation issues and provide a reasonable balance between the need for administrative streamlining and the need for emissions limits that are technically sound and enforceable.
Background
Various regulatory options already exist for the creation of federally-enforceable limits on potential to emit. These were summarized in a September 18, 1992 memorandum from John Calcagni, Director, Air Quality Management Division. That memorandum identified the five regulatory mechanisms generally seen as available. These are: State major and minor new source review (NSR) permits [if the NSR program has been approved into the State implementation plan (SIP) and meets certain procedural requirements]; operating permits based on programs approved into the SIP pursuant to the criteria in the June 28, 1989 Federal Register (54 FR 27274); and title V permits (including general permits). Also available are SIP limits for individual sources and limits for HAP's created through a State program approved pursuant to section 112(1) of the Act.
Regional Office and State air program officials realize that these five options are generally workable, but feel that the programs emerging from the 1990 Amendments present certain further needs that are not well met. They note that NSR is not always available, title V permitting can be more rigorous than appropriate for those sources that are in fact quite small, and that general permits have limitations in their usefulness. The use of State operating permits approved into the SIP pursuant to the June 28, 1989 Federal Register is generally considered to be a promising option for some of these transactions; however, these programs do not regulate toxics directly.
State Operating Permits for Both Criteria Pollutants and HAP's
As indicated above, State operating permits issued by programs approved into the SIP pursuant to the process provided in the June 28, 1989 Federal Register are recognized as federally enforceable. This is a useful option, but has historically been viewed as limited in its ability to directly create emissions limits for HAP's because of the SIP focus on criteria pollutants.
Since that option was created, however, section 112 of the Act has been rewritten, creating significant new regulatory requirements and conferring additional responsibilities and authorities upon the Environmental Protection Agency (EPA) and the States. Section 112 now mandates a wide range of activities:
source-specific preconstruction reviews, areawide approaches to controlling risk, provisions for permitting pursuant to the title V permitting program, and State program provisions in section 112(1) that are similar to aspects of the SIP program. A result of these changes is that implementation of toxics programs will entail the use of many of the same administrative mechanisms as have been in use for the criteria pollutant programs.
Upon further analysis of these new program mandates and corresponding authorities, EPA concludes that section 112 of the Act, including section 112(1), authorizes it to recognize these same State operating permits programs for the creation of federally-enforceable emissions limits in support of the implementation of section 112. Congress recognized, and longstanding State practice confirms, that operating permits are core-implementing mechanisms for air quality program requirements. This was EPA's basis for concluding that section 110 of the Act authorizes the recognition and approval into the SIP of operating permits pursuant to the June 28, 1989 promulgation, even though section 110 did not expressly provide for such a program. Similarly, broad provision of section 112(1) for "a program for the implementation and enforcement . . . of emission standards and other requirements for air pollutants subject to this section" provides a sound basis for EPA recognition of State operating permits for implementation and enforcement of section 112 requirements in the same manner as these permitting processes were recognized pursuant to section 110.
In implementing this authority to approve State operating permits programs pursuant to section 112, it should be noted that the specific criteria for what constitutes a federally-enforceable permit are also the same as for the existing SIP programs. The June 28, 1989 Federal Register essentially addressed in a generic sense the core criteria for creating federally-enforceable emissions limits in operating permits: appropriate procedural mechanisms, including public notice and opportunity for comment, statutory authority for EPA approval of the State program, and enforceability as a practical matter. The EPA did this in the context of SIP development, not because these criteria are specific to the SIP, but because section 110 of the Act was seen as our only certain statutory basis for this prior to the 1990 Amendments. Based on the discussion above, States can extend or develop State operating permits programs for toxics pursuant to the criteria set forth in the June 28, 1989 Federal Register. The EPA is also evaluating analogous opportunities to enhance State NSR programs to address toxics and will address this in future guidance.
This is a significant opportunity to limit directly the emissions of HAP's. It also offers the advantage of the administrative efficiencies that arise from using existing
administrative mechanisms, as opposed to creating additional ones.
States are encouraged to consult with EPA Regional Offices to discuss the details of adapting their current programs to carry out these additional functions. The EPA will consider State permitting programs meeting the criteria in the June 28, 1989 Federal Register as being approvable for HAP program functions as well. States may submit their programs for implementing this process with their part 70 program submittals, or at such other time as they choose. The EPA has various options for administratively recognizing these State program submittals. The EPA plans initially to review these State programs as SIP review actions, but with official recognition pursuant to authorities in both sections 110 and 112. Once rulemaking pursuant to section 112(1) of the Act is completed, EPA expects to use the process developed in that rule for approving State programs for HAP's. The section 112(1) process may be especially useful prior to EPA approval and implementation of the State title V programs. The reader may wish to refer to the process for certain section 112(1) approvals proposed on May 19, 1993 (58 FR 29296) (See section 63.91).
The General Provisions (40 CFR part 63) establish the applicability framework for the implementation of section 112. In the final rule, EPA will indicate that State operating permits programs which meet the procedural requirements of the June 28, 1989 Federal Register can be used to develop federally-enforceable emissions limits for HAP's, thereby limiting a source's potential to emit. In addition, after we gain implementation experience, EPA will be evaluating the usefulness of further rulemaking to define more specific criteria by which this process may be used in the implementation of programs under section 112 of the Act. Any such rulemaking could similarly be incorporated into the General Provisions in part 63.
State-Standardized Processes Created by Rule to Establish Source-Specific, Federally-Enforceable Emissions Limits
State air program officials have highlighted specific types of sources that are of particular administrative concern because of their nature and number. These include sources whose emissions are primarily volatile organic compounds (VOC) arising from use of solvents or coatings, such as automobile body shops. Another example is fuel-burning sources that have low actual emissions because of limited hours of operation, but with the potential to emit sulfur dioxide in amounts sufficient to cause them to be classified as major sources.
The EPA recognizes that emissions limitations for some processes can be created through standardized protocols. For example, limitations on potential to emit could be established
for certain VOC sources on the basis of limits on solvent use, backed up by recordkeeping and by periodic reporting. Similarly, limitations on sulfur dioxide emissions could be based on specified sulfur content of fuel and the source's obligation to limit usage to certain maximum amounts. Limits on hours of operation may be acceptable for certain others sources, such as standby boilers. In all cases, of course, the technical requirements would need to be supported by sufficient compliance procedures, especially monitoring and reporting, to be considered enforceable.
The EPA concludes that such protocols could be relied on to create federally-enforceable limitations on potential to emit if adopted through rulemaking and approved by EPA. Although such an approach is appropriate for only a limited number of source categories, these categories include large numbers of sources, such as dry cleaners, auto body shops, gas stations, printers, and surface coaters. If such standardized control protocols are sufficiently reliable and replicable, EPA and the public need not be involved in their application to individual sources, as long as the protocols themselves have been subject to notice and opportunity to comment and have been approved by EPA into the SIP.
To further illustrate this concept and to provide implementation support to the States, EPA has recently released guidance on one important way of using this process. This document, entitled "Guidance for State Rules for Optional Federally-Enforceable Emissions Limits Based on Volatile Organic Compound Use," was issued by D. Kent Berry, Acting Director, Air Quality Management Division, on October 15, 1993. It describes approvable processes by which States can create federally-enforceable emissions limits for VOC for large numbers of sources in a variety of source categories.
States have flexibility in their choice of administrative process for implementation. In some cases, it may be adequate for a State to apply these limits to individual sources through a registration process rather than a permit. A source could simply submit a certification to the State committing to comply with the terms of an approved protocol. Violations of these certifications would constitute SIP violations, in the case of protocols approved into the SIP, and be subject to the same enforcement mechanisms as apply in the case of any other SIP violation. Such violations would, of course, also subject the source to enforcement for failure to comply with the requirements that apply to major sources, such as the requirement to obtain a title V permit or comply with various requirements of section 112 of the Act.
Some States have also indicated an interest in more expansive approaches to implementing this concept, such as making
presumptive determinations of control equipment efficiency with respect to particular types of sources and pollutants. While such approaches are more complicated and present greater numbers of concerns in the EPA review process, they offer real potential if properly crafted. The EPA will evaluate State proposals and approve them if they are technically sound and enforceable as a practical matter.
States may elect to use this approach to create federally-enforceable emissions limits for sources of HAP's as well. Based on the same authorities in section 112 of the Act, as cited above in the case of operating permits, EPA can officially recognize such State program submittals. As with the operating permits option discussed in the preceding section, EPA plans initially to review these activities as SIP revisions, but with approval pursuant to both sections 110 and 112 of the Act, and approve them through the section 112(1) process when that rule is final.
**Implementation Guidance**
As indicated above, the creation of federally-enforceable limits on a source's potential to emit involves the identification of the procedural mechanisms for these efforts, including the statutory basis for their approval by EPA, and the technical criteria necessary for their implementation. Today's guidance primarily addresses the procedural mechanisms available and the statutory basis for EPA approval.
The EPA will be providing further information with respect to the implementation of these concepts. As described above, the first portion of this guidance, addressing limits on VOC emissions, was issued on October 15, 1993. My office is currently working with Regional Offices and certain States in order to assist in the development of program options under consideration by those States. We will provide technical and regulatory support to other State programs and will make the results of these efforts publicly available through the Office of Air Quality Planning and Standards (OAQPS) Technology Transfer Network bulletin board.
We will provide further support through the release of a document entitled "Enforceability Requirements for Limiting Potential to Emit Through SIP Rules and General Permits," which is currently undergoing final review within EPA. In addition, EPA will be highlighting options for use of existing technical guidance with respect to creating sound and enforceable emissions limits. An important example of such guidance is the EPA "Blue Book," which has been in use by States for the past 5 years as part of their VOC control programs.
States are encouraged to discuss program needs with their EPA Regional Offices. The OAQPS will work with them in addressing approvals. As indicated, additional technical guidance for implementing these approaches is underway and will be made publicly available soon. For further information, please call Kirt Cox at (919) 541-5399.
cc: Air Branch Chief, Regions I-X
Regional Counsel, Regions I-X
OAQPS Division Directors
A. Eckert
M. Winer
A. Schwartz
E. Hoerath
Attachment 2
California Example Rule
Background
State agencies and local agencies (such as the Air Pollution Control Districts in California) can adopt rules which place emissions limitations on a category of sources through a combination of limitations and compliance requirements. These rules, if practicably enforceable, adopted with adequate public process and approved into the SIP, can validly limit potential to emit. Moreover, because State or local rules can cover many sources with a single regulatory action, they are well-suited to cover large populations of smaller sources. Many States are finding that a combination of SIP rules or general permits for smaller sources combined with individual permits for larger sources provides the simplest means of ensuring that minor source emissions are adequately limited.
Discussion of California Rule
The EPA, the California Air Pollution Control Officers Association and the California Air Resources Board recently completed development of a model rule for use by the California Air Pollution Control Districts. Because the rule contains several innovations, including covering all source categories, and should prove to be an inexpensive and efficient means of limiting the potential emissions of thousands of sources in California, the EPA believes that parts of the rule may be helpful for other States to review and consider.
The proposed rule is designed to place smaller sources under annual emissions limits which restrict their "potential to emit" and thus their exposure to "major source" requirements of the Clean Air Act. The rule ensures compliance with the annual limit through a series of recordkeeping and reporting requirements. These requirements are tapered to reduce burdens as source size decreases. The rule creates three levels of responsibility. The first tier requires both recordkeeping and reporting. The second tier requires only recordkeeping with no reporting. For instance, sources that emit only attainment pollutants which limit their emissions to below 25 tons per year have no reporting requirement. For sources under 5 tons per year (or 2 tons per year for a single hazardous air pollutant), there is no specified recordkeeping or reporting requirements although these sources must still maintain sufficient records to demonstrate their compliance with the rule.
To the extent possible, the recordkeeping requirements are itemized by source category and are designed to take advantage of
records that sources are already likely to maintain. Through these measures, the rule should assure the public that the sources subject to the rule are properly maintaining their emissions below major source levels, while maximizing source flexibility and minimizing paperwork.
There are other safeguards built into the rule and in California's overall regulatory scheme which add to the EPA's confidence that the proposal can work. The rule applies only to sources that agree to limit their emissions to 50 percent or less of the major source threshold. Sources with emissions above this level must either comply with all applicable "major source" requirements or secure a source-specific, federally-enforceable Air Pollution Control District permit that properly limits emissions to levels below major source thresholds. Some sources may be able to qualify for an "alternative operation limit" which places simple operating limits on a source's combustion of fuel, sale of gasoline or use of a solvent. Because of the ease with which compliance can be tracked with operational limits, the rule allows sources using these limits to go up to 80 percent of the major source threshold. Either way, EPA believes that the rule creates a sufficient compliance buffer.
Moreover, California has an extensive permit and inspection infrastructure that increases EPA's confidence that the rule will prove adequate for limiting emissions. California law requires that, upon annual renewal, each permit be reviewed to determine that the permit conditions are adequate to assure compliance with district rules and other applicable requirements. In addition, most California Air Pollution Control Districts have an extensive inspection program which means that compliance with the rule will be spot checked by inspectors visiting the source.
Finally, the rule is designed to provide smaller sources with a federally-enforceable means of limiting their potential emissions. The rule excludes sources that already have a federally enforceable operating permit, and it cannot be used to avoid complying with an permit required by the Air Pollution Control Districts.
Aside from these general observations, EPA did have a number of comments regarding specific language included in the rule. The three most significant comments are set forth below. However, States interested in using this rule as a model should be aware that it was specifically designed to fit with California State law and existing SIP provisions and that States may wish to consider making other changes to reflect their individual needs and requirements.
Section 2.7: In a PM-10 nonattainment area, PM-10 precursors may need to be included when determining whether a source is major as required by section 189(e) of the Clean Air Act. Districts adopting this model rule should consider whether the definition of "Major Source" in section 2.7-should be augmented to include sources of PM-10 precursors.
Section 4.2(D): The rule allows sources using air pollution control equipment to demonstrate compliance through the maintenance of general records on the unit and its operations. EPA has always been concerned with this provision since many pollution control units are only effective if specific operating procedures are followed. These specifics are best set and tracked in a source-specific, federally enforceable permit. For this reason, section 1.3 sunsets the applicability of the draft rule, after January 1, 1999, to pollution control equipment. For the coverage to continue beyond that date, a district must extend the provision. The EPA will disapprove the extension if the experience with the rule demonstrates that more specific conditions are needed to ensure that pollution control devices are being used properly and continuously.
Section 4.2(E): In general, EPA does not favor the use of generic or catch-all recordkeeping requirements for compliance purposes. There is a fear that the records necessary to show compliance for individual source categories will not be specified by the generic provision and thus will not be maintained. For this reason, EPA urges the Board and the Districts to evaluate regularly whether specific recordkeeping requirements should be developed for additional categories. As we noted during our negotiations, EPA will evaluate this question after the rule is in effect for three years and the EPA may seek -- through a SIP call or through other mechanisms -- to require additional recordkeeping requirements if there are implementation problems with this generic category. The districts may wish to add to the rule a provision which would authorize them to add recordkeeping requirements for additional source categories without a further SIP revision.
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data in a computer program to make it easier to access, manipulate, and store.
3. Database: A collection of data organized in a structured manner so that it can be accessed, managed, and updated efficiently.
4. Database Management System (DBMS): A software application that provides services for creating, maintaining, and using databases.
5. Encryption: The process of converting information into a coded form to prevent unauthorized access.
6. Hashing: A technique for mapping data of arbitrary size to fixed-size values.
7. Interface: A boundary between two systems or components that allows them to communicate with each other.
8. Object-Oriented Programming (OOP): A programming paradigm that uses objects to represent real-world entities and their interactions.
9. Operating System (OS): A software system that manages computer hardware and software resources and provides common services for computer programs.
10. Programming Language: A formal language designed to express computations that can be performed by a machine.
11. Software: A collection of instructions that tell a computer what to do.
12. System: A set of interacting or interrelated elements that act according to a common plan to achieve a common goal.
13. User Interface (UI): The part of a computer program that interacts with the user, allowing them to input commands and receive feedback.
14. Virtual Machine (VM): A software implementation of a computer system that runs on top of another computer system.
15. Web Application: A software application that runs on a web server and is accessed through a web browser.
16. XML (Extensible Markup Language): A markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
These terms are fundamental to understanding the concepts and practices in computer science, and they are widely used across various domains such as software development, database management, and web technologies.
1.0 APPLICABILITY
1.1 General Applicability: This rule shall apply to any stationary source which would, if it did not comply with the limitations set forth in this rule, have the potential to emit air contaminants equal to or in excess of the threshold for a major source of regulated air pollutants or a major source of hazardous air pollutants (HAPs) and which meets one of the following conditions:
A. In every 12-month period, the actual emissions of the stationary source are less than or equal to the emission limitations specified in section 3.1 below; or
B. In every 12-month period, at least 90 percent of the emissions from the stationary source are associated with an operation limited by any one of the alternative operational limits specified in section 6.1 below.
1.2 Stationary Source with De Minimis Emissions: The recordkeeping and reporting provisions in sections 4.0, 5.0 and 6.0 below shall not apply to a stationary source with de minimis emissions or operations as specified in either subsection A or B below:
A. In every 12-month period, the stationary source emits less than or equal to the following quantities of emissions:
1. 5 tons per year of a regulated air pollutant (excluding HAPs),
2. 2 tons per year of a single HAP,
3. 5 tons per year of any combination of HAPs, and
4. 20 percent of any lesser threshold for a single HAP that the United States Environmental Protection Agency (U.S. EPA) may establish by rule.
B. In every 12-month period, at least 90 percent of the stationary source’s emissions are associated with an operation for which the throughput is less than or equal to one of the quantities specified in subsections 1 through 9 below:
1. 1,400 gallons of any combination of solvent-containing materials but no more than 550 gallons of any one solvent-containing material, provided that the materials do not contain the following: methyl chloroform (1,1,1-trichloroethane), methylene chloride (dichloromethane), tetrachloroethylene (perchloroethylene), or trichloroethylene;
2. 750 gallons of any combination of solvent-containing materials where the
materials contain the following: methyl chloroform (1,1,1-trichloroethane), methylene chloride (dichloromethane), tetrachloroethylene (perchloroethylene), or trichloroethylene, but not more than 300 gallons of any one solvent-containing material;
3. ____ gallons of solvent-containing (or volatile organic compound containing) material used at a paint spray unit(s);¹
4. 4,400,000 gallons of gasoline dispensed from equipment with Phase I and II vapor recovery systems;
5. 470,000 gallons of gasoline dispensed from equipment without Phase I and II vapor recovery systems;
6. 1,400 gallons of gasoline combusted;
7. 16,600 gallons of diesel fuel combusted;
8. 500,000 gallons of distillate oil combusted, or
9. 71,400,000 cubic feet of natural gas combusted.
Within 30 days of a written request by the District or the U.S. EPA, the owner or operator of a stationary source not maintaining records pursuant to sections 4.0 or 6.0 shall demonstrate that the stationary source's emissions or throughput are not in excess of the applicable quantities set forth in subsection A or B above.
1.3 Provision for Air Pollution Control Equipment: The owner or operator of a stationary source may take into account the operation of air pollution control equipment on the capacity of the source to emit an air contaminant if the equipment is required by Federal, State, or District rules and regulations or permit terms and conditions. The owner or operator of the stationary source shall maintain and operate such air pollution control equipment in a manner consistent with good air pollution control practice for minimizing emissions. This provision shall not apply after January 1, 1999 unless such operational limitation is federally enforceable or unless the District Board specifically extends this provision and it is submitted to the U.S. EPA. Such extension shall be valid unless, and until, the U.S. EPA disapproves the extension of this provision.
1.4 Exemption, Stationary Source Subject to Rule _____ (District Title V rule): This rule shall not apply to the following stationary sources:
A. Any stationary source whose actual emissions, throughput, or operation, at any time after the effective of this rule, is greater than the quantities specified in sections 3.1 or 6.1 below and which meets both of the following conditions:
¹To be determined based on district SIP rules
1. The owner or operator has notified the District at least 30 days prior to any exceedance that s/he will submit an application for a Part 70 permit, or otherwise obtain federally-enforceable permit limits, and
2. A complete Part 70 permit application is received by the District, or the permit action to otherwise obtain federally-enforceable limits is completed, within 12 months of the date of notification.
However, the stationary source may be immediately subject to applicable federal requirements, including but not limited to, a maximum achievable control technology (MACT) standard.
B. Any stationary source that has applied for a Part 70 permit in a timely manner and in conformance with Rule ____ (the District’s Title V rule), and is awaiting final action by the District and U.S. EPA.
C. Any stationary source required to obtain an operating permit under Rule ____ (the District’s Title V rule) for any reason other than being a major source.
D. Any stationary source with a valid Part 70 permit.
Notwithstanding subsections B and D above, nothing in this section shall prevent any stationary source which has had a Part 70 permit from qualifying to comply with this rule in the future in lieu of maintaining an application for a Part 70 permit or upon rescission of a Part 70 permit if the owner or operator demonstrates that the stationary source is in compliance with the emissions limitations in section 3.1 below or an applicable alternative operational limit in section 6.1 below.
1.5 Exemption, Stationary Source with a Limitation on Potential to Emit: this rule shall not apply to any stationary source which has a valid operating permit with federally-enforceable conditions or other federally-enforceable limits limiting its potential to emit to below the applicable threshold(s) for a major source as defined in sections 2.7 and 2.8 below.
1.6 Within three years of the effective date of Rule ____ (District Title V rule), the District shall maintain and make available to the public upon request, for each stationary source subject to this rule, information identifying the provisions of this rule applicable to the source.
1.7 This rule shall not relieve any stationary source from complying with requirements pertaining to any otherwise applicable preconstruction permit, or to replace a condition or term of any preconstruction permit, or any provision of a preconstruction permitting program.\(^2\) This does not preclude issuance of any preconstruction permit with conditions or terms necessary to ensure compliance with this rule.
\(^2\)For example, PSD, NSR, and ATC
2.0 DEFINITIONS
All terms shall retain the definitions provided under 40 CFR Part 70.2 [alternatively, the District Title V rule] unless otherwise defined herein.
2.1 12-month period: A period of twelve consecutive months determined on a rolling basis with a new 12-month period beginning on the first day of each calendar month.
2.2 Actual Emissions: The emissions of a regulated air pollutant from a stationary source for every 12-month period. Valid continuous emission monitoring data or source test data shall be preferentially used to determine actual emissions. In the absence of valid continuous emissions' monitoring data or source test data, the basis for determining actual emissions shall be: throughputs of process materials; throughputs of materials stored; usage of materials; data provided in manufacturer's product specifications; material volatile organic compound (VOC) content reports or laboratory analyses; other information required by this rule and applicable District, State and Federal regulations; or information requested in writing by the District. All calculations of actual emissions shall use U.S. EPA, California Air Resources Board (CARB) or District approved methods, including emission factors and assumptions.
2.3 Alternative Operational Limit: A limit on a measurable parameter, such as hours of operation, throughput of materials, use of materials, or quantity of product, as specified in Section 6.0, Alternative Operational Limit and Requirements.
2.4 Emission Unit: Any article, machine, equipment, operation, contrivance or related groupings of such that may produce and/or emit any regulated air pollutant or hazardous air pollutant.
2.5 Federal Clean Air Act: The federal Clean Air Act (CAA) as amended in 1990 (42 U.S.C. section 7401 et seq.) and its implementing regulations.
2.6 Hazardous Air Pollutant: Any air pollutant listed pursuant to section 112(b) of the federal Clean-Air Act.
2.7 Major Source of Regulated Air Pollutants (excluding HAPs): A stationary source that emits or has the potential to emit a regulated air pollutant (excluding HAPs) in quantities equal to or exceeding the lesser of any of the following thresholds:
A. 100 tons per year (tpy) of any regulated air pollutant;
B. 50 tpy of volatile organic compounds or oxides of nitrogen for a federal ozone nonattainment area classified as serious, 25 tpy for an area classified as severe, or 10 tpy for an area classified as extreme; and
C. 70 tpy of PM\textsubscript{10} for a federal PM\textsubscript{10} nonattainment area classified as serious.
Fugitive emissions of these pollutants shall be considered in calculating total emissions for stationary sources in accordance with 40 CFR Part 70.2 "Definitions- Major source(2)."
2.8 Major Source of Hazardous Air Pollutants: A stationary source that emits or has the potential to emit 10 tons per year or more of a single HAP listed in section 112(b) of the CAA, 25 tons per year or more of any combination of HAPs, or such lesser quantity as the U.S. EPA may establish by rule. Fugitive emissions of HAPs shall be considered in calculating emissions for all stationary sources. The definition of a major source of radionuclides shall be specified by rule by the U.S. EPA.
2.9 Part 70 Permit: An operating permit issued to a stationary source pursuant to an interim, partial or final Title V program approved by the U.S. EPA.
2.10 Potential to Emit: The maximum capacity of a stationary source to emit a regulated air pollutant based on its physical and operational design. Any physical or operational limitation on the capacity of the stationary source to emit a pollutant, including air pollution control equipment and restrictions on hours of operation or on the type or amount of material combusted, stored, or processed, shall be treated as part of its design only if the limitation is federally enforceable.
2.11 Process Statement: An annual report on permitted emission units from an owner or operator of a stationary source certifying under penalty of perjury the following: throughputs of process materials; throughputs of materials stored; usage of materials; fuel usage; any available continuous emissions monitoring data; hours of operation; and any other information required by this rule or requested in writing by the District.
2.12 Regulated Air Pollutant: The following air pollutants are regulated:
A. Oxides of nitrogen and volatile organic compounds;
B. Any pollutant for which a national ambient air quality standard has been promulgated;
C. Any Class I or Class II ozone depleting substance subject to a standard promulgated under Title VI of the federal Clean Air Act;
D. Any pollutant that is subject to any standard promulgated under section 111 of the federal Clean Air Act; and
E. Any pollutant subject to a standard or requirement promulgated pursuant to section 112 of the federal Clean Air Act, including:
1. Any pollutant listed pursuant to section 112(r) (Prevention of Accidental Releases) shall be considered a regulated air pollutant upon promulgation of the list.
2. Any HAP subject to a standard or other requirement promulgated by the U.S. EPA pursuant to section 112(d) or adopted by the District pursuant to 112(g) and (j) shall be considered a regulated air pollutant for all sources or categories of sources: 1) upon promulgation of the standard or requirement, or 2) 18 months after the standard or requirement was scheduled to be promulgated pursuant to section 112(e)(3).
3. Any HAP subject to a District case-by-case emissions limitation determination for a new or modified source, prior to the U.S. EPA promulgation or scheduled promulgation of an emissions limitation shall be considered a regulated air pollutant when the determination is made pursuant to section 112(g)(2). In case-by-case emissions limitation determinations, the HAP shall be considered a regulated air pollutant only for the individual source for which the emissions limitation determination was made.
3.0 EMISSION LIMITATIONS
3.1 Unless the owner or operator has chosen to operate the stationary source under an alternative operational limit specified in section 6.1 below, no stationary source subject to this rule shall emit in every 12-month period more than the following quantities of emissions:
A. 50 percent of the major source thresholds for regulated air pollutants (excluding HAPs),
B. 5 tons per year of a single HAP,
C. 12.5 tons per year of any combination of HAPs, and
D. 50 percent of any lesser threshold for a single HAP as the U.S. EPA may establish by rule.
3.2 The APCO shall evaluate a stationary source's compliance with the emission limitations in section 3.1 above as part of the District's annual permit renewal process required by Health & Safety Code section 42301(e). In performing the evaluation, the APCO shall consider any annual process statement submitted pursuant to Section 5.0, Reporting Requirements. In the absence of valid continuous emission monitoring data or source test data, actual emissions shall be calculated using emissions factors approved by the U.S. EPA, CARB, or the APCO.
3.3 Unless the owner or operator has chosen to operate the stationary source under an alternative operational limit specified in section 6.1 below, the owner or operator of a stationary source subject to this rule shall obtain any necessary permits prior to commencing any physical or operational change or activity which will result in actual emissions that exceed the limits specified in section 3.1 above.
4.0 RECORDKEEPING REQUIREMENTS
Immediately after adoption of this rule, the owner or operator of a stationary source subject to this rule shall comply with any applicable recordkeeping requirements in this section. However, for a stationary source operating under an alternative operational limit, the owner or operator shall instead comply with the applicable recordkeeping and reporting requirements specified in Section 6.0, Alternative Operational Limit and Requirements. The recordkeeping requirements of this rule shall not replace any recordkeeping requirement.
4.1. A stationary source previously covered by the provisions in section 1.2 above shall comply with the applicable provisions of section 4.0 above and sections 5.0 and 6.0 below if the stationary source exceeds the quantities specified in section 1.2.A above.
4.2 The owner or operator of a stationary source subject to this rule shall keep and maintain records for each permitted emission unit or groups of permitted emission units\(^3\) sufficient to determine actual emissions. Such information shall be summarized in a monthly log, maintained on site for five years, and be made available to District, CARB, or U.S. EPA staff upon request.
A. Coating/Solvent Emission Unit
The owner or operator of a stationary source subject to this rule that contains a coating/solvent emission unit or uses a coating, solvent, ink or adhesive shall keep and maintain the following records:
1. A current list of all coatings, solvents, inks and adhesives in use. This list shall include: information on the manufacturer, brand, product name or code, VOC content in grams per liter or pounds per gallon, HAPS content in grams per liter or pounds per gallon, or manufacturer's product specifications, material VOC content reports or laboratory analyses providing this information;
2. A description of any equipment used during and after coating/solvent application, including type, make and model; maximum design process rate or throughput; control device(s) type and description (if any); and a description of the coating/solvent application/drying method(s) employed;
3. A monthly log of the consumption of each solvent (including solvents used in clean-up and surface preparation), coating, ink and adhesive used; and
4. All purchase orders, invoices, and other documents to support information in the monthly log.
B. Organic Liquid Storage Unit
The owner or operator of a stationary source subject to this rule that contains a permitted organic liquid storage unit shall keep and maintain the following records:
1. A monthly log identifying the liquid stored and monthly throughput; and
\(^3\)In some cases it may be appropriate to keep records on groups of emission units which are connected in series. Examples are internal combustion engines in the oil fields with a common fuel line, or a series of paint spray booths with a common feed.
2. Information on the tank design and specifications including control equipment.
C. Combustion Emission Unit
The owner or operator of a stationary source subject to this rule that contains a combustion emission unit shall keep and maintain the following records:
1. Information on equipment type, make and model, maximum design process rate or maximum power input/output, minimum operating temperature (for thermal oxidizers) and capacity, control device(s) type and description (if any) and all source test information; and
2. A monthly log of hours of operation, fuel type, fuel usage, fuel heating value (for non-fossil fuels; in terms of BTU/lb or BTU/gal), percent sulfur for fuel oil and coal, and percent nitrogen for coal.
D. Emission Control Unit
The owner or operator of a stationary source subject to this rule that contains an emission control unit shall keep and maintain the following records:
1. Information on equipment type and description, make and model, and emission units served by the control unit;
2. Information on equipment design including where applicable: pollutant(s) controlled; control effectiveness; maximum design or rated capacity; inlet and outlet temperatures, and concentrations for each pollutant controlled; catalyst data (type, material, life, volume, space velocity, ammonia injection rate and temperature); baghouse data (design, cleaning method, fabric material, flow rate, air/cloth ratio); electrostatic precipitator data (number of fields, cleaning method, and power input); scrubber data (type, design, sorbent type, pressure drop); other design data as appropriate; all source test information; and
3. A monthly log of hours of operation including notation of any control equipment breakdowns, upsets, repairs, maintenance and any other deviations from design parameters.
E. General Emission Unit
The owner or operator of a stationary source subject to this rule that contains an emission unit not included in subsections A, B or C above shall keep and maintain the following records:
1. Information on the process and equipment including the following: equipment type, description, make and model; maximum design process rate or throughput; control device(s) type and description (if any);
2. Any additional information requested in writing by the APCO;
3. A monthly log of operating hours, each raw material used and its amount, each product produced and its production rate; and
4. Purchase orders, invoices, and other documents to support information in the monthly log.
5.0 REPORTING REQUIREMENTS
5.1 At the time of annual renewal of a permit to operate under Rule _____ (the District's general permitting rule), each owner or operator of a stationary source subject to this rule shall submit to the District a process statement. The statement shall be signed by the owner or operator and certify that the information provided is accurate and true.
5.2 For the purpose of determining compliance with this rule, this requirement shall not apply to stationary sources which emit in every 12-month period less than or equal to the following quantities:
A. For any regulated air pollutant (excluding HAPs),
1. 25 tons per year including a regulated air pollutant for which the District has a federal area designation of attainment, unclassified, transitional, or moderate nonattainment,
2. 15 tons per year for a regulated air pollutant for which the District has a federal area designation of serious nonattainment,
3. 6.25 tons per year for a regulated air pollutant for which the District has a federal area designation of severe nonattainment,
B. 2.5 tons per year of a single HAP,
C. 6.25 tons per year of any combination of HAPs, and
D. 25 percent of any lesser threshold for a single HAP as the U.S. EPA may establish by rule.
5.3 A stationary source previously covered by provisions in section 5.2 above shall comply with the provisions of section 5.1 above if the stationary source exceeds the quantities specified in section 5.2.
5.4 Any additional information requested by the APCO under section 5.1 above shall be submitted to the APCO within 30 days of the date of request.
6.0 ALTERNATIVE OPERATIONAL LIMIT AND REQUIREMENTS
[The District may propose additional alternative operational limits]
The owner or operator may operate the permitted emission units at a stationary source subject to this rule under any one alternative operational limit, provided that at least 90 percent of the stationary source's emissions in every 12-month period are associated with the operation(s) limited by the alternative operational limit.
6.1 Upon choosing to operate a stationary source subject to this rule under any one alternative operational limit, the owner or operator shall operate the stationary source in compliance with the alternative operational limit and comply with the specified recordkeeping and reporting requirements.
A. The owner or operator shall report within 24 hours to the APCO any exceedance of the alternative operational limit.
B. The owner or operator shall maintain all purchase orders, invoices, and other documents to support information required to be maintained in a monthly log. Records required under this section shall be maintained on site for five years and be made available to District or U.S. EPA staff upon request.
C. Gasoline Dispensing Facility Equipment with Phase I and II Vapor Recovery Systems
The owner or operator shall operate the gasoline dispensing equipment in compliance with the following requirements:
1. No more than 7,000,000 gallons of gasoline shall be dispensed in every 12-month period.
2. A monthly log of gallons of gasoline dispensed in the preceding month with a monthly calculation of the total gallons dispensed in the previous 12 months shall be kept on site.
3. A copy of the monthly log shall be submitted to the APCO at the time of annual permit renewal. The owner or operator shall certify that the log is accurate and true.
D. Degreasing or Solvent-Using Unit
The owner or operator shall operate the degreasing or solvent-using unit(s) in compliance with the following requirements:
1. a. If the solvents do not include methyl chloroform (1,1,1-trichloroethane), methylene chloride (dichloromethane), tetrachloroethylene (perchloroethylene), or trichloroethylene, no more than 5,400 gallons of any combination of solvent-containing materials and no more than 2,200 gallons of any one solvent-containing material
shall be used in every 12-month period.
b. If the solvents include methyl chloroform (1,1,1-trichloroethane), methylene chloride (dichloromethane), tetrachloroethylene (perchloroethylene), or trichloroethylene, no more than 2,900 gallons of any combination of solvent-containing materials and no more than 1,200 gallons of any one solvent-containing material shall be used in every 12-month period.
2. A monthly log of amount and type of solvent used in the preceding month with a monthly calculation of the total gallons used in the previous 12 months shall be kept on site.
3. A copy of the monthly log shall be submitted to the APCO at the time of annual permit renewal. The owner or operator shall certify that the log is accurate and true.
E. Paint Spraying Unit
The owner or operator shall operate the paint spraying unit(s) in compliance with the following requirements:
1. The total usage rate of all VOC-containing materials, including but not limited to, coatings, thinners, reducers, and cleanup solution shall not exceed ______ gallons in every 12-month period.
2. A monthly log of the gallons of VOC-containing materials used in the preceding month with a monthly calculation of the total gallons used in the previous 12 months shall be kept on site.
3. A copy of the monthly log shall be submitted to the APCO at the time of annual permit renewal. The owner or operator shall certify that the log is accurate and true.
F. Diesel-Fueled Emergency Standby Engine(s) with Output Less Than 1,000 Brake Horsepower
[Depending on the District's federal ozone attainment status, the District will adopt either subsection 1.a, 1.b, or 1.c below.]
The owner or operator shall operate the emergency standby engine(s) in compliance with the following requirements:
1. a. For a federal ozone area designation of attainment, unclassified, transitional, or moderate nonattainment, the emergency standby
---
*To be determined based on District SIP rules*
engine(s) shall not operate more than 5,200 hours in every 12-month period and shall not use more than 265,000 gallons of diesel fuel in every 12-month period.
b. For a federal ozone nonattainment area classified as serious, the emergency standby engine(s) shall not operate more than 2,600 hours in every 12-month period and shall not use more than 133,000 gallons of diesel fuel in every 12-month period.
c. For a federal ozone nonattainment area classified as severe, the emergency standby engine(s) shall not operate more than 1,300 hours in 12-month period and shall not use more than 66,000 gallons of diesel fuel in every 12-month period.
2. A monthly log of hours of operation, gallons of fuel used, and a monthly calculation of the total hours operated and gallons of fuel used in the previous 12 months shall be kept on site.
3. A copy of the monthly log shall be submitted to the APCO at the time of annual permit renewal. The owner or operator shall certify that the log is accurate and true.
6.2 The owner or operator of a stationary source subject to this rule shall obtain any necessary permits prior to commencing any physical or operational change or activity which will result in an exceedance of an applicable operational limit specified in section 6.1 above.
7.0 VIOLATIONS
7.1 Failure to comply with any of the applicable provisions of this rule shall constitute a violation of this rule. Each day during which a violation of this rule occurs is a separate offense.
7.2 A stationary source subject to this rule shall be subject to applicable federal requirements for a major source, including Rule _____ (District Title V rule) when the conditions specified in either subsections A or B below, occur:
A. Commencing on the first day following every 12-month period in which the stationary source exceeds a limit specified in section 3.1 above and any applicable alternative operational limit specified in section 6.1, above, or
B. Commencing on the first day following every 12-month period in which the owner or operator can not demonstrate that the stationary source is in compliance with the limits in section 3.1 above or any applicable alternative operational limit specified in section 6.1 above.
Mr. Jason Grumet
Executive Director, Northeast States for Coordinated Air Use Management
129 Portland Street
Boston, Massachusetts 02114
Dear Mr. Grumet:
This is in response to Mr. Michael Bradley's March 22, 1994 letter to Mary Nichols seeking clarification of the Federal enforceability of State's existing minor new source review (NSR) programs. It is my understanding that some of the NESCAUM States are interested in using their existing minor NSR programs to limit a source's potential to emit so as to allow sources to legally avoid being considered a major source for title V purposes.
In my November 3, 1993 memorandum entitled "Approaches to Creating Federally-Enforceable Emission Limits," I described approaches that States could use to limit a source's potential to emit for title V purposes. While a number of approaches are acceptable, the Environmental Protection Agency (EPA) has promoted the use of State operating permits programs approved under sections 110 and 112(1), pursuant to the criteria set forth in the June 28, 1989 Federal Register. Among other things, these criteria include an opportunity for public and EPA review and require that permit conditions be practically enforceable. Several States have followed EPA's recommendation and have either adopted these requirements or are in the process of doing so.
The Agency recognizes the use of other approaches as well. In response to your question, EPA's position is that minor NSR permits issued under programs that have already been approved into the State implementation plan (SIP) are federally enforceable. Thus, EPA allows the use of federally-enforceable minor NSR permits to limit a source's potential to emit provided that the scope of a State's program allows for this and that the minor NSR permits are in fact enforceable as a practical matter.
Because minor NSR programs are essentially preconstruction review programs for new sources and modifications to existing sources, minor NSR programs can generally be used to limit a
source's potential emissions when such limits are taken in conjunction with a preconstruction permit action. In addition, please note that the term "modification" generally encompasses both physical changes and changes in the method of operation at an existing source (see Clean Air Act section 111(a)(4)). Thus, the scope of some, though not all, minor NSR programs is broad enough to be used to also limit a source's potential to emit for nonconstruction-related events. This occurs where the modification component of State programs extends to both physical changes and changes in the method of operation. In these cases, where a voluntary reduction in the method of operation (e.g., limit in hours of operation or production rate) by itself is considered a modification for minor NSR permitting, a source may reduce its hours of operation or production rate and make such a change federally enforceable through limits in its minor NSR permit.
Some States' minor NSR programs are written so as to preclude a source from limiting its potential to emit absent an increase in emissions. There may be other limitations on the scope of these programs as well. Since there is considerable variation among State minor NSR programs, a review of any individual State program would be necessary to determine its ability to limit a source's potential to emit. It may be beneficial for States to contact the appropriate EPA Regional Office if there are questions about the scope of the SIP-approved minor NSR program.
Minor NSR programs have generally been used in the past to limit a source's potential to emit for criteria pollutants. There is a growing need for sources to limit their potential to emit for toxic pollutants as well. The EPA is currently considering ways in which a State may limit the potential to emit of toxic pollutants, including possible uses of existing minor NSR programs. I plan to keep you and others aware of our efforts in this regard.
You should also be aware that a recent court ruling has called into question the Federal enforceability of a State minor NSR permit that does not meet the public participation requirements of current EPA regulations despite SIP approval of the State's program [see United States v. Marine Shale Processors, No. 90-1240 (E.D. La.) (bench ruling), June 15, 1994]. In that case involving extensive alleged violations of the permit terms, the court held that EPA could not enforce the terms of the minor NSR permit. The court subsequently ruled that the company could not rely on the permit to limit its potential to emit, and thus was liable for having failed to obtain a major
NSR permit. The outcome of this case suggests that States should proceed cautiously in relying on minor NSR programs to limit potential to emit where the program does not actually provide public participation.
In summary, EPA has provided guidance on approaches that are available to limit a source's potential to emit. The Agency recommends approaches that meet the criteria set forth in the June 28, 1989 Federal Register. Many States are taking action to adopt such programs. With respect to minor NSR permits, EPA believes that permits conditions issued in accordance with existing State minor NSR programs that have been approved into the SIP, and which are enforceable as a practical matter, are federally enforceable and can be used to limit potential to emit. Caution is advised, however, with respect to permits that do not meet procedural requirements. These programs are primarily preconstruction review programs although in many cases they can also limit a source's potential to emit in conjunction with operational changes.
As you have noted, title V issues are complicated and resource intensive. In order for the title V program to be successfully implemented, it is important that States and EPA work cooperatively in developing operating permits programs. Your comments and recommendations on program development issues are welcome.
We appreciate this opportunity to be of service and trust that this information will be helpful to you.
Sincerely,
John S. Seitz
Director
Office of Air Quality Planning and Standards
cc: Air Division Director, Regions I-X
| 品名 | 规格 | 数量 |
|------|------|------|
| 钢材 | 10mm | 500kg |
| 混凝土 | M20 | 30m³ |
| 砖 | 240x115x53mm | 10000块 |
注：以上数据仅供参考，实际使用时请根据具体需求调整。
SUBJECT: Guidance on Enforceability Requirements for Limiting Potential to Emit through SIP and §112 Rules and General Permits
FROM: Kathie A. Stain, Director
Air Enforcement Division
TO: Director, Air, Pesticides and Toxics Management Division, Regions I and IV
Director, Air and Waste Management Division, Region II
Director, Air, Radiation and Toxics Division, Region III
Director, Air and Radiation Division, Region V
Director, Air, Pesticides and Toxics Division, Region VI
Director, Air and Toxics Division, Regions VII, VIII, IX, and X
Attached is a guidance document developed over the past year by the former Stationary Source Compliance Division in coordination with the Air Enforcement Division, Office of Air Quality Planning and Standards, OAR's Office of Policy Analysis and Review, and the Office of General Counsel, as well as with significant input from several Regions.
A number of permitting authorities have begun discussions with or have submitted programs for review by EPA that would provide alternative mechanisms for limiting potential to emit. Several authorities have submitted SIP rules and at least one State has been developing a State general permit approach. We believe that this guidance is important to assist the EPA Regions as well as States in approving and developing such approaches.
For additional information regarding this guidance, please contact me or Clara Poffenberger of my staff at (202) 564-8709.
cc: John Rasmic, Director
Manufacturing, Energy, and Transportation Division
Office of Compliance
Air Branch Chiefs, Regions I - X
Enforceability Requirements for Limiting Potential to Emit Through SIP and §112 Rules and General Permits
Introduction
As several EPA guidances describe, there are several mechanisms available for sources to limit potential to emit. EPA guidances have also described the importance of practical enforceability of the means used to limit potential to emit. This guidance is intended to provide additional guidance on practical enforceability for such limits. We provide references for guidances on practical enforceability for permits and rules in general and provide guidance in this document for application of the same principles to "limitations established by rule or general permit," as described in the guidance document issued January 25, 1995, entitled "Options for Limiting Potential to Emit" (PTE) of a Stationary Source under section 112 and Title V of the Clean Air Act (Act). The description is as follows:
Limitations established by rules. For less complex plant sites, and for source categories involving relatively few operations that are similar in nature, case-by-case permitting may not be the most administratively efficient approach to establishing federally enforceable restrictions. One approach that has been used is to establish a general rule which creates federally enforceable restrictions at one time for many sources (these rules have been referred to as "prohibitory" or "exclusionary" rules). The concept of exclusionary rules is described in detail in the November 3, 1993 memorandum ["Approaches to Creating Federally Enforceable Emissions Limits," from John S. Seitz]. A specific suggested approach for VOC limits by rule was described in EPA's memorandum dated October 15, 1993 entitled "Guidance for State Rules for Optional Federally-Enforceable Emissions Limits Based Upon Volatile Organic Compound (VOC) Use." An example of such an exclusionary rule is a model rule developed for use in California. (The California model rule is attached, along with a discussion of its applicability to other situations—see Attachment 2). Exclusionary rules are included in a State's SIP or 112 program and generally become effective upon approval by the EPA.
1 The EPA prefers the term "exclusionary rule" in that this phrase is a less ambiguous description of the overall purpose of these rules.
General permits. A concept similar to the exclusionary rule is the establishment of a general permit for a given source type. A general permit is a single permit that establishes terms and conditions that must be complied with by all sources subject to that permit. The establishment of a general permit could provide for emission limitations in a one-time permitting process, and thus avoid the need to issue separate permits for each source. Although this concept is generally thought of as an element of Title V permit programs, there is no reason that a State or local agency could not submit a general permit program as a SIP submittal aimed at creating synthetic minor sources. Additionally, FESOP [Federally Enforceable State Operating Permit, usually referring to Title I State Operating Permit Programs approved under the criteria established by EPA in the June 28, 1989 Federal Register notice, 54 FR 27274] programs can include general permits as an element of the FESOP program being approved into the SIP. The advantage of a SIP general permit, when compared to an exclusionary rule, is that upon approval by the EPA of the State's general permit program, a general permit could be written for an additional source type without triggering the need for the formal SIP revision process. (January 25, 1995, Seitz and Van Heuvelen memorandum, page 4.)
SIP or § 112 Rules
Source-category standards approved in the SIP or under 112, if enforceable as a practical matter, can be used as federally enforceable limits on potential to emit. Such provisions require public participation and EPA review. Once a specific source qualifies under the applicability requirements of the source-category rule, additional public participation is not required to make the limits federally enforceable as a matter of legal sufficiency since the rule itself underwent public participation and EPA review. The rule must still be enforceable as a practical matter in order to be considered federally enforceable. A source that violates this type of rule limiting potential to emit below major source thresholds or is later determined not to qualify for coverage under the rule, could be subject to enforcement action for violation of the rule and for constructing or operating without a proper permit (a part 70 permit, a New Source Review permit, or operating without meeting §112 requirements, or any combination thereof).
General Permits
The Title V regulations set out provisions for general permits covering numerous similar sources. The primary purpose of general permits is to provide a permitting alternative where
the normal permitting process would be overly burdensome, such as for area sources under section 112. General permits may be issued to cover any category of numerous similar sources, including major sources, provided that such sources meet certain criteria laid out in 40 CFR part 70. Sources may be issued general permits strictly for the purpose of avoiding classification as a major source. In other words, general permits may be used to limit the potential to emit for numerous similar sources. However, general permits must also meet both legal and practical federal enforceability requirements.
With respect to legal sufficiency, the operating permit regulations provide that once the general permit has been issued after opportunity for public participation and EPA and affected State review, the permitting authority may grant or deny a source's request to be covered by a general permit without further public participation or EPA or affected State review. The action of granting or denying the source's request is not subject to judicial review. A general permit does not carry a permit shield. A source may be subject to enforcement action for operating without a part 70 permit if the source is later determined not to qualify for coverage under the general permit. Sources covered by general permits must comply with all part 70 requirements.
**State SIP or 112(1) General Permits**
Another mechanism available to limit potential to emit is a general permit program approved into the SIP or under section 112(1), the hazardous air pollutant program authority. This mechanism allows permitting authorities to issue and revise general permits consistent with SIP or 112(1) program requirements without going through the SIP or 112(1) approval process for each general permit or revision of a general permit. The program is also separate from title V, like title I state operating permits, and issuance and revisions of the permits are not required to comply with title V procedures.
Once a program is approved, issuing and revising general permits should be significantly less burdensome and time-consuming for State legislative and rulemaking authorities. The EPA review should also be less burdensome and time-consuming. After a program is approved, permitting authorities have the flexibility to submit and issue general permits as needed rather than submitting them all at once as part of a SIP submittal. Given the reduced procedural burden, permitting authorities should be able to issue general permits to small groups or categories or sources rather than attempt to cover broad categories with a generic rule. We anticipate that specific permit requirements for general permits may be readily developed with the assistance of interested industry groups.
The State general permit approach may allow sources to meet the federal enforceability requirements more easily than other approaches. However, to use this approach, States must have a federally enforceable program that provides the State the authority to issue such permits; to accomplish this, EPA must approve the program into the SIP or pursuant to section 112(1) of the Clean Air Act.
**Enforceability Principles**
In 1989, in response to challenges from the Chemical Manufacturers Association and other industry groups, EPA reiterated its position that controls and limitations used to limit a source's potential to emit must be federally enforceable. See 54 FR 27274 (June 28, 1989). Federally enforceable limits can be established by Clean Air Act programs such as NSPS, NESHAPs, MACTs, and SIP requirements. However, source-specific limits are generally set forth in permits. Generally, to be considered federally enforceable, the permitting program must be approved by EPA into the SIP and include provisions for public participation. In addition, permit terms and conditions must be practicably enforceable to be considered federally enforceable. EPA provided specific guidance on federally enforceable permit conditions in a June 13, 1989 policy memo "Limiting Potential to Emit in New Source Permitting" from John Seitz and in the June 28, 1989 Federal Register notice (54 FR 27274). Additional guidance can also be found in *United States v. Louisiana Pacific*, 682 F. Supp. 1122 (D. Colo. 1987), 682 F. Supp 1141 (D. Colo. 1988), which led to these guidance statements and a number of other memoranda covering practicable enforceability as it relates to rolling averages, short-term averages, and emission caps. See "Use of Long Term Rolling Averages to Limit Potential to Emit," from John B. Rasnic to David Kee, February 24, 1992; "Limiting Potential to Emit" from Mamie Miller to George Czerniak, August 5, 1992; "Policy Determination on Limiting Potential to Emit for Koch Refining Company's Clean Fuels Project", from John B. Rasnic to David Kee, March 13, 1992; and "3M Tape Manufacturing Division Plant, St. Paul, Minnesota" from John B. Rasnic to David Kee, July 14, 1992.
In 1987, EPA laid out enforceability criteria that SIP rules must meet. See "Review of State Implementation Plans and Revisions for Enforceability and Legal Sufficiency" from Michael Alushin, Alan Eckert, and John Seitz, September 3, 1987 (1987 SIP memo). The criteria include clear statements as to applicability, specificity as to the standard that must be met, explicit statements of the compliance time frames (e.g. hourly, daily, monthly, or 12-month averages, etc.), that the time frame and method of compliance employed must be sufficient to protect the standard involved, recordkeeping requirements must be specified, and equivalency provisions must meet certain requirements.
Based on these precedents, this guidance describes six enforceability criteria which a rule or a general permit must meet to make limits enforceable as a practical matter. In general, practical enforceability for a source-specific permit term means that the provision must specify (1) a technically accurate limitation and the portions of the source subject to the limitation; (2) the time period for the limitation (hourly, daily, monthly, annually); and (3) the method to determine compliance including appropriate monitoring, recordkeeping and reporting. For rules and general permits that apply to categories of sources, practical enforceability additionally requires that the provision (4) identify the categories of sources that are covered by the rule; (5) where coverage is optional, provide for notice to the permitting authority of the source's election to be covered by the rule; and (6) recognize the enforcement consequences relevant to the rule.
This guidance will address requirements (4) and (5) first as they are concepts that are unique to rules and general permits.
A. Specific Applicability
Rules and general permits designed to limit potential to emit must be specific as to the emission units or sources covered by the rule or permit. In other words, the rule or permit must clearly identify the category(ies) of sources that qualify for the rule's coverage. The rule must apply to categories of sources that are defined specifically or narrowly enough so that specific limits and compliance monitoring techniques can be identified and achieved by all sources in the categories defined.
A rule or general permit that covers a homogeneous group of sources should allow standards to be set that limit potential to emit and provide the specific monitoring requirements. (Monitoring is more fully addressed in section D.) The State can allow for generic control efficiencies where technically sound and appropriate, depending on the extent of the application and ability to monitor compliance with resultant emission limits. Similarly, specific and narrow applicability may allow generic limits on material usage or limits on hours of operation to be sufficient. For example, a rule or general permit that applies to fossil-fuel fired boilers of a certain size may allow for limits on material usage, such as fuel-type and quantity. A rule or general permit that applies only to standby diesel generators or emergency generators may allow restrictions on hours of operation to limit potential to emit. The necessary compliance terms (i.e., monitoring or recordkeeping) associated with any of these limits, such as with hours of operation, can readily be specified in the rule or the general permit itself.
General permits under Title V are assumed to include this
enforceability principle, because the Part 70 regulations set out specific criteria that States should consider in developing their general permit provisions (See 57 FR 32278). These factors include requirements that
"categories of sources covered by general permits should be generally homogenous in terms of operations, processes, and emissions. All sources in the category should have essentially similar operations or processes and emit pollutants with similar characteristics."
Another factor stated is "sources should be subject to the same or substantially similar requirements governing operation, emissions, monitoring, reporting, or recordkeeping." Examples of source categories appropriate for general permits include: degreasers, dry cleaners, small heating systems, sheet fed printers, and VOC storage tanks (see 57 FR 32278).
B. Reporting or Notice to Permitting Authority
The rule or general permit should provide specific reporting requirements as part of the compliance method. Although the compliance method for all sources must include recordkeeping requirements, the permitting authority may make a determination that reporting requirements for small sources would provide minimal additional compliance assurance. Where ongoing reporting requirements are determined not to be reasonable for a category of sources, the rule or general permit should still provide that the source notify the permitting authority of its coverage by the rule or the permit. In the limited situation where all the sources described in a source category are required to comply with the all of the provisions of a rule or general permit, notice is not needed. However, where there are no reporting requirements and no opt-in provisions, the permitting authority must provide the public with the names and locations of sources subject to the rule or permit.
For Title V general permits, Part 70 requires sources to submit an application for a general permit which must be approved or disapproved by the permitting authority. For SIP or §112 rules and SIP or §112 general permits, in response to receiving the notice or application, the permitting authority may issue an individual permit, or alternatively, a letter or certification. The permitting authority may also determine initially whether it will issue a response for each individual application or notice, and may initially specify a reasonable time period after which a source that has submitted an application or notice will be deemed to be authorized to operate under the general permit or SIP or §112 rule.
C. Specific Technically Accurate Limits
The rule or general permit issued pursuant to the SIP or §112 must specify technically accurate limits on the potential to emit. The rule or general permit must clearly specify the limits that apply, and include the specific associated compliance monitoring. (The compliance monitoring requirements are discussed further in the next section.) The standards or limits must be technically specific and accurate to limit potential to emit, identifying any allowed deviations.
The 1987 policy on SIP enforceability states that limitations "must be sufficiently specific so that a source is fairly on notice as to the standard it must meet." For example, "alternative equivalent technique" provisions should not be approved without clarification concerning the time period over which equivalency is measured as well as whether the equivalency applies on a per source or per line basis or is facility-wide.
Further, for potential to emit limitations, the standards set must be technically sufficient to provide assurance to EPA and the public that they actually represent a limitation on the potential to emit for the category of sources identified. Any presumption for control efficiency must be technically accurate and the rule must provide the specific parameters as enforceable limits to assure that the control efficiency will be met. For example, rules setting presumptive efficiencies for incineration controls applied to a specific or broad category must state the operating temperature limits or range, the air flow, or any other parameters that may affect the efficiency on which the presumptive efficiency is based. Similarly, material usage limits such as fuel limits, as stated above, require specifying the type of fuel and may require specifying other operating parameters.
A rule that allows sources to submit the specific parameters and associated limits to be monitored may not be enforceable because the rule itself does not set specific technical limits. The submission of these voluntarily accepted limits on parameters or monitoring requirements would need to be federally enforceable. Absent a source-specific permit and appropriate review and public participation of the limits, such a rule is not consistent with the EPA's enforceability principles.
D. Specific Compliance Monitoring
The rule must specify the methods to determine compliance. Specifically, the rule must state the monitoring requirements, recordkeeping requirements, reporting requirements, and test methods as appropriate for each potential to emit limitation; and clarify which methods are used for making a direct determination of compliance with the potential to emit limitations.
"Monitoring" refers to many different types of data collection, including continuous emission or opacity monitoring, and measurements of various parameters of process or control devices (e.g. temperature, pressure drop, fuel usage) and recordkeeping of parameters that have been limited, such as hours of operation, production levels, or raw material usage. Without a verifiable plantwide emission limit, verifiable emission limits must be assigned to each unit or group of units subject to the rule or general permit. Where monitoring cannot be used to determine emissions directly, limits on appropriate operating parameters must be established for the units or source, and monitoring must verify compliance with those limits. The monitoring must be sufficient to yield data from the relevant time period that is representative of the source's compliance with the standard or limit. Continuous emissions monitoring, especially in the case of smaller sources, is not required.
E. Practicably Enforceable Averaging Times
The averaging time for all limits must be practicably enforceable. In other words, the averaging time period must readily allow for determination of compliance. EPA policy expresses a preference toward short term limits, generally daily but not to exceed one month. However, EPA policy allows for rolling limits not to exceed 12 months or 365 days where the permitting authority finds that the limit provides an assurance that compliance can be readily determined and verified. See June 13, 1989 "Guidance on Limiting Potential to Emit," February 24, 1992 Memorandum "Use of Long Term Rolling Averages to Limit Potential to Emit" from John Rasnic to David Kee, and March 13, 1992 "Policy Determination on Limiting Potential to Emit for Koch Refining Company's Clean Fuels Project" from John B. Rasnic to David Kee, stating that determinations to allow an annual rolling average versus a shorter term limit must be made on a case by case basis. Various factors weigh in favor of allowing a long term rolling average, such as historically unpredictable variations in emissions. Other factors may weigh in favor of a shorter term limit, such as the inability to set interim limits during the first year. The permitting agency must make a determination as to what monitoring and averaging period is warranted for the particular source-category in light of how close the allowable emissions would be to the applicability threshold.
F. Clearly Recognized Enforcement
Violations of limits imposed by the rule or general permit that limit potential to emit constitute violations of major source requirements. In other words, the source would be violating a "synthetic minor" requirement which may result in the source being treated as a major source under Titles I and V. The 1989 Federal Register Notice provides for separate enforcement
and permitting treatment depending on whether the source subsequently chooses to become major or remain minor. Thus, violations of the rule or general permit or violation of the specific conditions of the rule or general permit subjects the source to potential enforcement under the Clean Air Act and state law. The operating permit rule states that notwithstanding the shield provisions of part 70, the source subject to a general permit may be subject to enforcement action for operating without a part 70 permit if the source is later determined not to qualify for the conditions and terms of the general permit. Moreover, violation of any of the conditions of the rule or general permit may result in a different determination of the source's potential to emit and thus may subject the source to major source requirements and to enforcement action for failure to comply with major source requirements from the initial determination.
Rule Requirements for State General Permit Programs
As discussed above, general permit programs must be submitted to EPA for approval under SIP authority or under section 112(1), or both, depending on its particular pollutant application. SIP and 112(1) approval and rulemaking procedures must be met, including public notice and comment. The specific application of the enforceability principles for establishing State SIP or §112(1) general permit programs require that the rule establishing the program set out these principles as rule requirements. In other words, these principles must be specific rule requirements to be met by each general permit.
The rule establishing the program must require that (1) general permits apply to a specific and narrow category of sources; (2) sources electing coverage under general permits, where coverage is not mandatory, provide notice or reporting to the permitting authority; (3) general permits provide specific and technically accurate (verifiable) limits that restrict the potential to emit; (4) general permits contain specific compliance monitoring requirements; (5) limits in general permits are established based on practicably enforceable averaging times; and (6) violations of the permit are considered violations of the State and federal requirements and may result in the source being subject to major source requirements.
In addition, since the rule establishing the program does not provide the specific standards to be met by the source, each general permit, but not each application under each general permit, must be issued pursuant to public and EPA notice and comment. The 1989 Federal Register notice covering enforceability of operating permits requires that SIP operating permit programs issue permits pursuant to public and EPA notice and comment. Title V requires that permits, including general permits, be issued subject to EPA objection.
Section B
General Clean Air Act Stationary Source Policies and Guidance
Section B Document 25
Memorandum of Understanding Between the U.S. Environmental Protection Agency and the U.S. Department of Energy concerning the Clean Air Act Emission Standards for Radionuclides, 40 CFR Part 61 Including Subparts H, I, Q & T
04/05/95 |
Housing America
Single-Family Rental’s Critical Role In U.S. Housing Infrastructure
April 2024
# Table of Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Executive Summary | 1 |
| 1. The Supply-Side Shortfall | 2 |
| 2. Ownership Demand & Demographics Heightening the Scarcity of SFR | 5 |
| 3. Lifecycle & Lifestyle Drive Demand | 7 |
| 4. Home Purchase Affordability Has Plummeted | 10 |
| 5. Providing & Preserving Quality Housing Options | 14 |
| 6. A Long-Term View on Home Values & Single-Family Rents | 16 |
| Conclusion | 18 |
Executive Summary
U.S. housing supply continues to be a critical issue, exacerbated by insufficient housing development since the Global Financial Crisis and a particularly acute shortfall in single-family homebuilding. The single-family rental (SFR) sector is a large and critical component of the nation’s housing infrastructure. U.S. Census Bureau data from the American Community Survey as of 2022 show more than 14 million households rent attached or detached single-family homes. This figure is not far off the roughly 16 million households that rent apartments in buildings with at least ten units. Despite this relative parity, developers have been disproportionately focused on multifamily construction in recent years as the large Millennial generation fueled demand for rental units.
However, lifecycle and lifestyle factors are driving increased demand for single-family housing options as Millennials are aging, starting families, and availing themselves of remote work options. The increase in work-from-home alongside growing households means that millions of households need more space than the typical urban multifamily unit can offer. The demographic wave that has benefited multifamily investors is now swelling into the 35–44-year-old age bracket, which tends to prefer single-family housing. Notably, the ranks of this pivotal age bracket will continue to grow significantly over the balance of the decade. Older households that are looking for the types of financial and geographic flexibility associated with SFR homes will further solidify the demand side of the SFR housing equation.
Alongside the persistent undersupply of housing, availability and affordability have been further eroded by rapid growth in home prices and a significant increase in mortgage rates since 2022. Despite this, U.S. homeownership has also been increasing, which has served to deplete the number of single-family homes that are available for rent. With mortgage rates on new loans approaching twice the median rate of all existing residential debt, owners with an existing mortgage rightfully feel (and act) as if they are locked into their homes. Sales volume has dried up and households that would like to buy are challenged to find a home, especially at the entry-level of the market where the supply shortfall has been more acute. These conditions are keeping home prices on an upward trend despite the steep rise in interest rates. Renting a home has never been less expensive versus buying one than it is today.
As a result of these trends, the nation is in dire need of more entry-level single-family housing to meet the growing tide of demand for affordable and flexible options as households transition to a single-family lifestyle. SFR’s already important role in fulfilling this demand will continue to grow and institutions will be a significant source of capital for the expansion of this critical housing option. In addition to building new single-family housing, institutions are also likely to provide much of the capital required to modernize, preserve, and protect the aging housing stock in the U.S. The existing stock is increasingly absorbing damaging impacts related to climate risks, which increase its vulnerability and associated operating costs. We believe that large institutional investors will step in to help supply professionally managed and maintained single-family rental homes, just as they have in the multifamily sector for decades.
1. The Supply-Side Shortfall
High construction costs, economic cycles, NIMBYISM, and the pandemic have all tempered new home construction. Market analysts have estimated the U.S. has a housing shortfall equal to roughly a year’s supply on the low-end (e.g., Moody’s Analytics) to several years’ worth of supply on the high end (e.g., Realtor.com). Not only has the country not built enough housing supply overall, but single-family starts have represented a markedly smaller share of homebuilding over the past decade (68%), than they did during the 20 years prior to that (79%), per data from the U.S. Census Bureau through January 2024.
Developers have been building the type of housing best suited for the needs and desires of the large Millennial generation – multifamily – and have neglected single-family homebuilding as a result. Capital availability played a role here too as large institutions sought exposure to multifamily housing in their portfolios. Now that Millennials are reaching a stage in their lives when single-family homes will better meet their needs, the significant shortfall in single-family homebuilding has become even clearer.
**SECTION 1 CHART 1**
Significant shortfall in homebuilding for more than a decade
Housing Starts (millions, SAAR)
- **Single-Family**
- **Multifamily**
- **Single-Family Historical Avg**
- **Total Housing Historical Avg**
Source: U.S. Census Bureau (January 2024), U.S. Department of Housing and Urban Development, Roofstock Research
**SECTION 1 CHART 2**
Developers have placed greater emphasis on multifamily
Starts Per 1,000 People
- **SF Starts Per 1,000 People Aged 30-64**
- **MF Starts Per 1,000 People Aged 20-34**
- **SF Average**
- **MF Average**
Source: U.S. Census Bureau (January 2024), U.S. Department of Housing and Urban Development, Roofstock Research
On a nominal basis, the data shows that recent new single-family home construction is on a par with the average number of homes built annually since 1960. So, the level of activity has actually been quite low relative to today’s much larger population. For a better relative picture, Chart 2 showing starts relative to the size of certain population segments, reflects how single-family starts have run below trend since the Global Financial Crisis (GFC), while multifamily starts have been running near or above trend for the past decade. The data show housing development overemphasized multifamily in recent years, and failed to make the pivot to single-family even as the demographic trends were clear.
The economic consequences of the GFC on homebuilding were considerable and amplified by capital flowing to multifamily construction in the years that followed. According to the U.S. Bureau of Labor Statistics, single-family general contractors, a group that far outnumber multifamily general contractors, employed 27%, or 138,000, fewer workers in 2023 than they did on average in the 2000s. By comparison, multifamily general contractor employment was up over 61%, albeit from a much smaller base.
The employment story speaks to the country’s diminished capacity to build new single-family residences. With unemployment still below 4.0% overall as of February 2024, finding workers will be challenging. Relief may come from decreasing construction activity in other areas, including multifamily housing, but geographic and skills mismatches mean this is not a switch that can suddenly flip.
SECTION 1 CHART 3
The GFC devastated single-family general contractors; employment has yet to recover
New Single-Family G.C. Emp. (000s, SA) Total Emp. (000s, SA)
Source: U.S. Bureau of Labor Statistics (January 2024), Moody’s Analytics, Roofstock Research
SECTION 1 CHART 4
Remodeling, not new home construction has been the primary job creator within residential construction
Employment (000s)
Source: U.S. Bureau of Labor Statistics (January 2024), Moody’s Analytics, Roofstock Research
Permit data show overall housing construction unlikely to ramp up
Housing Permits (millions, SAAR)
Source: U.S. Census Bureau (January 2024), U.S. Department of Housing and Urban Development
Permitting activity suggests construction is pivoting towards single-family, but the rise in single-family permits is not as pronounced as it would need to be to satisfy unmet demand. Dwindling multifamily permits indicate that overall residential construction will not see much of an uptick. As a result, housing will remain in short supply for the foreseeable future. Institutional capital targeting allocations to SFR investments can play a role in reversing this trend of undersupply by making investments in build-to-rent projects, but so far this capital has had limited impact at the national level.
It is noteworthy that entry-level supply has been even more constrained as homebuilders have focused on building larger homes. There has been a downward trend in the share of homes completed that are under 1,800 sf over the past two decades. These homes were just 23% of completions in 2022 versus over 35% of completions during 1999-2000. First-time homebuyers have felt this skew towards higher-end homes acutely as there has been very little new, entry-level product available for purchase.
Housing availability and affordability go hand in hand and new supply, particularly at the entry-level, is the only real solution here. This is especially true given the demographics we previously discussed. Younger households will want entry-level options as they make the pivot to single-family housing. Indirectly, lack of supply is also discouraging more current homeowners from selling as there are limited options to move. This is amplified by the lock-in effect created by the ultra-low mortgage rates in the years preceding the Fed’s 525 basis point rate hike cycle that began in March of 2022. We take a closer look at home prices and affordability later in this paper, but first let us examine the demand side of the equation.
2. Ownership Demand & Demographics
Heightening the Scarcity of SFR
SFR, and single-family housing generally, have experienced strong occupancy over the past decade. High occupancy conditions in SFR are owed to both a rebound in homeownership, which took homes out of the rental inventory, growth in population at ages that typically coincide with a preference towards single-family housing, and limited new construction. In fact, U.S. Census Bureau data from the American Community Survey show fewer renters of detached single-family homes in 2022 than in 2012. Generally speaking, the data show ownership has been favored in recent years, supported by ultra-low borrowing rates.
Consider the U.S. Census Bureau Housing Vacancies and Homeownership Survey, which shows owner households increased 8.6% or 6.9 million over the past five years (as of the fourth quarter of 2023), while renter households, including those in multifamily properties, increased by just 4.4% or 1.9 million during that time. Low interest rates certainly played a role here, although that tailwind has flipped to a headwind recently as higher mortgage rates have reduced affordability.
The data may come as a surprise to multifamily investors, who have enjoyed strong demand and rent growth over the past decade. But a closer examination shows that, while rentership overall did not see robust growth, the story was vastly different for large multifamily. The number of households renting in structures with 10+ units increased by 26% from 2012 to 2022, while households renting detached single-family homes declined as the number of homeowners grew.
This skew towards multifamily was owed to both demographic trends and the flow of institutional capital seeking to capture this demand growth. The arrival of the massive Millennial generation into the workforce and their desire for a more urban lifestyle was a boon to multifamily demand, rewarding the owners of these assets. But now that demographic-driven demand is expected to shift to single-family housing.
Population data show solid growth in 20–34-year-olds and 35–44-year-olds from 2013 to 2023. But over the balance of this decade the 20–34-year-old age cohort will shrink, while the 35–44-year-old age cohort will continue to grow both in absolute terms and as a percentage of the total population. We see this on balance as a significant positive for SFR demand, particularly as households have delayed major life events that tend to lead to occupancy of single-family homes.
Chart 1 also shows the “silver tsunami” that benefited multifamily demand in recent years. This was not so much a pivot to multifamily by older households, rather it was primarily the law of large numbers. We saw more households age 65+ rent because there were so many Americans in that age cohort. We expect on the margin that the high growth in older households will benefit SFR in the years ahead as these households look for increased geographic and financial flexibility while still desiring a home that can accommodate visits from their children and grandchildren.
**SECTION 2 CHART 1**
Strong growth in key SFR population cohorts set to continue
Avg. Annual Population Change by Age Cohort (000s)
- **2013 to 2023**
- **2023 to 2030**
Source: U.S. Census Bureau, Moody’s Analytics, Roofstock Research
**SECTION 2 CHART 2**
35–44-year-old share of population will rise through the end of the decade
Population (millions) | Share of Total Population
---|---
48 | 14.1%
46 | 13.8%
44 | 13.5%
42 | 13.2%
40 | 12.9%
38 | 12.6%
36 | 12.3%
34 | 12.0%
32 | 11.7%
Source: U.S. Census Bureau, Moody’s Analytics, Roofstock Research
3. Lifecycle & Lifestyle Drive Demand
While the appeal of an active urban lifestyle had considerable allure for Millennials in the early years of their careers, their needs are changing as they age. The oldest Millennials are now in their early 40s and the largest one-year age group turns 34 in 2024. First-time homeownership, marriage, and raising families are all on the horizon for many in this generation. A material percentage will look to affordable and flexible housing options that let them slowly wade into a more suburban lifestyle and SFR will fill that void.
Safety, schools, recreational amenities, and places for the children to play are becoming a higher priority for this group. Many also need housing that accommodates a meaningful amount of work-from-home time. Importantly, as they seek more space for their growing households, the multifamily housing stock, which is predominantly one- and two-bedroom units, will not suffice.
Not only are there more people in key target SFR age cohorts, but many younger people have deferred milestone life events, meaning their impact on single-family housing demand has yet to be felt.
We see this transition in housing needs as a significant catalyst for demand growth in the years ahead. Not only are there more people in key target SFR age cohorts, but many younger people have deferred milestone life events, meaning their impact on single-family housing demand has yet to be felt. For starters, the share of adults ages 25-34 living at home with their parents has decreased from peak levels during the pandemic, but 16% of these individuals still lived with their parents in 2023, about three percentage points more than the average over the previous 30 years (see Chart 1). There were nearly 1.3 million more people ages 25-34 living at home with their parents in 2023 than is typical based on historical behavior.
Young adult living arrangements should begin to trend back to historical norms
25-34 Year-Olds Living With Parents (%)
This data compounds into marriage and childbirth. Census data show the median age at first marriage has increased by 1.2 years for men and 1.8 years for women over the past decade to 30.2 and 28.4, respectively (see Chart 2). According to the CDC, the average age of first-time mothers increased by 1.7 years from 2011 to 2021 to 27.3 years of age.
Not surprisingly, the average age of first-time homebuyers has also risen, jumping from 31 years-old in 2012 to 36 years-old in 2022, per data from Self. All these deferred events result in a higher concentration of younger adults having yet to reach a point in life where single-family housing is seriously considered, and even desired. We will explore this further in the next section of the paper, but low home purchase affordability is expected to bolster demand to rent these types of homes. Some individuals will also worry about the long-term financial commitment and geographic mobility anchor created by homeownership.
Many couples just getting to the stage where neighborhood safety and school quality is paramount
Avg. Age of First-Time Mothers
Delayed marriages mean pivot to single-family housing on the horizon for many
Median Age At First Marriage
Delayed life events and reduced affordability have greatly increased the age of first-time buyers
Avg. Age of First-Time Homebuyers
Source: U.S. Census Bureau, Current Population Survey
Source: U.S. Centers for Disease Control and Prevention (CDC)
Source: Self, Zillow
More flexible work schedules and a higher share of people working from home post-pandemic are also making the suburban lifestyle more palatable and these workers need extra space for their home office. Kastle Systems data measuring physical occupancy in 10 major U.S. markets relative to levels prior to the pandemic shows that office occupancy has returned to about 50% of pre-pandemic levels. The data also indicate a large variance in occupancy over the course of the week, peaking at 58.9% on Tuesdays and bottoming at 34.1% on Fridays. With as much as two-thirds of the office workforce at home on certain days of the week, the need for living situations to accommodate remote work is clear. Locational preferences may also shift somewhat given the trend of fewer workers commuting to the office five days a week.
SECTION 3 CHART 5
Return to office appears to be plateauing
% of Cardholders Who Swiped Into An Office (Avg. Top 10 Markets, NSA)
Source: Kastle Systems, Moody’s Analytics
4. Home Purchase Affordability Has Plummeted
Contrary to many headlines, there has not been a crisis of declining ownership in the U.S. There have never been more homeowners in the country than there are today. The homeownership rate is up about a percentage point over the past five years (as of 23Q4) and is nearly three percentage points higher than the post-GFC low reached in the second quarter of 2016. As mentioned previously, Census data also show that owner households have increased by 8.6% or 6.9 million over the past five years, while renter households have increased by just 4.4% or 1.9 million.
With the commencement of the Fed rate hike cycle in 2022 signaling the potential end of a massive run in home prices driven by cheap debt, it appeared home prices were set to peak in the second quarter of 2022. Would-be buyers felt pressure to go out and buy a home while rates were still low. But the speed and magnitude of rate hikes quickly stomped out this activity, and home prices, as tracked by the S&P Core Logic Case-Shiller 20-Metro Composite index, declined in the third quarter of 2022.
It turned out that decline would be short-lived, lasting into the first quarter of 2023, and home prices would rebound. By the third quarter of 2023 the price index had reached a new all-time high and rose again in the final quarter of the year. Prices were up 5.5% year-over-year as of the fourth quarter of 2023, and the magnitude of growth over longer periods has been stunning (see Chart 1). Home prices increased nearly 50% over the past five years and nearly 94% over the past decade.
SECTION 4 CHART 1
Home prices have weathered the significant increase in mortgage rates
S&P Core Logic Case-Shiller Home Price Index (20-Metro Composite)
Source: S&P Dow Jones Indices LLC, CoreLogic, Inc.
Beyond a lack of supply and favorable demographic trends, the solid financial footing of U.S. homeowners has contributed to the resiliency of home prices and the strength of the housing market generally. In addition to the substantial home equity created by dramatic price increases, Census data through 2022 show a record number of homes owned free-and-clear of debt. Some of this is owed to demographics as the large Baby Boom generation has been in their homes for a long period of time and paid down their debt.
The data also show that households took advantage of lower rates and locked them in through fixed-rate mortgages. Notably, for a two-and-a-half-year period beginning in the third quarter of 2019 through the end of 2021, the interest rate on new 30-year fixed rate mortgages was below the prevailing rate on all residential debt outstanding. Additionally, over 95% of all new mortgages completed during the two-year period beginning in the second quarter of 2020 and ending in the first quarter of 2021 had fixed interest rates.
Chart 3 shows the conditions creating the so-called “lock-in effect.” After taking on long-term, low interest rate, fixed-rate debt, many owners feel locked into their current residences. According to the Joint Center for Housing Studies (JCHS), 60% of borrowers had a mortgage rate below 4.0% in mid-2023. By the end of 2023, the spread between the interest rate on a new 30-year mortgage and the effective mortgage rate on outstanding residential debt was 350 basis points – wider than at any point since 1982. Expressed as a ratio, the rates on new loans were 1.92x the rate on outstanding residential debt – a record high.
Households are far less inclined to move with interest costs essentially doubling. Low-rate mortgages have become an asset, tying households to their current
Lack of homes listed for sale has compounded the supply problem
Starts (SAAR, 000s), Homes Listed for Sale (000s)
Source: U.S. Census Bureau, National Association of Realtors, Moody’s Analytics
Economic conditions are helping existing and would-be home buyers participate in the market and contributing to low mortgage delinquency rates. Unemployment has been below 4% for the longest stretch in 40 years and wages are rising. But the lack of supply, price growth, and higher mortgage rates have caused affordability to plummet.
Using the current 30-year mortgage rate and assuming a 20% down payment, the monthly mortgage payment on a $300,000 house today is the same as the mortgage payment for a $400,000 home in March of 2022. Moody’s Analytics’ affordability index shows that in mid-2020 the typical household could afford 187% of the mortgage on a typical home (an index level of 187). That figure dropped to 101% (or an index level of 101) by the end of 2023, its lowest level since the early 1980s. By this metric, the typical household has just enough income to afford the mortgage payment on the typical home. This also assumes that the typical household can make a 20% down payment on the home, which is a non-starter for many households.
Mortgage rates have reduced the affordable price point of homes
Principal & Interest Payment (30-yr. mortgage, 20% down payment)
Source: Freddie Mac, Roofstock Research
The current supply/demand imbalance is not easily solved and ultimately will drive more households to rent homes. High quality, professionally managed SFR provides this more affordable option. The cost to rent is also nearly 30% lower than the monthly cost to purchase an entry-level home, according to data from John Burns Real Estate Consulting. Single-family rent is more affordable versus buying today than at any point in the past 40 years. Renting also allows young households to test neighborhoods and the associated lifestyle change, avoids the long-term financial commitment that purchasing a home entails, and preserves geographic mobility.
Short of a significant Fed interest rate policy misstep (i.e., keeping interest rates too high for too long) or an unforeseen exogenous shock, it seems unlikely that economic conditions will deteriorate significantly enough to change the affordability dynamic within the for-sale housing market. Without a large drop in home values and a material reduction in interest rates, many households will continue to seek out high quality rental options.
**SECTION 4 CHART 6**
*Ownership Affordability has fallen to its lowest level in over 40 years*
*Housing Affordability Index*
Source: National Association of Realtors, U.S. Census Bureau, U.S. Bureau of Economic Analysis, Moody’s Analytics
**SECTION 4 CHART 7**
*Relative affordability of rent has increased dramatically*
*Monthly Rent/Home Payment*
Source: John Burns Real Estate Consulting (March 2024)
5. Providing & Preserving Quality Housing Options
Affordability, socioeconomic diversity, energy efficiency, and environmental resilience can all be enhanced by a healthy, well-functioning SFR market. Just as has been evident in the multifamily sector, investors, particularly large institutional ones, can provide and preserve high-quality rental housing.
Housing costs are blocking families from the neighborhoods they would like to live in and preventing essential workers from living in the communities they serve. As we noted in the previous section, renting a single-family home typically costs almost 30% less than buying one does today. A lack of rental options within neighborhoods, “… reinforces inequities and contributes to socioeconomic segregation,” according to the latest report by the JCHS.
Ownership can be too expensive or simply not the right financial or time of life choice for many households. The conclusion should not be to limit access to housing because of these situations. Instead, communities should welcome SFR as an affordable, high-quality housing option that can help households build their financial health and work towards ownership if they desire to do so.
The aforementioned JCHS report also calls out some important issues for the U.S. housing stock – age and susceptibility to climate related events. The report emphasizes the 44-year-old median age of U.S. rental housing and the growing need for capital investment in the nation’s housing stock. Quoting a report from the Federal Reserve Bank of Philadelphia, the JCHS noted that $51.5 billion (as of 2022) was needed to address physical deficiencies in the existing renter-occupied housing stock. Another $97.9 billion was needed for the owner-occupied housing stock.
These issues are accentuated by the exposure of a significant portion of U.S. housing supply to climate-related events. The JCHS noted that 41%, or 18.2 million rental units, were in high-risk areas for environmental hazards. This percentage was even higher for single-family rentals, at 45%. Institutional investment can help solve the capital needs of the existing housing stock while improving home efficiency and resiliency to climate-related events. The NOAA’s National Centers for Environmental Information 2023 Billion-Dollar Disaster report showed that the count of billion-dollar climate disasters in the U.S. set a record last year at 28, eclipsing the previous record of 22 set in 2020.
Climate risks are manifesting themselves through physical damage to homes, reduced health and well-being of residents, significant maintenance and capital expenditures, and high and rising utility and insurance costs. The upward trend in such events highlights the importance of involving long-term investors with access to capital in the single-family market. Not only can these investors offer households an attractive rental option, they can also make the improvements necessary to modernize the nation’s critical housing infrastructure and ensure that it remains resilient to climate-related risks.
**SECTION 5 CHART 1**
Half of U.S. homes were built before 1980
Distribution of U.S. Housing Stock by Year Built
Source: U.S. Census Bureau, American Community Survey (2022)
**SECTION 5 CHART 2**
Climate-related disasters growing in frequency and cost
Billion-Dollar Weather & Climate Disasters
Events/Year
Cost/Year (billions, CPI adjusted)
Source: NOAA National Centers for Environmental Information (NCEI), Roofstock Research
While there are local and regional differences, home prices typically rise over time and weather recessions well. Since 1980, the National Bureau of Economic Research (NBER) has flagged 26 quarters as recessions. The average change in home prices using the FHFA’s single-family home price index for all transactions (purchase and refinance) was 0.4% during those quarters. Prices rose in 15 of 26 recession quarters. Excluding the GFC, the average quarterly change in home prices during recessions since 1980 has been 1.1%. This performance is owed to the necessity-based nature of housing, responsiveness of homebuilding to economic cycles, and accommodative monetary policy that aids households via lower interest rates.
SECTION 6 CHART 1
Home prices have been resilient to recessions and rate hikes
FHFA Single-Family Home Price Index (1980Q1=100, SA)
Shaded areas = recessions
Source: National Bureau of Economic Research, FHFA (2023Q4)
Housing is a necessity in short supply that is viewed as a home, not an investment, by most owners. This characteristic tends to result in growth through all phases of the business cycle. The housing bust that was the driving force behind the 2008 GFC is a notable exception to this rule and home prices did not bottom for more than two years after that recession officially ended. Similar comments about the resilience of home prices can be made as it pertains to periods of rising interest rates, as we see most notably with prices rising despite increases in rates both during the early 1980s and today.
This value growth is also one aspect of the sector’s inflation-hedging characteristics as values have appreciated faster than CPI. Over the past 30 years, CPI has increased by 2.5% annually versus 4.4% for home values. SFR landlords have also enjoyed rent growth in excess of inflation, with data from John Burns Real Estate Consulting showing average annual rent growth of 3.4% over the past 30 years.
Resilience through cycles and attractive growth and inflation-hedging characteristics provide compelling investment rationale for institutions considering an allocation to SFR. But there are certainly other considerations such as its correlation to other asset classes and property sectors and relative liquidity versus other types of CRE. Additionally, the public markets show SFR REITs’ strong track record in terms of absolute performance. We will tackle the sector’s ability to enhance portfolio performance more directly in a follow-on paper.
**SECTION 6 CHART 2**
*Single-family values and rents have grown faster than inflation*
![Graph showing index (1984=100) for Burns Single-Family Rent Index (Mid Tier), FHFA Single-Family Home Price Index, and CPI from 1984 to 2023.]
*Source: John Burns Real Estate Consulting, FHFA, U.S. Bureau of Labor Statistics, Roofstock Research*
Conclusion
Housing availability and affordability are critical issues in the U.S. and show no signs of easing. SFR investment can and should play an important role in providing and preserving high-quality housing options for families. The ongoing lack of housing supply stems from the significant shortfall in homebuilding, and especially entry-level homebuilding, since the GFC. Renting is an important option for households that either cannot afford to purchase a home or who prefer to rent for any myriad of financial, economic, lifestyle, or lifecycle reasons. Ownership is also a long-term financial commitment that many households are not prepared to make.
Shifting demographics favor SFR as large numbers of households join age brackets where single-family housing is preferred. Meanwhile, at the older end of the age spectrum, renting a home may be a much more attractive option for households looking for greater financial and geographic freedom. We also expect that the prevalence of work from home/flexible schedules will boost SFR demand as households look for options with more space to accommodate this lifestyle.
A large and thriving SFR market is a critical component that provides much needed balance to U.S. housing infrastructure. Roofstock’s Rental Genome™, tracks an inventory of more than 14 million single-family rental homes with a total asset value of roughly $5 trillion. Ownership of these homes is diffuse, with around 10 million unique owners of SFR. While we expect more consolidation in ownership to larger groups that have the capital and capability to professionally manage, modernize, and maintain these homes, we also expect “mom and pop” investors will continue to own the majority of SFR assets for years to come. But just as multifamily has blossomed into a widely accepted institutional investment option, we see SFR’s supply/demand fundamentals and strong track record of value and rent growth drawing in the types of investors who will be committed to their communities and the idea of providing safe, clean, and desirable homes for families.
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This paper has been prepared by the Company. The information contained in this paper is for informational purposes only. The information contained in this paper is not investment, tax or financial advice and is not intended to be used as the basis for making an investment decision. This paper has been prepared without taking into account the investment objectives, tax circumstances, financial situation or particular needs of any particular person.
No repaper or warranty, expressed or implied, is made as to the fairness, accuracy, completeness or correctness of the information, opinions and conclusions contained in this paper. To the maximum extent permitted by law, none of the Company, its affiliates, directors, employees, agents, advisors nor any other person accepts any liability, including, without limitation, any liability arising out of fault or negligence for any loss arising from the use of the information contained in this paper.
All statements other than statements of historical fact included in this paper are forward-looking statements and are subject to future risks and uncertainties. Forward-looking statements express our current expectations and projections relating to our financial condition, results of operations, plans, objectives, future performance and business. You can identify forward-looking statements by the fact that they do not relate strictly to historical or current facts. These statements may include words such as "anticipate," "estimate," "expect," "project," "plan," "intend," "believe," the negative thereof and other words and terms of similar meaning in connection with any discussion of the timing or nature of future operating or financial performance or other events. These forward-looking statements are based on assumptions that we have made in light of our industry experience and on our perceptions of historical trends, current conditions, expected future developments and other factors we believe are appropriate under the circumstances. As you consider this paper, you should understand that past performance does not guarantee future results. Forward-looking statements involve risks, uncertainties (some of which are beyond our control) and assumptions. Although we believe that they are based on reasonable assumptions, you should be aware that many factors could affect our actual results and cause them to differ materially from those anticipated.
Because of these factors, you should not place undue reliance on any of our forward-looking statements. Further, any forward-looking statement speaks only as of the date on which it is made. New risks and uncertainties arise from time to time, and it is impossible for us to predict those events or how they may affect us. We have no duty to, and do not intend to, update or revise the forward-looking statements in this paper after the date of this paper.
This paper contains historical economic and industry data, and forecasts of such data. This information has been obtained from industry publications, market research and other independent third-party sources. Industry publications generally state that the historical information they provide has been obtained from sources and through methods believed to be reliable, but that they do not guarantee the accuracy and completeness of this information. Similarly, market research, while believed to be reliable, has not been independently verified by the Company. Market and industry statistics are inherently predictive and subject to uncertainty and are not necessarily reflective of actual market or industry conditions. Such statistics are based on market research which itself is based on sampling and subjective judgments by both the researchers and the respondents, including judgments about what types of products and transactions should be included in the relevant market.
This paper also contains information about the markets in which the Company operates and its competitive position within those markets, including market size information. The Company is not aware of any exhaustive industry or market reports that cover or address the market for its services and products, partially reflecting the unique nature of the markets in which the Company operates. In assembling the data relating to its markets, the Company has relied on information about the Company and its competitors’ financial performance and information that is publicly available. The Company’s management believes that the market share information contained in this paper, which is largely from internal sources, provides fair and adequate estimates of the size of the markets the Company operates in and fairly reflects the Company’s competitive position within that market. However, this information has not been certified by independent experts, and the Company cannot guarantee that a third-party using different methods to assemble, analyze or compile market data would obtain or generate the same results. As a result, you should be aware that the economic and industry data and forecasts and estimates of market data included in this paper may not be reliable indicators of the Company’s future results.
THIS PAPER DOES NOT CONSTITUTE AN OFFER TO SELL OR THE SOLICITATION OF AN OFFER TO BUY ANY SECURITY. |
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